姓名：王亚梅 导师： 梅仁毅

论文题目（中文）： 努力重获失去的领导权：奥巴马气候变化政策解析

论文题目（英文）： Attempt to Regain the Lost Leadership：Obama’s Climate Change Policy

论文关键词（中文）：美国, 奥巴马政府, 气候变化政策, 领导权, 新能源经济

论文关键词（英文）：The United States, The Obama administration, Climate Change, Policy Leadership, Clean Energy, economy

中文摘要：

全球气候变暖已经成为全人类所面临的重大挑战，世界各国对这一全球性的问题都给予了前所未有的重视。解决这一问题需要世界各国同心协力，然而由于受到经济、政治等诸多因素的制约在解决这一问题的时候很多国家都采取了消极短视的态度。作为全球最大的经济体，美国的气候政策对于解决这一问题更是具有举足轻重的作用。历届美国政府的气候政策都以美国的国家利益为出发点，虽然取得了一些进步，但是总体上态度消极。奥巴马政府执政后，迫于国际社会的压力和基于现实的考量，对上届美国政府的气候政策做出了一定的调整，在应对气候变化的政策立场、具体措施和立法进程等方面取得了一定的进展。本文应用领导权理论系统分析和阐述了奥巴马政府的国际、国内气候变化政策，以期对其获得一个全面、准确的认识。

本文汲取了众多学者对美国气候政策研究的成果，着重对美国小布什政府无视国际社会的努力断然退出《京都议定书》致使美国丧失了在气候变化政策领域的国际领导权及奥巴马政府上台后致力于重塑美国负责任大国的形象，力图在国际社会展现出积极应对全球气候变化的态度，进而企图重获美国失去的领导权的策略进行了详细的研究。

通过对比奥巴马政府和小布什政府在国际气候框架下应对全球气候变化的不同表现，探究两届政府气候政策发生转变的原因。2001年小布什宣布美国退出《京都议定书》致使国际社会应对气候变化的步伐停滞不前。这一决定出台的主要原因在于小布什政府坚信科学技术的发展终将帮助人类解决导致气候变化的问题，而限制排放将会阻碍美国经济的发展并进而对美国霸权产生影响。这一举措对美国国际形象和软实力造成了很大的损失。奥巴马上台后试图通过多边、双边及在联合国框架内的各种努力试图重获美国在应对气候变化方面的国际领导权，重塑美国大国形象。

奥巴马政府在国内推行了一系列应对气候变化的政策和措施，在美国国内极力倡导推行新能源经济，以期进一步加强美国在能源和经济领域的领先地位进而巩固美国的世界霸权。但是美国国内各州和利益集团出于对自然资源和经济利益的考虑在应对气候变化方面行动迥异，这就进一步制约了美国国内气候政策的实施和气候立法的进程，而且来自国会的重重阻力更使奥巴马在推进气候变化政策立法方面难上加难。奥巴马政府力图重掌国际气候政策领导权，但是出于对美国经济等因素的考量仍然拒绝接受任何形式的减排承诺。

综上所述，奥巴马政府在应对气候变化方面做出了一定的努力，取得了一定的成就，但是前景并不乐观。中期选举后共和党重掌众议院，这将对奥巴马政府气候变化政策的立法进程形成更大的阻力。此外，2012大选年即将来临，为了寻求连任，奥巴马很可能在接下来的两年内无所作为，所以他重获美国在气候变化方面的国际领导权的想法很难实现。由于美国拒绝接受任何形式的减排承诺，所以国际社会应对气候变化的努力也难以取得实质性的突破。

Abstract:

Global warming has become a major challenge faced by all mankind, and countries around the globe have increasingly attached unprecedented importance to this issue. To solve this problem requires concerted efforts from all countries on the earth. However, many have adopted a negative and short-sighted attitude toward it due to economic, political, and many other factors concerned. As the world’s largest economy, America’s climate change policy has played a decisive role in solving this problem. Though some progress has been achieved, previous U.S. governments’ climate change policy put U.S. national interests as its starting point and on the whole they adopted a negative attitude toward it. Under international pressure and out of practical considerations, the Obama administration has adjusted U.S. position on climate change, and gained certain progress in specific measures and legislative process. This paper applies leadership theory to analyze Obama’s climate change policy both at home and abroad with an aim to gain a comprehensive and proper understanding of it.

Based on previous scholars’ researches on U.S. climate change policy, this paper conducts a detailed analysis of the Bush administration’s retreat from the Kyoto Protocol regardless of the international community’s efforts which caused the loss of U.S. leadership in global governance of climate change, and the Obama administration’s commitment to rebuild U.S. image as a responsible country through its active attitude toward climate change in the international community with an ultimate goal to regain that lost leadership.

This article attempts to explore the reasons for a shift in climate change policy by a comparison of different performances between the Bush administration and the Obama administration within international framework to address climate change. In 2001 George W. Bush announced U.S. withdrawal from the Kyoto Protocol which stalled the pace of international efforts to combat climate change. The main reason was that the Bush administration firmly believed that the development of science and technology would eventually help people to address the problem of climate change, and to limit emissions would hamper U.S. economic development and thus have an impact on the U.S. hegemony. That withdrawal caused great damage to the U.S. image and its soft power in the international community. After taking office, Barack Obama tried to regain U.S. leadership in global governance of climate change and reshape U.S. international image through bilateral, multilateral, and various other actions within UN framework.

The Obama administration has embarked on a series of actions domestically to address climate change and strongly advocated new energy economy at home to strengthen U.S. leadership both in energy and economy and further consolidate U.S. hegemony in the world. However, U.S. local governments and interest groups have taken starkly different actions to climate change out of their considerations of natural resources and economic interests, which restricted the implementation of U.S. climate change policy on the domestic front and impeded the process of climate legislation. Moreover, obstructions from Congress have additionally made Obama’s climate legislation difficult. Though the Obama administration attempts to regain the leadership in international climate change policy, it continues to reject any form of mandatory emission commitments out of economic as well as other considerations.

All in all, the Obama administration has made certain efforts and achieved some progress in response to climate change, but the prospect is not that optimistic. After 2010 mid-term election the Republicans controlled the House of Representatives. It would bring much greater pressure for the Obama administration to pass climate change legislation. Besides, upon the upcoming of 2012 election year, in order to seek re-election, President Obama is likely to do nothing substantial in the next two years. Hence his attempt to regain U.S. leadership in international governance of climate change will remain unattainable in the foreseeable future, and there will be no constructive breakthrough in global climate change efforts in that the United States refuses to accept any binding emission target.

姓名：杨馨 导师： 梅仁毅

论文题目（中文）： 变化与延续: 从美国大战略角度看奥巴马任内美国对朝政策的演变

论文题目（英文）： Changes and Continuities of US-North Korean Policy under Obama Presidency—From US Strategic Perspective

论文关键词（中文）：美国对朝政策 奥巴马政府 大战略 变化 延续

论文关键词（英文）：US-North Korean Policy, The Obama Administration, Grand Strategy, Changes continuities

中文摘要：

从奥巴马上任至中期选举的22个月里，美朝关系发生了新的变化。本文通过探讨这段时期美国对朝鲜政策的动向，从美国整个东亚大战略的角度整体上回顾并分析了美国对朝的变化与延续、分析了变化成因以及得以延续保持的动因。为考察朝鲜问题在美国对外政策中的地位，文章首先利用美国《国家安全战略》等文本分析了冷战后克林顿政府、小布什政府以及奥巴马政府的大战略。从克林顿政府提出的“参与与扩展”为基本思想的国家安全战略、9•11以后小布什政府提出的“先发制人”战略到奥巴马政府的新国家安全战略都是以追求美国的国家安全利益和推行美国的民主价值观念、追求绝对军事优势、建立以美国为主导的世界格局为最终目标的。文章接着回顾并评析了克林顿政府至小布什政府对朝鲜实施的具体政策，两者在两个任期里都实现了对朝政策从强硬到接触的快速转变，并且在各自任期末期双方达成了1994 年的日内瓦《框架协议》、2005年的《9 •19共同声明》和2007年的《2•13落实共同声明起步行动》。在布什后期，尽管布什政府通过六方会谈的多边形式加强与朝鲜的接触与对话，但由于双方的互不信任和误解，朝核问题的顺利解决仍然无望然而。总体来看，冷战后克林顿政府和布什政府一直以来缺乏一套对朝的明晰一致的战略，这也导致美朝关系的波动较大。奥巴马政府上任后，面对着美国经济实力和整体形象的下降而提出了“重振美国，领导全球”的大战略。面对朝鲜退出六方会谈、开展第三次核试验等一系列挑衅行为，奥巴马政府试图运用“巧实力”打破朝鲜用制造危机的手段获得奖励的怪圈。它一方面加大了与国际社会反核扩散的力度以孤立、制裁朝鲜，另一方面灵活运用穿梭外交、军事会谈等方式与朝鲜接触。此外，奥巴马政府还利用“天安号事件”为契机在朝中附近的海域举行大规模军事演习，展示了“巧实力”的强硬面。在奥巴马任期的短短22个月里,美国利用朝核问题稳固了美日韩军事同盟，并企图遏制中国在该地区的影响,从而巩固它在东亚地区的整体战略布局。

Abstract:

This thesis analyzes and evaluates US policies towards North Korea in addressing the North Korean nuclear problem in the first twenty-two months under the Obama administration. Using historical and comparative analysis, it examines the changes and continuities of US-North Korean policy in the Post-Cold War era conducted by the Clinton administration, the George W. Bush administration and the current Obama administration from the perspective of the US grand strategy. Recognizing the limits of American power and its diminished world stature, the Obama administration adjusts its national security strategy to a prudent grand strategy that emphasizes “engagement”. It developed a pragmatic approach towards North Korea that moves to change the decades-long dynamics of chasing after Pyongyang. In the interim period of North Korean leadership transition and Six-Party Talks inactivity, the Obama administration redoubled efforts to stop North Korean proliferation activities by building a more expansive agenda of nonproliferation and strengthening alliance and partnership with regional powers in Northeast Asia. It seized the chance of the Cheonan incident to pressurize Beijing to use its leverage on Pyongyang and realized the rearrangement of military deployment in the region. These developments revealed the underlying strategic thinking behind the US-North Korean policy since the end of Cold War which underscores Washington’s steadfast pursuit of predominance in Northeast Asia.

姓名：孙天 导师： 梅仁毅

论文题目（中文）： 冷战后美国对非政策：变化与延续

论文题目（英文）： 变化与延续: 从美国大战略角度看奥巴马任内美国对朝政策的演变

US Africa Policy in the Post-Cold War Era: Changes and Continuity

论文关键词（中文）：冷战后 美国对非政策 变化与延续 中国

论文关键词（英文）：post-Cold War Era, US Africa Policy, Changes And Continuity, China

中文摘要：

本文就冷战结束至今美国三届政府对非洲政策的变化与延续和这些变化与延续所体现的美国的战略考虑进行了研究。在冷战时代，非洲大陆是欧亚大陆之外美苏争夺的另一个重要舞台。20世纪80年代末至90年代初，随着冷战结束，非洲的战略地位急剧下降。然而，进入21世纪后，全球范围内的能源危机日益显现。在这个背景下，拥有丰富石油、天然气和矿产资源的非洲成为新一轮大国争夺的对象。作为当今世界唯一的超级大国，美国自然是这场争夺的主要参与者之一。而在中国方面，2006年中国组织召开中非论坛，无疑体现了中国对非洲的重视。因此，对美国对非洲政策的研究将对中国在非洲政策的发展具有重要的现实意义。目前，中美学术界对冷战后美国对非政策有一些研究，但大多局限在某一时期，缺乏全局的视野和系统的分析。本文认为对冷战后美国对非政策进行系统梳理和分析是十分必要的，这将有助于更好地理解、预测美国对非政策，从而对中国的非洲政策产生更好的指导作用。 本文将研究两个问题：冷战结束后美国三届政府对非洲政策有哪些变化和延续？这些变化和延续体现了美国怎样的战略考虑？为了回答这两个问题，本文分析了克林顿政府、小布什政府和奥巴马政府在政治、经济和军事三个方面对非洲的主要政策，并进行了对比研究。研究表明，在对非洲的态度和政策重点两个方面，这一时期的美国对非政策既有变化也有延续。对非态度方面，从克林顿政府到小布什政府，美国逐渐重视非洲，体现了态度上的转变; 而从小布什政府到奥巴马政府，后者延续了前任对非洲重视的基调，而且重视程度不断加深。在政策重点上，克林顿政府的对非政策把经济作为重点，而小布什和奥巴马政府均把控制能源和反恐斗争作为重点。另外，虽然小布什和奥巴马政府的政策重点基本相同，其实现方式则体现了一个重大变化。前者受新保守主义影响，强调经济、军事等硬实力因素，而后者则强调依靠合作、对话等相对温和的方式来推动其政策目标的实现。至于这些变化和延续所体现的美国的战略考虑，本文研究发现，纵观美国冷战后三届政府，其对非政策不管是变化还是延续，首先都与美国的全球战略紧紧相连。其次，国内政治因素，包括党派影响、国会和利益集团等，也都对美国对非政策的变化和延续有一定影响。本文最后认为奥巴马政府在非洲对石油的重视无疑对中国造成了挑战，但是，同时，奥巴马政府所倡导的合作、对话等方式也给中国在非洲的发展及中美关系带来了机遇。

