姓名：黄一彦 导师：谢韬

论文题目（中文）：扩张中的文化鸿沟：探寻宗教保守意识形态对美国少数族裔群体政治观念的影响，1980-2012

论文题目（英文）：An Extended Culture Divide: Exploring the Impact of Religious Orthodoxy on the Political Orientations of Ethnic Minority Groups, 1980-2012

论文关键词（中文）：宗教 政治 政党倾向 少数族裔群体 两极分化

论文关键词（英文）： Religion and politics, ethno-racial minority groups, partisanship, political ideology, moral issue, polarization

中文摘要：

美国民主体制的观察者，阿历克西·德·托克维尔在其1840年出版的《论美国的民主》一书中写道：“宗教之于美国的政府管理并无直接影响，但它理当被视为第一政治机构；如果说宗教并不曾直接传授向往自由的精神，那它也必定推动了对自由权利的运用。”尽管美国第一宪法修正案确立了政教分离的原则，但宗教自始至终都同美国人民对自由的诉求和政治行为有着密不可分的联系。在当前两极对立的政治氛围下，宗教还被诸多学者认为是划分选民阵营、形成文化鸿沟的关键因素之一。尽管已有相当数量的文献就宗教如何造成白人中政治态度的分化和对峙展开研究，却少有人着手于宗教是否同样影响了少数族裔选民的政治倾向。由此，本文旨在研究基督教保守观念导致的“文化鸿沟”是否已经拓展到黑人、拉丁美裔和亚裔三个少数族裔群体中，并提出以下假设：宗教意识上的保守与否导致了族裔群体内部的分化，并扩大了各种族群体之间的差异。

长久以来，少数族裔群体一直被认为是民主党的坚定支持者。有人认为，2012年奥巴马的成功再次当选也应归功于“少数”的支持。然而，并非其中的每一成员都拥护较为开明的民主党和它的文化问题上的政策立场。2004年，一名黑人浸礼会的牧师格列高里·丹尼尔（Gregory Daniels）公开表示，“如果3K党也反对同性婚姻，那我会与他们同行。”（注：美国历史上3K党素以针对黑人、移民的极端种族歧视和暴力手段而臭名昭著）尽管丹尼尔牧师的保守言论过于激进，但他对于同性婚姻的反感代表了许多少数族裔群体中保守人士的态度。到2012年为止，超过60%的黑人、一半左右的拉丁裔人、三分之一的亚洲人都属于宗教保守派，这为共和党提供了大量的政治资源储备。与此同时，共和党也正通过一系列向宗教机构提供资金支持的政策措施，积极寻求少数种族的投票。出于对民主党社会文化层面政策的失望，加之共和党积极拉拢少数族裔群体政策的吸引，在“推”力和“拉”力的共同作用下，宗教因素极可能使得一个少数群体内部出现分化，使虔诚的信徒转至共和党麾下，无神论者更加拥护民主党的纲领。与此同时，鉴于各种族群体的文化特质和历史经历差异，不同种族群体之间，宗教的政治影响会产生不同差异；换言之，种族仍在不同程度上影响着各个群体，并因此扩大群体之间的差异。

在验证该假设的过程中，本文选取了美国全国选举研究（ANES）1980年-2012年间的数据，通过运用有序多分回归模型（Ordered Logistic Regression Analysis），对宗教所带来的政治倾向影响进行量化的实证分析。本文遵循文化战争的理论范筹和乔弗里·雷曼（Geoffrey Layman）提出的量化宗教方法，将由圣经态度、礼拜频率、宗教重要性等一系列指标综合起来形成的“虔诚度”指标作为自变量，研究信仰是否及如何左右了少数种族群体在文化事件上的态度倾向、整体意识形态倾向和党派倾向。最后，本文还加入了种族与宗教的交互影响指标，来辨别各种族之间的差异，分析种族因素对宗教政治影响力带来了何种冲击。

数据结果发现，在亚裔和拉丁裔中，宗教保守度导致了组内政治态度的分化，虔诚的信徒较之于无神论者，更加倾向于共和党，显示出偏保守的政治意识形态。而在黑人中，宗教对于影响意识形态作用相对有限，且越虔诚的信徒反而越倾向于民主党。种族与宗教的交互项指数也显示出，较之于其他各组，黑人的种族意识在干涉宗教的政治影响上有着更为显著的影响。本文认为，黑人教会的独特性和强烈的“共同命运”（linked fate status）意识是解释这一现象的原因。

本文所探讨的问题具有一定程度上的理论意义和现实意义。通过探索宗教对于少数群体的分化作用，可以更加全面地了解宗教如何改变政治倾向、种族意识是否有弱化的趋势，并借以观测到在美国，宗教的影响力并没有随着现代化的推进而消亡，仍在通过左右选民和政党精英的态度倾向，自下而上及自上而下地影响整个国家的选举和政治。在现实意义层面，鉴于当前两党竞争激烈的政治环境和快速增长的少数族裔人口，宗教之于共和党获取少数族裔群体选票的作用就显得尤为重要，或为共和党提供拉拢拉丁裔和亚裔保守派的机会。本文希望能通过这一系列的实证数据结果，推动对于宗教政治影响的进一步研究和理论创新。

Abstract:

Alexis de Tocqueville observed in 1840, “Religion in America takes no direct part in the government of society, but it must be regarded as the first of their political institutions; for if it does not impart a taste for freedom, it facilitates the use of it.” (104). Despite the wall of separation established by the First Amendment, religion has always been entangled with people’s pursuit of freedom and modern politics in the U.S. In the current political circumstance where many pundits considered the electorate was split evenly, religion is among the core elements that have caused polarization in the mass. Albeit considerable studies were dedicated to the splitting force of religion in the white group, the linkage of religion and politics in ethno-racial minority groups remains a topic less investigated. In order to balance this imbalance a little, this thesis purports to examine whether a traditionalism-modernism divide along the line of Christianity orthodoxy has extended to the minority groups. It argues that presumably, religious orthodoxy has enhanced polarization by rupturing intra-group cohesion and enlarging inter-group disparity in ethno-racial minority groups with respect to political ideology and partisanship.

Ethno-racial minority groups have long been taken as the bedrock for Democratic Party. In the 2012 election, Barack Obama’s victory also gives credit to the overwhelming support from minority groups. Notwithstanding, not all members of minority groups side with the liberal party and its cultural platforms. In 2004, Rev. Gregory Daniels of a black Baptist church said in a news conference, “If the K.K.K. opposes gay marriage, I would ride with them.” Though the wording of Rev. Daniels is more like an exaggeration instead of accurate portrayal of his stand, he has demonstrated the aversion to gay marriage of many conservative blacks like him. According to the religious landscape research conducted by this thesis, the 2012 data highlight that over 60% of African Americans, around 50% Hispanics and a third of Asian Americans are religious traditionalists. Meanwhile, the Republican Party is proactively seeking minority votes and formulates initiatives that allocate grants to churches to court the pious minority communities. The large conservative base of ethno-racial minority groups stockpiles huge political capitals for the Grand Old Party. In the joint influence of “push” and “pull”, it is likely that committed church members would stand for conservative platforms and cast their votes in the GOP box. In this sense, religious belief could drop the apple of discord in the alliance solidified by race. Further, the impact of religion is deflected by variances of characteristics of various racial groups.

To testify the hypothesis above, this thesis pools data from American National Election Studies (ANES) between 1980 and 2012 to conduct a quantitative empirical study. Under the culture war thesis and measurement framework of religiosity proposed by Geoffrey Layman, this thesis attempts to concentrate on the influence of belief and behavior on the political orientations, respectively on the culture issue stand, political ideology and partisanship preference. To comprehensively and accurately testify this hypothesis, ordered logistic regression modeling is the analytic technique employed. It is expected to observe that in ethno-racial minority groups the higher religiosity that a voter possesses, the more conservative he or she is in political positions, and the more likely he or she is to be aligned with the Republican Party. Moreover, in the last part of this research, the interaction between religiosity and race is incorporated in the modeling to investigate variances of the linkage between religion and political orientations between each racial group.

After an empirical examination, this thesis finds that religiosity has caused a divide between the most pious and most secular members in political ideology and partisanship among Asian Americans and Hispanic Americans. The influence is growingly salient from 1980 to 2012. Among these two groups, the higher degree of piety to Christianity prepares believers with an penchant for political conservatism and Republican partisanship. For African Americans, however, the range of religiosity in influencing political ideology is limited; in terms of partisanship, devoutness appears to be a liberal force that helps Democrat to cement their electoral advantage. Through examining the interaction of religiosity and race, this thesis corroborates the finding above that the influence of race in affecting the nexus of religiosity and political attitudes is most prominent among African Americans. This thesis proposes that the singularity of black theology and linked fate consciousness in the African American experience help to explain this outcome.

In today’s high-pitched battle for the ticket to congress or White House, both parties are proactively seeking win-win strategies that can both solidify their traditional base while reaching out for fresh support from the opposite base. In this process, inevitably religion has become the convenient tool for the GOP to peel off minority voters. Hopefully, this empirical finding of this thesis could shed some light for future studies with regard to the influence of religion in the competition between two parties.

姓名：孙宜好 导师：谢韬

论文题目（中文）：分立政府，联合防御：美国国会与国防政策，2001–2011

论文题目（英文）：Divided We Defend: Congressional Activism in Defense Policy Making, 2001-11

论文关键词（中文）：美国国会，国防政策，分立政府，国防预算，听证会

论文关键词（英文）：Congress, Defense, Divided Government, Budget, Oversight Hearings

中文摘要：

美国国父在制定宪法时有意使国会和总统在外交方面分享权力，相互制约。然而，总统在外交上享有天然的优势。总统不仅是国家元首，政府首脑，拥有与外国缔约权，任命外交官，接待外国使节等权力，而且作为三军总司令，拥有相当大的战争权。在制度层面，美国总统相对于国会的优势也显而易见。美国国务院和国务卿直接对总统负责，拥有制定外交政策的人员、信息、经验等等优势。而具体到国防政策方面，国会的相对劣势就更加突出。在战争、恐怖袭击等危急关头，举国上下都将目光集中在总统身上，积极响应总统的号召，而国会在这些时刻除了参加统一战线，没有更好的选择。另外，作为一个拥有参众两院，545名成员的庞大组织，为协调复杂多元的利益关系，国会在国防政策的制定方面相对低效。加之冷战期间，国际局势紧张，民主党和共和党在众多国防政策方面立场一致，国会很少干预总统的外交战略。因此，在二战后直到上个世纪90年代，在美国国防政策的制定和执行上，国会一直处于总统和国务院的影子里，很少主动采取行动。

然而，先天优势不足和后天行为被动并不能掩盖这一事实——国会拥有众多正式和非正式的渠道影响国防政策。正式渠道即宪法赋予的国会召集军队，宣战，拨款等权力。其中国会的拨款权，即“控制钱袋子的权力”，是其在与总统博弈时的最重要武器。通过控制战争拨款，国会在很大程度上可以控制战争的规模和形式。非正式渠道则更加多元化，如监督性质的，包括召开听证会，对行政分支渎职行为的调查等；如国会有权要求行政分支就某项政策提供相关报告；再如，就某一议题，国会主动争取舆论支持的行动。

另外值得注意的，国会自身和其周围环境的新发展也为其在国防政策方面增加了新砝码。就国会自身来说，其在国防方面的专业人员不断增加，同时负责国防的下属机构，如国会研究服务，总审计署等得到升级，而新机构如国会预算办公室等已投入使用。另外，在预算方便的程序改革也使得国会获得了更大的话语权。近年来，利益集团在国防政策方面对国会的游说力度大大增加，而美国脆弱的经济，加之金砖国家的迅速崛起都对美国在国际事务上的影响力和领导地位发起了挑战，也使得国会有了更多理由在与总统的博弈中表现得更加主动和强势。

在明确了国会在国防政策方便的传统权力和新增优势的前提下，本文主要探讨，分立政府对于国会国防政策行为的影响。自二战以来，分立政府，即两党分别控制行政分支和国会，越来越成为政治常态。一般认为，面对一个对立党的总统，国会更容易挑战而非顺从行政分支的国防战略。在分立政府如何影响国会的立法效力方面，学者有许多相关研究。尽管各家的结论既有重合也有相悖的地方，但总体而言，这一领域得到了较为深入的剖析。相对来说，具体到分立政府与国会在国防政策方面的表现的关系，目前的研究十分不足。此为其一。其二，9/11恐怖袭击在很大程度上改变了美国的国防部局和战略。国会和总统的角力在新形势下也有了新的内容。而这一时期的相关文献也极为缺乏。为了更深刻地了解国会在国防政策方面的动态，尤其是在分立政府对于国会在国防政策上的影响，本文选取2001至2011年作为研究对象，分析从9/11爆发到奥巴马政府从伊拉克撤军的十年国会与总统在国防政策方面的博弈。本文采取量化的研究方法，分别用国会对总统的年度国防支出的更改程度和国会举行的国防政策相关的听证会这两个指标衡量国会在国防方面的主动性。这两部分的数据分别取自美国国会的年鉴和美国政府的印刷办公室网站。

