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2011级

作者:时间:2018-07-19

姓名:樊府静 导师:孙有中

论文题目(中文):本杰明·富兰克林实用主义美国梦的理想主义精神探究

论文题目(英文):The Idealistic Spirit of Benjamin Franklin’s Pragmatic American Dream

论文关键词(中文):本杰明·富兰克林 实用主义 美国梦

论文关键词(英文):Benjamin Franklin, American dream, pragmatism

中文摘要:

本杰明·富兰克林(1709-1790)是美国历史上著名的作家、科学家、政治家,同时也是公认的美国国父之一,被广泛地称赞为“发明了美国梦的白手起家第一人”。本文旨在通过对富兰克林的著作进行详细的文本解析,来探讨富兰克林实用主义美国梦的背后,容易被人忽略的理想主义精神。

通过对富兰克林在政治、宗教以及道德三个层面的实用主义思想进行深入剖析,作者指出富兰克林在这三个层面的实用主义思想是基于实践检验基础之上的,并且构成了富兰克林的实用主义美国梦。然而,需要指出的是在富兰克林看似实用且灵活的政治、宗教和道德思想背后,是其对政治民主、宗教多元以及社会正义的理想主义式的追求。富兰克林的实用主义方法是服务于其理想主义“美国梦”的追求的。

诚然,正如任何人都不可能完全超越他所在时代的局限一样,从现在的角度看,富兰克林的在政治、宗教以及道德三个方面的实用主义思想实有不妥之处,其中他对黑人奴隶的歧视就是一个典型例子。但不可否认的是,富兰克林所最求的“政治民主、宗教多元以及社会正义”的美国仍旧能与数以亿计的美国人民产生共鸣,富兰克林的实用主义思想在当今世界仍具有重要的参照价值,从更宽广的角度说,富兰克林的“美国梦”恰恰是全人类的“同一个世界,同一个梦想”。

Abstract:

Benjamin Franklin (1709-1790), a writer, scientist, statesman, diplomat, inventor, is well recognized as one of the American Founding Fathers, American first self-made man and the man who invented the American dream. This paper is intended to interpret the idealistic spirit of Benjamin Franklin’s pragmatic American Dream through detailed textual analysis.

A detailed analysis of Benjamin Franklin’s pragmatism in the realm of politics, religion and morality leads to the conclusion that the idealistic spirit of Benjamin Franklin’s pragmatic American dream is based upon his pragmatic political, religious and moral beliefs which were often subjected to the test of experience. However, we should always bear in mind that the ultimate goal of his pragmatic approach, be in the realm of politics, religion and morality, lies in advancing the common good of political democracy, religious tolerance and social morality.

Admittedly, there are limits of Franklin’s pragmatic thoughts, thus a dialectical inheritance of Franklin’s pragmatism should better be adopted. Nonetheless, in general Franklin’s American dream does have remarkable current relevance. Franklin’s envision for a politically democratic, religiously tolerant, and morally public-minded-oriented America are still resonant with millions in and outside America.

姓名:孙晓轩 导师:孙有中

论文题目(中文):论1860年代至1900年代斯宾塞主义在美国知识分子中的传播与接受

论文题目(英文):Spencerianism in the U.S. in 1860s’—1900s’: Dissemination and Reception among American Intellectuals

论文关键词(中文):斯宾塞主义、进化理论、美国思想史

论文关键词(英文):Spencerianism; evolutionary thoughts; American intellectual history

中文摘要:

19世纪末期,斯宾塞科学哲学思想,即斯宾塞主义,在美国得到了广泛的传播,无论美国大众还是学者都受到斯宾塞主义的影响。本文通过历史学研究方法,旨在探究1860年代至1900年代斯宾塞主义在美国知识分子中的传播。此研究不仅仅局限于美国在意识形态方面的历史背景研究,还包括美国在结束内战以后到19世纪末期的社会发展形态及政治文化背景。本文主要回答以下问题:1)斯宾塞主义为何能够在美国得到传播?2)斯宾塞主义是如何在美国知识分子中传播的?3)美国知识分子对斯宾塞科学哲学持怎样的态度?本研究基于以下几类文献:斯宾塞的原著作、美国知识分子对斯宾塞思想理论的评价文章及原著作、关于他们的历史传记、以及有关当时社会历史背景的相关资料。

分析得出,美国当时经济社会尤其是资本主义市场经济的高速发展、建国以来的个人主义基础、西进运动中形成的物质及文化基础、以及探索科学、探索事实的热情等,为斯宾塞主义在美国的传播创造了条件。而在传播过程中,斯宾塞的自我宣传、美国学者在国内主观上及客观上对斯宾塞主义的宣传,都推动了斯宾塞的思想在美国各界人士中的阅读及热议。其中,美国学者对其思想的改造更是功不可没,是促使斯宾塞被更多知识分子熟知的重要原因。作者发现,由于自由放任过程中导致的社会问题以及美国知识分子对其他科学思想的吸收,美国知识分子逐渐开始对斯宾塞科学理论进行讨论,他们通常集中针对斯宾塞社会科学思想的某一方面进行深入研究,因此他们的看法一方面是认可斯宾塞在某些领域中起到的重要作用,另一方面则是对其局限及缺点进行批评。美国知识分子主要就以下三点对斯宾塞的社会科学理论进行批判。其一,斯宾塞直接把生物学进化论的理论直接运用到人类社会的发展过程中,未能突出人类自身的能动性;其二,斯宾塞将人性所富含的同情心及利他主义思想过分理想化,认为个人能够在毫无约束的情况下自觉遵守进化法则;其三,斯宾塞的理论虽以科学自居,但语言上过于含糊,对于结论也毫无实证作为依据。所以从深度上来说,斯宾塞主义在美国并没有得到大家的接受。

Abstract:

In the late 19th Century, Spencerian philosophy on science, namely Spencerianism obtained popularity among American scholars. The study aims to detect the diffusion and reception of Spencerianism in the U.S., especially among American intellectuals in the 1860s’ to 1900s’ by utilizing the method of historical studies. It does not only study the ideological background of the U.S., but also foregrounds Spencerian philosophy within the socio-political development from the end of the Civil War through the late 19th Century. In order to make the research clear, the thesis will answer several questions: 1) Why could Spencerianism be widely diffused in the U.S. in that age? 2) How could Spencerianism be widely diffused in the U.S.? 3) How was its reception among Americans intellectuals? To probe into the research question, the study uses both primary and secondary sources which involve the interaction of Herbert Spencer and his contemporary intellectuals in the U.S. as well as the evaluation which Spencer received from American intellectuals.

Based on the analysis, the circumstances in the U.S., including the rapid development of capitalism, individualism, the Westward Expansion, and the mania for facts in the American society, created suitable soil for the diffusion of Spencerianism. In the diffusion process, Spencer’s self propagation and the publicity activities managed by American scholars for Spencerianism promoted its popularity in the U.S.; the popularization of Spencerianism also contributed a lot to its wide dissemination. However, due to social ills out of laissez-faire doctrine and learning of other scientific knowledge, Spencerianism was under fierce debates. American intellectuals always made research on a specific aspect of Spencerian philosophy; while they recognized Spencer’s pioneering functions in many subjects or domains, they criticized more on drawbacks of his social theories. The debates on Spencerianism among American intellectuals mainly rested on Spencer’s social theories. Firstly, Spencer applied biological evolutionary thoughts into human society directly, and neglected the psychic factors of humans; secondly, Spencer ideally believed each individual had spontaneous sympathy and altruistic acts and obeyed orders without any restrictions, especially in an industrial stage of a state; thirdly, Spencerian thoughts was claimed to be scientific while the language was vague and the theory was lack of verification and validation. Therefore, from the depth of reception, rejecting views overwhelmed acceptance of Spencerianism among American intellectuals.