Abstract:

This thesis is dedicated to the changes and continuity in US Africa policy under three different administrations in the post-Cold War era and the implications of such changes and continuity to the United States. In the Cold War period, Africa was an important battlefield for the United States and the Soviet Union. In the late 1980s and the early 1990s, as the Cold War ended with the collapse of the Soviet Union, the strategic significance of Africa to the United States declined sharply. However, since the turn of the 21st century, owing to its rich resources of oil and minerals, the African continent has become the target for a new scramble of the great powers. As the only super power on the world stage, the United States is undoubtedly one of the major players. As for China, Sino-African Summit 2006 signaled China’s emphasis on Africa. Therefore, a detailed analysis on US Africa policy is sure to have some practical significance for China’s Africa policy. At present, there exists some studies on US Africa policy in the post-Cold War era in the academia both in China and the United States. Nevertheless, most of them are confined to a particular period, thus unable to provide a whole picture of the issue. This thesis believes that it is necessary to have such a whole picture of US Africa policy in the post-Cold War era, as it can help us better understand the evolution of US policy as well as predict US future policy and thus provide better guidance for China. As a result, this thesis addresses two questions: what are the changes and continuity of US Africa policy under three different administrations in the post-Cold War era? What are the implications of such changes and continuity for the United States? In particular, this thesis analyzes US political, economic and military policies in Africa under the three administrations since the end of the Cold War and discovers that changes and continuity can be found in two aspects, i.e. US attitude toward Africa and US policy focus in Africa. In terms of US attitude toward Africa, from the Clinton administration to the Bush Jr. administration, more and more emphasis has been attached to Africa; while for the Obama administration, US emphasis on Africa has been maintained. In terms of US policy focus in Africa, from the Clinton administration to the Bush Jr. administration, the focus was shifted from economic ties to oil and anti-terrorism; while for the Obama administration, the focuses on oil and anti-terrorism are both maintained. The major difference between the Bush Jr. administration and the Obama administration is that while the former stressed the use of military power, the latter relies more on a liberal approach to achieve the policy goal. As for the question of the implications, this thesis finds that above all, the changes and continuity in US Africa policy in the post-Cold War era are closely connected with those in US national strategy. In addition, domestic politics, including party ideology, Congress and the interest groups, also play a role. As for the implication for China, this thesis believes that the Obama administration’s focus on oil in Africa inevitably poses a challenge for China, but at the same time, its emphasis on a liberal approach in carrying out its Africa policy also offers an opportunity for China’s Africa policy as well as US-China relations.

姓名：张春晓 导师： 孙有中

论文题目（中文）： 思想的继承与发展—约翰•柯顿和本杰明•富兰克林道德观的比较研究

论文题目（英文）： Intellectual Inheritance and Modification：A Comparative Study on the Moral Thoughts of John Cotton and Benjamin Franklin”

论文关键词（中文）：道德 三因素模型 上帝 行为 教会

论文关键词（英文）：Morality, Three-factor Model, God, Conduct, Church

中文摘要：

每一代人都在重新审视先辈们传递下来的概念观点，而人类思想的进步便得益于此。在重新审视的过程中，一些观念得以保留，一些遭遇淘汰，余下的则被人们用不同的方式加以改变。观念的继承与发展在美国思想史上亦是屡见不鲜。在殖民地时期，清教徒牢牢掌控着当时的主流意识形态。及至建国前后，话语权便旁落至启蒙思想家手中。作为美国史上前后两个时代的主流思想，清教主义和启蒙思想契合有之，分歧亦有之。例如，道德完美是清教徒和启蒙思想家共同的追求，然而，在具体的实现方式上，他们的观点却大相径庭。约翰•柯顿和本杰明•富兰克林分别是清教徒和启蒙思想家的代表人物。在启蒙运动成为大势所趋之时，柯顿的道德观因具有鲜明的清教主义色彩，已不能适应时代的发展。于是，深谙启蒙思想精髓的富兰克林对柯顿的道德观加以改造，取其精华，推陈出新。本文则以两人的道德观作为切入点，进行交叉对比，意欲揭示思想的继承与演变这一规律。

柯顿与富兰克林均是美国思想史上举足轻重的人物，但是，他们的道德哲学并未引起足够的重视。研究柯顿的学者们更多地把注意力放在了他和罗杰•威廉姆斯的论辩，或者他对圣经的解读，却不愿花费心力对他的价值观做一个全面系统的分析。有关富兰克林道德观的研究也同样失之片面无序。在这种情况下，致力于详细对比两人道德观的研究则更是凤毛麟角。本文仔细研读了柯顿和富兰克林的主要著作，希望借助文本分析，就两人的道德观做一个详尽透彻的对比研究。

柯顿在他的著作中详细解释了恩典之约，行为之约和教会圣约等理论，而他的道德观便托生于此。在柯顿看来，上帝、行为和教会共同决定了一个人的道德品行能否、如何以及何时可达至臻完美之境。柯顿的三因素模型亦就此成形。作为一个虔诚的清教徒，柯顿坚决捍卫上帝的无上权威不容挑衅。他认为，一个人只有通过上帝的恩典才可实现品性的提升。只有对上帝心怀赤诚，一个人的原罪才会被赦免，他沐浴的神恩才会持续增长，他的心灵最终才可得到救赎和净化。与此同时，柯顿并没有否定善行的重要性。他认为，善行是笃信上帝的延续和证明。善行增加一个人的神性，提升他的品性，是道德臻于完美的必由之径。教会是柯顿模型中除了上帝恩典和善行之外的第三个因素。柯顿认为，教会是上帝的信使和助手，手握种种特权。它把圣谕传递给上帝的子民，并协助他们实现道德完美。因此，教会的地位和作用不容小觑。

富兰克林认可了柯顿模型的基本框架，换句话说，他也相信上帝、善行和教会共同决定着一个人的德行完善与否。然而，世事变迁，神的时代已一去不复返。启蒙思想家更多地开始关注人性，包括人的理性、经验和实现自己抱负的能力。在人文主义思潮的影响下，富兰克林对柯顿模型中的每一个因素重新定位，它们各自的地位和作用也在此过程中发生了显著改变。富兰克林认为，道德完美在本质上即是良好的行为习惯的养成，因此，只有锲而不舍地投身善行，才是品性提升的正道。在一个人修身养性的过程中，上帝给予指导，给予鼓励，其积极作用不容否认。但是，上帝只是起到了辅助和补充的作用，只有行为的改变才具有决定意义。此外，富兰克林提出，教会常常造成分歧、冲突和竞争；教会本身亦不是理想的道德表率。因此，在一个人追求道德完善的过程中，教会并不是不可或缺的助力因素。

富兰克林没有全盘接受或否定柯顿的三因素模型，而是适当加以改造，使其契合时代发展。这恰是思想继承与发展这一规律的有力佐证。

Abstract:

Intellectual development of the human race takes place amid the unremitting efforts that every generation makes to reevaluate the notions and values passed down from the predecessors. In the course of reevaluation, some are preserved, some eliminated and others modified in one way or another. The United States, unexceptionally, has born witness to such intellectual inheritance and evolution ever since its colonial memory. Take for instance the Puritans and Enlightenment thinkers, two groups successively in control of the country’s intellectual life. Convergence and divergence of their ideologies are hardly unusual. Puritanism and the Enlightenment share the same concern for man’s moral impeccability, yet not the same interpretation of morality. Having selected John Cotton and Benjamin Franklin as the spokesmen of these two ideologies, this thesis aims to approach intellectual inheritance and modification by examining how Franklin reshaped Puritan Cotton’s moral outlook in the context of prevailing Enlightenment.

Influential as Cotton and Franklin were in the American intellectual history, both have been understated within the academia in terms of their moral philosophies. Cotton’s dispute with Roger Williams, along with his scriptural explication, has taken up too much academic attention to spare some for a comprehensive and systematic analysis of his moral views. Similarly, scholars tend to present Franklin’s moral outlook in an incomplete and unsystematic manner. Under such a circumstance, an elaborate comparative study that puts in perspective the two thinkers’ outlooks on morality is nowhere to be found. Resting upon a textual analysis of Cotton’s and Franklin’s major writings, this thesis is intended as a tentative attempt to fill this gap.

Cotton’s moral outlook took shape when he tried to clarify a couple of key concepts, including the covenant of grace, the covenant of works, and the church covenant. A three-factor model was in the process formulated, specifying that God, conduct and the church were the three factors jointly deciding whether, how and when man could acquire moral perfection. Having internalized Puritanism, Cotton venerated the supreme authority vested in God. The grace of God is the only way to spiritual enhancement. Only by having faith in God will man be justified by God, gradually sanctified and finally glorified. Good conduct alone is far from sufficient to deliver man from their original sins. Cotton did not dismiss good conduct as insignificant, though. As the derivative and demonstration of man’s faith in God, good works add to man’s sanctity, and thus facilitate their quest for spiritualization. In addition to God and conduct, Cotton highlighted, in particular, the role of the church in communicating to man God’s ordinances and in assisting man’s pursuit of morality by wielding its liberties and prerogatives.

Franklin embraced the basic framework of Cotton’s model, acknowledging the interaction of God, conduct and the church in man’s moral progress. However, the world by then was different from the one where Cotton lived. Enlightened thinkers began to shift their focus from divinity to humanity. Man’s rationality, experience and capability of self-fulfillment became increasingly valued. Franklin, with humanism underlying his thought, decided to reposition every factor in the model, and reallocate their functions. Rather than preach salvation by God’s grace, Franklin encouraged man’s perpetual commitment to virtuous conduct, indicating that morality was in essence habituation, or, habitual behavior. Franklin also reassessed the importance of God and the church, in terms of their utility in promoting behavioral change. God, as he maintained, instructed and inspired those who attempted to perfect themselves morally, and thus exerted positive influence. Nevertheless, the role of God remained more instrumental and supplementary than predominant. Besides, Franklin challenged Cotton’s stance that the church was indispensable in dispensing morality, and contended that it, more often than not, impeded morality rather than promote it.

Having inherited Cotton’s three-factor model, Franklin reshaped it based on his own learning and experience. This is precisely an instance of intellectual inheritance and modification.

姓名：杜洁 导师： 孙有中

论文题目（中文）： 巴拉克•奥巴马的“美国梦”及其思想探源

论文题目（英文）： Barack Obama’s American Dream and His Sources of Inspiration

论文关键词（中文）：巴拉克 奥巴马 美国梦 思想史

论文关键词（英文）：Barack Obama, American Dream, Intellectual history

中文摘要：

作为美国历史上第一位黑人总统，巴拉克•奥巴马受到了来自国内外的广泛关注。本文旨在从思想史的角度解读他关于一个重生的美国的设想，探究其思想渊源。

通过对他的文章和著作以及谈话演讲内容的深入剖析，作者指出奥巴马主要提出了“团结”、“机会”和“同情”这三个概念。他的“团结”涉及三个层面：种族矛盾的化解、政党对峙状况的改善和不同文化传统的和谐共存；他对“机会”的论述主要着眼于人民物质需求的满足：一方面要维持良好的美国经济大环境，另一方面要保证每个个体拥有均等的机会享受经济成果；而他所强调的“同情”，则是一种道德诉求，是对人性的关怀。上述三大观念分别构成了奥巴马对于未来美国的社会关系、物质基础和道德取向的施政纲领。通过对这三个概念的详细阐述，奥巴马完整地定义了他的“美国梦”。

基于对上述三个核心理念以及它们的思想渊源的详尽解析，作者认为奥巴马的美国梦是对美国思想传统的忠实继承和发扬，这也是他所释放的信息得以赢得美国民众认同的原因。同时，正如人们的梦想往往反映了对现实的不满和修正，奥巴马的美国梦也是他针对美国现实需要进行思考的结果，是他为改善美国现状开出的一剂药方。不过，尽管有美好的理念，奥巴马政府并未能轻易跨越理想和现实之间的鸿沟。

Abstract:

As the first African-American President in the history of the United States of America, Barack Obama has attracted attention from home and abroad. To join in the efforts to study the historic rise of Obama, this paper is intended to interpret his vision of a transformed America from the perspective of intellectual history.