首先，本文提出两个假设：1. 从2001到2011年，随着时间的推移国会会在国防支出方面做更大的改变，会举行更多的听证会；2. 在2001到2011年间，分立政府相比较一致政府会见证国会在国防支出预算上的更大改变和更多相关听证会。通过分析相关数据，本文得出结论：虽然随着时间的推移，国会在国防政策上表现得更为主动和强势，但分立政府并没有对其行动有明显影响。这一结论与Mayhew的著名论断基本一致。尽管Mayhew的研究对象为国内立法，但作为本文的灵感之源和理论框架，他对这一结果的解释仍然对本文有极大的启发。对于分立政府这一自变量的表现，本文认为以下几点原因可以做以解释：首先，从2001到2011这十年作为危机年份，两党合作的氛围浓厚，在许多问题上国会倾向于服从总统的决策；其次，相比较分立政府这一因素，战事本身对于国会的行为影响更大；最后，本文选取的研究时间较短，数据样本小，因此数据本身的局限性比较大，表现在数据波动大，不利于分立政府这一自变量的显现，削弱了研究意义。

目前，美国政坛两极分化现象严重，分立政府作为政治常态频频出现。同时，2008年次贷危机的后遗症依然显著，美国国会对于国防预算的监管更加严格。随着中国，印度等的迅速崛起，奥巴马政府重构国防战略，积极重返亚洲。因此，在国防政策方面，国会有更大的施展空间，与总统的博弈也将进入新时期。在此背景下，对于国会在国防政策方面的研究显得尤其必要。本文通过研究从2001到2011十年间国会的国防政策行为，以及其与分立政府的关系，不仅在一定程度上填补了现存文献的空白，丰富了美国国会和政党的相关研究，也希望能为未来的研究提供新的方向和思路。

Abstract：

The founding fathers of America designed the Constitution in a way that the executive branch and the legislative branch would wrestle over the prerogatives of directing foreign policy. However, Congress suffers the institutional disadvantage vis-à-vis the president in that the latter is not only commander in chief, but also enjoys the preponderant personnel, expertise and information advantage. Congressional disadvantage becomes only more conspicuous and fatal when it comes to defense policy making. For one thing, in times of crisis, people would look up to their president for certain action. The effect of rallying around the flag could always induce Congress to fall in line with the administration. For another, composed of two chambers and 545 members, Congress, representing sometimes overlapping and often contradictory interests, is not in a position for swift response. Therefore, Congress has long been in the shadow when the government is engineering defense policy.

Institutional and inherent disadvantages notwithstanding, the long-time (mis)portrayal of Congress has obscured the fact that it has multiple channels, both formal and informal, through which to influence defense policy making. Formally, Congress has been constitutionally designated to raise army, authorize and declare wars, to ratify any treaties and nominations brought up by the executive and above all to control the purse. The power of the purse is the ultimate leverage Congress has to balance against the president. By determining where and for how long the money flows, it determines the direction and scope of a military engagement. Informally, Congress can hold hearings, and pursue investigations into alleged executive misconduct and malfeasance that could generate front-page stories and prime-time broadcasts. Meanwhile, Congress can also require executive reports concerning specific defense issues to counter the effects of information asymmetry. It may also engineer campaigns to mobilize public opinion and to cultivate public support.

What’s more, developments both endogenous and exogenous to Congress have given it more leverage in defense policy making. Over the years, Congress has been increasingly more informed and better staffed in defense sphere. Former support mechanisms, like the Congressional Research Services (CRS) and the General Accounting Office (GAO), have been upgraded. Also, such new institutions as the Congressional Budget Office (CBO) and the Office of Technology Assessment (OTA) have been designed to make Congress further independent of the executive in information gathering and assessing. Procedural changes in the budget process also provided another channel for Congress to check the president. Relevant developments exogenous to Congress include firstly, more organized interest with a stake in defense policy are willing to put their weight behind Congress; secondly, a fragile domestic economy, coupled with an increasingly insecure status in the international arena, has presented more incentives for Congress to be more active and assertive.

This paper specifically focuses on Congress and defense policy making in the context of divided government, which is arguably another factor that prompts Congressional activism. Since the end of the Second World War, divided government has become a norm. Facing a president from the opposite party, it is only reasonable to speculate that Congress should have more incentives to challenge the executive in defense policy. Scholarly attention has been devoted to assessing the relationship between divided government and legislative productivity. Considerable literature has been generated with overlapping findings as well as contradictory arguments. However, the relationship between divided government and defense policy making has been left inadequately explored. In an effort to put Congressional defense policy behavior into perspective, the paper examines how Congressional activism changes over time and with different types of party control. It asks firstly, given the reasons stated above, is Congress becoming more active in defense policy making over time? Secondly, does divided government make a difference in Congressional defense policy behavior? Or to be more specific, is divided government associated with more Congressional defense policy activism? Congressional activism is measured by two indicators: Congressional changes in presidential defense budget requests and oversight hearings on defense policy. The time period it investigates is from 2001 to 2011. This particular period is chosen because, firstly, it saw the disastrous 9/11 attack and the ensuing two wars in Afghanistan and Iraq respectively, which have ever since transformed the landscape of American defense policy and made defense policy making a focal point on Congressional agenda; secondly, this period experienced both divided and unified government, which makes comparative study possible; last but not least, it has received relatively less scholarly attention.

In order to answer these two questions, this paper proposes two hypotheses: From 2001 to 2011, the passage of time sees larger Congressional changes in presidential defense spending requests and oversight hearings; from 2001 to 2011, divided government is associated with larger Congressional changes in presidential defense spending requests and more oversight hearings than unified government. Drawing on the data from the Congressional Quarterly Almanac and the United States Governmental Printing Office, this paper tests the two hypotheses respectively and comes to the conclusion that while for the period of interest, Congress did become more active over time, divided government did not make a difference in influencing Congressional defense policy behavior. Concurring with Mayhew’s finding, this paper, inspired by Mayhew’s explanations, also make some speculations on the non-pattern specific to this period: bipartisanship still prevailed at times of crisis; the event versus non-event pattern cut across the divided versus unified government pattern and figures more prominently in explaining Congressional defense policy behavior; the fact that the sample is too small and thus ridden with irregular values prevents the divided and unified government pattern from making a difference.

This study claims originality and significance in that it tries to fill the vacancies in existing literature by venturing into the less explored field and the less visited years.

姓名：李强 导师：梅仁毅

论文题目（中文）：美越建交之后的美国对越政策和越南的回应：改变和延续

论文题目（英文）：American Policy towards Vietnam and Vietnam’s Response since Normalization: Change and Continuity

论文关键词（中文）：美越关系，战略考虑，中国因素，南海问题

论文关键词（英文）：U.S.-Vietnam Relations, Strategy Considerations, China Factor, South China Sea Issue

中文摘要：

建交近二十年之际，美越关系越来越受到区域乃至全球的高度关注，也成为了美越两国外交策略的重要考虑。摆脱了越战阴影的越南和美国在两国恢复邦交和关系发展的道路中每一步都深思熟虑，小心翼翼。近年来，随着美国重返亚太战略的出台，中国的崛起，再加上南海问题的日益凸显，美越关系的走向直接关系到中国，并以各种形式影响着中美关系和中越关系。美越关系发展迅速，但终究年轻，因此在中美越三角关系的研究中涉及甚少。本文试对美越关系的重要方面深入探索，分析美越双方的考虑，摸清建交以来美越关系的发展走势以及复杂的中美越三角关系。本文认为美国和越南在建交头十年中实现了一个由战犯释放和失踪人员搜寻合作向经济领域合作的过渡。之后，两国出于在亚太地区平衡中国，尤其是中国在南海主权的共同考虑开始加强安全和国防合作。然而，考虑到中国的区域和国际影响力，美国和越南都在玩“两手”策略，一方面加强与对方的合作关系，另一方面也努力和中国交好，试图在中美越三角关系中寻找平衡。

Abstract:

Nearly two decades after the announcement of normalization, U.S.-Vietnam relations is drawing increasing regional and international attentions and is becoming significant in both governments’ diplomatic considerations. Extricating from the specter of Vietnam War, the two nations are hesitating and calculating in every step on the road to the establishment and development of this relationship. In the background of a U.S. Pivot to Asia-Pacific and a rising China, as well as the incremental complication of the South China Sea issue, any adjustment in U.S.-Vietnam relations will trigger feedback from China and affect U.S.-China and China-Vietnam relations in one way or another. Lately established but fast burgeoning, U.S.-Vietnam relation is less touched upon in the studies of U.S.-China-Vietnam Triangle. In this paper, I attempt to delve into those significant aspects of U.S.-Vietnam relations, analyze the considerations of the U.S. and Vietnam, silhouette the changing trajectory of this relationship over the years and reflect on the U.S.-Vietnam-China dynamics. I argue that after finishing the transition from the POW/MIA-oriented and economic-oriented interaction in the first decade after normalization, U.S.-Vietnam relationship is converging on security and defense cooperation for the mutual end of balancing a rising China in the Asia-Pacific, most specifically in the South China Sea. However, given the regional and international preponderance of China, both the U.S. and Vietnam are following a “two-Pronged” approach, beefing up their bilateral ties with China as well as striking a dynamic balance in the triangle.

姓名：杜文站 导师：闫循华 专业方向：中美经济、中美外交

论文题目（中文）：中美经济相互依赖关系的变化对美国对华政策的影响–以小布什任期为例

论文题目（英文）： The Impact of Economic Interdependence On US Policy Toward China– The Case Of The George W. Bush Administration

论文关键词（中文）：经济相互依赖，敏感性，脆弱性，中美政治关系

论文关键词（英文）：Economic Interdependence, Sensitivity, Vulnerability, US-China Political Relations

中文摘要：

自中美建交以来，两国之间的经贸往来愈渐频繁，经济在两国关系中发挥着越来越重要的作用。对中美关系的理论研究有助于分析两国关系的本质，为判断目前的国际形势以及为决策者制定政策提供理论支持。

快速崛起的中国在世界范围内的影响力逐渐增大。如何处理好与中国的关系，顺势而为，对美国至关重要。本文选用新自由主义学者罗伯特·基欧汉和约瑟夫·奈“权利与相互依赖”理论，着眼于对当今国际社会的分析，重点研究小布什时期的中美经济政治关系。

罗伯特·基欧汉和约瑟夫·奈在著作《权力与相互依赖》中重点阐述了经济相互依赖对国际政治的影响。两位作者共同认为这种影响是通过“非对称性相互依赖”实现的。本文分析了小布什任期内中美经贸相互依赖的变化及其与小布什政府对中国政策的相互作用，重点研究两国经济相互依赖是如何影响双边政治关系的。

本文收集了中美两国经贸往来的数据，分析数据得出，就绝对值而言，中国仍然更依赖于美国，但是美国对中国的经济依赖程度正在逐渐增大。这一变化使中国在两国交往中拥有更多主动权，而美国在制定对华政策时，也不得不将中国的诉求考虑在内，对华政策由原来的敌对渐趋温和。

Abstract:

After the establishment of diplomatic relations of the United States and China, economic interaction has been more and more constant, and playing a more important role than ever in influencing bilateral relationship. Theoretical analysis on Sino-US relations helps to better understand the nature of their relationship, and provides theoretical support when judging the current situation and when decision-makers making policies.

China is rising rapidly, and the gap between US and China is narrowing; it is important for the United States to make clear of the current situation and make policies accordingly. This thesis selects neo-liberalists’ (Robert Keohane and Joseph Nye) theory to analyze the current Sino-US relations. Through this theoretical analysis, this thesis helps to clarify the changing interactive mode of US and China, as well as the dynamics behind such change.

Among those theories analyzing Sino-US economic political relations, this thesis adopts Keohane and Nye’s power and interdependence theory, which explains the correlation of economy and international political power with the concept of “asymmetrical interdependence”. Sensitivity and vulnerability are the measurements of asymmetrical interdependence, and this thesis uses a lot of data collected from both US and China to illustrate the changing degree of both variables, in order to testify the changing degree of economic interdependence of US and China, concluding that America’s economic interdependence on China is growing, despite the fact that China is still more dependent on US than US is on China.

This thesis analyzes respectively Sino-US economic interdependence and their political relations during George W. Bush’s tenure, explains how they interact, and especially analyzes how economic interdependence influences politics. The growing dependence of America on China facilitates China with more power in bargaining processes with the United States, and leads the US to be milder, instead of offensive, when making policies to China.