姓名:邱琳光 导师:孙有中

论文题目(中文):当代社群主义对道义论的批判

论文题目(英文):Contemporary Communitarian Critique of Deontological Ethics

论文关键词(中文):道义自由主义、社群主义、道德主体、权利、善

论文关键词(英文):Deontological liberalism, Communitarianism, Moral Subject, Right, Good

中文摘要:

战后美国政治哲学中的一场大辩论在以罗尔斯为代表的自由主义与当代社群主义间展开,二者主要分歧在于权利与善的优先性。约翰·罗尔斯认为权利优先于善,个人权利不受任何传统、价值观和善观念影响。对道义自由主义者而言,权利是天赋、关乎道德、且不能为先定的善侵犯。然而, 迈克尔·桑德尔、阿拉斯代尔·麦金泰尔等社群主义者则认为,善应优先于权利,并强调个人及其合法权利中的道德责任。社群主义者所指的善可追溯至亚里士多德,他首先提出了“共同/公共善”的概念。这个思想包含物质与精神两层含义,即共同利益与共同美德。此外,社群主义者进一步指出个人权利依附于共同善。

有关权利与善优先性的辩论背后藏有道义自由主义者与社群主义者更深层次的分歧,即关乎道德根基——道德主体——的不同意见。罗尔斯自由主义的起点为个人、自我。它有着追求、完善自我生命目的的天性,是所有社会、政治问题的基础。在著名的“原初状态”中,罗尔斯假设个体完全脱离社会与集体的约束,而这样的个体在此情景中总会选择正义为首要原则。这遭致社群主义者的猛烈抨击。他们认为,我们的身份不可避免的受所处环境影响,如家庭、宗教、传统等等。“无约束的自我”现实意义上根本不存在。任何道德主体都非先在、完满,而是随着环境、经历变化而变化。

本篇论文首先详细考察道义自由主义与社群主义有关权利与善与道德基础个人之间的辩论(不仅限于罗尔斯与桑德尔等当代思想家,还会涉及康德与亚里士多德);然后分析社群主义对道义自由主义批判的成功与失败之处;最后,本文建议社群主义起源于并发展了作为现代民主基石的道义自由主义,这两大思想体系都有理想主义色彩但设立了两个重要极值,在这两个极值间不同社会群体发展与呈现不同民主形式,而极值两端之外则藏有无政府、道德危机与极权的威胁。

Abstract:

One of the main divergences between Rawlsian liberalism and the contemporary communitarianism in post-war American political philosophy is about the priority of the right and the good. John Rawls argues for the priority of the right over the good, saying that individual rights are independent of all kinds of traditions, prevailing values, and social goods. To deontological liberalists, the right is natural-born, moral, and cannot be invaded by presupposed goods. Whereas communitarian thinkers like Michael Sandel, Alasdair MacIntyre argue that the good are prior to the right by emphasizing moral obligations of individuals and legal rights. The good referred to by communitarianists can be traced back to Aristotle, who brings forward the idea of “common good or public good” bearing both material and spiritual meanings, viz. common interests and virtue. Further, they point out that individual rights depend on the common good.

What underlies the debate above is the disagreement about the foundations of morals, the moral subject, between deontological liberalism and communitarianism. The starting point of Rawlsian liberalism is individual or the self, who has a natural tendency to pursue and reshape its own life-plans and is the basis of all social and political issues. In his famous proposition “the original position”, Rawls hypothesizes that individuals detaching from various social and communal attachments would choose justice as the primary principle. The point is heavily attacked by communitarianists who think that our identities are unavoidably influenced by our surroundings, like the family, religion, and traditions. The “unencumbered self” does not exist in reality. In Sandel’s words, rather than antecedent and full, any subject is open to change in accordance with environments and experiences.

The paper is first to examine in detail the fundamental debates over the right and the good, and the foundations of morals, the moral subject between deontological liberalism and communitarianism (it will not only limited to contemporary thinkers like Rawls and Sandel, but also refer to Kant and Aristotle), then to analyze the fair and failing points in commnitarianists’ criticism of deontological liberalism. Finally, it will suggest that communitarianism originates from but develops deontological liberalism, which is the footstone of modern democracy, and the two systems of ideas are both somewhat idealizing but set two vital extremums, between which different societies and communities demonstrate and develop different forms of democracy while beyond which lies the danger of emerging anarchy, moral chaos, and authoritarianism.

姓名:陈滢 导师:李今朝

论文题目(中文):美国19-20世纪中产阶级女性对工人阶级移民社区女性的价值观塑造:

以赫尔之家、唐人街、柬埔寨社区为例

论文题目(英文):How Middle-Class Women Social Workers Shape the Value of Working-Class Women in Immigration Communities from 19-20 Century: the Hull House, Chinatown and Cambodian Community

论文关键词(中文):移民社区;社会工作;理念与价值观;女性

论文关键词(英文):Immigrant Communities; Social Work; Belief and Values; Women

中文摘要:

美国素有移民国家之称。自五月花号登陆起,各地移民在美洲大陆建立起新的国家。美国走向稳步发展之路的同时,早期移民,即十九世纪中叶前到达的欧洲移民成为美国公民,将自己与后期移民区分开来,如十九世纪中期淘金移民、修建铁路的华工,以及二十世纪后期柬埔寨难民。他们利用社会服务和福利政策,使后来登陆美国的新移民接受已经形成的主流价值观。

自十九世纪末期开始,福利机构、社会团体或移民社区纷纷成立,提供各类社会服务。社会工作者大多数由中产阶级女性构成,他们多为白人女性,也有其他种族的早期移民,通过前期积累奋斗,已经步入中产阶级。他们不仅关心解决移民家庭遇到的问题,还是国家福利政策的执行者。

本文认为在社会实践过程中,中产阶级社工提供了人道主义帮助,为移民女性提供住房、儿童照护、语言培训等,同时他们利用美国的社会服务和福利政策,通过影响女性移民进而对整个移民社区进行渗透和改造,在吸收移民进入美国的主流信仰体系中起到至关重要的作用。

本文旨在研究中产阶级社工如何将中产阶级信念加诸于移民女性,他们怎样通过社会工作及服务达到这一目的,并评价这种行为的影响。

为探究以上问题,本研究选取十九世纪至二十世纪间,不同时期、不同种族的三个当时着有影响力的移民社区,即芝加哥欧洲移民的赫尔馆、旧金山唐人街和旧金山海湾区柬埔寨社区,进行比较研究,分别聚焦白人移民、华裔移民和亚裔移民的生活。

研究将对描述三个社区的一手、二手材料进行解读;研究采用历史研究的视角。第三章分析了十九世纪中叶到二十世纪末期社会工作和社会福利的背景以及特点。第四章采用克里斯蒂·安德森对社会工作的分类将社工服务种类归类,通过解读一手和二手资料,归纳出三个社区在人道关怀、技能培训、咨询服务和法律法规等四个方面的社工服务。第五章将着重讨论本文的发现,即中产阶级如何将他们的价值体系加诸移民工人阶级,在肯定人道援助的前提下,讨论其负面影响。

分析得出,这些中产阶级女性对移民工人阶级女性在衣食住行、工作条件和谋生手段上给予人道关怀,解决基本生存和生活保障;然而他们也以其中一些援助服务为条件,要求移民女性遵纪守法,在家庭生活和社会生活中实现独立、自信务实,倡导核心家庭、皈依基督教等等。一方面,中产阶级并未站在与工人阶级平等对话的前提下,他们利用这些社会服务在以不同方式按照中产阶级和白人社区的标准塑造着移民妇女的价值观。她们帮助移民妇女,也在影响女性移民的自我意识、家庭角色和社会地位。另一方面,美国社会中,社工这样强加的价值观正反映了认为美国自身主流价值体系优于其他民族文化。通过把移民融入美国的适应过程中遇到的困难“问题化”,使他们长期处于需要“改造”的群体,这正反映了美国凌驾于他国文化的霸权性。这种有条件的社工服务,无论从阶级还是从文化上看,都是单向的、霸权的。

本文借鉴《遭遇发展:第三世界的形成与瓦解》中的“问题化”理论,指出在社工服务中,将美国和中产阶级的文化价值观强加给工人阶级移民。社会福利发现和制造了“问题”,并迫使移民女性成为社会服务计划和项目中需要救助的群体,而其中隐含的正是美国的“内部殖民”理念和美国文化凌驾于他国的不平等的权力关系。

可以说,在援助的同时,社工们在宣传倡导中产阶级的价值观,他们把移民女性看作影响整个移民社区的工具,作为社会福利系统的一部分,社会工作将中产阶级信念施加于工人阶级,在给予帮助的同时,也使得移民女性无法以工人阶级特有的身份自立,并未尊重她们自由选择思想文化的自由,影响移民女性的家庭、社区及母国的文化。也有碍文化多样性的发展。

通过对从十九世纪中叶到二十世纪末社工服务的梳理,本文试图为理解美国移民社区提供新的研究视角,从社会工作的角度进行分析;而更重要的是,总结美国移民社区内社工服务及福利系统的发展演变,并客观评价其对移民的积极和消极影响。

Abstract:

America is a country built by immigrants. Since the arrival of May Flower, many immigrants settled on this land. As the country developed, many immigrants became citizens. They distinguished themselves from later settlers, such as those came for gold rush and railway construction after the mid 19th century and Cambodian refugees in the late 20th century. They also utilized social services, welfare policies to instill the mainstream values in the newly arrived immigrants.

Since the mid 19th century, social workers set up welfare institutions, social groups or immigrant communities and offered assistance. These social workers were from middle-class, white or other ethnicities that accumulated wealth as early immigrants. They not only cared about the immigrants, but carried out social welfare policies.

This thesis believed that in social practices, the middle-class offered humanitarian help by providing immigrant women with shelters, child care, language trainings, while they also used the social service and social welfare system to influence immigrant communities. By changing immigrant women, they transformed the immigrant communities, which played key role in assimilating immigrants into American mainstream value system.

The current thesis aims to study how middle-class social workers imposed their idea upon immigrant women and how they utilized social work to achieve this purpose, and the thesis also attemps to reveal the nature and the effect of these social services.

The current thesis will study cases of three influential communities between the 19thcentury and the 20th century, namely the Hull House of European immigrants in Chicago, Chinatown in San Francisco, and Cambodian community in San Francisco Bay Area.