A close study of his writings and speeches demonstrates that Obama focuses on the ideas of unity, opportunity and empathy, which are in fact his respective ideals for the social fabric, material basis and moral code of a future America. With the unfolding of these three concepts which are deeply rooted in the American intellectual tradition, Obama manages to flesh out his American dream.

Based on the analysis of the above-mentioned three core values and the sources of inspiration for Obama, the author concludes that Obama’s American dream follows closely an intellectual trend through the US history, which contributes to the popularity of his message. Besides, as one’s dream is more often than not a reflection of his or her dissatisfaction with reality, Obama’s American dream is in the same way his particular response to the actual needs of American reality. He aims to offer a plan for the perfecting of the union. However, in spite of his intention to provide a remedy for the American social ills, there still exists a huge gap between Obama’s vision and the reality of America.

姓名：徐菲 导师： 付美榕

论文题目（中文）： 美国养老保险制度困境：改革成功的宏观前提探究

论文题目（英文）： Dilemma of the U.S. Social Security System: Exploring the Macroscopic Prerequisites for a Successful Reform

论文关键词（中文）：养老保险 老龄社会 婴儿潮

论文关键词（英文）：Social Security, Aging Society, Baby boom

中文摘要：

随着婴儿潮一代步入65岁高龄，美国的老龄人口在未来20年将翻一番。人口结构和数量的巨大变化会带来许多问题，例如政府政策向老年人倾斜，医疗保险支出上涨，年轻人获得的稀缺资源减少，以及社区服务困难增加等等。

其中最严峻的问题是, 根据国会预算局估计，全美开销最大、针对老年人设置的养老保险制度在未来30年内会出现亏空。早在40年前就有学者提出这一担忧，围绕这一话题的讨论和争辩也自此不绝于耳。然而，至今尚无一项可行的改革措施。本文采用历史分析的研究方法，通过大量原始数据和二手资料的佐证，总结出美国养老保险改革成功的必备条件，并通过代际正义理论指出目前改革的关键，从而为养老保险改革的推进提供借鉴。

本文首先简要说明了养老保险制度及其对老年人的意义，然后对该制度财政问题出现的缘由进行了探究。本研究的出发点是，除了制度本身的设计原因外，一些外在因素影响了养老保险制度改革的进行。

文章的主体回顾了养老保险制度在其立法历史上的三个转折阶段。通过研究社会保障法及其修正案的立法过程，该研究发现这三阶段拥有相同之处：经济环境、政治氛围、公众反应和利益集团的参与程度对社会保障体系的构建与扩展产生了至关重要的作用。

根据以上发现，本文从这四个方面审视了美国现状，结果发现目前美国并不具有进行改革的条件。美国国内对养老保险是否会亏空依然存有分歧，此外，目前低迷的经济环境、复杂的国内政治、对养老保险制度依然一知半解的民众以及坚决反对缩减现有福利的利益集团使改革的顺利进行难上加难。

然而美国经济终将走出低迷，而民众的支持也将促使政党达成一致意见。因此，本文的结论是养老保险制度改革成功的关键在于赢得民众的支持和老年人的妥协。本文建议政府维持养老保险的总体福利水平，并说服富有的老年人在缩减福利方面做出让步，因为其高昂的养老保险金对年轻人和贫困的老年人都是不公平的。

Abstract:

In 20 years, as the baby boomers are above 65 years old, there will be twice the current number of elderly in the United States. This dramatic demographic change will entail a lot of problems, such as shift of policies towards the elderly, growing financial input in Social Security, resource competition with younger generations, insufficient community-based services and so on.

One of the impending problems is that Social Security (hereby means the public pension system), the largest nationwide program targeting the old age population, will be depleted in at most three decades as speculated by the Congressional Budget Office. However, after the discussion and debate of this problem for about 40 years, still no reform option has been adopted. Aided by a historical analysis approach and substantial data from primary and secondary sources, this paper intends to explore the macroscopic prerequisites for a successful Social Security reform in the United States. By applying the generational justice theory, this thesis points out the crux to the dilemma, and tries to offer insights for the advancement of Social Security reform in the future.

This paper begins with an account of Social Security system, its importance among the elderly cohort, and examines the reasons for the ongoing financial difficulties of Social Security. Besides the embedding problems with the design of the insurance program itself, this study believes that there are some external factors contributing to the prolonged irresolution of the problematic system.

The thesis then centers on reviewing three significant periods in the legislative history of Social Security. By examining the legislative processes of the social insurance program and its ensuing amendments, this study finds that the four aspects, namely economic conditions, general political environment, public attitude and involvement of relative interest groups are crucial in determining the reform outcome in the three periods.

Thereby, the paper examines the current situation in the United States regarding the four aspects, and it turns out that the country does not have the necessary preconditions for a land-marking Social Security reform yet. Divergent in the existence of the fiscal problem in the first place, the United States is faced with bad economic performances, an unfavorable political environment, an ill-informed public and dedicated interest groups opposing to any form of benefit reductions.

This study further points out that a supportive public attitude and compromises of the gray interest groups is the key to solve the reform puzzle, since the U.S. economy can eventually pick up and a political consensus will be much easier to achieve with the support of the general public. By applying the generational justice theory, this paper suggests that the government should maintain the current Social Security benefit level for the active workers. Besides, the rich elderly needs to make some concessions at times of financial difficulty, because their insistence on claiming high Social Security benefits causes injustice to the active workers and the poor elderly alike.

姓名：戚涛 导师： 付美榕

论文题目（中文）： 从人力资本视角看当前美国社区大学资金困境

论文题目（英文）： The Dilemma of U.S Community College Funding: a Human Capital Perspective

论文关键词（中文）：社区大学 资金困境 高等教育 人力资本

论文关键词（英文）：Community College, Funding Dilemma, Higher Education, Human capital

中文摘要：

社区大学是美国高等教育系统的重要组成部分,为美国培养多达1200万学生（占本科生总数比例为44%）。它们创造了大量人力资本，对美国现代经济增长起着至关重要的作用。目前，美国社区大学正遭遇严重的资金困境。宏观经济不景气，入学人数持续攀升，州政府不断削减财政投入等因素加重了社区大学财政负担，使其入不敷出，无法正常行使其职能。然而，社区大学的资金困境并未得到研究者、教育者及政治家的充分重视。

本文试图从人力资本视角来探讨社区大学的资金问题并提出相应解决方案。该研究主要采用定性分析和案例分析方法，详细阐述了当前美国社区大学所面临的资金困境。通过对各个资金来源的分析，本文找出了造成美国社区大学资金困境的若干原因。其中的根本原因在于紊乱的资金模式，主要表现为过度依赖州政府投入，忽略了其他收入来源，无法适应经济以及社会环境变化。这种资金模式不利于人力资本形成，最终将阻碍经济发展。

此外，为解决美国社区大学面临的资金问题，修复其创造人力资本的功能，本文提出若干解决方案。针对美国社区大学紊乱的资金模式，作者提出收入多元化的改革原则。

Abstract:

Community college is an indispensable part of U.S. higher education system, educating more than 12 million students, or 44% of all undergraduates. These two-year institutions play a significant part in creating the human capital that fuels U.S. economic development. At present, U.S. community colleges are caught in a funding dilemma. Stagnant economy, decreasing state financial support and enrollment boom exacerbated the financial situation of community colleges, stretching it to the breaking point. However, their funding problems are frequently ignored by scholars, educators and politicians.

This study sets to examine U.S. community college funding from a human capital perspective and offer some solutions to the funding dilemma. It employs qualitative analysis and case studies to examine U.S community college funding. Through an in-depth analysis of community college funding by control of funding source, this study discovered several funding problems. This research paper argues that the problems with community college funding can be ascribed to insecure funding models featured by a propensity to overtly rely on state funding sources, undermining the financial stability of their funding models. Any funding model so constructed is not conducive to human capital creation and sustained economic growth.

In addition, this study offers several solutions to the funding dilemma. For the purpose of constructing financially sound funding models, this study proposes revenue diversification as the guiding principle.

姓名：王红芹 导师： 滕继萌

论文题目（中文）： 二十世纪美国第一夫人发展模式

论文题目（英文）： The Evolutionary Pattern of American First Ladyship in the 20th Century

论文关键词（中文）：第一夫人 发展模式 女权主义 总统

论文关键词（英文）：First Lady, Revolutionary Pattern, Feminism President

中文摘要：

当今，第一夫人已经成美国政治舞台上一股独立的政治力量，引起了广大研究者的重视，但是先前的研究多半不够全面。由于该职位不仅受到各种微观和宏观因素的影响，而且处于不断向前发展的历史进程之中，本文于是兼顾第一夫人职位横向与纵向的发展，采用整合性的社会学范式和历史分析法阐释了二十世纪美国第一夫人的发展模式，探讨了最近几位第一夫人的情况，并预测了第一夫人的发展前景。

通过研究历史资料，作者发现二十世纪美国第一夫人的发展呈现循环上升的趋势。其上升趋势主要体现在第一夫人的制度化、专业化以及与白宫其他办公部门间的相互融合。如果从某活跃的第一夫人开始计算，一个完整的循环会在历经几位相对消极的继任者之后以新一代活跃的第一夫人结束，平均长达22至23年。

这种演化模式主要是在三个显著因素相互影响下形成的：女权主义的发展、第一夫人对其职位的理解以及总统对该职位的期望。女权主义会影响到第一夫人对其职位的看法，而后者又会受到总统对该职位期望的制约与平衡，最终表现为第一夫人不同的活跃程度。基于这三个因素的辩证关系，作者提出了研究美国第一夫人的第一夫妇工作关系研究法。根据总统夫妇对第一夫人职位的不同观点，该方法按照第一夫人对其职位的理解—总统对该职位的期望的模式将二者的工作关系划分为四种：积极-积极、积极-消极、消极-积极、和消极-消极。受到过女权主义影响的第一夫人会比较主动且活跃，除非受到总统的制约；而未受女权主义影响的第一夫人则会较为消极。因此，女权主义认同感以及积极-积极的第一夫妇工作关系就成为第一夫人具有活跃潜力的标识。

按照上述规律，目前这轮循环开始于90年代希拉里•克林顿时期，将于未来的六至七年内结束。继较为消极的劳拉•布什之后，现任第一夫人米歇尔•奥巴马开始从消极转向活跃。如果没有特殊情况，预计该循环会随着米歇尔的转型或下一届第一夫人转向新的活跃期而圆满结束。

总之，本文不仅发现了美国第一夫人的发展模式，尤其是二十世纪期间的发展模式，为该领域增添了新的理论，而且创造了第一夫妇研究法，为该领域的研究提供了新的方法；作者虽然不奢望美国第一夫人会以此文为指导，但是希望此理论与方法候能够加深对个别第一夫人的认识，进而提高我们对整个第一夫人发展历史的理解。

Abstract:

Presidential spouse, such as Eleanor Roosevelt and Hillary Rodham Clinton, has emerged as an independent political force that attracted much scholarly attention. Shaped by a series of micro and macro factors, American First ladyship is an ongoing historical process, but previous studies are incomprehensive and static. Therefore, the thesis focused on the evolutionary pattern of American first ladyship to fill the vacuum, combining chronological studies with cross-cut studies.

By the integrated sociological paradigm and historical analysis, the thesis elaborated on the evolutionary pattern of American [1] First ladyship in the 20th century, covered the activism of recent first ladies, and predicted future development of the First ladyship in the United States. Research on historical materials revealed that American First ladyship evolved in spiral cycles [2]. The upward trend was reflected by the First ladyship’s institutionalization, professionalization, and its integration with other White House offices, while each cycle took an average 22-23 years beginning with active first ladies through less active ones and ending with new active ones.

This evolutionary pattern was attributed to the dialectic relation of three salient factors: the progress of feminism, the First lady’s perspectives and the president’s expectations to the First lady’s office. Feminism may affect the First lady’s perspectives which were balanced by the president’s expectations to her office. This formed the first-couple-work-relation approach to American First ladyship, which consisted of four types—positive-positive, positive-negative, negative-positive, and negative-negative, according to attitudes of the First lady and the president toward her office. A First lady inspired or converted by feminism tended to act on her own initiative unless confined by presidential disapproval. Thus feminist identification and the positive-positive first couple work relation would indicate potential active First ladyship.