姓名：宋婷婷   导师：付美榕

论文题目（中文）：庚款留美归国知识分子的文化再适应：以中央研究院首届人文社科院士为例

论文题目（英文）： Cultural Re-adaptation of the Chinese Returnees of American Boxer Indemnity Scholarship Program: The Case of Academia Sinica Members of 1948 in Humanities and Social Sciences

论文关键词（中文）：美国庚款留学项目 归国留学生 跨文化适应 共融性

论文关键词（英文）：American Boxer Indemnity Scholarship Program, American-educated Chinese returnees, intercultural adjustment, hybridity

中文摘要：

近年来，对“民国大师”关注度持续升温：他们以深厚的学养与独特的气质被众多国人津津乐道，被誉为中国知识分子的楷模。他们当中诸如胡适、梅贻琦、冯友兰、赵元任、梁思成等知名学者都是美国庚子赔款留学项目的受益者。庚子赔款留学是美国政府退还部分庚子赔款用以资助中国学生赴美留学的教育项目，旨在通过培养中国知识分子从而满足美国未来利益需求，但是该项目是否实现预期效果值得探究。本文聚焦庚款留美归国人士，基于跨文化理论视角，探究他们的人生轨迹与职业历程，从而阐述留学经历与他们事业发展之间的关系，并总结庚款留美教育计划的成败得失，澄清历史，纠正误读，引发思考。

本文采用定性研究方法，对1948年中央研究院人文社科组的十三位院士进行研究。材料主要来源于十三位院士的自传、口述史料、其他传记等相关历史文献，采用主题法以及文本分析法对材料进行梳理归类，从学术研究、教书育人以及社会参与三个方面对他们的归国跨文化适应情况进行分析，从而展示其职业发展中的起伏动荡，并借助跨文化适应和文化共融理论进行分析阐释。这些院士科学家可谓凤毛麟角的顶尖人才，研究他们的历史角色与命运，对于改善中国的人才环境与机制，增进中美教育交流，具有适时而深刻的启示意义。

本文研究发现，十三位庚款留学生在归国适应过程中体现出共融的身份特征，以此作为归国适应策略，并在总体上经历了初期顺利后期不适的归国适应过程。共融性体现在以下三个方面：作为学者，他们的研究方法，理念和理论框架都明显受到美国教育经历的影响，但他们能用批判的眼光对待西方思想，并试图把西方理论与中国实际结合，从而有效地解决本土问题；作为教育管理者，他们选择性地将美国的教育思路和方法引入中国，目的是为了尽快实现中国教育的独立自主；作为政府顾问，他们因受中国传统知识分子“学而优则仕”的理念的影响，从而供职于政府机构，但也受到西方知识分子身份职业化原则的熏陶，进而有意识地和政治保持距离，成为没有权力的参政人。研究还发现，这种共融性的产生具有一定的前提性，他们的国学教育基础，留学经历以及国内政治环境等因素都影响了该特质的形成。

此外，本文还认为，庚款留学项目作为美国政府的一项文化战略，被赋予了政治期待，但从实际结果来看，效果甚微。美方希望通过教育实现对留学生的同化作用，并通过这些受到美国文化影响的知识分子，引导中国现代化发展。这种政策构建的思路折射出美国政府对于本国文化的粘度，吸引力以及优越性所持的自信态度。但研究表明，归国学生表现出的文化共融性实质上否定了庚款留学计划的有效性。原因有二。其一，共融性本身质疑了通过教育可实现同化目这一论断的可靠性；其二，当中国的社会政治环境对归国留学生持肯定态度时，文化混杂性能够被归国留学生转化为一种正能量，进而激励他们不断创新，做出贡献。当外界环境改变为消极批判时，共融特质就成为处于权力弱势的留学生的劣质资本。疲于保全性命的他们，根本无力对中国社会产生影响力，更无法如美国设计的一般，影响中国的发展。

Abstract:

In recent years, increasing attention has been paid to those “Scholarly Giants” during Republican era of China and they were praised as role models among Chinese intellectuals because of their achievements in academic research and character as men of integrity. Quite a number of them such as Hu Shi, Mei Yiqi, Feng Youlan, Zhao Yuanren and Liang Sicheng were all beneficiaries of American Boxer Indemnity Scholarship Program (ABISP). ABISP was an international educational program designed by American government for the benefit of future national interest; but the effectiveness of ABISP in promoting American interest is debatable. This thesis, by examining the cultural re-adaptation of the sample ABISP beneficiaries focusing on their career development, expects to offer a new point of view for evaluating the effectiveness of ABISP.

Qualitative approach is applied by this thesis choosing 13 academicians in Humanities and Social Sciences division of the Academia Sinica of 1948 as sample cases. Autobiographies, biographies, and oral historical records of the sample intellectuals are thematically analyzed under the theoretical framework of intercultural adjustment and hybridity with the purpose of revealing their re-adaptation in career life as scholars, educational administrators and government advisors. As the sample intellectuals were the top talents of China, their experiences are worth noticing and are of referential value to future Sino-U.S. educational exchange.

This research finds that the sample ABISP returnees showed a hybrid identity in the process of cultural re-adaptation in China during which they experienced an “initial smoothness-later conflict” pattern of functional fitness. Their hybrid character is reflected in how they acted in their roles in career life. As scholars, they were influenced by American way of doing research and way of thinking; but they were critical and creative thinkers at the same time trying to localize American methods in China and finding a balanced point between the imported new knowledge and the legacy left by ancestors. As educational administrators, they selectively borrowed methods and ideas from America such as their course selection system, interdisciplinary and general education mechanism but with the purpose of realizing the independence of Chinese education. As government advisors, they showed an integrated character of traditional Chinese literati and western intellectuals. This is because on one hand they held a position in government as traditional educated elites; but on the other hand they refused to build an intimate relationship with politics, determined to preserve the professionalism as an intellectual.

This thesis also discovers that three factors, including early education experience, host country experience and home country’s acceptance to the returnees, are relevant to the formation of hybrid identity among the sample returnees.

Last but not least, this thesis believes that the sample returnees’ identity of hybridity challenges the effectiveness of ABISP as a cultural means to achieve political ends and invalids U.S. government’s confidence in the viscousness, attractiveness and superiority of their culture. This is because firstly the returnees’ cultural identity as hybridity fails U.S. government’s goal of assimilating the foreign students through study-in-America experience. Home country’s supportive attitude towards the returnees enables them to transform what they had acquired in America to benefit the development of China. Therefore America’s goal of winning a group of pro-America students was not realized. Secondly, the returnees’ cultural identity as hybridity becomes a negative capital if the attitude of home country towards them turned to be unfavorable. These returned intellectuals, as being self-consciously detached from political power, would become maladapted and show psychological tension or conflict if they underwent great changes in a broad spectrum of external environment. In such a situation, powerless and stressful returnees were not able to influence the development of China as expected by the U.S. government.

姓名：廖舒程   导师：付美榕

论文题目（中文）：美国总统经济智囊的功用性分析—以里根布什时期经济顾问委员会为例

论文题目（英文）： The Usefulness of the U.S. Presidential Brain Trust: Case Studies on the Council of Economic Advisors of the Reagan and Clinton Administrations

论文关键词（中文）：总统经济顾问委员会；总统智囊团；里根政府时期；克林顿政府时期；美国经济政策

论文关键词（英文）：Council of Economic Advisors; Presidential Brain Trust; the Reagan Administration; the Clinton Administration; American Economic Policy

中文摘要：

自建国以来，经济学家对美国经济的影响一直都不容忽视，甚至许多时候经济学家们被称为“独裁者”，主导着重大经济决策的发布和实施。1946年美国颁布《就业法》后，美国政府成立了经济顾问委员会（The Council of Economic Advisors），正式聘用资深经济学家作为总统经济政策顾问。此举不仅将此特殊职位推上了新台阶，也开启了经济智囊团辅佐总统经济决策的先河。在二十世纪六、七十年代，经济顾问委员会对美国经济政策的影响达到巅峰：许多重大经济决策的推行都与经济顾问委员密不可分。而随着八、九十年代的到来，经济复苏及快速发展带来了翻天覆地的变化，经济顾问委员会在新时期经济决策中的作用是否能够一如既往？本文主要探究总统经济智囊团在上世纪八十、九十年代对决策的作用，以经济顾问委员会为案例，比较二十世纪八十年代和九十年代，不同党派背景下（民主党、共和党），经济顾问委员会的历史沿革及变化，并分析变化的深层次原因。

本文主要采用定性研究方法，分析里根及克林顿时期总统经济委员会的年度报告、委员会成员自传、回忆录及相关历史文献，探讨经济顾问委员会在二十世纪八、九十年代的决策影响变化及原因。通过分析经济顾问委员会在二十世纪八、九十年代的经济决策影响，本文提出以下两个观点：一、相较里根时期，克林顿时期的经济顾问委员会在影响决策的方式及范围都有了较大改善，新时期的总统经济顾问已经能更加熟练运用机构间合作及政治手腕达到影响决策的目的；二、尽管如此，两届经济顾问委员会却面临共同的问题：经济顾问委员会的作用较之前（二十世纪六、七十年代）的表现及《就业法》的预期相比有所弱化，究其原因，美国政策制定流程复杂化、政治化及其它越来越多的顾问主体对政策制定的参与导致了经济顾问委员会的边缘化，委员会提供经济政策提议的机会越来越少，更多时候承担的是对既定决策的研究及教育作用。

综上所述，经济决策过程出现复杂化趋势，单一经济顾问群体对美国经济决策的影响已经开始逐渐减弱。1946年《就业法》希望通过成立经济顾问委员会来引导政府经济决策的努力因为政治等各方面因素而宣告失败。本研究作为经济史研究的一部分，丰富了对经济专业实际政策应用的研究，同时也针对经济顾问这一特殊职位提出了更多反思。

Abstract:

Presidential brain trustplayed important role in American economic history，so much so that they are called “czar” by many scholars because, on numerous occasions, they constitute a leading force in economic policy formations.With the promulgation of The Full Employment Act of 1946, the American government started to appoint official economic advisors to the president by establishing the Council of Economic Advisors (CEA). The establishment of such an advisory Council was unprecedented; it played a trail-blazing role in presidential decision making by the brain trusts. During the 1960s and the 1970s, the CEA was at the peak of its influence: it participated actively in many of the major policy formations. However, as the 1980s and the 1990s witnessed fundamental economic changes, whether CEA sustained its influence was left to be question.

This thesis study the role played by the CEA— the chief presidential brain trust in the policy making of the 1980s and the 1990s. Citing the Reagan and the Clinton Administrations as examples, this thesis compares and contrasts the role played by the CEA under the two Administrations and studies the deep-rooted reasons for changes of the role.

Qualitative study is employed to interpret the official documents (Annual Report of the CEA and Economic Report of the President), biographies and memoirs of the CEA members and historical records concerning the trajectories of the CEA’s role.

A close review of the role of the CEA in the Reagan and the ClintonAdministrations reveals the following findings. First,compared with the CEA of the Reagan Administration, the CEA of Clinton Administrationachieved great improvement in the 1980s and the 1990s in policy influencing device: it became more tactful in applying interagency cooperation and politics in advising the president. Second, despite the improvement, the CEA in both Administrations shared common concerns: the role played by the CEA in Reagan and Clinton Administration proved less effective than its predecessors and failed the expectation of the Full Employment Act of 1946.The role of the CEA in both Administrations was restricted to review and education of new policies. This attenuated role was caused by the complicated policy making process，deteriorate relations with the presidents and involvement of more advisory entities.

This study concludes that the policy influence of the presidential brain trust such as CEA was weakened. The effort of the American government to combine professionalism with politics has failed due to complexity and evolvement of policy formation system.This thesis has thus enriched the scholarly work on professional utilization in policy making and invites second thoughts on the role of presidential brain trust.