The study focused on the reading and interpretation of the primary and secondary materials. Chapter Three analyzed the background and characteristics of the social work and social welfare between the mid-19th century and the late 20th century. Based on analysis of historical materials, Chapter Four will adopt the social work classification proposed by Kristi Anderson and categorize social work in three communities into human service, capacity building, probono consulting and political advocacy. Chapter Five will reveal the major finding of this thesis, to be specific, how the middle class impose their value system upon working-class immigrant. While the thesis acknowledges the contribution of some humanitarian help, it will also point out some negative impact of some social work and social service.

The thesis concluded that the middle-class women’s contribution in providing humanitarian help like shelters, food, opportunities to find a job and make a living could not be overlooked; however it was inappropriate for them to utilize the help as a condition and force immigrant women to accept American middle-class value and beliefs, such as the rules, independence, norms in family life and social life, Christianity, etc.

The thesis referred to the “problematization” theory from Encountering Development: The Making and Unmaking of the Third World and pointed out that in the process of providing social service, American middle-class discovered and created “problems” and utilized the social welfare system to force immigrant women to become the needed group in social service and programs. In this process, they imposed middle-class value and beliefs upon immigrants, which from the lens of class and culture, was one-way and hegemonic.

On the one hand, the middle-class treated the working-class unequally. They used their own class agenda to shape the value and beliefs of immigrant women. They helped these immigrants and influenced their self-awareness, family role and social position. On the other hand, the imposition of values reflected the superiority of American culture over that of other nations. They “problematized” the immigrants’ difficulties of integrating into American society, “shaped” them rather than respected their culture, which reflected the hegemony of American culture over other countries in this “internal colonization”.

Besides, while providing humanitarian help, these social workers did not respect the liberty of immigrant women and regarded them as a tool to further influence the whole immigrant community. Thus, it was impossible for immigrant women to achieve real identity and pride of working-class, happy family life, community development and culture diversity.

Based on the summary of the social service towards American immigrant women from the middle 19th century to late 20th century, the current study attempted to provide a new perspective for understanding American immigrant community, and analyze American immigrants from the angle of social work.

 

姓名:戴念 导师:闫循华

论文题目(中文):从身份视角分析冷战后美日同盟再定义和持续强化

论文题目(英文):The Redefinition and Continuous Strengthening of the U.S.-Japan Alliance after the Cold War–Analyzing from A Perspective of Identity

论文关键词(中文):美日同盟;再定义和持续强化;共同身份和“我们”;中国朝鲜为“他者”;共同利益

论文关键词(英文):The U.S.-Japan Alliance; Redefinition and Continuous Strengthening; Collective Identity and “We”; China and North Korea as “they”; Shared Interests

中文摘要:

冷战结束,共同敌人的消失和互相不满削弱美日同盟团结性,也架空该同盟创始目的。美国开始将曾经的亚洲盟友当做必须加以遏制的竞争者,国内舆论积极主张“抛弃日本”,“教训日本”。日本同时也在质疑维持同盟的意义,批评美国在解决经济争端中所表现出的傲慢和专横。然而,恰恰与普遍看法相反,“漂流”状态随着1996年到1997年再定义结束,此后亚太地区见证了美日同盟持续强化。该过程特征表现为公平分担责任,变革成员的责任、角色、军事能力,增加协同性,以及建立安全合作的制度化机制等。

现实主义学说预言冷战后日本将会抵御和平衡美国的影响和势力。现实证明该预判是错误的:日本选择和美国更加紧密地合作。自由主义无法解释为什么该每次面对地区安全挑战,同盟都会相应地加强。

因此,本文尝试探索另一条道路:通过建构主义来分析冷战后美日同盟再定义和持续强化。泰费尔的社会身份理论认为人类有着组内亲睦和组外歧视的天性。我将该理论延伸到国际关系领域并用来探索美国和日本如何身份构建为组内成员,而将中国朝鲜构建为组外成员。美日“我们”的共同身份根植于政治、经济、外交方面的相似性。同样的评判维度可以使我们理解为什么中国和朝鲜会获得“他者”的属性。国家就像个体的人一样,考虑到可能的个人福利增益,会渴求维持所在集团的集体身份并推进共同利益的实现。组外他者的存在亦或其自我利益的追求会对本群体构成一定的威胁,使其采取行动强化组内成员合作并抑制组外国家影响和势力。此外,随着同盟再定义,共同身份加强使美日更加意识到并关切共同利益。中国和朝鲜对该共同利益造成的威胁客观上促使冷战结束后同盟再定义及持续强化

Abstract:

The demise of common enemy and mutual dissatisfaction stood to undermine solidarity and invalidate purpose of the U.S.-Japan alliance shortly after the Cold War. Domestic opinion of the U.S. enthusiastically advocated “Japan passing” and “Japan bashing”, treating its Asian ally as competitor that called for abandonment and containment. Japan, while also doubting the meaning of continuing the alliance, grew increasingly critical of domineering and overbearing manner of the U.S. in dealing with economic frictions. However, against conventional wisdom, the drifting period concluded with alliance reaffirmation and redefinition from1996 to 1997 and the Asia Pacific region has witnessed continuous strengthening of it since then, which is characterized by emphasis on equal responsibility sharing, transformed MRC (mission, role, capability), increased interoperability, institutionalized mechanism for security cooperation etc.

Realism would predict Japan’s effort to guard against or even balance influence of the United States when the Cold War ended, which proves to be wrong given that it chose to coordinate closer and deeper with big brother. And liberalism lacks explanatory potency when it comes to examining why the alliance strengthened almost every time in response to regional security challenges, mostly by China and North Korea.

Therefore, the thesis tries to navigate a third way: analyzing redefinition and continuous strengthening of the U.S-Japan alliance via constructive approach. I intend to draw upon Tajfel’s social identity theory that demonstrates human nature for in-group affinity and inter-group discrimination. By extending this theory to the realm of international relations, I try to explore how the U.S. and Japan categorize themselves as in-group members and China and North Korea as out-group members. Similarities in terms of political form, economic arrangement, and diplomatic manner lay solid foundation for the alliance collective identity construction as “we”. And the same dimensions are employed to help us understand construction of China and North Korea as “other”. States, like individual human beings, aspires to maintain collective identity and advance collective interests for possible addition to members’ welfare. The very existence of or pursuit of interests of out-group might constitute threat, justifying efforts of in-group members to step up coordination and contain the rising influence of outsiders. Besides, collective identity strengthening accompanied by alliance redefinition renders members more aware of and attentive to shared interests. That China and North Korea pose threat to shared interests of the alliance motivates the U.S and Japan to redefine and continuously consolidate their transpacific security partnership in post Cold War era.

姓名:李钊 导师:王镇平

论文题目(中文):

论文题目(英文):The Increase of Kung Fu Expression in Hollywood Production from 1960s till Now

论文关键词(中文):东方主义,东方主义接触区,虚拟东方主义,好莱坞功夫作品

 

论文关键词(英文):Orientalism, contact zone of Orientalism, virtual Orientalism, Hollywood Kung Fu production

中文摘要:

在后殖民主义时代,东方主义是西方为巩固其文化霸权而统治东方的一种工具,它主要被用来显示西方文化的优越性。西方通过建构起一个不同于且落后于自己的东方,来获取自身的存在感和优越感。爱德华·萨义德引领了西方学术界对东方主义的思考和讨论,其中学者德里克根据Mary Louie Pratt的接触区理论,发展了东方主义理论,提出了东方主义的接触区理论,指出东西方在接触区内通过交流共同影响了西方对东方形象的建构,而学者Iwamura将东方主义融入美国媒体,提出了虚拟东方主义理论,指出了媒体对东方形象的强大建构力量。

在本文中所定义的好莱坞功夫作品是指加入中国武术元素的好莱坞影视作品。从上世纪六十年代开始,中国武术元素开始在好莱坞影视作品中出现,而李小龙的出现大大加速了好莱坞功夫作品的发展,但是由于好莱坞功夫作品是好莱坞影视工作者以西方观众为受众,将中国功夫融入西方这个大背景下的产物,因此像好莱坞对中国人形象的展示存在偏差甚至偏见一样,对中国武术形象的展示必然存在了一些错误甚至歪曲,这就是好莱坞利用东方主义维护西方文化霸权的显示。

本文即是利用东方主义的接触区和虚拟东方主义这两个理论来研究东方主义影响下的好莱坞功夫作品的发展状况。本文将好莱坞功夫作品分为三个发展阶段,每个阶段都有其鲜明的、不同于其他阶段的特征。本文分别用以上两个理论来研究每个阶段的中国与美国之间武术接触区的变化以及被刻画的中国武术刻板印象的变化,得出从第一阶段到第三阶段的过程中,好莱坞功夫作品中的接触区呈现出数量上不断增多、程度上不断加强的趋势,而中国功夫的刻板印象则呈现出了数量上不断减少、程度上不断减弱的趋势。本文通过这两个方面的变化得出结论:好莱坞功夫作品对中国武术的展示正走向一个更加接近真正的中国武术的方向

Abstract:

In post-colonial era, Orientalism is used to consolidate Western cultural hegemony and to the Western dominance and superiority over the East. By constructing a different and backward Orient as a contrast, the West confirms its existence and superiority. Edward Said stirred up the thought and discussion of the Western academic circles on Orientalism. Scholar Arif Dirlik, based on Mary Louie Pratt’s theory of Contact Zone, put forward contact zone of Orientalism, pointing out that communications between the West and the East in contact zones jointly influence the Western construction of the Orient. Jane Iwamura, after combining Orientalism with the media, raised the theory of virtual Orientalism, stating the strong constructive power of the media on the Oriental image.