Currently, the cycle beginning from Hillary Rodham Clinton will probably be complete within 6 or 7 years with incumbent First Lady Michelle Obama serving as the transition from inactive ones to active ones, unless the course is interrupted by exceptional cases like a male presidential spouse.

Finally, the significance of this thesis lies in its discovery of the evolutionary pattern of First ladyship. It explained the key factors for the pattern and predicted future development. Treating American First ladyship as objectively as possible, this thesis added new theories—the first lady cycle theory and approach—the first couple work relation approach to the field of First lady studies. The discovery can not only help locate a particular First lady in the whole process to improve understanding the person, but also further our understanding of American First ladyship via the study of individual First ladies. It provides a whole new overall perspective for First lady studies.

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[1] More precisely, “American First Ladyship” should be “First Ladyship in the United States of America”. The author substituted “American” for “in the US” just for brevity. So in the whole paper, “American First Ladyship” equals “first ladyship in the US.”

[2] This is inspired by the cycles of American politics. According to Arthur Schlesinger Jr., political history of the US developed in spiral cycles of thirty years, swinging between periods of public purpose and periods of private interest. The cycle did not return the nation to the status quo ante: It proceeded at successively higher levels and allowed for the cumulation of change (Schlesinger 28-31). The paper found that American First Ladyship evolved in a similar way. The First Ladyship developed in cycles but it allows for progress such as institutionalization, professionalization and integration with executive offices. In terms of time expansion, the First Ladyship cycled 7 or 8 years faster than American political history.

姓名：刘宇 导师： 滕继萌

论文题目（中文）： 私之贪鄙，公之福荫—浅析美国进步运动时期私人慈善活动及对中国的启示

论文题目（英文）： Private Vice, Public Virtue: An Analysis of US Private Philanthropy in the Progressive Era and Its Implications for China

论文关键词（中文）：慈善 美国私人基金会 进步运动 中国的启示

论文关键词（英文）：Philanthropy, US Private Foundation, Progressive Movement, Implications For China

中文摘要：

发生在二十世纪初的美国进步运动，被认为是消除工业化和城市化过程中产生的一系列社会弊病的一种尝试。在这项改革的进程中，美国私人慈善活动蓬勃发展，发挥了积极的作用。众多私人慈善家们将自己大量的时间和财富投入到社会改良的活动中。

本文旨在考察美国私人慈善活动在进步运动中的主要贡献，研究重点集中在这一运动时期所发生的六次重大社会运动。这六次运动涵盖了教育、卫生和社会福利等进步运动的几大主要领域。本文认为，私人慈善活动在促进美国现代慈善的发展，尤其是在促进其科学化和专业化程度上起到了相当大的作用。同时，私人慈善活动还积极支持着社会改良活动，并推进政府在慈善领域的政策抉择。

私人慈善的积极活动是由许多因素引起的。在本文中，作者认为美国传统的宗教信仰、自由主义价值观以及美国的税收政策是左右慈善家们决策的三大主要动机。

另外，本文还探讨了美国私人慈善活动对中国的启示。作者试图挖掘中国的慈善传统以及私人慈善活动现状，继而分析中国在现阶段能够从美国慈善活动中吸取到的经验和教训。

Abstract:

The Progressive Movement occurred in the United States in the first few decades of the twentieth century was an effort to cure the social illnesses that had developed during the industrialization and urbanization. As part of this reform, US private philanthropy developed and played an active role in it. Many private philanthropists dedicated their time and wealth to improving the society.

This thesis attempts to examine the major contributions US private philanthropy has made in the Progressive Movement. Its focus is on the six major movements in this era, which cover the fields of education, health and social welfare. And it holds the opinion that private philanthropy has been instrumental in promoting the scientificity and professionalism of US modern philanthropy. It has motivated and sustained social reforms and pushed forward public policymaking on philanthropic issues.

The activism of private philanthropy owes to many factors. In this thesis, the author argues that traditional religious faith, liberalistic values and tax policy are the three major incentives that influence the decisions of philanthropic policymakers.

Furthermore, this thesis will also touch upon US private philanthropy’s implications for China. The author attempts to explore China’s charitable tradition and its current situation of private philanthropy, and then analyze the possible experiences and lessons that China can learn from its American counterpart.

姓名：和薇薇 导师： 付美榕

论文题目（中文）： 从人力资本理论角度分析美国1860-1950年间中产阶级的兴起

论文题目（英文）： The Rise of the Middle Class in the U.S. (1860-1950) From Human Capital Theory

论文关键词（中文）：中产阶级 人力资本形成 社会转型 制度因素

论文关键词（英文）：Middle Class, Human Capital Formation, Social Transformation, Institutional factor

中文摘要：

作为一个社会阶层，当今美国的中产阶级是从19世纪60年代开始形成的。学者们对这一庞大群体的研究时来已久，且包罗万象，内容涉及中产阶级的阶级属性、形成原因以及形成意义等。他们甚至对这一群体内的各个从业领域人群都进行了细致而深入的研究。其中，在中产阶级的形成原因方面可以找到大量的相关文献，这些文献从政治、经济、历史方面都曾对中产阶级做过讨论。

本文中的中产阶级区别于19世纪60年代之前的旧中产阶级（主要包括农场主和城市业主），被定义为被雇佣的专业人员。他们的一个很大特点是具备专业知识，而专业知识很大程度上由教育习得，与人力资本的形成有着密不可分的关系。因此本文中，作者从一个全新角度，即人力资本角度研究当代中产阶级形成的原因。本文采取了新制度经济学的人力资本形成理论，即人力资本的形成同时受到制度环境和制度安排的作用，制度环境包括国家、经济、知识和文化四个方面，而制度安排包括了正式规则和非正式规则两个方面。通过历史分析的方法，可以得出以下观点：中产阶级形成于世纪之交的一段深刻的社会转型期，在这段期间，技术创新、经济发展、教育改革以及职业文化都发挥了各自相应的作用。其中，技术创新和经济发展通过制度环境对中产阶级的产生发生作用，而教育变革和职业文化则通过对制度安排中因素的改变而作用于中产阶级的形成。

在后部分中，本文进行了案例分析，选取了两个具有代表性的群体：医生作为传统职业的典型，职业经理人作为新兴职业的典型进行分析，来进一步支撑文中论点。

Abstract:

The middle class, as a social stratum, emerged in the United States from the 1860s. Scholars have studied this large group of people for long and from diverse aspects, such as its political attributes, cause of the formation, the influences that they have exerted, etc. Some scholars have even studied people with different professions in detail, for example engineers, doctors, managers, etc. Among existing literature, a voluminous of them can be found to have explored the causes of the middle class, involving political, economic, historical factors, etc.

The middle class in the thesis differs from the old middle class (including mainly rural farmers and urban entrepreneurs) before the 1960s and is defined as salaried professionals. As professionals, professional knowledge and skills are one important characteristic of the middle class. Since the knowledge and skills can be acquired mostly from education, which is closely connected with human capital production, the author therefore analyzes the rise of the middle class from a new perspective: the human capital theory. It is as follows: the human capital formation is influenced by both institutional environment and institutional arrangements. The institutional environment includes State, economy, knowledge and culture while institutional arrangements include formal and informal rules, which will be elaborated in the thesis. By adopting the method of historical analysis, the author was able to get the argument that the middle class emerged within a profound social transformation in which technological innovation, economic development, education reform and the culture of professionalism have performed respective roles. Technological innovation and economic development changed the institutional environment, while education reform and the culture of professionalism changed the institutional arrangements of human capital production of the middle class.

Besides, in the following part, the thesis includes two case studies: modern doctors as a representative of traditional occupations and professional managers a representative of new occupations to further support the argument of the thesis.

姓名：黄晓玉 导师： 谢韬

论文题目（中文）： 美国众议院女性议员的社会背景特征，政治经历和国会生涯

论文题目（英文）： American Women’s Social Background Characteristic, Political Experience and House Career 1992-2010

论文关键词（中文）：社会背景 政治经历 国会生涯

论文关键词（英文）：Social Characteristics, Political Experience, Congressional Career

中文摘要：

在美国，女性政治代表稀缺是学术界一直在讨论的重要议题之一。尤其在国会，女性议员更是罕见。然而这一情况在1992年有了很大的改变。在那一年，女性国会议员由之前不到5% 一举增长到10%。这种增长对女性议员来说是前所未有的。因此，1992年在历史上被称为“女性之年”。从那以后，女性国会议员人数以稳定的速度增长。不仅如此，女性议员入职国会的方式也在悄然变化。曾经大多女性议员都是通过继任过世丈夫或过世父亲的方式入职国会，而今天大多数女性都是通过正常的选举入职国会的。基于这些变化，人们不禁要问：这些通过选举入职国会的女性议员到底是谁？他们都有怎样的政治经历？他们的国会生涯是否顺利？

现有文献不乏对女性政治代表的研究，但对于1992年后的新变化，少有人研究。80年代以来，研究作品多集中于从各个方面探索女性议员稀缺的原因，而忽视了对于女性议员本身特点的研究。此外，这些作品大多将女性议员作为一个整体与男性议员作对比，忽略了女性议员内部的差异性。基于以上不足，本文采用定量分析的方法，首先梳理了1992年至2010年间众议院女性议员 [1]的社会背景，政治经历以及国会生涯，其次探索了有不同社会背景和政治经历的众议院女性议员，其国会生涯是否也不同。

在“理性选择”理论基础上，施莱辛格主张政客们关于政治生涯的抉择都是基于当即政治环境和自身利益的考虑，而很少受身世背景或之前从政经历的影响。但对于议员们在国会中的职业生涯，社会背景和政治经历是否也少有影响这一问题一直没有得到实证。“水管理论”主张地方和州级政府机关是培养联邦级政府官员的训练场。尤其是州级立法机关，被认为是议员们走上国会的最主要路途。然而对于地方和州的执政经历是否会对女性走上国会后继续产生影响，也一直没有得到实证。在此基础上，本文提出了众议院女性议员的社会背景和政治经历会对他们的国会生涯产生影响这一主要假设。

借助SPSS，本文运用回归分析探索了众议院女性议员的社会背景和政治经历是否对他们的国会生涯产生影响。结果发现，女性的族裔，婚姻状态，任职国会前的主要职业，和在州政府的执政经历对女性议员在众议院的任职长短有重要影响；任职国会前的主要职业和在州和地方的政治经历对女性在众议院所取得的委员会地位有重要影响；女性议员代表的地区则对其在众议院的党派领导地位有一定影响。最后，本文以Mary Fallin 和Stephanie Tubbs Jones作为两个案例，进一步分析证实了这些发现。

________________________________________

[1] 因符合要求的女性参议员人数太少，且参议员和众议院的选举机制有很大不同。因此，本文以众议院女性议员为主要研究对象。

Abstract:

Since the year of 1992, the number of women elected to Congress has increased at an unprecedented rate. The kinds of women elected to Congress have changed. The ways in which women are elected have also changed dramatically. However, existing literature is limited in addressing these new developments of women’s representation in Congress. On the one hand, relevant questions are yet to be put forward: who are those women in Congress today? How did they get there? How do they do in there? On the other hand, Studies have mainly adopted a comparative approach to study women’s representation in Congress. Such approach treats women as one undifferentiated mass and masks their heterogeneity.

Based on rational choice theory, Schlesinger once argued politicians make career choices mainly on the basis of their immediate political environment rather than their social characteristics and political experience that occur in the more distant past. The pipeline theory argued, local and state office-holding experiences are critically important to individuals seeking election in the higher office such as the Congress. Both theories focused on whether social characteristics and political experience will influence politicians’ chances of winning the election. However, whether these factors will continue to influence politicians’ career in the office has never been explored.

To address these issues, the thesis hypothesizes women’s social characteristics and political experience will influence their careers in the House. It mainly adopts a quantitative method with the help of SPSS. First the thesis examines women’s social characteristics, political experience and congressional career; then it runs a regression of women’s congressional career on their social characteristics and political experience. The thesis finds among social characteristics and political experience, race, marriage, occupation and state office-holding experience have significant influence on women’s length of service; occupation, local office-holding years and state office-holding years have significant influence on women’s committee advancement; region has significant influence on women’s House party leadership. Finally, the thesis does a case study on two congresswomen, Mary Fallin and Stephanie, further testifying to the findings.