姓名：郑佳   导师：李莉文 专业方向：美国贸易

论文题目（中文）：跨太平洋伙伴合作协议—-美国遏制中国经济发展的工具？—-关于TPP对中国对外贸易和中美双边贸易的影响的研究

论文题目（英文）： Trans-Pacific Partnership: A US Tool to Contain China’s Economic Development?–An Analysis of TPP and its Influence on China’s Foreign Trade and Sino-US Bilateral Trade

论文关键词（中文）：跨太平洋伙伴关系协议；美国动机；中国；对外贸易

论文关键词（英文）：Trans-Pacific Partnership (TPP); US motivations, China, Foreign Trade

中文摘要：

“跨太平洋伙伴关系协议”（英文缩写TPP）前身为“跨太平洋战略经济伙伴关系协定”，是新西兰、新加坡、文莱和智利四国于2005年发起而成立的一个多边自由贸易协定。在2009年之前，TPP在世界范围内鲜有影响力。奥巴马政府于2009年高调宣布加入TPP谈判，并将其誉为“拥有广泛成员基础、高标准的、21世纪的地区协议”，TPP瞬时吸引了全世界的目光。截至目前为止，TPP的12个成员国已经完成20轮谈判，谈判议题不仅包括传统的贸易领域，还涉及到环境保护、劳动条件、政府采购、金融政策和其他政治、法律问题。亚太地区，作为世界上发展最快的地区，拥有世界40%的人口和50%的生产总值，而TPP又涉及众多亚太地区重要国家，因此，TPP将深刻影响亚太地区的经济发展。尽管目前TPP谈判陷入僵局，成员国在某些敏感问题中僵持不下，但是TPP仍然拥有诸多有利因素，成员国更希望于达成协议促进本国经济发展。

然而，作为世界第二大经济体的中国，却并未获邀加入TPP。不仅如此，中国的经济在许多方面并未达到TPP的高标准。但是，中国并不能够独善其身。中国与大部分TPP成员国有密切的贸易关系，一旦TPP成员国达成协议，成员国之间减免关税，推行更高标准的环境保护、劳动条件等政策，并加大在各领域的合作，势必会影响到亚太地区的经贸关系以及中国与这些国家的经贸关系。因此，研究TPP对于中国对外贸易的影响尤为重要。

国内外的学者在TPP方面有许多研究。国外学者大部分侧重在研究TPP对本国政治经济方面的影响、国内利益集团对政府制定TPP相关政策的影响等，鲜有专门针对中国的研究。国内学者的研究更为丰富，研究内容包括TPP对美国、日本、中国等国、东盟、APEC等区域性机制的影响。不过，大部分学者的研究涉及到中国，包括中国是否会加入TPP以及TPP对中国在政治经济方面的影响。需要指出的是，在中国学者中有一个普遍观点，即美国着力推动TPP的重要目的之一是为了遏制中国经济的发展，削弱中国在地区的影响力，他们的研究也是建立在这一点基础之上的。然而，本文认为，这种意识形态色彩浓厚的观点并不正确，中美贸易关系密切，中国经济受损并不代表美国就能从中获益，中美贸易并不是零和博弈。因此，就有必要分析美国推动TPP的真正目的是什么；TPP是否会对中国经济产生巨大的阻碍，以及这种阻碍是否是美国推动TPP的目的所在。

因此，本文首先研究美国推动TPP的动因；接着研究TPP对美国和中国对外贸易的影响，TPP对中美贸易以及美国与TPP其他国家贸易的影响， 以及其中的因果联系。在分析美国推动TPP的动因时，本文应用了吉尔平的国际政治经济学理论；在分析TPP在经济方面影响时，本文应用了维纳的贸易效应理论，并且引入了GTAP模型进行数据模拟，并用贸易密集度指数计算中美贸易依存度和美国与TPP国家贸易依存度，并用相关性分析两种依存度变化之间的关系。

本文研究发现，美国推动TPP有着深刻的国内外动因。经济方面，美国期望通过TPP开拓亚太市场，振兴国内经济，降低失业率，稳定国内发展。除此之外，政治方面，随着亚太地区一体化进程加快，东盟、中国等国家政治影响力和领导力提升，美国的相对衰弱和亚太地区的崛起，美国不甘于被排除在外，整体外交政策转变为“战略再平衡”，将重点放在亚太地区。在这些原因当中，中国的崛起只是众多因素当中之一，并非决定性因素。同时，数据分析发现，尽管TPP会对中国的对外贸易和宏观经济造成一定的影响，但是影响相对有限，通过TPP遏制中国经济的说法并不成立。相反，TPP对美国的经济起到巨大的促进作用，而且美国同TPP国家的贸易依存度不断上升、同中国的贸易依存度不断下降，TPP将很大程度上推动美国和TPP国家的经济合作。因此，美国出于自身利益考量，有充分的理由推动TPP。本文认为，中国学者间普遍存在的认为美国推动TPP为了遏制中国经济的观点有失偏颇。

尽管TPP对中国对外贸易的影响有限，这仍是一个中国推动自身经济改革的一个良好时机。本文建议中国应加快产业升级，提升产品竞争力，提高政策透明度，加强与TPP国家的沟通与合作，继续在区域性机制中发挥重要作用。这样，中国才能在国际社会中立于不败之地。

Abstract:

Trans-Pacific Partnership (TPP), formerly known as “Trans-Pacific Strategic Partnership”, is a regional free trade agreement founded by Chile, Brunei, Singapore and New Zealand in 2005. TPP had little impact in the world before the Obama Administration announced to join TPP negotiation in 2009. As the US praised TPP as “a new kind of trade agreement for the 21st century” and “a high-standard, board-based regional pact”, TPP attracted worldwide attention. Up to date, 12 member countries of TPP have carried out 20 rounds of negotiations. The topics not only cover trade area, but also expand to environment protection, labor conditions, government procurement, financial policies and other social and legal issues. Asia-Pacific, the fastest-growing region in the world, accounts for 40% of global population and 50% GDP. As TPP involves so many major countries in such a promising region, it is likely to generate significant impact on the economic development of Asia-Pacific. Though TPP negotiation came to a deadlock at the moment, TPP still enjoys several beneficial factors and member countries hope to reach an agreement to boost domestic economies.

China has not been invited to join, nor is it up to the high standards of TPP. However, once TPP is in effect, TPP member countries reduce tariffs, promote higher standards and strengthen cooperation in various fields, the trade patterns in Asia-Pacific will certainly be changed. As China has close relationships with most of TPP member countries, so will the trade patterns between China and TPP member countries. China cannot be exempt from the influence of TPP. Therefore, it is important to analyze the impact of TPP on China’s foreign trade.

Foreign and domestic scholars have abundant research into TPP. Most of foreign scholars focus on topics such as the political and economic implications of TPP on their own countries, the influence of domestic politics on TPP-related policy-making, etc. Chinese scholars focus on more topics, such as how will TPP influence the US, Japan, China and other major countries in Asia Pacific and ASEAN, APEC and other regional mechanisms. Yet most of Chinese scholars are more concerned with China and TPP, including whether China will join TPP, how TPP will impact China politically and economically. It has to be pointed out that, there is a common point of view among Chinese scholars that the US promotes TPP in order to contain China’s economic development and weaken China’s influence in Asia-Pacific. However, this paper thinks that such an ideological assumption is not correct. As China has a close trade relationship with the US, Sino-US bilateral trade is not a zero-sum game. A loss on China’s side does not equal gain on US side. Therefore, it is necessary to analyze the motivations for the US to promote TPP; whether TPP will generate negative impact on China’s economy and if such result is the purpose of US’s TPP-related policies.

Therefore，this paper studies the motivations for the US to promote TPP，the influence of TPP on US’s and China’s economies, Sino-US trade and US-TPP trade, and the causal relationship among these changes. It applies Robert Gilpin’s international political economy theory to analyze US motivations. It also uses GTAP model, trade intensity index and correlation to stimulate and calculate the statistics.

This paper finds out that there are abundant reasons for the US to promote TPP. In terms of domestic economy, the US hopes to gain access to Asia-Pacific market, boost domestic economy and stabilize the society. In terms of global politics, as the integration of Asia-Pacific paces up, China and ASEAN begin to play a leading role. The relative decline of the US forces it to change its foreign policy to “strategic rebalancing”, with the focus on the rising Asia-Pacific. Among all these motivations, China is only an element, definitely not the decisive one. Meanwhile, statistics show that TPP will generate negative, yet not significant, impact on China’s foreign trade and economy. The point of view to contain China’s economic development via TPP does not stand. On the contrast, TPP can significantly boost the US economy and foreign trade. Besides, the US dependency on TPP countries continually increase and that on China falls, TPP countries members become important trade partners of the US. Since TPP is beneficial to US economy and helps to strengthen US trade relationships with other TPP countries, it is reasonable for the US to promote TPP. This paper concludes that the ideological opinion that the US promotes TPP in order to contain China’s economic development is biased.

Though TPP has limited negative impact on China’s economy, it is a good opportunity for China to promote domestic economic reform. This paper suggests that China should accelerate industrial upgrading, enhance competitiveness and policy transparency, strengthen communication and cooperation with TPP countries and continue to play an active role in regional mechanism.

姓名：谈佳慧   导师：李莉文

论文题目（中文）：中美贸易知识产权争端——美国对华 337调查的量化分析

论文题目（英文）： Intellectual Property Rights Disputes in China-U.S. Trade: An Empirical Analysis of ITC 337 Investigations Against Chinese Companies

论文关键词（中文）：知识产权争端；337知识产权调查；中美贸易关系

论文关键词（英文）：IPR disputes; ITC 337 investigations; China-U.S. trade relations

中文摘要：

自中国加入世贸组织以来，中美贸易关系步入了一个前所未有的新阶段。这个新阶段见证着两国双边经济贸易合作的强劲发展。与此同时，中美两国之间的贸易摩擦，尤其是知识产权争端也随之频繁发生。美国声称在双边贸易中，中国政府对知识产权保护的忽视和欠缺导致了美国本土公司的巨大经济损失，并采取了包括337知识产权调查在内的制裁措施，以维护其双边贸易利益。从中国入世至今，美国对华337知识产权调查数量大有上升之势，中国成为了337调查的主要目标国。

本文通过研究美国对华337知识产权调查，试图量化分析政治、经济两方面的各因素对中美两国之间的知识产权争端程度的影响。本研究利用337知识产权调查案件信息、中美贸易数据、政治压力等数据进行相关性分析，在历史文献的基础上研究这些因素对中美知识产权争端的影响。

将政治因素和经济因素作为控制变量，相关性分析结果发现：中美贸易逆差和美国知识产权密集型行业工会人员比例影响了每年美国对华337调查的数量变化。其中，尤其是知识产权密集型行业中的中美贸易逆差在很大程度上影响了337对华调查的数量。另外，美国知识产权密集型行业的工会人员比例与337对华调查数量的负相关性也证明了精简的工会人员数量可以带来更高效的政治集团活动。

本研究对中美知识产权争端这一课题有如下贡献：首先，与以往在世界范围内研究影响知识产权争端因素的文献相比，本文着眼于特定中美两国间的知识产权争端，更具有现实的建设意义。另外，本文采取定量分析的方法，弥补了之前中国文献在研究中美知识产权争端只限定性分析的空白。

Abstract:

Since China’s entry into the WTO in 2001, the China-U.S. trade relation has experienced an unprecedented phase in which a strong bilateral and cooperative trade partnership has been established and reinforced. However, trade conflicts and clashes, particularly Intellectual Property Rights (IPR) disputes are booming with the flourishing China-U.S. trade. United States claims that China’s negligence in the protection of IPR has caused American firms’ significant economic losses, and it takes tough steps to address the IPR disputes with China, as 337 investigations conducted by the Untied States International Trade Commission targeting at Chinese companies are on the rise. Particularly after China joining the WTO, the number of investigations against Chinese firms steadily rises to an unprecedented level, and China has since then remained as one of the major targets of 337 investigations.

This research studies 337 investigations in an attempt to determine to what degree both economic and political factors affect IPR disputes between China and the United States. Using detailed 337 case information, import and export statistics, political pressure data and other figures, this study conducts a coefficient correlation model to assess the impact of exogenous variables to the degree of IPR disputes. Drawing on previous researches, economic and political factors that are chosen based on the frequency of being examined by previous relevant literatures concerning exogenous constraints theory are incorporated into the correlation coefficient model.

With economic and political exogenous factors as control variables, this research finds that among all the variables that were considered by previous literature to be influential in IPR disputes, only U.S. trade deficit with China as well as the percentage of union membership in the American IP-intensive industry have a significant influence on the number of 337 investigations against China. Specifically, U.S. trade deficit with China particularly in IP-intensive industry has the most significant correlation with the degree of China-U.S. IPR disputes. Additionally, the percentage of union membership in the American IP-intensive industry shows a strong negative correlation with the dependent variable, suggesting that less union membership brings higher efficiency in political group activities when addressing IPR disputes in 337 investigations with China.

This study contributes to the general topic of IPR disputes since it complements and extends the previous studies on the IPR disputes between China and the U.S.. Firstly, unlike the previous researches that only focus on the general picture of political-economic factors in IPR and trade disputes, this study takes the China-U.S. bilateral trade relationship into consideration, linking certain variables to the determination of U.S. trade relations with China at a specific level. Moreover, this study deals with 337 investigations particularly targeted against China to generate an in-depth empirical analysis by collecting and analyzing sufficient details of 337 investigations involving a total of 168 cases filed against Chinese companies.