In this paper, Hollywood Kung Fu production is defined as Hollywood productions with Chinese martial arts features. Since 1960s, Chinese martial arts began to appear in Hollywood productions and Bruce Lee largely accelerated this trend. However, Hollywood Kung Fu production is made by the Western filmmakers for the Western audience, there must exist some errors or even distortions in its expression of Chinese martial arts like what has happened to the Hollywood Chinese images. This is a reflection of Hollywood using Orientalism to sustain Western cultural hegemony.

By making use of the theories of contact zone of Orientalism and virtual Orientalism, this paper devotes to studying the state of evolvement of Hollywood Kung Fu production under the influence of Orientalism. The evolvement of Hollywood Kung Fu production is divided into three phases, with each phase having its own distinctive and different features from other phases. This paper studies the change of contact zones of martial arts between China and America, and of stereotypes of Chinese martial arts depicted by Hollywood, finding that through the three phases, the contact zones in Hollywood Kung Fu productions have been increasing in number and deepening in depth, while the Chinese martial arts stereotypes have an opposite trend. This means more and more understanding and knowledge held by Hollywood of Chinese martial arts. Based on the change of the two aspects, the paper concludes that the expression of Chinese martial arts in Hollywood Kung Fu production is approaching the authentic Chinese martial arts images.

姓名:任勃 导师:王心扬

论文题目(中文):日裔美国公民联盟对美国战时日裔拘禁政策的应对研究

论文题目(英文):The Response of Japanese American Citizens League to the Internment of Japanese Americans during World War II

论文关键词(中文):珍珠港事件;战时拘禁;日裔第二代;日裔美国公民联盟;身份认同

论文关键词(英文): Pearl Harbor incident; wartime internment; Issei; Nisei; Japanese American Citizens League; Nisei identity.

中文摘要:

日裔美国公民联盟是二战时期唯一的一个全国性的日裔二代移民组织。该组织旨在为二代日裔移民争取公民权利,保护他们免受种族主义迫害。珍珠港事件后,美国政府对日本移民采取了一系列严厉的逮捕﹑审查和限制措施,并最终发布了大规模拘禁令。日裔美国公民联盟承担了应对战时危机的责任。公民联盟对政府一系列针对日本移民的措施和命令都采取了积极合作的应对方式。大部分学术著作仅仅对公民联盟对战时囚禁政策的应对策略进行了简单叙述并表现出批评的态度但是对其采取这种应对策略的深层原因并未进行充分的探究。

本文旨在从二代日裔移民身份认同的角度对公民联盟的战时应对策略进行分析。文章采取历史分析和文本分析方法对公民联盟的战时应对策略进行研究。该文章一手材料来源于日裔传记文学、由公民联盟经管的报纸文章、联盟领导人的个人信件和公共演说稿、罗斯福图书馆收集的政府官员信件和公文等。文章同时参考了二手材料即战时囚禁研究专著和日裔移民研究专著。论述主体按照时间推进顺序分为四部分:第一章对珍珠港事件爆发前西海岸的日裔移民状况进行简单介绍,并重点介绍二代移民的成长经历和普遍性性格特点;第二章讲述公民联盟自成立到珍珠港事件前的成长历程,其使命定义和工作重心;第三章集中论述在珍珠港事件后到总统发布撤退令前夕这一事件段里公民联盟的工作重心和期望;第四章则探讨大规模拘禁令发布之后公民联盟的策略重心转移和联盟在撤退过程中发挥的作用。

本文认为公民联盟对美国政府的战时日裔囚禁政策的应对表现了其在二代移民身份认同问题上的选择,即与其父辈身份相反,二代移民应该建立作为美国公民的身份认同。同时公民联盟的应对策略代表了二代移民成长的初级阶段,并加速了日本移民内部的“朝代更迭”。从更为实际的角度来讲,公民联盟的应对策略使日本移民免受“血光之灾”,并为将来争取族裔权利的斗争保存了实力。

Abstract:

The Japanese American Citizens League (JACL) was established in 1929 and was the only national organization of second generation Japanese Americans (Nisei). The JACL aimed to secure and maintain citizen rights for the Nisei through assimilation. After the Pearl Harbor incident, Japanese American community leadership fell from the first generation leaders into the hands of the JACL. In coping with the crisis, the JACL adopted the strategy of full compliance and active cooperation with the government. The league has ever since been criticized for its active cooperation during the Japanese Americans evacuation. However, apart from overwhelming criticisms, there has been few in-depth analysis of the JACL’s war-time response.

This thesis attempts to analyze the JACL’s response to the U.S. wartime internment of Japanese Americans from the perspective of the Nisei identity. Applying historical and textual research methods, this thesis relies on Japanese American biographical literatures, personal letters of the JACL leaders, Pacific Citizen reports, the JACL leaders’ public statements and the league’s internal files as primary resources; and has tapped into secondary resources such as monographs on U.S. wartime internment and Japanese American history for inspirations on depicting the Nisei group character and the JACL experience.

The thesis consists of four parts following the time sequence: the first chapter analyzes the Nisei pre-war experience and their group character; the second chapter introduces the JACL experience before the war; the third chapter is a depiction of the JACL’s focus in the period from after the Pearl Harbor to the evacuation order; and the fourth chapter deals with shift of the JACL’s strategic focus after the announcement of the evacuation order. Finally, the thesis concludes that the JACL chose to cooperate with the government on Japanese American internment because it established the Nisei identity as loyal American citizens. The JACL marked the beginning of the Nisei growth and saved the Japanese Americans for future redress.

姓名:赵欣 导师:付美榕

论文题目(中文):富布莱特计划对中国学者职业素质的影响:基于京津地区富布莱特学友的实证研究

论文题目(英文):Effects of the Fulbright Program on the Professional Qualities and Achievements of Chinese Participants (2001-2011): Evidence from the Fulbright Alumni in Beijing and Tianjin

论文关键词(中文):国际教育交流计划;富布莱特项目;富布莱特学者;职业素质

论文关键词(英文):international educational and cultural exchange; Fulbright program; Fulbright participant; professional qualities

中文摘要:

美国长期致力于旨在增强其国际影响力的公共外交实践,一个最直接的方式是实施政府主导的国际教育交流计划。 其中,创建于1946年的“富布莱特计划”作为声誉最高、规模最大的“旗舰”计划,以增进美国与其他国家公民之间的文化、教育交流为目标,迄今已资助了155个国家的46.8万名具有学术才能和领导潜力的人文社科领域的专业人士。“富布莱特中国项目”自1979年恢复以来,已资助了1200多名中国学者赴美从事研修、教学及其他活动。1999年,富布莱特中国项目改由美国国务院与中国教育部共同出资管理,并逐步扩大资助规模;2012-2013年度获得资助的中国学者与学生接近100人,较2004年翻了一番,这反映了中美两国政府对该项目的重视和期待。在21世纪的国际局势下,富布莱特计划中国项目的实施效果如何?其既定目标是否得以实现?本文的研究背景与选题意义便在于此。

中外学者对美国国际教育交流计划的研究大都从公共外交与国家战略的角度展开,且普遍认为美国政府主导国际教育交流计划的实质是推行美国的文化理念和价值观,即“把他人转化为按美国人的思维方式进行思维的人”,促成全世界对美国的认同。就富布莱特计划而言,其目标与影响是多重的、远非局限于政治外交层面。中美富布莱特项目旨在通过民间文化交流互动深化参与者对美国的了解,自主形成对美国的认知。同时,通过跨文化的学术交流经历与经验提升富布莱特学者的职业素养,使参加者在各自专业领域积极进取、尽显才能。回国后,项目还期待富布莱特学者通过自己的专业和个人活动,推动供职院校教学改革,并为两国的交流发挥桥梁与纽带作用。但现有文献并未评估上述目标是否得以实现,因而本文填补了研究空白,并从“接受国” 项目参与者的视角探究了富布莱特项目的实施效果。

本研究采用定性研究方法,访谈对象为2001年至2011年期间获得富布莱特六个子项目资助的27名京津地区中国富布莱特学者,访谈内容涉及:参与者的申请动机;在美经历与感受;以及回国后的职业进取;参与国际交流项目学友活动;对项目机制的评价。基于访谈内容,本文就以下八个方面呈现了研究结果:(1)对富布莱特项目满意度,(2)对美认知的变化及个人素质的改变,(3)在美期间的职业收获,(4)回国后的职业进取,(5)回国后的涟漪效应,(6)国际交流项目学友活动的参与情况,(7)国际交流合作关系维护,(8)富布莱特项目管理评价。