姓名：冯胜闯 导师： 谢韬

论文题目（中文）： 美国的人口密度与自杀率–一项基于多元线性回归分析的研究

论文题目（英文）： 1992-2010Population Density and Suicide Rate in the United States：A Study Based on Multilinear Regression Analysis

论文关键词（中文）：人口密度 室外密度 室内密度 自杀率 社会融合 韦伯-费希纳定律

论文关键词（英文）：Population Density, External Density, Internal Density, Suicide Rate, Social Integration, Weber-Fechner’s law

中文摘要：

在对自杀的研究中，一些人口、社会和经济方面的因素都被发现和自杀有关。作为一个重要的人口变量，人口密度与其它因素相比则较少受到关注。已有研究者发现它与自杀率的紧密联系，但仍缺乏对这种联系的深入研究。因此，我要在这篇论文中对人口密度与自杀率的关系给予详细阐述。我主要使用散点图，相关分析以及多元线性回归分析作为研究方法。散点图可用来直观地显示两个变量间的关系。相关分析则用来测量这种关系的强度。多元线性回归分析是一种在一个因变量和数个自变量间建模的方法，在此研究中则用来比较不同的自变量以及对除人口密度外的自变量进行控制。统计分析将用于美国的州和县两个水平，自杀率作为因变量，人口密度以及其它可能影响自杀率的因素作为自变量。而对人口密度的研究将从两方面进行：室外密度和室内密度。分析的结果可以总结为：（1）人口密度和自杀率呈负相关。当人口密度增加时，自杀率会降低；当人口密度降低时，自杀率会增加。（2）室外密度和自杀率呈对数关系，而室内密度和自杀率呈近似线性关系。（3）与本研究中的其他自变量相比，室外密度是对自杀率最有效的预测变量。人口密度和自杀率间的负相关可以用涂尔干的社会融合理论解释，而室外密度和室内密度间的对数关系则可以用心理学中的韦伯—费希纳定律进行解释。总之，此研究深入探讨了人口密度与自杀率的关系，发现了室外密度与自杀率的对数关系这一新的规律，并对此给出了新的解释。

Abstract:

In the study of suicide, several demographic, social or economic factors have been detected to be related to suicide rate. Population density, as an important demographic variable, receives less attention than other factors. Some researchers have found it to be closely related to suicide rate, but there is no further study of the relation. Therefore, this thesis is designed to give a detailed description of the relation between population density and suicide rate. I mainly employ scattergrams, correlation analysis and multilinear regression analysis as the method of study. Scattergrams are used to show the relationship between two variables visually. Correlation analysis is used to measure the strength of the relationship. Multilinear regression analysis is a method of modeling the relation between a dependent variable and several independent variables. In this study, it is used to compare different independent variables and to control independent variables except for population density. The statistical analysis is applied on both state level and county level in the U.S., and suicide rate is dependent variable while population density and other factors which might influence suicide rate are independent variables. The population density is investigated from two aspects: external density and internal density. The results of analysis can be summarized as follows: (1) population density is negatively related to suicide rate. As population density increases, suicide rate will decrease, or as population density decreases, suicide rate will increase. (2) The relation of external density and suicide rate is logarithmic, while that of internal density and suicide rate is linear. (3) External density is the most efficient predictor compared to all the other independent variables in this study. The negative correlation of population density and suicide rate can be explained with Durkheim’s theory of social integration, and the logarithmic correlation of external density and suicide rate can be explained with Weber-Fechner’s law in psychology. In a word, this study makes a further investigation of the relation of population density and suicide rate, finding the logarithmic relationship between external density and suicide rate, and I provide a new explanation of this relationship.

姓名：王卿岩 导师： 谢韬

论文题目（中文）： 奥巴马政府医疗改革缘何成功

论文题目（英文）： U.S. Health Care Reform under the Obama Administration: Why Did It Succeed

论文关键词（中文）：美国医疗改革总统 国会 利益集团

论文关键词（英文）：U.S. Health Care Reform, President Congress, Interest groups

中文摘要：

美国医疗改革的历史由来已久，自20世纪初开始，数届美国政府都曾尝试过对美国的医疗制度进行改革，但大多以失败而告终。奥巴马政府成立后，再一次把医疗改革提上了议事日程，并且将其作为本届政府国内政策的首要任务。2010年3月21日，国会众议院通过了最终版本医改法案，美国医疗改革的历史从此开始了一个新的阶段。

本文将奥巴马政府的医疗改革放入美国医疗改革的历史进行考察，主要采用历史比较的方法，探讨决定奥巴马政府此次医疗改革成功的主要因素，并试图以此构建一个分析美国公共政策制定过程的框架。回顾美国医疗改革的历史以及相关学者对改革失败因素的分析，本文作者发现，导致此前数届美国政府所进行的医疗改革失败或部分失败的共同因素包括：总统的领导力、国会的阻挠，以及利益集团的影响。本文从这三方面对奥巴马政府的医疗改革进行考察，重点考察医疗改革法案的制定和通过的过程，分析总统、国会、利益集团对此次医疗改革法案制定和成功通过的作用和影响。

通过对奥巴马政府医疗改革法案制定和通过的过程所进行的考察与分析，本文作者认为：奥巴马总统在此次医疗改革法案制定过程中发挥了有效的领导作用，并且与民主党控制的国会进行了很好的协调，避免了民主党内部因利益协调不力而导致的力量分散，为医疗改革法案的通过提供了重要保障；与此同时，在此次医疗改革过程中，与医疗改革相关联的利益集团阵营出现了分化，以往反对医疗改革的一部分利益集团转而支持改革，从而增强了支持阵营的影响力量，对医疗改革法案的最终通过起到了积极的推动作用。

与奥巴马政府医疗改革的背景和条件最接近的是克林顿政府在1993-1994年所进行的医疗改革尝试：类似的医疗制度危机背景，同样的民主党政府，同样由民主党控制的国会；不同的是，前者使医疗改革法案成功通过，为接下来的医疗改革奠定了政策基础，后者则以失败告终。本文继而对两届政府的医疗改革进行对比，进一步分析总统、国会、利益集团这三个因素对两次改革不同结果的影响作用，从而得出本文结论，即：总统能否有效实施其领导作用是改革法案能否成功通过的前提条件；作为立法机构的国会是法案制定过程中的关键和决定性因素，国会与白宫的协调程度直接影响改革法案的命运；利益集团也是影响公共政策制定过程的一个重要因素，其对法案的支持或反对也会影响法案最终能否通过。

Abstract:

Health care reform in the United States has experienced a long history. Since the beginning of the 20th century, several U.S. administrations have attempted to reform U.S. health care system. Most of these attempts, however, ended up in failures. Against this background, the Obama administration placed health care reform on its policy agenda once again at the outset of its establishment, and gave this reform priority in its domestic policy agenda. March 21, 2010 witnessed the passage of H.R. 3692: Patient Protection and Affordable Care Act, in the House of Representatives of the 111th Congress. The health care reform history in the United States entered a new phrase since then. This paper observes U.S. health care reform under the Obama administration in the context of health care reform history in this country. Mainly employing the method of historical comparison, it probes the factors that contribute to the successful passage of health care reform bill this time, and tries to establish a framework for the observation of public policy making process in the United States. Through the review of U.S. health care reform history and existing analyses of previous reform attempts, the author of this paper finds that three factors—presidential leadership, Congress, and interest groups—may contribute to previous failures of health care reform. Then, this paper comes to investigate Obama’s health care reform from 2009 to 2010, with its emphasis on the making process of health care reform laws, and analyzes the effects of the three factors on this process. By the investigation and analysis of the process of making and passing health care reform bills under the Obama administration, the author of this paper arrives at the following observations: President Obama exerts effective leadership in the making process of health care reform proposals by adopting proper political strategies; Democrats in the White House and Congress cooperate in quite well, thus avoiding the dispersion of political resources of the party in the process of both making and passing the reform bills; the process of health care reform is also under the influence of interest groups as usual, but division appears in the opposition camp of interest groups when some influential former opponents turns to support the reform, and the increase of supportive camp also contributes to the final passage of health care reform bills. Obama’s health care reform from 2009 to 2010 and Clinton’s health care reform in 1993-94 have some common points: both are under the background of health care crises in the United States, both are initiated and led by Democratic presidents, and both are confronted with Democratic-controlled Congress; the difference is that Obama’s reform succeeded at last, while Clinton’s ended up in failure. Therefore, this paper proceeds to compare the two reforms to further examine the role of president, Congress, and interest groups in the process of making and passing health care reform bills. On the basis of this comparison, the author of this paper draws the conclusion as follows: the effective leadership of a president is the precondition of a successful policy making process; Congress plays a critical and decisive role in the process, in which its degree of coordination with the White House decides the fate of the policy; interest groups as a whole acts as a significant variable in the policy making process, and their support or opposition power may also influence the result of the process.

姓名：赵玉花 导师： 李今朝

论文题目（中文）： 百人会: 一个美国族裔利益集团的胜利

论文题目（英文）： The committee of 100: the success of an American Ethnic Interest Group

论文关键词（中文）：百人会 利益集团 美国华裔身份 美中关系

论文关键词（英文）：The Committee Of 100, Interest Group, Chinese American Identity, U.S.-China relations

中文摘要：

百人会是一个由美国华裔组成的非政府组织，其会员均为各领域的精英，如世界著名建筑大师贝聿铭，著名大提琴家马友友，前通用汽车副总裁杨雪兰等。该组织自1989年成立以来积极地促进美中双方的交流和理解，并在近10年得到了美国和中国媒体的广泛关注。该组织的运作方式，组织优势，促进美中关系的目的都值得进行学术探讨。然而，目前为止，百人会还没有引起中国学者的足够注意。现有的著述大多仍然停留在对百人会的任务和其在促进美中关系作用的简单介绍上。

百人会成立21年来，在提高华裔在美国的地位和促进美中关系发展上都取得了明显的成功。这篇论文旨在探求百人会在国内事务和美中关系上能够取得成功的有利因素和百人会积极促进美中关系的目的。我的主要研究问题是：哪些因素使得百人会能够在国内事务和促进美中关系上取得成功？百人会积极促进美中关系的目的是什么？相关的次要问题包括：百人会成立的原因是什么？百人会工作的重点及策略是什么？百人会组织和参与了那些具体活动来促进美中关系的发展？

要回答上述问题首先要知道百人会的发展历程，发起了哪些项目，从事的具体活动，在美中关系中的努力以及百人会的优势。在这篇论文中，我将”利益集团”作为我的分析框架，并将之与“国民外交”的概念相结合。我的资料来源主要包括百人会的官方网站，报纸，一些会员的访谈等一手资料和其他一些二手资料。通过分析这些资料我全面介绍了百人会的成立，结构，项目和在美中关系上做的努力。通过这些介绍，本文在百人会的自身发展和对促进美中双方相互理解的方面为读者提供了一个全面的视角。

作为一个族裔利益集团，百人会的核心利益就是加强华裔在美国的身份认同从而提高他们在美国的社会地位。华裔的身份包括美国和中国两个方面，因此百人会的核心利益也有美国和中国两个方面构成。为了加强华裔身份的美国部分，百人会成员积极接触美国政府官员、媒体和公众，为华裔代言并鼓励华裔融入主流社会。为了加强华裔身份的中国部分，百人会成员除了接触美国政府官员、媒体和公众外，也积极接触中国政府官员、学生和公众，以此在美国建立一个正面而客观的中国形象。百人会的利益最根本上是和美国相关的。就游说方式而言，百人会既运用了包括同决策者会面和向决策者写信在内的直接游说，也运用了包括利用媒体教育公众，组织会议、论坛、文化节，组织美国的记者、教师、和社区领袖来中国参观在内的间接游说。

我认为 （1）百人会能够在提高华裔在美国地位和促进美中互相理解上取得成功主要是借助于其会员的成就，社会关系和为决策者提供准确信息的能力 （2）百人会促进美中相互理解的目的主要是为了加强华裔在美国的身份认同而不是单纯出于对中国文化的热爱或出于故土的认同。百人会的利益根本上是同美国联系在一起的，而非中国。

本文主要分为四大部分：百人会的成立及发展；百人会在美中关系中的活动；百人会在中国大陆和台湾关系中起到的调和作用；影响百人会成功的因素和百人会促进美中关系的目的。

在前三部分当中，我主要运用了历史的分析方法对材料进行分析。由于所能找到的1989-2000年期间的材料不足，我将重点放在了近10年的材料上，用利益集团的理论对其进行分析。第四部分是对百人会会员个人信息的定量分析。我将会员的年龄，性别，出生地，入会时间，获得第一学历的地点，职业，其他社会联系和会员活动的主要领域作为自变量，将会员的活跃程度作为因变量进行双变量分析并进一步对会员在国内事务的活跃程度和会员在美中关系上的活跃程度进行相关性分析。

双变量分析显示百人会会员的年龄和社会联系是影响百人会在国内事务和美中关系中取得成功的重要因素。会员在国内事务上的活跃程度与会员在美中关系上的活跃程度具有显著相关性。

Abstract:

The Committee of 100 (C-100) is a non-governmental organization whose membership is only open to prominent Chinese Americans, including I. M. Pei, Yo-Yo Ma and Shirley Young. Since its establishment in 1989, the C-100 has been actively engaged in promoting U.S.-China relations. It attracted close media attention both in China and the U.S. in the last decade. The Committee’s operations, strategies, goals, and achievements, especially in light of ethnic group lobbying and engagement in ancestral-land diplomacy deserve close academic attention. Yet, it has not received substantial study from scholars in China and the U.S. Academic articles on the C-100 as an ethnic and foreign policy interest group hardly exist in the U.S. Most researches done by Chinese scholars are no more than a brief introduction of its missions or its role as a bridge between the U.S. and China.