姓名：李思园 导师：李莉文

论文题目（中文）：美国最高法院政治化之辨——党派分野、意见分歧与参议院对大法官提名确认投票的再分析

论文题目（英文）： The Myth of A Divided Court – Party Alignment, Vote Split in the U.S. Supreme Court and Justices’ Senate Confirmation Votes Revisited

论文关键词（中文）：美国最高法院，党派政治，态度模型，一致投票

论文关键词（英文）：the U.S. Supreme Court, Party Politics, Attitudinal Model, Unanimous Vot

中文摘要：

本文讨论的是美国最高法院政治化问题。在媒体、普通公众和一些学者的研究中盛行一种观点，认为美国最高法院近年来受党派意识形态影响严重，认为这有损于最高法院的独立和公正。这种观点主要来自对两个现象的观察：一、在遴选、提名、确认最高法院大法官人选时，党派意识形态因素往往会成为一项重要指标，总统倾向于提名与自己政治观点相近的大法官，而参议院议员在确认投票中投出的赞成或反对票，也和候选人的政治意识形态紧密相关。二、最高法院大法官在一些焦点案件的判决中，常常依照政治意识形态上的“保守”或“自由”产生5：4票的分歧。

本论文试图反驳这一观点。首先通过几次大法官提名、参议院确认投票情况的分析，来探讨政治/党派因素对最高法院人员选任的影响。选取“任职资格”、“意识形态”、“党派归属”、“候选人性别/族裔”等作为变量，考察这些因子与参议员投票数之间的相关性。

其次，分析近年来大法官的一致判决、5：4分歧判决。第一，通过统计数据说明，总体来看，在美国最高法院判决中争议性判决并不占多数，在多数问题上大法官意见一致、党派分野并不明显。

本文结论是，美国最高法院的政治化并没有一般主流观点所宣称的那样严重。一、在过去将近30年间，大法官人选的提名、确认始终是“任职资格”与“意识形态”并举，并未有显著变化。虽然政治因素在任命和确认大法官的过程中是重要的，但候选人任职资格也并未因此就遭到忽视；二、大法官在多数案件中意见一致，争议性判决、尤其是以党派意识形态为判决意见分野的案件并不占多数；三、影响法官判决的因素是多样的，仅从态度理论的角度来分析法官判决是片面的。大法官的投票不一定是受政治意识形态驱动，更不能说大法官的判决意见是为了实现政治目的。过去的研究较多关注分歧性判决，而忽视一致性判决。本文的贡献在于，指出对美国最高法院的认识误区，试图用更为全面而平衡的视角来重新观察最高法院的政治化问题。

Abstract:

This paper explores the issue of the U.S. Supreme Court’s politicization. There is a prevailing perceptions among the mass media, general public and scholars that the Supreme Court has been “increasingly politicized” in recent years, which do damage to the Court’s impartiality and independency. This opinion largely comes from two observations: first, political ideology and party affliation tend are significant factors in the procedures of Supreme Court Justices’ selection, nomination and confirmation. Presidents are inclined to nominate candidates who share his ideology, and Senators casting votes to confirm or reject a nomination with similar considerations. Second, Supreme Court Justices are divided as the “conservative” and the “liberal” bloc, casting their votes in accordance with their party alignment. Decisions made by five-to-four vote split are commonly seen in political salient cases.

This paper intends to refute such point of view. Although previous scholars have devoted much energy to attempting to explain the “political court”, they have largely followed the Attitudinal Approach and ignored the unanimous decisions. Contrary to the prevalent impressions and previous research literature suggest, this paper finds that political ideology is not the most significant factor in Supreme Court decision makings and Justice candidates confirmations, and such characteristic largely remained unchanged during the past two decades. Therefore, it is highly questionable to claim that the Court has been increasingly politicized.

姓名：杨迎润   导师：孙有中

论文题目（中文）：双重标准：试析约翰•温斯罗普清教思想的内在矛盾 (1630-1649)

论文题目（英文）： A Double Standard: A Study of Self-Contradictions in John Winthrop’s Puritan Thought (1630- 1649)

论文关键词（中文）：美国思想史 约翰·温斯罗普 清教思想 内在矛盾

论文关键词（英文）：American intellectual history, John Winthrop, Puritan thought, self-contradictions

中文摘要：

约翰·温斯罗普作为马萨诸塞湾殖民地的首位正式总督，在新英格兰清教共同体的建设中展现出了杰出的政治和宗教领导能力，并在美国精神的形成与美国思想史的发展过程中产生了深远的影响。基于他的历史地位与影响，历史学家和学者对他的政治思想已做了卷帙浩繁的研究。然而，与他的政治思想研究相比，学界对他的清教思想研究明显不足。

本文旨在探究1630年到1649年间约翰·温斯罗普清教思想的变化，并通过对比其在《基督教仁爱的典范》布道词中所倡导的正义仁慈与其日记中所反映出的对清教新英格兰女性和北美印第安人的残忍冷酷态度，论述约翰·温斯罗普清教思想中一个被学界忽略但是十分重要的方面，即他清教思想的内在矛盾。研究发现，这种内在矛盾的深层原因深深根植于清教新英格兰的文化和社会氛围中。

本文主要采取思想史研究常用的跨学科研究方法，并试图融合文本分析与历史背景的考察。采用的主要史料包括约翰·温斯罗普布道词《基督教仁爱的典范》、《约翰·温斯罗普日记，1630-1649》和《约翰·温斯罗普文集》（第三卷），同时亦参考了重要的二手文献。

Abstract:

As the first official governor of Massachusetts Bay Colony and a distinguished religious leader in establishing the early Puritan commonwealth in colonial New England, John Winthrop’s puritan thought has had an ever-lasting impact on the forming of the American mind and in the development of American intellectual history. Given his historical significance both as a political figure and a religious leader, historians and scholars have done voluminous research on his political thought. However, John Winthrop’s role as a Puritan leader has received much less attention than his role as a political leader.

One of the neglected but significant aspects of Winthrop’s religious thought is, as this paper argues, the self-contradictions in Winthrop’s Puritan thought, which could be revealed by a comparison of his merciful and loving image as expressed in his lay sermon “A Modell of Christian Charity” and his hostile and cruel attitudes toward Puritan New England women and American Indians as reflected in his journal. The underlying causes of such self-contradictions, as this paper finds out, were deeply rooted in the cultural and social conditions in Puritan New England.

This thesis is intended to reveal the changes in John Winthrop’s Puritan thought from 1630 to 1649 as well as explore the underlying causes of the self-contradictions in his Puritan thought. Adopting an interdisciplinary approach typical of intellectual history research, this study tries to integrate textual analysis with historical contextualization. Primary sources used in this paper include John Winthrop’s lay sermon “A Modell of Christian Charity”, The Journal of John Winthrop, 1630-1649 and Winthrop Papers Vol. III. Large amounts of reliable secondary sources are also used in the study.

11．硕士生：丁敏   导师：郭亚玲

论文题目（中文）： 伊丽莎白•凯蒂•斯坦顿的宗教思想研究—《妇女圣经》中的宗教思想

论文题目（英文）： The Religious Thoughts of Elizabeth Cady Stanton through an analysis of The Woman’s Bible 

论文关键词（中文）：伊丽莎白·凯蒂·斯坦顿，妇女圣经，基督教，女性主义神学,自由宗教家

论文关键词（英文）：Elizabeth Cady Stanton; TheWoman’s Bible; Christian theology;    Feminist Theology；Free Religionist

中文摘要：

伊丽莎白·凯蒂·斯坦顿1815年11月12日生于纽约州，1902年10月26日死于纽约市，是美国女权运动的先驱领袖之一，著作无数。其宗教思想鲜有人探究，但却影响深远，对后来的女权主义神学思想的出现和发展有着举足轻重的作用。本文旨在通过分析伊丽莎白·凯蒂·斯坦顿的著作《妇女圣经》，研究其宗教思想，进而分析其宗教思想对后世神学思想的影响。

《妇女圣经》出版于1895年，共计两册。本文将采用文本分析的研究方法，分析《妇女圣经》以及伊丽莎白·凯蒂·斯坦顿的自传、回忆录以及相关历史文献等，探讨其宗教思想。

通过对《妇女圣经》以及伊丽莎白·凯蒂·斯坦顿的自传、回忆录等的分析，本研究得出以下结论：首先，伊丽莎白·凯蒂·斯坦顿抨击圣经和教会在很多教义上体现出的压迫女性的倾向。因此，伊丽莎白·凯蒂·斯坦顿认为要想真正解放女性，必须推翻圣经和教会的歧视女性的信条。其次，就总体而言，伊丽莎白·凯蒂·斯坦顿相信圣经在道德引导方面的作用，认为圣经不应被完全否定。这使她没有走向无神论或不可知论。

本研究是基督教神学领域的一部分，丰富了对伊丽莎白·凯蒂·斯坦顿的思想的研究

Abstract:

Elizabeth Cady Stanton, a leader of feminist movement, scholar of Christian theology and prolific writer, was born in 1815 and died in 1912. Her religious views, though seldom researched into,are in fact significant in the history of Christian theology and the later development of feminist theology. This paper aims to conduct a study on Elizabeth Cady Stanton’s religious viewpoints byperforming a textual analysis of her work,The Woman’s Bible.

This thesis will analyze The Woman’s Bible along with Elizabeth Cady Stanton’s autobiography, reminiscences, speeches and other historical records to study her religious views.A textual analysis of The Woman’s Bible revealed the following findings. First, Stanton found that many creeds of the Bible and Christian church would marginalize women. Woman’s freedom and equality couldn’t be achieved without a battle against the oppressive teachings of the Bible. Second, Elizabeth Cady Stanton believed that the Bible shouldn’t be rejected completely: it could work as a moral guide for people and teach its believers love, charity, justice and equality. Therefore, Stanton was a free religionist who believed in the Bible and wanted to practice religion in her own way.

This study enriches the scholarly work on Elizabeth Cady Stanton and American Christian religious history.

姓名：陈新   导师：申昌英

论文题目（中文）：有色人种女性的身份重建：从黑人女性主义批评角度研究托妮•莫里森的小说《恩惠》

论文题目（英文）： The Identity Reconstruction of Women of Color: A Study of Toni Morrison’s A Mercy from the Perspective of Black Feminist Criticism

论文关键词（中文）：托妮·莫里森，身份，有色人种女性，后种族

论文关键词（英文）：Toni Morrison; identity; women of color; post-racial

中文摘要：

托妮·莫里森，作为备受推崇的非裔美国女性作家之一，一直致力于探寻非裔美国人，尤其是非裔美国女性的各种经历和遭遇。因为她们同时深受种族、性别和阶级等多重压迫。

《恩惠》是莫里森的第九部小说，在这本小说中，莫里森打破了她以往作品中探讨种族问题的模式。该书不仅关注了黑人女性，同时还关注了其他有色人种女性（包括印第安人和跨种族混血儿）。鉴于此，本论文采用黑人女性主义文学批评理论和文本分析的方法，旨在从种族和性别两个视角分析小说中有色人种女性的身份问题。当下，尤其是《恩惠》这本小说出版时，美国对所谓的“后种族时期”存在颇多讨论，因此这种情形下，该论题的提出在一定程度上具有很重要的现实意义。

本论文的主体部分主要探索了以下问题：小说中的四个有色人种女性角色（佛罗伦斯、佛罗伦斯的母亲、莉娜、“悲哀”）如何在白人主导的父权社会中失去了她们的主体性和身份；她们又试着通过哪些方法寻找、并在不同程度上重建了她们的身份；什么是“后种族”社会，它的实质是什么，在这样的语境中，莫里森通过《恩惠》这部小说传达了怎样的意义，以及莫里森对美国这个国家的政治理想是什么。

小说里，四个有色人种女性角色在白人至上的父权社会中，遭受着种族歧视和性别歧视的双重压迫，致使她们被商品化、被物化为他者，或失去家园、失去感情依托，最终导致她们失去了自身的主体性和身份。之后，她们分别采用了不同的策略重建身份：佛罗伦斯的母亲通过“说出来”，佛罗伦斯通过“写下来”，莉娜通过找到社区和个人之间的平衡，“悲哀”通过成为母亲，她们均在不同程度上取得了成功。小说外，其出版背景与当时热议的“后种族”话题不可分离。“后种族”其概念是大众媒体的产物，但其实质并不是种族歧视的结束，这个概念的提出反而掩盖了美国社会中仍旧存在的种族不平等问题。在这种语境下，莫里森通过创作《恩惠》这部小说，将有色人种女性这一边缘弱势群体带入了人们视野中，启发人们对她们如今的身份和“后种族”这一概念进行重新审视；并揭示了她对美国国家建设的反思：任何形式的二元对立都会阻碍理想家园的建设。

Abstract:

Toni Morrison, as one of the most highly-regarded African American female writers, devotes herself to exploring the experiences and sufferings of African Americans, especially that of African American women, for they have suffered from multiple and intersectional oppressions of racism, sexism and classism.

A Mercy is her ninth novel, in which she breaks through her former concerns about racial problem in her previous works by paying attention to both black females and females of other races and colors (including Native Americans and mulattos). On account of this, this thesis is constructed under the theoretical framework of black feminist criticism to excavate the identity issue of women of color from the lens of race and gender by applying the method of close textual analysis. In contemporary, especially when A Mercy was published, the notion of “post-racialism” was heatedly discussed. Under such circumstances, in a way, this topic shares a lot more realistic significance.