访谈结果表明,虽然跨文化交流经历使中国富布莱特学者在学术规范、研究能力、教育理念和国际视野等方面有所提升,但回国后,学者普遍对于国际交流成果的利用、推广情况不理想,国际参与度不高。本文借助认知评价理论对研究结果进行解读,该理论认为,如果外在环境因素能够满足行为者对自主性、胜任感及关系支持的心理需求,则该环境能够提高行为者在这一行为过程中的内在动力;反之,则会削弱其内在动力。借助此研究框架,本研究发现,富布莱特项目对中国学者的影响成效大打折扣,主要是受制于参与者所在国家的文化制度因素。中国高校内的体制与价值观氛围直接导致了中国富布莱特学者自主性、胜任感、关系支持的缺失,削弱了他们开展高水准研究、推动供职院校教学改革、维持国际学术联系、助力中美院校交流合作的内在动力。此种削弱作用具体表现为:畸形的评价机制降低了富布莱特学者的研究水准,校方对教学安排的管控及官本位价值观的盛行阻碍了学者对教学改革的推动,沉重的工作负担更使学者无暇维系与美国学者的互动联系、推动中美院校交流合作。

本研究的意义在于它从项目参加者的视角探究中美富布莱特项目的实施效果,有助于深入了解富布莱特项目实际的影响力,也为中美及世界其他国家充分发掘富布莱特项目的价值提供了建议。同时,研究富布莱特项目也对我国正在兴起的国际文化教育交流具有适时的启示

Abstract:

The United States has attached great importance to public diplomacy, seeking to increase its influence on the international stage. As a key pillar of public diplomacy, the international educational exchange program has received more attention from the government. Since its inception, the Fulbright program, as an internationally acclaimed flagship academic exchange, aims at increasing mutual understanding between people of different cultures. Till now, the grants have been awarded to about 468,000 professionals from 155 countries. Since the renewal of the Fulbright program in China in 1979, over 1,200 Chinese scholars went to the U.S. to conduct research projects, teach, and pursue higher education. In 2004, the U.S. Department of State and the Chinese Ministry of Education agreed to expand the program and share the cost of funding individual U.S.-China Fulbright grants. Currently the Fulbright program grants awarded to the Chinese scholars has increased to nearly 100 each year, nearly doubled than the number in 2004. It indicates that both the Chinese and the U.S. government have shown increasing interest in expansion of the flagship Fulbright program. Against the backdrop of educational cooperation in the 21st century, this study is designed to measure the outcome of the Fulbright program in China and assessing how its goals are reached.

Scholars mostly view American exchange programs as an instrument of American public diplomacy. They believe these exchanges are designed to expose foreign publics to American ideals and cultures and to foster their sympathy with the United States. As it is, the Fulbright program is devised to serve more than the American political interests. It aims at furthering the participants’ understanding of the U.S. through social and cultural interactions with Americans. It also plays a pivotal role in enhancing participants’ professional capabilities and thus enabling them to transmit disciplinary insights, research and teaching techniques in their home institutions upon return. In addition, it encourages the Fulbright participants to foster an internationalist orientation and serve as a catalyst for creation of long-term scholarly relationships and establishment of institutional linkages between the institutions of the U.S. and of other countries. It is a pity that the existing literature on exchanges contains a small number of studies that have adequately assessed the effectiveness of exchange program in achieving the objectives illustrated above. Thus, this study fills the gap of existing literature by offering the perspectives of the Fulbright scholars from the “recipient country” on the outcome of the program.

The study draws on data mainly from in-depth interviews with 27 Chinese Fulbright grantees in Beijing and Tianjin. These participants have been awarded the Fulbright grants between 2001 and 2011. In the interviews, the Chinese Fulbright alumni share their perspectives on a range of factors essential for assessment: participants’ motivation to apply for the Fulbright grant; the experience and perception of the U.S.; benefits these exchangees have gained from the program during the sojourn; utilization of the professional gains from the Fulbright experience upon return; subsequent involvement in post-grant activities; and evaluation of the program mechanism. Based on the interviews, the study provides eight areas of qualitative findings concerning the professional qualities, namely (1) overall satisfaction with the Fulbright program; (2) changes in perception about the U.S. and in personal traits; (3) new knowledge and skills acquired from the Fulbright experience; (4) application of new knowledge and skills; (5) ripple effects of the Fulbright experience; (6) involvement in exchange-related activities after the Fulbright program; (7) subsequent international collaboration and contacts; (8) evaluation of the program mechanism/administration.

The findings revealed that the program is effective in enabling the Chinese participants to make profound professional advances during the grant. However, the Fulbright grantees are unable to sustain these developments or facilitate internationalization of their home institutions. The Cognitive Evaluation Theory (Deci and Ryan) indicates that the social contextual factors cause variability in intrinsic motivation. The environment can foster the people’s intrinsic motivation if the three innate psychological needs for autonomy, competence and relatedness are satisfied. Otherwise, it can undermine the people’s intrinsic motivation. Employing this theory, the study reveals that institutional and cultural factors determine the effectiveness of the Fulbright program. The Fulbright exhangees are unable to sustain the professional developments or facilitate educational reform in their home institutions, because they are restrained by Chinese institutional and cultural factors, including “tightened administrative control”, “excessive workload”, “irrational evaluation criteria”, and “value of official rank standard”. Thus, the study implies that the present unfavorable cultural and institutional factors in China undermine the effectiveness of the Fulbright program in reaching its goals.

This research is significant because it provides the perspectives of the Fulbright participants when examining the effectiveness of the Fulbright program. These perspectives offer some insights into the impact of the Fulbright program and shed some light on policies aiming to tap the full potential of the Fulbright experience for the benefits of China, the United States, and beyond. Meanwhile, it provides valuable experience for China’s rising educational and cultural exchanges.

姓名:齐盼盼 导师:付美榕

论文题目(中文):庚款留美科学精英对中国社会进步的作用—1948年中央研究院院士案例研究

论文题目(英文):The Role of the Boxer Indemnity Program Beneficiaries in China’s Social Development: the Case of the 1948 Academia Sinica Members in Natural Sciences

论文关键词(中文):自然科学家,庚款留美生,中央研究院院士

论文关键词(英文):Natural Scientists; Boxer Indemnity Beneficiaries; Academia Sinica Members

中文摘要:

中国年轻人留学美国的热情从未消减。二十世纪上半叶,美国政府退还庚子赔款资助中国学生赴美留学,旨在培养中国未来的领导人,改变中国社会的落后状态,传播美式价值观。学成归国的人中诞生了中国第一代科学家,他们的个人命运与中国社会进程紧密相连。近些年来,“民国热”持续升温。不同于一味追捧“民国大师”的媒体和学者,本文将探究庚款留美科学精英在中国社会进程中的作用,美国政府是否实现了预期目标,以及背后的深层次原因。

本文将1948年中央研究院第一届院士作为研究案例。53位当选的自然科学家中,25位受庚款资助赴美学习。此外,已故清华校长梅贻琦于1962年补选为中央研究院院士,鉴于清华与庚款的渊源,本文将研究包括梅贻琦在内的26位自然科学家。本文将依照26位科学家的自传、亲朋的回忆录、官方的历史记录等,用定性研究方法,评析他们的事业成就和社会角色是否符合美国的预期。

中央研究院院士中的26位庚款留美科学家与中国的科学教育近代化历程紧密相连。研究发现,虽然留美科学精英取得不斐的个人成就,但科学事业进步有限,中国社会并没有完成工业化。科学技术成果并非由社会内在需要驱动,也没有转化为生产力的进步。此外,留美科学精英展现出民族主义精神,推动中国问题研究的发展,为实现中国教育独立不断奋斗。爱国主义情怀,而不是美国教育奉行的价值观,决定他们的职业和人生选择。总而言之,庚款项目的设计者并未实现既定目标。究其原因,动荡的政治局面,民族主义的兴起,中国农业社会的现实都决定了目标长远的教育投资存在风险。从美国的立场而言,导致庚款项目无法实现预期目标的原因是无法预见和控制的。

Abstract:

Generations of Chinese students embark on the road to study in the United States. During the first half of the 20th century, American government remits the excessive amounts of Boxer Indemnities to sponsor the Chinese students, envisioning the program as an educational investment to cultivate a generation of Chinese leaders who would reshape China’s future and export American values. The destinies of returned scientists are closely related to the social progress of China. Increasing academic attention is paid to the intellectuals during Republican era these years. This thesis aims to investigate the role of the Boxer Indemnity Program beneficiaries in China’s social development and evaluate whether American government achieved the goal of Boxer Indemnity Program.

This thesis will examine the first batch of Academia Sinica members in 1948. Among the 53 academicians in natural sciences, 25 were sponsored by Boxer Indemnity Program. An exception is Mei Yiqi who serves as the president of Tsinghua University and gets elected into the Academia Sinica in 1962. The 26 natural scientists are the sample cases of this thesis. Qualitative approach is employed to interpret the autobiographies, memoirs and historical records concerning the professional trajectories of the sample scientists.