In its 21-year history, C-100 has achieved prominent success in improving social status for Chinese Americans in the United States and in promoting mutual understanding between the U.S. and China. The primary purpose of this research is to provide a full understanding of the establishment, structure, initiatives, and development of the C-100. More than that, this paper aims to explore the factors that contribute to the C-100’s success in both domestic issues and U.S.-China relations and to explore the reason for the C-100’s active involvement in U.S.-China relations. The main questions I ask are: What makes the C-100 work and how to understand its success and accomplishments? And more specific questions include: Why is the C-100 established? What’s its major focus, priorities and strategies to achieve these priorities? What concrete activities the C-100 has organized and participated to promote U.S.-China relations? What factors contribute to the success of the C-100’s lobbying? Why is the C-100 concerned so much for U.S.-China relations? To answer all these questions, a detailed analysis of the C-100’s development, initiatives, activities, efforts in U.S.-China relations, strengths is needed. In this paper, I use the concept of “ethnic interest group” as my analytical framework and combine it with the concept of “citizen diplomacy.” I collect information from the official website of the C-100, newspapers, interviews of members and some secondary materials to provide a full picture of the C-100’s establishment, structure, initiatives, major efforts in U.S.-China relations and members’ comparative advantages. This paper provides an insight in getting a full understanding of the C-100’s development and its role in promoting mutual understanding between the U.S. and China.

As an ethnic interest group, the core “interest” of the C-100 is to enhance the identity of Chinese Americans in the U.S. and thus to improve their status. Identity of Chinese Americans consists of American part and Chinese part, and therefore the C-100’s core interest also consists of two parts. To enhance the American part, the C-100 reaches to U.S. decision-makers, media and public, speak on behalf of all Chinese Americans and encourage Chinese Americans to integrate into the mainstream of the U.S. To enhance the Chinese part, the C-100 reaches to decision-makers, media and public in the U.S. and decision makers, students and public in China to build a positive and objective image of China in the U.S. In terms of lobbying strategies, the C-100 employs both direct lobbying, like meeting politicians and writing to politicians, and indirect lobbying, which include educating the public through media, organizing conferences, forums, festivals, and taking U.S. journalists, teachers, and community leaders to China.

I contend that (1) the C-100’s success in promoting Chinese Americans’ social status in the U.S. and in promoting mutual understanding between the U.S. and China lies in its members’ achievement, social network, and ability to provide accurate information and (2) the C-100’s purpose of promoting mutual understanding between the U.S. and China is mainly to enhance their Chinese American identity in the U.S. rather than merely out of their love for Chinese culture and their identification with the ancestral land. The C-100’s primary interest lies with the U.S. instead of with China.

The paper is divided into four parts: the C-100’s establishment, development and members’ demographic information; the C-100’s activities in U.S.-China relations; the C-100’s role as a mediator between the mainland of China and Taiwan; factors that contribute to the C-100’s success and the C-100’s purpose in promoting a better U.S.-China relationship.

I mainly employ historical approach to analyze the first three parts. Unable to find adequate primary materials concerning the C-100 activities before 2000, I focus on the activities of the C-100 in the last decade and analyze them by interest group theory. The fourth part is a quantitative study of members’ personal information. I use members’ age, gender, birthplace, year of getting membership, education, profession, affiliations, and fields of members’ activity as independent variables and degree of members’ activity as dependent variables to run bivariate analysis and further test the correlation between members’ degree of domestic activity and members’ degree of activity in U.S.-China relations.

The C-100 has a stable leadership structure, supporting staff and some former Washingtoners to help it carry out its domestic activities and transnational activities. The C-100’s opinion surveys and surveys of the proportion of Asian Pacific Americans at the corporation boards and higher education boards provide accurate information for decision-makers and lead the public opinion on situation of Chinese Americans in the U.S. The C-100’s frequent meetings with political leaders from both the U.S. and China help promote mutual understanding between the U.S. and China among the decision-makers. The C-100’s organization of various business, educational and cultural activities greatly cements a better understanding between the U.S. and China among the public.

Bivariate analysis shows that the C-100 members’ age structure and social connections contribute to their success in promoting social status of Chinese Americans and in promoting mutual understanding between the U.S. and China.

The strong correlation of members’ degree in domestic activity and members’ degree in U.S.-China relations suggests that the C-100’s purpose of promoting U.S.-China relations is mainly to promote the status of Chinese Americans in the U.S.

姓名：麦博 导师： 李今朝

论文题目（中文）： 在全球与本土之间：中国肯德基电视广告中“中国特性”的建构和表现

论文题目（英文）： Between the Global and the Local: Analysis of the Chineseness Constructed and Presented in KFC China’s TV Commercial

论文关键词（中文）：中国肯德基 全球化/本土化 视觉消费 广告

论文关键词（英文）：KFC China, globalization/localization, Visual Consumption, advertising

中文摘要：

进入中国23年来，肯德基的公共形象逐渐地发生着变化。在中国市场的第一个阶段（1987-1999）,肯德基曾经是“美国”或“西方”的代名词。然而，自90年代中后期开始，肯德基逐步采取一系列营销措施使自己的形象日趋本土化。作为其本土化战略中的一个重要环节，肯德基如何在电视广告中呈现自我形象的问题尤其值得关注。电视不仅是塑造特定产品形象、吸引目标消费群体的有效手段，更是跨国企业最为青睐的同本土消费者进行直接对话的途径。因此，对肯德基电视广告进行深入分析研究有助于进一步了解全球化和本土化两种趋势在商业话语中的相互作用。本文以学界对商业话语的文化研究为基础，采用符号学分析和话语分析等阐释性定性研究方法，通过分析中国肯德基2000年后的电视广告来探究以下问题：肯德基是如何理解“中国特性”并在电视广告中塑造和呈现自己的形象的？它是如何运用中国文化符号来迎合本地消费者的文化心理的？本土化的程度在各个地区市场是否有所差异？研究发现肯德基中国的电视广告采用了一系列典型中国文化元素（如中国武术和饮食传统）来塑造更加具有本土色彩的形象；另外，大陆、香港和台湾地区播出的肯德基广告在中西方关系和社会群体的表现方式上存在显著差异。本论文主要有两大贡献：首先，对肯德基电视广告的个案分析从形象呈现和身份建构的角度展现了全球化和本土化两股力量之间的互动；第二，对三个华语市场（中国大陆、香港和台湾）肯德基广告的比较分析表明，即便在同一文化群体内，本土化的程度仍可能由于社会、政治和历史状况的不同而存在差异。

Abstract:

姓名：张建军 导师： 李今朝

论文题目（中文）： 夏威夷原著民主权运动与美国殖民政治的较量：阿卡卡法案的本质及其影响分析

论文题目（英文）： A Tug of War between Native Hawaiian Sovereignty Movement and American Colonial Politics: An Analysis of the Essence of Akaka Bill and Its Impacts

论文关键词（中文）：夏威夷 原著民 主权 阿卡卡法案 原著民性

论文关键词（英文）：Hawai’i, Native, Hawaiians, Sovereignty, Akaka Bill, indigeneity

中文摘要：

本论文的研究焦点是目前最能反映美国原著民政治现状与本质的《阿卡卡法案》。该法案的全名为《夏威夷原著民自治政府重组法案》，因其由参议院议员丹尼尔•阿卡卡最先在国会提出，所以该法案简称为阿卡卡法案。《阿卡卡法案》的发端、修改变化以及是否能得到国会的最终批准而成为法律的未卜命运直接反映了美国原著民政治的缺陷和美国民权政治的局限性。

历史上，在1893年被推翻以前，夏威夷王国是国际社会承认的、独立的并且拥有主权的国家。在1893年以后相当长的一段历史时期之内，夏威夷都是美国的属地之一。夏威夷王国是在外国势力的入侵下才被推翻的，而这违反了当时相关的国际法规定。因此，1946年夏威夷被列入联合国《非自治领地名单》中，这意味着夏威夷原著民有权选择自己国家的政治地位。但是，后来经过美国政府操纵下的一次全民公决，夏威夷最终在1959年成为美国的第50个州。在这种历史背景下，夏威夷和美国政府之间逐渐形成了一种特殊的“领属”关系（Trust Relationship）。美国政府和夏威夷州政府也曾通过一系列相关的立法来确保这种关系。

作为对夏威夷和美国政府之间的上述“领属”关系的一种体现，根据夏威夷州宪法的规定，夏威夷州政府于1978年设立了夏威夷事务局。夏威夷事务局的具体事务由选举产生的几个理事负责，其理事成员的候选人按规定仅限于夏威夷土著人。然而，作为一个白人传教士的后裔，哈罗德•赖斯认为，夏威夷事务局理事成员候选人的选举权仅限于夏威夷土著人的规定是基于种族歧视的，因而违反了美国宪法。因此，赖斯于1996年把夏威夷政府告上了美国最高法院。2000年2月，美国联邦最高法院的9名大法官以7：2的裁决判定赖斯胜诉。这就是著名的赖斯控诉卡亚塔诺案。赖斯案以及随后出现的其它针对夏威夷原著民的一系列法律诉讼案件使得夏威夷原著民深深感到其主权利益受到了很大的威胁。

为了维护夏威夷原著民的主权利益，有夏威夷土著血统的民主党参议员丹尼尔•阿卡卡等人在2000年起草了著名的《夏威夷原著民自治政府重组法案》，以求在美国国会得到通过。而事实上，1993年在纪念夏威夷王国被推翻100周年时，美国第103届国会通过了《公共法103-150》（该法律通常被称作《道歉法》），并且经过时任美国总统的比尔•克林顿的签署，该法案遂正式成为法律。《道歉法》阐明了美国政府对其同夏威夷之间关系的立场，该法律也承认历史上夏威夷原著民从未以任何形式放弃过其对主权的诉求。

阿卡卡法案正是基于上述《道歉法》所承认的夏威夷原著民应当享有主权，其目的是为了保护夏威夷原著民享有美国政府许诺的有限自治权。自2000年提出以来，虽然历经数次修改，但是由于各种反对声音的强烈存在，该法案一直都未能得以在美国国会表决通过从而成为法律。目前，这一法案的最新版本已经出炉，在参议员丹尼尔•阿卡卡及该法案的其它支持者的努力下继续寻求最终能够得到国会的通过。

本论文主要比较阿卡卡法案在不断修改中形成的不同版本和围绕该法案而产生的一系列争论，以及这些修正和争论背后所反映的不同意识形态，目的是以此为窗口来考察夏威夷原著民的主权诉求。所研究的《阿卡卡法案》版本侧重于奥巴马政府时期的新版本。因此，本论文的研究问题是试图通过夏威夷原著民的案例来研究当代美国原著民主权政治的性质。

研究这个问题的重要性是不言而喻的。因为到目前为止，虽然美国学术界对该问题的研究已经有了长足的发展，但是对奥巴马总统期间的最新版本的研究还未有人涉足，而且目前在中国学术界，针对当代美国原著民主权问题的研究可以说基本上仍然是一个空白。此外，美国近年来一直对中国的民族自治问题指手画脚，批评声不断，但是对于夏威夷原著民的问题美国政府也并未能够很好的加以处理。因此，目前这一研究课题很值得继续深入下去。

本论文的论证前提是，夏威夷社会是一个在美国白人和亚裔主导下的后殖民主义社会，而不是美国主流话语所宣扬的多民族、多元文化共融的社会。在这一前提下，本论文认为，分析阿卡卡法案不难看出，它的主权诉求是希望使夏威夷原著民的主权问题在美国联邦宪法和相关的州法律框架之内得以尽快地解决，实际上是美国殖民政治和夏威夷原著民主权运动二者之间相互较量的一种折中。在后殖民主义的理论框架之内，运用历史分析和文本比较分析两种研究方法，本论文梳理了夏威夷原著民主权问题产生的历史由来，研究了夏威夷原著民自治政府重组法案自2000年问世以来的最新版本在内容上所做出的重大修改，讨论了围绕该法案而产生的争论背后的原著民意识形态和美国主流社会多元文化意识形态之间的冲突。

Abstract:

The research of this paper focuses on the Akaka Bill which is officially known as the Native Hawaiian Government Reorganization Act. This Bill is one of the best indicators of the current nature and dynamics of U.S. indigenous politics. Senator Daniel Akaka initiated the Bill in Congress in 2000, thus the bill is always referred to as the Akaka Bill. The making, revising, and the uncertain fate of the Bill reflect profoundly the shortcomings of the U.S. indigenous politics and the limitations of U.S. ideology of civil rights and immigration.