In short, this thesis explores the following questions in the Body part: how the four colored female characters in fiction (Florens, Florens’s mother, Lina, Sorrow) lost their subjectivity and identity in a white-dominated patriarchal society; what strategies they have deployed when attempting to quest for, as well as later reconstructing their identities; what “post-racialism” means and what its essence is; in such discourse, what Morrison intends to convey through A Mercy and what her political ideals of the nation of the United States looks like.

In this fiction, all four colored women were exploited and oppressed in a white-male dominated society due to their race and gender. They are objectified as the Other, purchased as commodity, forced to lose home, etc., which eventually results in their failure to claim selfhood or achieve their subjectivity and identity. Then, they employ disparate strategies respectively to reconstruct their identity: Florens’s mother by “speaking out,” Florens by “writing down,” Lina by possessing both communal bonds and her own individuality, Sorrow by claiming her motherhood. In the end, they all succeed in reconstructing their identity to different extents. Beyond the text, the context of this fiction’s publication cannot be isolated from the heatedly discussed notion of “post-racialism,” which in effect was defined, used and distorted by mass media. It is not the end of racism, but a myth that hides the society’s continuing racial discrimination. In this context, by producing A Mercy, Morrison brings women of color—the marginalized and subordinated group—into the spotlight, inspiring people to reconsider colored women’s current identities and the myth of “post-racialism,” and thus further reflecting her rethinking of nation-building: each form of binary separations would limit the potential of an ideal home.

姓名：王元元   导师：申昌英

论文题目（中文）：格洛丽亚•内勒的《戴妈妈》中的黑人男性气质研究

论文题目（英文）： The Masculinities of Black Men in Gloria Naylor’s Mama Day

论文关键词（中文）：格洛丽亚·内勒；《戴妈妈》；男性气质；黑人男性气质

论文关键词（英文）：Gloria Naylor; Mama Day; Masculinity; Black masculinity

中文摘要：

格洛丽亚·内勒是非裔美国文学史上重要的女性作家之一。她的第一部小说《布鲁斯特街的女人们》获得了1983年的美国国家图书奖，使她成为继佐拉·尼尔·赫斯顿、艾丽丝·沃克和托尼·莫里森等非裔美国女性作家之后的一名新秀。自此她又出版了五部小说。《戴妈妈》是她的第三本小说。该小说以纽约和柳树泉这一孤立的黑人社区为背景，通过多角度叙事的手法探讨并质疑“现实”这一概念，同时赞颂浪漫但又问题重重的爱情。

与日益繁荣的女性主义研究相比，男性气质的研究在中国相对甚少，这使得性别研究更像是女性研究的同义词。鉴于这种情形，作者试图从黑人男性气质的角度研究《戴妈妈》，尝试分析该小说中黑人男性人物所展现的男性气质以及内勒对男性气质构建的反思。

首先，通过分析《戴妈妈》中刻画的两性关系，作者认为书中的三位男性人物分别展示了不同的男性气质，而且他们的妻子对他们的男性气质构建起到了重要作用。格洛丽亚·内勒吸收了父权语境下传统男性气质的积极因素，消解了如霸权、暴力、对性能力的过度强调等消极因素。

其次，通过分析《戴妈妈》中父亲角色的缺失以及人物对黑人传统文化的疏离，探讨了榜样缺失对男性气质构建的负面影响。内勒通过小说呼吁父亲角色的回归，并指出黑人传统文化对黑人男性气质重建的重要作用。

总之，黑人的男性气质构建需要男性和女性的协力合作，需要父亲角色和传统文化的回归。希望该课题能够丰富当前男性气质的研究。

Abstract:

Gloria Naylor is one of the most significant women writers in the history of African American literature. She has published another five novels since the first publication of The Women of Brewster Place, which helped her win National Book Award in 1983 and also earns her reputation, making her a rising star after famous African American women writers such as Zora Neale Hurston, Alice Walker, and Toni Morrison. Mama Day is Naylor’s third novel. Set in New York and the isolated black community of Willow Springs, this novel explores and questions the concept of reality and at the same time celebrates the romantic yet problematic love through the multi-perspective narrative.

The study on masculinity in China is relatively rare compared to flourishing studies on feminism, making the study of gender more like the synonym of women’s study. In view of this situation, I attempt to approach Mama Day from the perspective of black masculinity, trying to analyze different masculinities the black male characters in this novel manifest and to assess Naylor’s reflection towards the construction of masculinity.

Firstly, with the analysis of the male-female relationship in the novel, it is argued that the three male characters manifest their various masculinities through different ways and their wives have played an important role in the construction of their masculinities. Gloria Naylor absorbs the positive elements in the traditional masculinity in the context of patriarchy and dissolves the negative elements such as hegemony, violence and overemphasis on sexuality.

Secondly, through analyzing the absence of the father’s role and the male protagonist’s alienation from the black cultural traditions in Mama Day, I intend to explore their negative influences on the construction of a black male’s masculinity. Through the novel, Naylor calls for the return of the father’s role and points out that the black traditional culture plays an important role in the reconstruction of black masculinity.

In summary, the construction of masculinities of black men needs the joint efforts of men and women and calls for the return of the father’s role and traditional culture. It is hoped that this study will enrich the current research on black masculinity.

姓名：王颖   导师：刘葵兰

论文题目（中文）：发现自我—裘帕•拉希莉《同名人》和《不适之地》中的身份妥协

论文题目（英文）： Self-Discovery—Identity Compromise in Jhumpa Lahiri’s The Namesake and Unaccustomed Earth

论文关键词（中文）：裘帕·拉希莉；身份困惑；同化；杂交；妥协

论文关键词（英文）：Jhumpa Lahiri; identity frustration; assimilation; hybridity; compromise

中文摘要：

身份之谜总是困扰着包括亚裔在内的移民和少数族裔。印裔美国人，即在美国出生长大并且父母是移民美国的印度人，他们的成长过程通常也是自我认识和自我身份探寻的过程。裘帕·拉希莉虽然在出生于英国，但在美国长大，她对于出生在印度移民家庭的印裔美国人所处的身份困境有着深刻的理解，她将自己生活经历融入到其作品中，使这种身份认同的困境跃然纸上，不仅赢得了少数族裔读者的认同，也深得主流社会各种形式的肯定。她的第一部长篇小说《同名人》，讲述了一个印度移民家庭在美国的生活，特别描述了这个家庭中二代印裔美国人，果戈里·甘古利对于自己围绕自己名字的混乱引发的身份认同的疑惑;这部小说自问世以来再度引发了对身份认同的讨论。在2008年她出版了中篇小说合集《不适之地》， 本书包括了八个故事，讲述了印度移民和印裔在美国这块不适之地的遭遇以及他们夹在美国文化和印度文化之间的尴尬境地。

本论文分析了《同名人》，“不适之地”以及三部曲“海玛和卡西克”三个故事中的身份认同过程。身份具有流动性并且不可规定性；身份认同揭示了与某一社会团体认同的主观能动性。本文通过同化理论和身份杂交理论对人物的经历进行分析，从而表明身份认同与人的心理和习得性转变的关系以及探索二代印度移民如何探寻自己的身份的过程。

本论文共分为5章。在简短介绍裘帕·拉希莉和相关历史背景之后，第一章对关于裘帕.拉希莉作品的研究做了详尽的文献综述，尤其是有关《同名人》和《不适之地》的研究，介绍了文中将会用到的同化理论以及身份杂交理论。第二章中详述了三个人物个人生活经历所带来的身份挫败感。第三章则讨论了三个故事中的人物在文化、结构以及婚姻上试图同化美国文化，以确认自己美国人身份的表现。第四章转而讨论他们各自在心理上对印度文化的认同以及行为上的变化。这三个故事揭示了印裔美国人作为美国少数族裔而经历的身份认同过程和身份妥协过程，并分析了在这一过程中对有助于其身份认同的一些因素，给读者尤其是面临身份困境的少数族裔读者带来新的启发。

Abstract:

Identity mystery always haunts people with immigrant and ethnic heritage, including Asian Americans. Typical Indian-Americans are American citizens with Indian immigrant parents. Their growing-up process is full of self-discovery and exploration of self identity. Though born in Britain, Jhumpa Lahiri has been raised up in America and has a deepest understanding on Indian-American identity dilemma. Therefore, as an Indian-American writer, she enlivens her works with her life experiences, making her sympathetic identification dilemma recognized by many ethnic readers as well as the mainstream society in one way or another. Her first full-length work of fiction, The Namesake, which narrates an Indian immigrant family’s adaptation in the United States and specifies a second-generation Indian American Gogol Ganguli’s frustration about naming dislocation, which causes his identity frustration, sparks a lot of discussion and re-examination of identity as soon as it came out. In 2008, Lahiri brought readers Unaccustomed Earth, which describes eight stories about immigrants experiences and Indian Americans’ dilemma between the unaccustomed earth and Indian cultural heritage. Her first full-length work of fiction, The Namesake, which narrates an Indian immigrant family’s adaptation in the United States and specifies a second-generation Indian American Gogol Ganguli’s frustration about naming dislocation, which intertwines with his identity frustration, sparks a lot of discussion and re-examination of identity as soon as its publication. In 2008, Lahiri brought readers Unaccustomed Earth, which describes several immigrants and Indian Americans’ dilemma between the unaccustomed earth and Indian cultural heritage.

This thesis tends to explore three stories, namely The Namesake, “Unaccustomed Earth” and the trio “Hema and Kaushik”, from the perspective of identification process. Identity is fluid and can never be prescribed; identification reveals the subjectivity in identifying oneself with a certain social entity. It shows the relationship between identification and psychological as well as acquisitive transformation, and explores that how the second-generation Indian Americans fumble to locate their identity niche through analyzing their personal experiences with the assistance of assimilation theory and hybridity.

This thesis is divided into five chapters. After a brief introduction of Jhumpa Lahiri and related historical background, the first chapter focuses on the literature reviews of studies on Jhumpa Lahiri’s works, and the theoretical framework applied in the paper, including assimilation theory and hybridity. The body part consists of three chapters. The second chapter exhibits three characters’ personal frustrations between two cultures. The third then discusses their apparent assimilation to American culture through cultural assimilation, structural assimilation and marital assimilation. The fourth chapter is about the characters’ psychological recognition of Indian culture and behavioral transformation. Through a detailed interpretation of their attitude and behaviors in The Namesake and Unaccustomed Earth, their identification process and identity compromises experienced by Indian Americans as ethnic group will be exposed. Moreover, hopefully the analysis of such process would reveal some favorable factors, which in turn would bring more inspiration for ethnic readers confronted with identity dilemma.

姓名：刘静   导师：滕继萌 专业方向：美国文化、美国电影

论文题目（中文）：银幕上的奴隶制表征（与错误表征）：当代好莱坞电影与美国（后）种族政治

论文题目（英文）： (Mis-)Representing the History of Slavery on the Screen: Contemporary Hollywood Films and the United States’ (Post-)Racial Politics

论文关键词（中文）：种族，种族主义，后种族政治，好莱坞，表征

论文关键词（英文）：race, racism, post-racial politics, Hollywood, representation

中文摘要：

2008年，民主党籍政治家巴拉克·奥巴马在总统大选中获胜，成为美国第一任非白人总统。他的当选对于当代美国种族政治来说，无疑是一个巨大的分水岭，尤其在大众文化领域内，引发了人们对于种族和种族主义的诸多讨论，掀起了一股“黑色”潮流。由此，在好莱坞，以黑人为主角、以黑人历史为主题的电影层出不穷，黑人导演和黑人演员在电影产业中的话语权也得到大大的提升。种种迹象表明，好莱坞似乎已经摆脱了过去那种公然的种族歧视，转而成为了一个全新的“后种族”的机构——无论银幕内外，黑人不再受到肤色所累，都能够实现自我，取得成功。

对于当代好莱坞电影的这一“奥巴马现象”，人们普遍持乐观的态度，然而，我认为，在此表象之下可能存在着更为复杂的种族意识形态。因此，考虑到电影与文化政治之间的关联，本文提出以下几个问题，希望可以重新考量当代好莱坞黑人电影的本质内含：（1）银幕上对于黑人和黑人历史的表征是否属实？（2）这些表征是否达到赋权的效果？（3）如何解读、评价好莱坞与美国后种族政治之间的关系？从这一系列问题出发，本文选取了两部极具代表性的当代好莱坞电影——黑人导演史蒂夫·麦奎因的《为奴十二载》和白人导演昆汀·塔伦蒂诺的《被解救的姜戈》——作为案例，采用形象分析的研究方法，结合对于当代美国社会政治环境的理解，分别对两部电影中的黑人主角、以及他们与其他黑人角色、白人角色之间的关系进行细致的探讨，进而审查当代好莱坞电影究竟如何塑造奴隶角色、描绘奴隶制关系。