The 26 natural scientists were deeply and widely involved in the endeavor of science and education modernization in China. The research finds out that the scientists failed to instill industrialization in an agrarian society of China. The scientific achievements are not driven by social needs and they are not effectively translated into productivity. Moreover, the Chinese scientists generally demonstrate nationalistic outlook in promoting local sciences and advancing independent undergraduate education. The commitment to American scientific values was overshadowed by a strong sense of patriotism. Generally speaking, the Chinese scientists failed to meet the expectations of American architects of Boxer Indemnity Program. The underlying reasons are multifold. The turbulent political situation, the rise of nationalism and China’s reality as an agrarian society determine that long-term investment in intercultural education is highly risky. From the American perspective, the factors accounting for the failed cause are unpredictable and incontrollable.

姓名:张雨苓 导师:李莉文

论文题目(中文):外商直接投资和环境政策关系的量化分析:以美国三大制造业为例

论文题目(英文):The Relationship between Foreign Direct Investment and Environmental Policy: An Empirical Re-visitation of the Tradeoff in Three United States Manufacturing Industries

论文关键词(中文):外商直接投资 环境政策 美国制造业 阶层回归

论文关键词(英文):FDI Environmental regulation Manufacturing industries Hierarchical regression

中文摘要:

几个世纪以来,针对外商直接投资和环境政策之间关系的争论一直没有统一的结论。面对环境政策和外商直接投资之间此消彼长的对立关系这样一种论断,许多方面都颇为担忧。本文立足美国境内,试图回答的问题正是“保护环境的政策是否会阻碍外商直接投资?”、“外商直接投资的变化有多大程度是由美国环境政策的严格度所引起的?”

为了量化分析环境政策对外商向美国制造业的投资所带来的影响,本文重点分析三大美国制造业:石油、化学和原料金属。根据北美工业分类系统的四位编码,这三大制造业的代码分别是324,325,331。为更好的处理影响外商投资的一系列变量,考虑到它们在外商选择投资地址时的决策过程,估计模型中的变量被划分为传统经济因素变量和新生非经济因素变量。新生非经济变量包括地理位置、人口特征及政策特点等方面,研究表明它们对于外商投资有着越来越大的影响力。本文的非经济变量集中考虑政策因素的作用。根据外商投资者的选址程序,传统经济变量和政策变量又被分为地域之间和地区之内。最后应用阶层回归法来估计变量之间的关系。

将传统经济因素和其他政策因素作为控制变量,回归结果发现:环境政策的严格程度的确影响了外商的投资选择,但是并不像“污染庇护所”这一理论所言,严格的环境政策逼走了会产生污染的企业,使他们去环境政策及其监管落实方面更为宽松的欠发达国家投资,从而给这些国家带来更多污染,进而形成“污染天堂”。与其他的变量相比,如交通成本、劳动力成本、产业聚集力,环境政策并不是一项有力的决定因素。它能解释外商公司雇员变化的58%,但却不能解释外商公司数量的变化。这一点可能说明企业在环境政策发生变化时并不是一味关闭工厂,选择新投资地点,他们可以通过调整产品结构或者精简员工的途径来应对新的政策变化带来的成本提高。政策的影响具有高度的情景特异性,即不同的情况下企业有着不一样的应对方式。因此,在没有对其他未观察到的因素做出全面的分析时,断然对环境政策的影响下结论或者提出对策是不可行的。

该研究对环境政策和外商直接投资这一课题的贡献有两个方面:首先,在理论上,本文提出了一个综合的理论框架,囊括了传统的市场因素,全球化带来的新生因素和能够解释环境政策变化的因素;其次,在研究方法上,本文结合了阶层回归和变量的逐步进入法,使进入回归模型的变量都有统计意义,同时在一定程度上控制共线性问题。这一点与以往的研究形成了对比,不再使用简化的模型,避免了许多跨地域异质性因素的遗漏,更是考虑了环境政策自身的变化因素,为研究结果的稳健性做好铺垫。

Abstract:

The debate on the relationship between foreign direct investment (FDI) activities and environmental regulation has lasted for several decades without consistent conclusion. The alleged tradeoff between environmental policy and FDI has raised alarm for many parties. It is the interest of this thesis to answer the question that does environmental protection policy deter FDI, if so, to what extent would the changes of FDI in the U.S. be attributed to regulatory stringency?

To estimate the magnitude of the influence of environmental policy on U.S. domestic manufacturing industries, the thesis focuses on three subsectors: petroleum, chemical, and primary metal, coded as 324, 325 and 331 by the four-digit North American Industry Classification System (NAICS). Variables in the model are categorized into traditional economic and new noneconomic (policy) factors, the latter of which reflex geographic or demographic characteristics and policy features that are found to have increasing importance for foreign investment. They are further divided into inter-regional and intra-regional attributes based on the site-selection process of foreign investors. Hierarchical regression is adopted to estimate the relationship among independent and explanatory variables.

With traditional economic factors and other policy factors as control variables, the regression results indicate that environmental policy stringency does affect location choice, but not as stipulated by the pollution haven hypothesis, which argues that stringent environmental policy drives away industries to less developed countries where environment degrades and “pollution haven” emerges. However, it is not a strong determinants compared to other variables as transportation, labor, and agglomeration force. It has explained 58% variance in employment changes of foreign establishments, while obtaining no statistically significant effect on numbers of establishments. This fact suggests that firms respond to environmental policy changes by adjusting production structures or streamlining labor force instead of simply opening new plants or closing existing ones. The influence of policy is highly context-specific, which cautions arbitrary conclusion on its effect and relative countermeasure without comprehensive investigation of other unobserved determinants.

This study contributes to the general topic on environmental policy and FDI in two ways: 1) theoretically, an integrated framework of this relationship is introduced to restore the interaction among traditional market factors, emerging elements from globalization, and variables influencing the changes of environmental policy; 2) methodologically, the combination of hierarchical regression and stepwise variable selection technique enable the entrance into the model of the most significant explanatory variables, meanwhile, control the multicollinearity problem. This contrasts with previous literature, which either used reduced-form models which cannot control for many unobserved differences across regions, or omitted any possible factors that may impact the quantified environmental policy stringency.

姓名:李志杰 导师:梅仁毅

论文题目(中文):中美两国在对方全国民调中的形象研究

论文题目(英文):U.S. and China Images in Each Other’s National Polls

论文关键词(中文):国家形象;公众态度;全国民调;外交政策;中美关系

论文关键词(英文):National Image; Public Attitudes; National Polls; Foreign Policy; U.S.-China Relations

中文摘要:

国家形象是“国际社会公众对一国相对稳定的总体评价”。在一定程度上,一国对另一国的形象判断决定了其对另一国外交政策的制定和执行,而一国公众对另一国的态度/看法可以影响该国政府对另一国的形象判断,因此,了解和研究一国公众对另一国的态度/看法具有重要的现实意义。

在当今世界众多的双边关系中,中美关系可能是最重要的双边关系之一,而一直以来中美关系又是起伏不定的,因此了解并分析中美两国公众对对方的态度/看法,考察中国公众的美国观和美国公众的中国观,即中国人心目中的美国形象和美国人心目中的中国形象,并进而分析公众态度/看法与中美两国形象之间的关系,对中美两国及世界都具有十分重要的现实意义。

本文以2005-2013年英国广播公司国际部“国家排名调查”、皮尤调查中心“全球态度项目”、百人会、环球时报、中国社会科学院美国研究所的全国性民意调查为主要研究对象,通过分析对比调查数据、调查问卷的时间、问题、相互之间的异同、客观性等,试图了解并分析中美两国公众对对方的态度/看法,考察中美两国在对方全国民调中的形象以及该形象的来源,并进而分析态度/看法与中美两国外交政策之间的关系。此外,论文还探讨了不同的民意调查得出中美两国在对方全国民调中不同形象的原因。

本文同时使用定量和定性分析的方法。定量分析主要侧重调查报告的数据,定性分析侧重问卷问题和词汇色彩。定量分析发现中国的美国形象和美国的中国形象差不多,正面观点基本都在40%到50%之间浮动。但是总体而言,中国人眼中的美国形象更容易受到特殊事件的影响,也更加负面一些。

通过分析发现,与多数学者认为的中国人对美国和美国人的印象有区别,中国人对美国和美国人的印象是一致的。此外,不论是中国人看美国,还是美国人看中国,都表现出一种亦褒亦贬的矛盾。

论文还对中美两国公众对美中两国整体的好恶感,以及好恶感的来源进行了探讨。

最后,论文对决策者给出了自己的建议。

Abstract:

National image is the international community’s relatively stable overall assessment of a country. To certain extent, one country’s image judgment of another country decides the formulation and implementation of its foreign policy toward another country, while one country’s public attitudes toward another country influence its image judgment of another country, thus, it is necessary to understand and analyze one country’s public attitude toward another country.

Among the various bilateral relations in the world, U.S.-China relations is probably “the single most important one”, both for themselves and for the world. However, U.S.-China relationship is not a stable one, even after the U.S.-China rapprochement and the end of the cold war there have been ups and downs in U.S.-China relations. Thus, it is of great significance to understand and analyze U.S.-China public attitudes toward each other, study U.S.-China mutual images, the source of such images, and analyze the relationship between public attitudes and U.S.-China mutual images.