Hawai’i has a very unique history. Before the overthrown by U.S. military force in 1893, Hawai’i Kingdom was an internationally recognized, independent, and sovereign country. From 1893 to 1959, Hawai’i was a territory of the United States. The illegal overthrow of the Kingdom of Hawai’i violated the relevant provisions of international law. Therefore, Hawai’i was placed in the United Nations “Non-self-governing” List in 1946, which means Native Hawaiians had the right to choose their country’s political status. In 1959, however, after a referendum manipulated by the U.S. government, Hawai’i became the 50th state of the United States.

Under this historical context, a special trust relationship was formed between the islands of Hawai’i and the U.S. government. The United States government had passed a series of legislations to ensure this relationship since the annexation of Hawai’i in 1898. For example, in 1993, in commemoration of the 100th anniversary of the overthrow of the Kingdom of Hawaii, the 103rd Congress passed Public Law 103-150 (the law is called Apology Resolution) under the administration of Bill Clinton. According to the Apology Resolution, Native Hawaiians have never given up their sovereignty either by a referendum or by a plebiscite.

As a realization of the trust relationship between Hawai’i and the U.S. government, in 1978, the Office of Hawaiian Affairs (OHA) was established by the Hawai’i authority according to the amendments of the state constitution. As a way to redress the 1893 overthrow, the United States government empowered the state of Hawai’i to create the OHA. The purpose of the establishment of OHA is to ensure Native Hawaiians enjoy a limited degree of self-governance. Therefore, the election of OHA trustee was only limited to Native Hawaiians. As the descendant of a white missionary, however, Harold F. Rice believed that the OHA trustee election process was race-based. Therefore, it violated the U.S. Constitution. In a 7-2 decision in February 2000, the U.S. Supreme Court agreed with Harold Rice, holding that the Hawai’i state violated Constitution’s ban on voting restrictions based on race. Since the Rice case, a number of Native Hawaiians felt their limited sovereignty rights were under ferocious legal threats.

In order to safeguard Native Hawaiians’ sovereignty rights against further legal attacks, Senator Daniel Akaka and other sponsors drafted the first Native Hawaiian Government Reorganization Act (in the U.S. Congress the bill also known as Akaka Bill) and introduced the Bill in the U.S. Congress in 2000. Based on the Apology Act, the Akaka Bill aims to protect those programs created for the Native Hawaiians against the mainstream society’s attacks. Since that time, the Bill has been amended for many times. However, the Bill could not be passed in the U.S. Congress due to strong oppositions from those senators who believe Native Hawaiians should not be given special treatment. Currently, the very latest versions of the Bill have been released, aiming to continue to seek the passage in U.S. Congress.

This thesis studies the different revisions of the Akaka Bill and the debates surrounding the Bill, aiming to use the Akaka Bill as a window to examine Native Hawaiian sovereignty politics. The study focuses on the latest versions of the Akaka Bill that drafted under the administration of Barack Obama. Therefore, the research question of this paper is the nature of the contemporary American native sovereignty issue in the case of Native Hawaiians.

It is necessary to continue to do further research on this question. Up till now, there are many U.S. scholars who have studied the contemporary American indigenous sovereignty issue. And in Chinese academic circles, scholars who involved in the study of the problem are even rarer. In addition, the United States government has been criticizing and finding fault with China’s ethnic autonomous issue in recent years. But the United States government still could not be able to solve smoothly the Native Hawaiian sovereignty issue. Therefore, this research project is far from sufficient and worthy doing further research.

Hawai’i is a post-colonial society dominated by whites and Asian Americans, rather than a democratic society that the contemporary U.S. mainstream society claims. The paper argues that the sovereignty claims by the Native Hawaiians can never be truly achieved within the federal and state legislative framework. And the Nation-within-a Nation solution proposed by the Akaka Bill is a compromise with Native Hawaiians’ claims of sovereignty. This thesis is based on two research methods, including historical analysis and comparative textual analysis. Under the theoretical framework of post-colonialism, this paper reviews the history of U.S. policy in Hawai’i and the history of Native Hawaiians’ resistance, analyzes the significant amendments of the latest versions of the Akaka Bill, and discusses the ideology that underlines the debates surrounding the Bill.

姓名：任姣杰 导师： 李莉文

论文题目（中文）： 从美国贸易环境的变化看“快车道”授权的起落

论文题目（英文）： A Study of Fast Track Authority Based on the Changing Trade Environment of the United States

论文关键词（中文）：“快车道”授权 公平贸易 劳工标准 环境标准

论文关键词（英文）：Fast track authority, trade Promotion,Authority, Fair Trade, Labor And Environmental standards

中文摘要：

美国贸易政策的变化对国际贸易有着很大影响，国际贸易谈判的成功与否在很大程度上取决于美国的贸易政治。美国贸易政策的制定是各利益集团、行政机构、国会之间相互博弈的结果，博弈的过程中产生了很多贸易政策制定机制，其中最具争议的一个就是“快车道”授权机制。根据“快车道”授权机制，国会授予总统直接签订国际贸易协议的权力，国会不能修改协议，只能对总统提交的协议内容进行直接表决。

“快车道”授权并不是国会第一次对总统进行贸易授权。早在1934年，国会就授予总统关税声明权力。产生这种授权的原因是美国的贸易政治从进口政治转向出口政治，这一转变为促进互惠自由贸易提供了动因。从此以后，国会就一直把互惠或者说是公平贸易摆在首位。但二战以后的美国总统为了实现其外交目的，总倾向于利用“单边”自由贸易，这违背了国会对互惠贸易的要求。此外，总统行使的贸易权力逐渐超出了国会授予的权力。于是1967年授权到期时，国会决定不再对总统进行授权。从1967年到1974年，总统没有得到任何贸易授权。但随着美国贸易环境的不断变化，国会最终于1974年决定启动新的授权，这就是“快车道”授权。

从1974年国会第一启动“快车道”授权开始到80年代末，“快车道”授权所受到的质疑声不大，关于这一时期的“快车道”授权的文献并不多。到90年代初，关于“快车道”授权的争议越来越大。在这种争议声中，“快车道”授权终于于1994年第一次失效。克林顿政府时期总统没能说服国会恢复“快车道”授权，直到2002年小布什上台后，国会才恢复“快车道”授权。关于这一时期“快车道”授权的文献很多，但很少有文献对“快车道”授权的整个发展过程进行整体研究，而几乎没有文献把对“快车道”授权的整体研究放与美国贸易环境的变化结合起来。为此，本文旨在在美国贸易环境这个大环境下对“快车道”授权进行整体性的历史研究。

为了在贸易环境的大背景下研究国会授权问题，本文将会构建一个由委托代理理论、自由贸易理论、公平贸易理论构成的理论框架。通过历史研究方法，本文将会对“快车道”授权进行历史回顾，研究“快车道”授权的过去，并预测未来。本文试图回答一下问题：为什么国会会授权“快车道”？为什么“快车道”授权从1979年到1988年得到了两党的一致支持？为什么后来在“快车道”授权这一问题上两党出现了分歧？为什么105届和110届国会拒绝对总统进行授权？这些立法授权问题发生在美国不断变化的贸易环境这一大背景下。美国贸易从“快车道”授权开始都一直在强调公平贸易的重要性和必要性。在“快车道”授权的前二十年里，美国各界存在着对公平贸易的共识，这时的公平贸易重点放在保护经济利益。国会和总统之间也存在着这种共识，这种共同利益激励国会定期对总统进行“快车道”授权。到了90年代初，工会和其他社会团体对公平贸易的呼声越来越高，他们要求贸易不但要对经济利益公平，同时也要促进工人利益、环境、人权等社会问题的公平发展。早期对公平贸易的共识不复存在，两党之间在劳工和环境标准上的分歧最终导致了“快车道”授权的失败。

Abstract:

The success or failure of international trade agreements often depends on the trade politics of the United States, which is best characterized by the contentious relationship between Congress and the Executive branch. One of the most controversial issues in recent years centering on this relationship is the fast-track issue. Fast track is a special legislative procedure in U.S. trade policy. Its purpose is to coordinate the congressional-presidential relations in trade policy and to ensure expedient congressional consideration of trade agreements. Under fast track, U.S. president has the authority to enter into international trade agreements. Congress is limited to an up-or-down vote and cannot change or rewrite the agreements entered into by the president.

Fast track authority is, however, not the first legislative authority delegated to the president. As early as 1934, Congress had delegated the tariff proclamation authority to the president to reduce tariffs reciprocally. This delegation happened because U.S. trade politics had shifted from import politics to export politics. Such a shift provided incentive to promote reciprocal freer trade. Since then reciprocity or fairness of trade has been on legislators’ mind. Yet the postwar presidents often utilized trade policy for foreign policy consideration and implemented unilateral trade liberalization. As the presidents’ unilateral trade policy gradually deviated from the congressional norm of reciprocity and the presidents overstepped the authority delegated to them, Congress found the agency losses were so great that it decided to withdraw the authority in 1967. From 1967 to 1974 there was no legislative delegation to the president. However, with the new trade landscape coming into being, Congress decided to initiate the fast track authority in 1974.

From 1974 to the late 1980s, fast track was relatively uncontroversial and the literature studying fast track delegation during this period has been small. Then President Clinton failed to secure fast track authority from Congress and fast track was suspended for eight years from 1994 to 2002. President George W. Bush succeeded securing fast track authority from Congress and changed its name into trade promotion authority in 2002. A large number of literature has studied why fast track lapsed under the Clinton administration and was renewed under the Bush administration. Only a few scholars have conducted a historical and more consistent research of the whole process of fast track delegation. Few scholars have made a historical study of fast track and linked the delegation issue to the changing trade landscape of the United States. Due to this, this thesis aims to provide a historical analysis of fast track authority. The study of this special legislative delegation will be conducted in the big context of the changing trade landscape of the United States.

To study the delegation issue in the big context of trade landscape, I will construct a theoretical framework consisting of agency theory, free trade theory, and fair trade theory. Specifically, by employing the historical method, I will conduct a historical research of fast track, studying the past, present, and future of fast track delegation, and will try to answer the questions such as why delegation of fast track happened, why it received bipartisan support from 1979 to 1988, why partisanship appeared in the early 1990s, and why fast track lapsed. These questions concerning the legislative delegation will be answered in the context of U.S. trade landscape which has been stressing the importance and necessity of fair trade. In the first two decades of fast track history, there was nearly consensus on fair trade which focused on promoting economic interests. The shared interests between Congress and the president provided Congress the incentive to renew fast track periodically. In the early 1990s, the demands for fair trade by organized labor and social activists loomed large and the consensus on fair trade eroded. The split over labor and environmental issues finally caused the death of fast track authority.