本文采用黑人公共知识分子贝尔·胡克斯的论述作为理论框架，因为胡克斯的理论尤为关注大众文化与黑人种族政治之间的互动，综合了电影理论和种族理论。一方面，她将电影中的表征看做种族政治中的一种权力手段，并指出，电影中的表征常常蕴含着种族主义的意识形态，维护白人霸权，从而达到压迫黑人和其他少数族裔的效果。另一方面，胡克斯也注意到表征在当代种族政治中的新变化，并指出，在美国六十年代民权运动后、自由主义盛行、种族间融合与种族内隔阂愈演愈烈的新环境之下，产生了一种新型的种族主义——即，种族歧视与阶级歧视的结合。这一新的“后种族主义”正是当代好莱坞黑人电影背后的意识形态结构。

基于详尽的文本分析，本文提出以下观点。第一，当代好莱坞电影对于黑人和奴隶制历史的表征是失败的。历史很大程度上被改写，以适应当代观众的“后种族”的眼光。这些电影只讲述那些拥护中产阶级观念的成功的黑人精英的故事，而忽视——甚至贬损——仍在遭受种族歧视和阶级歧视的黑人大众的利益。在这些电影中，黑人主角的形象被“漂白”，并成为“后种族主义”的受益者。第二，当代好莱坞电影并未达到赋权黑人的效果。在这些电影中，白人霸权仍然占据主导地位，只不过更加隐蔽。这些电影并未从根本上挑战种族主义，反而内化了胡克斯所谓的新型的种族主义——即，种族歧视与阶级歧视的结合。第三，当代好莱坞电影在处理种族问题上的失败源于其生产、消费的模式。“后种族主义”作为一种霸权的符码，深藏在好莱坞结构内部，难以被撼动。因此，当代好莱坞电影深受美国后种族政治的影响，虽然表面上看起来像是一个进入了超越种族主义的新时代，实际上，好莱坞仍旧是一个服务于种族主义意识形态的机构。

Abstract:

In 2008, Democratic nominee Barack Obama won the U.S. presidential election and became the first non-white president in the nation’s history. His election, hence, marks a huge watershed in contemporary American racial politics. Particularly, in the realm of mass media, it has inspired a lot of discussions about race and racism, and has ignited a kind of “black” phenomenon. Hollywood, in recent years, has produced numerous films concerning black people and black history. African-American filmmakers, actors and actresses have also been increasingly involved in Hollywood’s commercial cinema, and have enjoyed more opportunities than ever before. It seems that Hollywood has get rid of its overt racism in the past, and has turned into a brand-new “post-racial” institution—where every African American, either on or off the screen, can go beyond race and achieve self-determination and self-fulfillment.

Whereas the mainstream holds an optimistic view of this “Obama effect” on Hollywood, I suspect that, underneath this “black” phenomenon, there might be complex racial ideologies at work. Therefore, to examine the nature of contemporary Hollywood films about the blacks, this dissertation raises the following questions: (1) Is it a truthful representation of the African-American people and their history? (2) Is it truly an empowerment of the black community? (3) How to interpret and evaluate the relationship between Hollywood films and the U.S. post-racial politics? Focusing upon these questions, this dissertation has chosen two films—black director Steve McQueen’s 12 Years a Slave and white director Quentin Tarantino’s Django Unchained—as case studies. This research applies the image-critique approach, combining with the criticism of contemporary socio-political context, and analyzes the black heroes—both in relation to other black characters and to white characters—in the two films respectively, so as to scrutinize how post-racial Hollywood produces and re-produces the images of slaves and the relations of slavery on the screen.

Theoretically, this dissertation employs the framework of black public intellect bell hooks, whose workshave synthesized the interaction between mass media and African-American racial politics. On one hand, she sees filmic representation as a means of political power. According to her, filmic representation is a carrier of racist ideologies. It maintains the hegemony of white supremacy, and thus oppresses the African Americans and other racial minorities. On the other hand, hooks is also aware of the new changes of racial representation in the new era. She suggests that, after the sixties’ Civil Rights movement, with the emergence of inter-racial integration and intra-racial segregation, as well as the prevalence of liberalism in American culture, there is a new type of racism—i.e., the combination of racism and classism. As hooks argues, this new kind of post-racial racism is precisely the ideological superstructure behind contemporary Hollywood films about the blacks.

Based upon this theoretical conceptualization, this dissertation proposes the following arguments. First, contemporary Hollywood films’ representation of African-American images and the history of slavery is a failure. To a large extent, history is rewritten to comply with the post-racial taste of contemporary consumer audience. These films tend to tell the success stories of black elites who endorse the visions and values of middle-class politics, while denouncing—and even depreciating—the interest of the black masses who are under the dual oppression of racial and economic discrimination. In these films, the images of the black heroes are “whitened,” and thus become the beneficiaries of the post-racial ideology.Second, contemporary Hollywood also fails to empower the African-American community. In these films, white supremacy is still the predominant political force; only it is less blatant and less straightforward. Fundamentally, these films do not shake institutional and structural racism, but have internalized what bell hooks calls the new racism. Third, contemporary Hollywood’s failure in its treatment of race is deeply rooted in its mode of production and consumption. The idea of post-racial politics, as a kind of hegemonic code, is imbedded in the structure of the Hollywood system, and thus is hard to be challenged. To conclude, contemporary Hollywood films are significantly influenced by the U.S. post-racial politics—although on the surface, it appears that Hollywood has entered into a new era of racial transcendence, in essence, Hollywood is still an ideological institution that submits itself to racism and racialism.

姓名：王璐 导师：王镇平

论文题目（中文）： 《与狼共舞》，《最后一个莫西干人》和《被偷走的新娘》中的文化杂交现象

论文题目（英文）： Cultural Hybridities in Dances with Wolves, The Last of the Mohicans, and Stolen Women: Captured Hearts

论文关键词（中文）：殖民与被殖民文化，霍米巴巴，混杂，美国电影

论文关键词（英文）：Colonizer’s Culture and Colonized Culture, Homi K. Bhabha, Hybridity, U.S. Films

中文摘要：

在全球化的脚步日益加快的当今时代，各国人民之间的交流越来越频繁，不同国家与地区之间经济、政治、文化方面的交流也在不断加深中。文化之间的相互碰撞究竟会产生什么样的结果，这是众多学者所关心的问题之一。由于历史和人口构成的复杂性，美国是文化碰撞发生最多的国家。而作为一种文化现象，电影能够反映出真实社会生活中各族群之间文化的碰撞与交流。由于电影对人视觉、听觉以及心理的刺激，它能对观众产生最直接的影响。因此美国电影可以作为考察这种现象最有效的研究对象。

在文化研究领域，后殖民主义是许多学者一直在热烈讨论并应用的一种文化理论系统。在后殖民电影研究这一领域也有不少前人所做的研究。许多研究应用到了爱德华·萨义德，斯皮瓦克以及霍米巴巴的理论成果，并对美国电影中体现出来的文化霸权、文化侵略、文化挪用、东方主义、“他者”形象等进行批判，对这一领域的研究作出了显著的贡献。这主要是在强调强势文化凌驾于弱势文化之上，并对弱势文化产生极大影响。然而根据霍米巴巴的“混杂性”理论来看，文化之间的交流与碰撞并不是单向的，文化之间是相互作用，相互影响的，产生的结果也是由两种文化共同作用之下产生的。

由于后殖民电影理论研究在20世纪80年代开始“兴盛于全球化的后殖民批判浪潮中”（何燕李，49），20世纪90年代上映的电影就更具有了研究意义。本文中所选择的三部电影《与狼共舞》，《最后一个莫西干人》以及《被偷走的新娘》都是描写印第安人与殖民者之间关系的。传统上，人们认为殖民者的白人文化是强势文化，而印第安人的文化则是弱势文化。因此，这三部电影比较有代表性。

作者利用霍米巴巴的“混杂性”理论结合语篇分析的研究方法分析这三部电影，并找到“弱势文化”与“强势文化”互相影响的证据，说明文化之间的碰撞发生的过程和产生的结果都不是单向的，弱势文化的力量在这些电影中得到了展现。如，《与狼共舞》中的男主人公邓巴经过与印第安人的接触后打破了原本的偏见，在经历过正反感情并存的矛盾情绪后，通过对他们的模仿，成为了一个文化混杂体；而《最后一个莫西干人》中的白人女主人公科拉也爱上了鹰眼，莫西干人千家谷的白人养子，他的身份也由小时候的白人变成了长大后莫西干人与白人的混杂体，相对与白人文化来说，他受到了更多印第安文化的影响；在《被偷走的新娘》中，安娜在被印第安人掳走并与他们共同生活一年之后，爱上了掳走她的托卡拉，并最终“背叛”了白人文明和白人丈夫，成为文化混杂体。

这些电影有一个共同点，就是主角们身份的混杂性。虽然故事情节和身份演变过程不尽相同，但他们夹在两种文化中间时都更多地受到了印第安文化的影响。传统上被认为是弱势一方的印第安文化的魅力在电影中也得到了展现。通过与霍米巴巴的混杂性理论中关于模仿、矛盾情绪、混杂性以及第三空间的结合，作者得出结论，印第安文化与白人文化之间是互相影响的，同时受到两种文化的影响的人们在经历过正反感情并存的矛盾情绪

Abstract:

The communications and interactions are happening more and more frequently than before as the earth are becoming more and more globalised in contemporary world. People from different countries and regions keep deepening the economic, political and cultural exchanges in this process. Therefore a lot of scholars pay close attention to the results of cultural encounters. As a melting pot and a immigrants’ country, the U.S. has a complicated history and population composition. It is a place where cultural encounters happen almost every day. While as a cultural phenomenon, films can reflect the encounters of and exchanges between different cultural groups. Films can generate direct influences on audiences because of its visual, audio and psychological stimulations. Therefore, U.S. films can serve as the most effective study objects.

Post-colonialism is a heatedly debated and widely applied cultural theory system by scholars in the field of cultural studies. Therefore there are also many existing studies in the field of post-colonial film studies. Many of them had used the theories of Edward Wadie Said, Gayatri Chakravorty Spivak and Homi K. Bhabha. They criticized the cultural imperialism, cultural colonization, cultural appropriation, Orientalism and the image of the “other” which was showed in U.S. films and made great academic contributions. They mainly focused on the influences of the strong cultures on the weak ones, with the former outmatched the latter. While according to Homi K. Bhabha’s theory on Hybridity, cultural encounters would generate results under interactions and mutual influences.

As post-colonial film studies became a hot issue in 1980s and prospered in globalized post-colonial criticism wave after that, films screened in 1990s became more worthy of study as they were produced in that historical background (He, “Film Theory” 49). The three chosen films Dances with Wolves, The Last of the Mohicans, and Stolen Women: Captured Hearts are all about the relationship between the Indians and the colonizers. Traditionally, the white colonizers’ culture is considered as the strong culture, while the Indians’ is considered as the weak one. Therefore the three chosen films are representative for the author’s study.

Textual analyses are applied in this thesis, in combination with Homi K. Bhabha’s theory on Hybridity, to study the three films, to find evidences of the interactions between the two cultures, to prove that the influences are mutual and to explain that the power of the weak culture are demonstrated in these films. For instance, the hero Dunbar in Dances with Wolves defeat his prejudices on Indians after several contacts with them, go through a process of ambivalence and mimicry, and finally become a cultural hybridity at the end of the film; in The Last of the Mohicans, the white heroine Cora fall in love with Hawkeye-the white foster son of Chingachgook, a Mohican-who was born as a white and growing up as a Mohican, and his become a hybridity under Indian culture’s influences; in Stolen Women: Captured Hearts, Anna fall in love with Tokalah, a Indian warrior, after she lived in the Indian tribe for one year as she was kidnapped by him and she become a hybridity as she “betray” white civilization and her white husband.

The common trait of these films is the hybrid identities of heroes and heroines. The storyline and identity evolution process are different, but they are all more influenced by Indian culture than white culture at the end of the film. The charm of the weak culture is demonstrated in these films. In combination with Homi K. Bhabha’s theory about mimicry, ambivalence, hibridity and third space, the author reaches a conclusion that Indian culture and white culture influences each other in encounters; people who are influenced by both cultures go through a process of ambivalence, struggle between attraction and repulsion, and become a cultural hybridity at last through actions of mimicry.

姓名：刘思远   导师：王镇平

论文题目（中文）：中美电影贸易中的文化折扣——中美电影案例分析

论文题目（英文）： Cultural Discount between Sino-US Film Trade ——A Case Study of American and Chinese Films

论文关键词（中文）：文化折扣，电影贸易，价值维度，普世价值，语境，文化接近度

论文关键词（英文）：Cultural Discount, Film Trade, Value Dimensions, Universal Values, Context, Cultural Proximity.