This thesis, based on the survey reports of BBC World Service Country Rating Poll, Pew Global Attitudes Project, Committee of 100 (C-100), Global Times, and the Institute of American Studies (IAS) at the Chinese Academy of Social Sciences (CASS) from 2005 to 2013, by analyzing and comparing the original survey data conducted in both countries, the filed dates, the survey questions, and the objectivity of the questionnaires, tries to understand and analyze U.S.-China public attitudes toward each other, find out U.S.-China mutual images in each other’s national polls, the sources of such images, and the relationship between public attitudes and the foreign policies of the two countries. The thesis also tries to see the reason why different national polls have different survey results.

In this thesis, both quantitative and qualitative analysis will be used. Quantitative analysis mainly focuses on the survey data, while qualitative analysis mainly focuses on the survey questions and the wording of the survey questions.

Through quantitative analysis, the author finds that U.S.-China mutual images are basically stable. On average, China’s positive views of the U.S. and U.S. positive views of China is around 40% to 50%, increase or decrease sharply only in response to certain events. But, in general, China’s view of the U.S. is more inclined to be event-driven, and more negative.

Through the study, the author also finds that contrary to many scholars’ expectations that Chinese images of U.S. government and the American people are different, China’s image of the American people is remarkably consistent with that of the country. Besides, there is a contradiction in each other’s views of the other country.

The thesis also discusses about the most favorable and the most unfavorable images of the two countries, and the sources of such positive and negative views.

At the end of the thesis, suggestions will be provided for the policymakers.

姓名:詹雨亭 导师:闫循华

论文题目(中文):投票类型和总统效应:众议院党派凝聚力影响因素探究,1953-2004

论文题目(英文):Vote-Type and Presidential Influence: Explaining Party Unity Variation in the House of Representatives, 1953-2004

论文关键词(中文):党派凝聚力,跨党派投票,程序性垄断理论,总统影响力;多元线性回归分析

论文关键词(英文):unity, cross-voting behavior, procedural cartel theory, presidential influence, multivariate linear regression

中文摘要:

本文旨在探讨众议院党派凝聚力的影响因素,解释党派凝聚力在单次记名投票中的变化规律并比较分析该规律作用于不同政党时的效力差异。在以往的学术研究中,党派凝聚力多以“党派凝聚力指数”(Party Unity Scores)来衡量。本文认为,该衡量方法忽略了跨界投票比例的浮动以及单次记名投票的独特背景和影响因素,因而具有较大的局限性。因此,本文采用著名学者莱斯提出的莱斯指数(Rice index)来探讨记名投票层面的凝聚力变化影响因素。

基于国会党派政治以及行政-立法机构关系相关领域的研究成果,以及“集体-个人利益博弈”的分析框架,本文提出两条理论用以解释记名投票层面的凝聚力变化:其一为有条件的程序性团结投票理论,其二为有条件的总统立场效应理论。前者认为,由于党派领袖压力、投票显著性、以及党派内部意见统一程度的差异,党派凝聚力在程序性投票中最强,在修正案投票中最弱。需要指出的是,以上投票类型和党派凝聚力的关系更适用于党派冲突较强(即两党大多数成员意见相左)的情况,并且更能有效地反映多数党的凝聚力变化,因为多数党较少数党在立法程序的控制上有更明显的权力优势。基于以上分析,本文提出三条补充理论,确立程序性团结投票理论适用的前提条件,并指出多数党和少数党之间的差异:多数党比少数党在程序性投票和最后通过表决投票中有更强的凝聚力;而少数党在修正案投票中的凝聚力高于多数党。

本文第二条理论旨在分析总统在记名投票上的立场对党派凝聚力的影响。通过公开表明在特定投票上的立场,总统可以对各党成员的投票方向施加压力,并导致两党凝聚力的变化。本理论认为,当总统与一党立场相左,该党将有更多成员跨界投票,进而削弱该党的凝聚力。同样,需要指出的是,由于总统能给同党议员提供更多有价值的回报,其对同党议员的影响力高于对反对党议员的影响力。 此外,由于多数党和本党成员的合作关系更为紧密,多数党总统比少数党总统更容易吸引本党跨界投票的支持。

基于以上理论,本文建立了一组多元线性回归模型,以探讨投票类型和总统立场对党派凝聚力的影响。同时,作者还控制了系统层面的变化因素—后众议院改革阶段的政党极化现象以及国会选举对党派凝聚力的影响。基于对1953年到2004年所有记名投票的分析,作者得出以下结论:在满足前提条件的情况下,本文提出的理论能有效地解释党派凝聚力在记名投票层面的变化,且多数党和少数党呈现出明显不同的凝聚力变化规律。

该研究对党派凝聚力这个课题的贡献主要有以下几个方面:首先,通过跨党派的比较分析,研究解释了多数党和少数党之间权力及资源分配与两党凝聚力之间的关系。其次,通过分析党派及个人利益的博弈,本文为党派投票策略研究提供了可行的理论框架和有价值的见解。再者,针对总统立场对党派凝聚力的影响,本文比较了同党总统和反对党总统,以及多数党总统和少数党总统之间的影响力差异,从而进一步完善了行政-立法关系领域的研究方法,并且为不同党派总统国会投票支持率的差异提供了一种合理的解释。

Abstract:

This paper attempts to explain party unity variation at roll call level, as well as to analyze the asymmetries of voting patterns between different party groups. While conventional measures like party unity scores are effective at aggregate level, they fail to capture the variation in voting defection and the unique context of each roll call that contribute to the shaping of voting coalitions on the floor. Thus, the author chooses to adopt the Rice index that overcomes these limitations to estimate party unity.

Drawing upon the findings of the previous studies on congressional organization and executive-legislative relations, this research employs a framework of the game between collective and individual preferences and falls back on two major theories: conditional procedural-unity-oriented voting theory and conditional presidential-position-oriented cross-voting theory. According to the former, party unity is strongest in procedural votes and least so in amendment votes, because different vote-types denote different inherent controversy, salience and party pressures. This association between vote-type and party unity is conditional in that it is only operative for partisan occasions (party unity votes) where party unity is essential to win the vote. Also, the theory is more likely to hold for the majority party than for the minority party, since the former has a bigger stake in and a greater power over the procedural proceedings, whereas the latter’s right to challenge is mainly invested in the amendment process. Based on these deductions, we point out three subordinate claims to complement the theory, defining its premises (partisan conflict, majority status) and shedding light on cross-party asymmetry in voting—unity in procedural and final passage votes is greater for the majority, whereas that in amendment votes is greater for the minority.

The second theory addresses the influence of presidential public position taking on party unity—when the president disagrees with the party, the party’s unity decreases, because more legislators are willing to defect out of electoral incentives and other personal preferences. This theory is also conditional in that it works better for co-party presidents but less so for opposition-party presidents, since presidential reward for loyalty is exclusive to fellow partisans and the MCs have more incentives to follow their own party’s presidents. Additionally, the majority-party presidents are more influential than minority-party presidents, because the former work more closely with their co-partisans whereas the latter’s reliance on bipartisan support reduces their leverage to some extent.

Based on the results of our multivariate regression models, when controlling for system-level influences like party polarization in the postreform era and congressional election years, our theories fare well in explaining variation in party unity from vote to vote. When the conditions are met, both vote-type and presidential position are significant determinants of party unity, and there is a clear cross-party asymmetry as to in what way and to what extent these factors influence party unity.As predicted, the above factors appear to exert an unbalanced influence over the majority party and the minority party.

Through cross-party comparisons, this study contributes to the literature by offering valuable insight into how asymmetries in power shape asymmetries in unity. Also, it sheds light on the voting strategy of each party by delving into the interaction between collective preferences and individual preferences. Additionally, through the investigation of how presidential positions divide parties internally, this thesis analyzes the difference between co-party and opposition-party presidents, as well as that between majority and minority presidents. Such discussions contribute a congressional-centric perspective to the studies on executive and legislative relations, and provide a plausible explanation for the different legislative performance of different party presidents.