中文摘要：

在国际电影贸易中，美国始终处于主导地位，美国大片横扫其他各国。在中美电影贸易中，这种不平衡同样显而易见。

同样作为人口大国，为什么美国更能从国内的巨大市场获益？“文化折扣”概念很好地解释了这一现象，即当电影从一国出口到另外国家，由于观众难以认同电影的“风格，价值观，信仰，社会制度和行为模式等”，从而造成影片吸引力下降，进而影片价值遭受损失。由此可见，一国的文化特点影响到其文化产品的可出口性。但是为何美国比之其他国家，享受更低的文化折扣？分析美国出口电影成功的经验有利于我们缩小国际国内市场的差距，从而降低文化折扣。

本篇论文立足中美电影贸易，利用霍夫斯泰德（Hofstede）的文化维度理论，施瓦茨（Schwartz）的普世价值理论，霍尔（Hall）的高低语境理论以及斯特劳哈尔（Straubhaar）的文化接近度理论，通过分析对比两部美国电影和两部中国电影，从而找出中国电影高文化折扣现象的影响因素。

Abstract:

In the international film trade, the US films occupies a dominant position and American blockbusters overwhelm other nations. In the Sino-US bilateral film trade, the problem of an ever increasing imbalance is also salient.

Why is the United States alone in reaping the benefit from a large domestic market, while other similarly populated countries have failed to do so? The notion of “Cultural Discount”, namely films exported to another nation will suffer from value losses due to diminishing appeals to foreign audiences who are unlikely to identify with “the style, values, beliefs, institutions and behavioral patterns of the materials in question” (Hoskins and Mirus 500), to a large extent, explains the US dominance in the film trade. It then follows that domestic cultural characteristics affect the exportability of cultural products of one country, yet why the United States enjoys a much lower cultural discount compared with other nations. Thus analyzing the US successful experiences in exporting films allows us to pinpoint how to negotiate the gap between the global and domestic market, so as to lower the cultural discount rate.

This paper is situated within the parameters of Sino-US film trade. Essentially, it discusses and evaluates the phenomenon of cultural discount by analyzing two American films and two Chinese ones with theories such as Hofstede’s Model of Cultural Dimensions Theory, Schwartz’s Universal Values, Edward Hall’s High Context undefinedamp; Low Context Theory, and Joseph Straubhaar’s Cultural Proximity, in order to figure out the factors for a higher cultural discount of China in the Sino-US bilateral film trade.

姓名：王玉 导师：李今朝

论文题目（中文）：一眼爱上美国—国际游学团中的中美跨文化交往研究

论文题目（英文）： Love at First Sight—A Study of Sino-US Cross-cultural Encounter In A Global Study Tour Program

论文关键词（中文）：跨文化，短期国际游学，文化冲击，文化学习

论文关键词（英文）：Cross Cultural Encounter, Short-term Global Study Tour, Culture Shock, Culture Learning

中文摘要：

近年来国内掀起了一股海外游学热，比如在国内著名的教育机构新东方每年就有上万名学生报名参加各个国家的短期游学项目，其中美国是最热门的目的国之一。虽然国外很早就有学者研究短期游学，国内现有的该领域研究非常有限，并且现有的研究主要从商业角度出发，有关短期国际游学的文化研究少之又少。鉴于此，本文以新东方一暑期中学生美国游学团为例，在跨文化交往的背景下从文化冲击，文化适应，文化学习的视角对学生的第一次中美跨文化之旅进行研究。

通过对学生的反应进行观察，与学生面对面交流，分析学生的社交网络信心，以及回国后对其就美国之行做访谈，笔者认为国内外多数学者将跨文化研究聚焦在文化冲击方面，而在全球化的时代背景下，学生在出国前便从各种渠道对美国有了较深的了解，因此尽管第一次体验美国生活有一定新鲜感，但并不是完全的陌生。并且由于游学团学生皆来自中产阶级家庭，他们中间许多人有比较丰富的出国旅游经历，这些背景和经历使学生有更开放的心态面对陌生的环境并作出调试，为他们更好地适应美国的生活做了准备。与此同时，游学项目本身的项目设置，比如每个团配有两名领队负责学生的照顾管理，寄宿家庭和校方也有各自明确的责任，这些因素都减少了在美期间的不确定因素，有利于减弱文化冲击。综上所述，笔者认为，在短期美国游学中，总体上文化冲击并不存在，文化冲击对学生的影响也不明显。除此之外，短期海外游学虽然时间短，但是对学生的文化学习仍有重大意义。本文的主要贡献在于拓宽了国内文化研究的领域，并且搜集到的许多真实的原始材料，可以该领域今后的研究提供一些学术研究有用信息。

Abstract:

In recent years there is a global study-tour fever in China which deserves academic attention. For instance each year, tens of thousands of domestic students participated in the global study-tour program to various foreign countries, among which the United States is one of the most popular destination country. Since a few decades ago foreign scholars began to do research on this topic . By contrast related studies by Chinese researchers are quite rare. Against such background, this essay was based on the real experiences of a study-tour group to America. I, as one of the leaders of the group observed students’ reactions to the new environment, talked with them, read their social network information and conducted interview with them after arrival in China. Through observation and analysis I found that different from previous studies that emphasize the effects of culture shock, the children in my group could actually cope with shock pretty well through proactively engaging in the life of local people. My conclusion is based on four reasons, that is, the program itself served as a mitigator to ease culture shock; the cross-cultural encounter at home paved the way for the students to better integrate in and adapt to the American culture; the students’ psychological resilience and openness are greater than we expected; middle class background and previous travelling experiences equipped them with the ability to face new environment. My major contribution in this essay is that through a case study I collected abundant real first-hand stories and information, which is helpful to future studies in this subject.

姓名： 李璐瑶

 论文题目（中文）：华裔参与美国选举政治的研究——探究华裔选举人与华裔团体的互动关系

论文题目（英文）： Chinese American Political Participation in US Election: A Study on the Interactive Relationship between the Chinese American Politicians and Organizations 

论文关键词（中文）：美国华裔 政治参与 选举 侨团

论文关键词（英文）：Chinese Americans, Political Participation, Election, Chinese American Organizations

中文摘要：

华裔自十九世纪中叶以来，在美国历史上多数时间是受排挤、受歧视的边缘族裔群体。随着1965年后新移民浪潮的开启，华裔成为美国人口增长最快的少数族裔，越来越多的华裔意识到争取群体利益的重要性，并参与到美国选举政治中来。中国现有的华裔研究，很少关注华裔参与主流政治。为数不多的研究也集中于政治领袖的成就和政治行为，包括如选民登记、投票率、筹款和选举策略等。美国现有的研究通常把华裔放在整个亚裔群体中研究，如在何种情况下采用泛亚裔策略与跨种族联合。总览现今亚裔政治参与文献，相对缺乏的是对于华裔群体如何进行自我组织并影响选举的研究，特别是华裔选举人与华裔各种群体之间的关系。为填补该项空缺，本文试图研究华裔组织（或华裔主导的亚裔组织）与选举人之间如何互动以赢得选举，展示华裔社团在美国民主政治中所起的不可或缺的政治动员作用。

本文采用案例研究方法，选择华裔人口最集中、移民历史最悠久的加利福尼亚州作为研究地域，以洛杉矶第二代华裔女性赵美心2009年国会众议员选举和第二代华裔男性李孟贤2011年旧金山市长选举为例。这两者分别代表了华裔在国家层面和大都市层面上，最新、最突出的政治成就。这两个案例同时代表了两种主要类型的亚裔聚居区，即新兴移民郊区城市和传统亚裔聚居大都市。通过搜集海内外媒体的华侨新闻和侨团组织的相关资料，本论文分析了华裔政党团体、社工组织、传统唐人街侨团、劳工组织、政治行动委员会等团体在参选者的竞选中起到的作用。

通过比较与分析亚裔人口聚居的这两大类型，可以看出，侨团与当选人的关系有着主要的一些相同点和不同点。相同点是当选者都需要有长时间（二十年以上）的本地服务经验，通过侨团的连接与选民亲近互动，能够同时代表华裔和全部选民的利益。在政治策略上，当选者既要通过社工组织动员最多的亚裔选票，同时也要联合其他族裔。然而，根据亚裔聚居类型和当地政治条件的不同，侨团对两者的选举成功也起到不同作用。第一，赵美心的选区拉丁裔、劳工阶级占多数，特别需要通过亚裔劳工组织赢取广泛支持；而李孟贤更关注占旧金山四分之一的华裔人口尤其是唐人街的利益，需要传统侨团来动员。第二个不同点是赵美心离洛杉矶传统侨团比较远，主要是靠社工团体的积极推动提高投票率，政治手段比较激进民主；而李孟贤所在的洛杉矶，白人和其他族裔的政治力量都已经十分巩固，更多的是需要利用有政治影响力的唐人街“政治经手人”在市内高层政治群体间斡旋，采取更加传统的政治手段。这两者的差别也能解释为什么在新移民郊区为根基的选区，越来越多的华裔领袖能够成功当选，而在旧金山、洛杉矶、纽约这样的传统移民大都市，中国人很难获得选举胜利。这两种类型的选举比较代表了有组织的华裔在美国政治参与的趋势，展示了新移民社区更多华人参政的光明前景以及在传统移民大都市内华裔当政需要克服的主要困难。

Abstract:

Chinese Americans are a marginalized ethnic minority group that has experienced long and extensive racial discrimination in the US history. But since the third wave of immigration beginning in 1965, Chinese Americans have been the fastest growing ethnic population and have been increasingly active in pursuing their citizen rights through mainstream participatory politics. Contrary to the stereotype that Chinese are generally insensitive to American politics, a valuable amount of Chinese Americans have been winning the US elections. The existing literature by Chinese scholars on the Chinese American participation in the U.S. electoral process is still very limited. The only few works are mainly devoted to the politicians’ achievements and the political behavior such as voter registration, turnout, campaign contribution and strategies. American scholars, from a different way to perceive the ethnic political participation, mainly focus on issues of pan-ethnicity and cross-racial alliance that incorporate Chinese Americans as part of the larger Asian American group. Among the literature home and abroad that is available for viewing, there is a general lack of attention to how Chinese Americans organized themselves to successfully elect their political representatives, especially a lack of attention to the dynamic interaction between the Chinese elected officials and the politically organized groups. This thesis tries to fill the gap by exploring how various kinds of the Chinese American organizations act and form alliances to help Chinese candidates to win elections.

The thesis adopts a method of case study. It selects California, the state with the most Chinese residents and the longest immigration history in the US, as a place of focus. Two cases that are selected and examined in the thesis are the second-generation Chinese American woman Judy Chu in her 2009 initial bid for the seat of House of Representative of the US Congress and the also second-generation Chinese American man Edwin Lee in his 2011 election for the mayor of San Francisco, California. The two are both history-making elections because no Chinese Americans in California had succeeded either on a national Congressional level or on a major-city level election, where Chinese do not have a majority or plurality population for winning ethnicity-based electoral votes.

The two cases represent two major types of current Chinese American politics that are based on two residential patterns: one is the new immigrants’ ethnoburbs and the other is the traditional gateway metropolis of immigration. In these two types of geopolitics, I explore the role of the Chinese American (or Chinese-dominated Asian American) party organizations, social service agencies, traditional Chinatown associations, labor organizations political action committees, etc. in the two candidates’ elections. For first-hand sources, I drew from news reports in both Chinese and English language media in relation to the elections and the organizations, as well as the campaign websites and publications of related organizations.

By analyzing and comparing elections in the two residential patterns, some major similarities and disparities of the relationships between the organized Chinese and their elected leaders are found. Similarities include that both Chu and Lee have a deep-rooted experience in local community service, both with more than twenty years of community experience. They are both connected through Asian American organizations to constantly interact with their ethnic communities. So when a position is open for grab, they can appear as the popular, for-the-people type that appeals to the public opinion of both the mainstream and the Asian American community. But among their supporters, there exist different voices that represent divisional interests within community in terms of generation, class, cross-ethnic/racial coalition or gender. But these interests have been negotiated and compromised for the greater agenda of increasing Chinese American political representation.

Analysis and comparison of the two cases also show major disparities due to the residential patterns and the constituency’s political context. The first disparity is that in Chu’s constituency, working-class Latinos make up the majority population and so she relies on labor organizations to forge cross-racial coalition. In comparison, Lee relies more on the traditional Chinatown organizations to his 1/3 Asian or 1/4 Chinese in his constituency. Another major disparity is that Chu’s new immigrants’ transformed suburban constituency is quite distinctive in socio-political perspective from the San Francisco? downtown traditional Chinese community. The more progressive social agencies in ethnoburbs play a more important role in Chu’s election. In contrast, Lee’s base is in the populated San Francisco Chinatown and is more responsive to the traditional Chinatown associations to rally the community. In San Francisco’s traditional immigrant gateway metropolis where other races have already established strong political power, Lee relies heavily on the senior “political power broker” to negotiate among the city’s top leaders. This may explain why Chinese Americans are less likely to succeed an election in metropolis like San Francisco, Los Angeles City, and New York City.

The two cases represent the current trend of the Chinese American electoral participation in two major types of residential patterns. The suburban politicians are facing more opportunities and those in the traditional gateway metropolis are having more hurdles to overcome in order to succeed.