姓名:王鼎 导师:陈崛斌

论文题目(中文):A Tango between Elite and Mass Politics: Exploring the Electoral-institutional Dynamics of Party Polarization in the Post-reform House,1973-2012

论文题目(英文):精英和群众政治的探戈——探析选区和制度因素对国会改革后众议院中党派极化的动态作用:1973-2012

论文关键词(中文):政治极化 众议院 选区因素 制度因素

论文关键词(英文):party polarization; post-reform House; electoral dynamics; institutional dynamics

中文摘要:

美国国会两党间的政治极化现象,,一直是近年来美国政治研究的学术热点之一。现有的众多研究成果普遍只分析选区结构或是国会机制改革对政治极化的影响程度,很少有学者将两方面因素合二为一形成一个整体理论。然而,若想探究国会中两党极化背后的动力,则须兼顾选区和制度两方面因素,以及二者是如何协同作用加剧了党派间的政治极化。

本文的研究目标为1973年至2012年间国会中众议院的极化程度以及其与上述选区和制度两方面因素间的关系。在这段时间内,众议院经历了各种机制改革和制度变化,同时,各个众议员的选区中也发生了深刻的人口统计变化,改变了选民的投票结构。选区因素主要包括南方党派重组、国会选区的重新划界以及党派激进分子在初选中的作用;制度因素主要包括由70年代国会制度改革引起的权力转移,权力由国会委员会主席逐渐转移向党派领袖。通过党派领袖对党内成员在立法过程中的影响和控制,两党由此在立法制度和政策方针各方面更加统一。

本研究利用政治学中现有的政党理论,将政治极化量化为党派间的差异性和党派内部的聚合度。通过建立回归模型,分别测量选区和制度因素与这两个变量之间的相关性。本文指出,选区因素主要加强了党派间的差异性,而制度因素则主要导致了党派内部聚合度的增长。两者的作用相辅相成,加剧了国会改革后期众议院两党的政治极化。

此外,本文还探究了选区和制度因素是如何协同作用的。文中指出民众和精英间政治信息的传递需要由自下而上和自上而下两方面衡量。党派机构在此间起了媒介的作用。只有通过了解选区和制度因素间的互动作用,才能更深刻的理解众议院党派极化背后的机制。

Abstract:

Party polarization, the ideological homogeneity within and the heterogeneity between the two parties in Congress has been the academic focus of American political science studies for decades. Nonetheless, explanations of its emergence remain incomplete. While extant literature have leveraged different party theories and time series studies to measure the impact of various electoral and institutional factors on congressional polarization, few studies have offer an integrated analysis of both dynamics and how the two mechanisms interact with each other to produce the synergetic effect on political polarization.

To fill up this lacuna, we need to explore the electoral-institutional dynamics from a holistic perspective. The study focuses on polarization in the post-reform house from 1973 to 2012. Throughout this time period, the House has undergone profound institutional reforms that alter the nature of party leadership and the agendas, rules and procedures of party members’ voting behavior. And at the same time, the electoral bases of House members have also experienced a series of demographic changes that restructure party competition at the grass roots.

In order to gauge the impact of these electoral and institutional changes in the last four decades on party polarization in the House, I leverage the spatial theories and dimensional analyses by dividing the measurement of polarization into two subsets: intraparty cohesiveness and interparty distance, quantifying both with first-dimension DW-NOMINATE scores. I then measure how much influence do electoral and institutional factors exert upon these two indicators with regression models. I find, generally speaking, the electoral factors provide much of the dynamics for the growing interparty distance, while institutional factors largely account for the rising intraparty cohesiveness. Taken together, these two dynamics work as complementary pieces for explaining party polarization in the post-reform House.

Moreover, I argue that to understand how these two dynamics interact with each other, we must assess the transmission of political messages between mass and elite polarization from both bottom-up and top-down perspectives. Only when the changes within the constituency interact with institutional changes in Congress through party institutions does the complete picture of party polarization come into clearer focus.

姓名:石小璐 导师:李莉文

论文题目(中文):美国对待中国企业赴美收购兼并是否充满敌意?

论文题目(英文):U.S. Hostile towards Chinese Cross-Border Mergers and Acquisitions (Mundefinedamp;As)?

论文关键词(中文):赴美投资,收购与兼并,美国外国投资委员会

论文关键词(英文):Chinese Investment in the U.S.; Mergers and Acquisitions (Mundefinedamp;As); CFIUS.

中文摘要:

自从中国政府在1997年宣布“走出去”战略到今天,中国的企业已经几乎遍布世界各个角落。但随着中国产业的提升和转型,特别是2008年金融海啸后,中国企业已经逐渐改变了早期单一的能源和基础设施投资,进入到了技术金融服务等高端领域。美国作为世界最为发达和先进的经济体,也成为了中国企业最受欢迎的投资目的地之一。中国对美国投资起步晚但增幅快。在2013年已高达17亿美金,而这一趋势还在继续。但是在过去十年里中国企业在美国的投资可不是一番风顺,在中国国内引起巨大争议的几个海外投资案件均发生在美国(例如:中海油兼并尤先科,华为收购3Leaf, 三一风电被总统叫停等)。这些具有争议和失败的案例在中国国内产生了非常负面的影响,中国政府和大多数学者媒体均认为中国企业收购和兼并(mergers and acquisitions)在美国受到了不公正的待遇,遭受到美国国内政治的阻挠和投资安全检查机构的歧视性对待。但是面对中国的质疑,美国政府和学界却认为他们的投资市场对中国企业和其它国家同样自由开放。

本文通过话语分析的方法研究了中国政府,学者和媒体发布的各种文本和演讲来确定中国对美国投资环境的态度,也以同样的方法分析了美国政府文件,智库和私人咨询公司来确定美国是如何看待中国赴美的收购和兼并,并且探寻美国的担忧和欢迎分别是什么。之后,对于中国企业赴美收购兼并的环境,文章研究了中美两国存在巨大认识差异的原因,以及美国是否真正存在对中国企业歧视。此外,在研究美国外国投资委员会(CFIUS)时,本文使用了数据分析的方法,通过收集分析官方和非官方的数据得出中国是否受到了不公正待遇。

通过分析本文得出以下结论,美国的投资市场的大门同样对中国企业开放,中国企业已经默默地在美国取得了成功,但是一小部分具有争议的案例主要是由于中国企业对美国政府的担忧,美国国内政治结构,以及安全检查机构运作的不熟悉所致,而且美国对于不同的行业和领域有着不同的审查程序和态度,甚至许多领域根本不需要审查。所以,人们使用唯一一种态度去描述美国对华的收购和兼并也是不妥的。而且随着中国企业经验的积累和对美国投资市场的了解,之前那些无谓的失败会越来越少,并且最近几年那些过去失败了的企业又重新在美国取得了成功。所以中国企业应该卸下思想上的包袱,积极准备,大胆地向美国投资市场进发,提升自己在全球的品牌,技术,管理和市场。

Abstract:

From the year of 1997 in which Chinese government ushered in the “Going Out Strategy” to today, Chinese companies have mushroomed in every corner of the world. As the Chinese industry is developing, along with the growing pressure of upgrading, Chinese enterprises have gradually changed from the single, conventional investment mode, such as natural resource procurement and infrastructure at the outset, to the present investment focusing on high value-added industries, such as technology, service and finance. The 2008 financial crisis further accelerated this momentum. The United States, the biggest economy as well as the most advanced industrialized countries in the world, turns into one of the most popular destinations for Chinese investment. Although Chinese investment has been in the U.S. not for a long time, it has already become the one with the fastest growing pace. In 2013, the total value of Chinese investment in the U.S. climbed to $1.7 billion. This trend is still carrying on. However, the Chinese companies’ road to investment in the U.S. was not smooth, and several controversial Chinese outbound investment cases all occurred in the U.S., such as the CNOOC’s takeover of Unocal, Huawei’s merger of 3Leaf and Sany’s takeover blocked by U.S. President. These failed or controversial deals left very negative impression on Chinese companies. Chinese government, most of scholars and media claim that Chinese mergers and acquisitions (Mundefinedamp;As) were unfairly treated, and subjected to the discriminatory security scanning of the U.S. national security agencies including the Committee on Foreign Investment in the United Sates (CFIUS). Nevertheless, faced with the Chinese suspicions, the U.S. government and scholars say that the U.S. investment market is as open to Chinese companies as to any other countries’.

Through analyzing the contents of Chinese government’s press briefings, speeches and reports, scholars’ researches and the media coverage by way of the discourse analysis, this paper ascertains the Chinese attitudes towards U.S. investment environment. In the similar fashion, it studies how the U.S. views the Chinese companies’ attempts to do Mundefinedamp;As in the U.S. as well as what the U.S. concerns and interests are respectively. After that, the paper looks for the reasons why there exists a huge recognition gap between the U.S. and China in terms of the U.S. environment for the Chinese Mundefinedamp;As, and studies whether the U.S. really discriminates the Chinese companies. What’s more, When studying the CFIUS, this paper employs the data analysis approach to collect and analyze the official and unofficial data in order to see whether the Chinese Mundefinedamp;As are unfairly treated in the U.S.

After the analysis and study, the paper reaches the conclusion that the U.S. investment market is open to Chinese companies as well, and Chinese companies have already made huge accomplishments quietly in the U.S. However, the controversies and failures of some Mundefinedamp;A deals attribute to that Chinese companies’ unfamiliarity with the U.S. concerns, the U.S. domestic political systems and the function of U.S. investment security regulation agencies. In addition, the U.S. attitudes vary according to the change of industries and fields, and even, some industries are not subject to any security review at all. Therefore, the single term to describe the holistic U.S. attitudes towards Chinese Mundefinedamp;As is inappropriate. Moreover, with the accumulation of Chinese companies’ experience and more thorough understanding of the U.S. market, the problems that led to the Chinese companies’ failure in the past occur less nowadays. And some companies that failed in the past succeeded recently. Therefore, Chinese companies ought to get rid of the mental burden, actively prepare, and bravely stride in the U.S. Mundefinedamp;A market. Only in this way can the Chinese companies publicize their global images, improve technology and management capability, and increase market share.

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