姓名：陈志宇 导师： 李莉文

论文题目（中文）： 美国思想库及其对美国外交政策的影响

论文题目（英文）： American Think Tanks and Their Influence on American Foreign Policy Making

论文关键词（中文）：美国思想库 外交政策 影响

论文关键词（英文）：American Think Tanks, Foreign, Policy influence

中文摘要：

在美国外交政策的制定中，许多机构和个人扮演着不同的角色。在决策日益复杂的今天，思想库的重要性不能小觑。但我们关于思想库的研究还不够充分，甚至在某些观点和论述上还有矛盾的地方。本文以归纳-演绎和历史研究的方法，在前人研究的基础上，试图给思想库一个准确的定义，并厘清思想库发展的历程和现今思想库的种类和作用，从大量事例中归纳出美国思想库影响美国外交政策制定这一初步结论。最后以历史研究和案例分析的方法，以两个最有典型代表意义的思想库在中美关系中的影响为例，说明美国思想库影响美国外交政策的制定。本文的贡献在于：结合前人研究的成果，给了思想库一个比较清晰的、比较容易接受的定义，厘清了思想库的发展历程，进行了不同标准的分类，阐述了思想库的作用并分析了其发生影响的原因，从大量事例中归纳出美国思想库影响美国外交政策制定这一初步结论，并进行了论证。在案例研究中，从综合角度考虑，而非仅仅考虑某一方面特征，选取了两个对美国外交政策制定产生影响的不同的思想库。其案例亦对思想库研究和中美关系研究具有一定意义。

全文共分六个部分。第一章为介绍，内容为本文研究的缘起、意义、文章结构、研究方法，思想库定义和文献综述；第二章为美国思想库历史发展追溯；第三章为美国思想库种类划分；第四章为美国思想库的功能，其影响美国外交政策制定的途径和原因分析；第五章为案例分析，介绍了美国最大和最有影响力的两个思想库——传统的、比较中立的兰德公司和新兴的、带有强烈意识形态倾向的传统基金会——在美国外交制定中的影响；第六章为总结。对本文的内容进行了总结并指出了本文及思想库研究中不足的两个问题。

Abstract:

There are many players in American political arena. Think tanks play a very important role in American foreign policy-making. But our research on them is not enough and sometimes inconsistent and contradictory as the definition, the evolving stages, opinions and cases are concerned. In this paper, based on the previous studies, the author adopts induction, deduction and historical review to give a definite and acceptable definition of think tanks, review their development, make a clear classification of the current think tanks and make an analysis and a summary of their functions. Based on many different cases, the author draws a tentative conclusion that American think tanks influence American foreign policy-making. Then the author selects two of the most typical American think tanks as the cases to illustrate how the American think tanks can influence American foreign policy-making. The author claim the contribution of this paper as follows: based on and synthesizing previous research, a more acceptable definition of think tanks is given, more clear and acceptable evolving stages described, more comprehensive ways of classification provided, functions of think tanks summarized and explained/analyzed. Based on many different cases and previous studies, a tentative conclusion that the American think tanks influence American foreign policy-making is made and proved by cases. The selection of the cases are unique in that it is not only depended on only one or two standards like the political orientation or the sizes but more comprehensive standards. The cases provide can also be a reference for think tank and US-China relations studies.

The paper consists of six chapters. The first chapter introduces the rationale and significance of the study, structure of the thesis, the methodology used in the paper, and the definition and literature review of think tanks. The second chapter focuses on the evolving stages of American think tanks. The third chapter classifies the current think tanks. The forth chapter deals with the functions of the American think tanks, summarizes and analyses their ways of influencing American foreign policy-making. The fifth chapter is a case study. Two of the most large and influential think tanks, namely, RAND, a traditional and centrist think tank, and Heritage, a new rising and political-advocacy think tank, are selected to illustrate how think tanks influence American foreign policy-making. The last chapter is a conclusion chapter. The author gives a summary of the paper and points out the limitations of this paper and think tank study in general.

姓名：朱烨坤 导师： 闫循华

论文题目（中文）： 冷战后美国核不扩散政策的分析与解读

论文题目（英文）： Behind the Pendulum: Evaluation and Explanation of the American Nuclear Nonproliferation Policies after the Cold War

论文关键词（中文）：核不扩散 美国政府 政策不一致

论文关键词（英文）：Nuclear Nonproliferation, The U.S. Government, Policy inconsistencies

中文摘要：

核武器扩散是当今国际社会安全所面临的一大重要威胁，已经引起了全球范围内的广泛关注。冷战结束后，持续了数十年的美苏军事竞赛也告一段落，核威慑也逐渐失去了其在国家安全中举足轻重的地位。因此，冷战结束后，美国政府将防止核武器扩散作为其外交政策的一项重要目标，并且相应出台了一系列核不扩散政策。本文以冷战后美国的核不扩散政策为研究对象，旨在分析并阐释这些政策的总体变化模式及趋势。

本文研究了冷战后美国政府在核不扩散问题上的官方立场及具体政策，后者可进一步划分为“核需求”和“核供给”两方面政策。核需求政策指美国针对那些寻求发展核力量的国家所采取的政策措施；核供给政策则主要包括维持核武器材料及核技术安全的措施、相关出口管制以及核裁军。通过分析，本文指出了这些政策的纵向不连续性及横向不一致性。

纵向政策不连续的主要表现为：冷战后，历届美国政府在核不扩散问题上的政策变化不断，摆动明显。这一点在官方立场的变化上体现得尤为清晰。冷战后，美国政府在核不扩散问题上的立场主要包括防御型的“防扩散”战略和进攻型的“反扩散”战略。老布什及克林顿政府时期，尽管“反扩散”一词已经提出，然而这两届政府在政策上明显倾向于“防扩散”；小布什总统在任期间，“反扩散”政策达到顶峰；奥巴马总统接任后，尽管很多迹象表明美国政府的立场正在重新向“防扩散”方向靠拢，但实质上，很多“反扩散”方面的措施都被本届政府保留了下来。

横向政策不一致的主要体现在核不扩散政策的选择性及标准的多重性上。在核需求政策上，美国对待不同国家核力量的发展采取了不同的态度，本文对比分析了美国对印度及朝鲜的核政策，以这两国为例证明了美国政府对不同国家的区别对待。在核供给政策上，一方面，美国政府严格控制其他国家获取核材料及核技术；另一方面，在其理应承担的核裁军义务上，美国政府却百般推诿，这充分体现了美国在衡量自身及他国在核不扩散问题上的义务时所采取的双重标准。

本文的另一目的是解释冷战后美国核不扩散政策上缺乏连续性及一致性的原因。纵向来看，各届政府的政策差异主要由两个因素导致：一是在不同时期，美国政府所采取的整体外交手段不同；二是各届政府对于当时美国国家安全所面临的最严峻的威胁有着不同的判断。横向来看，美国的核不扩散政策中之所以包含如此明显的对象选择性和标准差异性，完全取决于美国政府在战略利益及意识形态方面的考虑。综上所述，本文得出以下结论：冷战后，由于美国政府常常将自身的外交利益、战略考量和意识形态理念凌驾于防止核扩散这一目标之上，导致其这一时期的核不扩散政策缺乏连续性及一致性。

Abstract:

Nowadays, the spread of nuclear weapons, as one of the most serious threat to the global security, has become a huge concern of the international community. As the end of the Cold War concluded decades of bipolar military competition between the United States and the Soviet Union, the role of deterrence of nuclear weapons has been reduced. Therefore, in the post-Cold War era, the U.S. government has made nuclear nonproliferation an important task in its foreign relations agenda and carried out a series of nonproliferation policies to fulfill it. By studying the U.S. nonproliferation policies after the Cold War, this thesis seeks to present and explain the patterns of change within these policies.

This study examines both the official stance and the specific nonproliferation policies carried out by the U.S. government in the post-Cold War era. The latter has been further categorized into two groups: demand-side policies – those addressing the potential nuclear proliferators – and supply-side policies – those regulating the safety of nuclear materials, weaponry, and technologies and the size of existing nuclear arsenals. After a careful evaluation of these policies, this thesis finds inconsistencies on both the vertical and the horizontal dimensions.

Vertical policy inconsistencies – constant variations and adjustments made by different administrations after the Cold War – are mostly notable in the ever-changing official stance on nuclear nonproliferation. Generally speaking, the official stance of the U.S. government on this matter has been shifting back and forth between the defensive nonproliferation strategy and the offensive counterproliferation strategy. Immediately after the Cold War, the administrations under Bush Sr. and Clinton clearly leaned towards the former, though the concept of counterproliferation had already been phrased. Later, years under George W. Bush witnessed the heyday of counterproliferation policies. Entering into the new millennium, although it seems that the Obama administration has re-embraced the nonproliferation strategy, some elements of counterproliferation policies have actually been retained.

Horizontal policy inconsistencies indicate that the U.S. government has differentiated among seekers for nuclear weapons in its policies and established different requirements for other countries and for itself. Such inconsistencies can be found in both demand-side and supply-side nonproliferation policies. On the demand side, this study uses the cases of India and North Korea to illustrate the conflicting policies carried out by the U.S. government on different proliferators. On the supply side, the American nonproliferation policies feature high level of control over the access of nuclear materials and technologies of other states and low level of commitment to its own obligations in nuclear disarmament.

This study also provides explanations for these policy inconsistencies. On the vertical dimension, two factors have led to the policy inconsistencies. One is the overall foreign policy approach of the U.S. at a particular time; the other is the perception of the imminent national security threat of the U.S. government. On the horizontal dimension, the selective standards and differentiated requirements have been made by the U.S. government out of its own strategic and ideological considerations. In a word, the U.S. nonproliferation policies in the post-Cold War era lack consistency to a large extent, for the goal of global nuclear nonproliferation has constantly been subordinated to other foreign policy considerations, strategic interests, and ideological concerns of the U.S. government.

姓名：束东新 导师： 闫循华

论文题目（中文）： 克林顿政府以来美国制裁伊朗的政策为何不奏效?

论文题目（英文）： U.S. Sanctions on Iran since the Clinton Administration: Why are they ineffective?

论文关键词（中文）：能源 美国的制裁政策 相互依赖 地缘政治

论文关键词（英文）：Energy, U.S. Sanctions On Iran Interdependence, Geopolitics

中文摘要：

克林顿政府以来，美国通过了一系列制裁伊朗的法案，旨在迫使伊朗停止核计划，尽管这些制裁措施越来越严厉，伊朗不但没有停止核计划,反而加快发展核技术，这与美国制裁的初衷背道而驰。石油和天然气出口是伊朗最主要的经济收入来源, 美国试图通过经济制裁阻碍伊朗能源业的发展,进而瘫痪伊朗经济, 逼迫伊朗就范。能源既是伊朗的 “软肋”, 也是伊朗手中的武器。伊朗能源储量丰富，国际社会对石油和天然气的需求不断增加，国际能源供需关系失衡,造成众多国家依赖伊朗的石油和天然气，这种依赖关系使得伊朗能够争取到外国投资，开发石油和天然气。面对美国制裁伊朗的法案，美国的欧洲盟友，如法国、英国、德国, 并没有加入美国制裁伊朗的行动。英法德三国和伊朗经贸往来密切，在伊朗能源业投资众多。

外国的技术支持推动了伊朗核技术的发展。得天独厚的地理位置给伊朗带来了地缘政治优势，中俄为了削弱美国在中东和中亚的影响，积极加强与伊朗的双边关系。中俄两国的支持是伊朗抗衡美国制裁的一个重要筹码。

本文从伊朗与其他国家的相互依赖关系和地缘政治这两个视角分析了克林顿政府以来美国制裁伊朗的政策不奏效的原因，全球化时代，国家间相互依存日益加深。能源的战略地位日益凸显，伊朗作为能源储备大国，在国际能源领域发挥巨大作用。针对美国制裁，伊朗打出“能源牌”，成功吸引多国投资能源领域，大大消减了制裁带来的负面影响。伊朗利用其特殊的战略地位赢得大国支持，帮助其抵制住美国的制裁。

最后，就目前美国和伊朗的僵局，本文提出，美国应该认识到伊朗坚持发展核技术的根本原因。伊朗出于国家安全考量，不顾美国的严厉制裁，大力发展核技术, 希望获得核威慑能力,保障国家安全。美国只有认识到这一点，调整对伊政策，美伊关系才能摆脱僵局。

Abstract:

Since the Clinton administration, U.S. government has imposed on Iran a series of sanctions designed to stop Iran’s nuclear program. Though increasingly harsher, these sanctions fail to halt Iran’s nuclear pursuit. Iran steps up its nuclear development instead. U.S. government attempts to cripple Iran’s economy by hindering the development of Iran’s energy sector with economic sanctions, and force Iran bow to U.S. wishes. Energy is the weapon as well as the vulnerability for Iran. Iran is abundant in energy reserves while the international community calls for more and more oil and natural gas. The imbalance between demand and supply makes many countries dependent on the Iranian oil and natural gas. This oil dependence enables Iran to secure foreign investments in its oil and natural gas sectors. U.S. allies in Europe such as France, Germany, and the U.K., do not join U.S. in its sanctions against Iran but make lots of investments there.

The U.S. government claimed that China and Russia had provided technical aid to Iran and promoted the development of nuclear technology in Iran. China, as a big energy-consumer in the world, relies on energy imports. Iran has become an important source of energy for China. Nature-endowed geographical location brings geopolitical advantage to Iran. China and Russia strengthen relations with Iran to counter U.S. influence in the Middle East and Central Asia. Their support plays an important role for Iran to resist U.S. sanctions.

This paper analyses the reasons why U.S. sanctions on Iran since the Clinton administration prove ineffective, from the perspectives of interdependence and geopolitics. In the age of globalization, strategic importance of energy is highly valued. Iran holds vast energy reserves and plays a big role in global energy market. In response to U.S. sanctions, Iran plays energy card to attract foreign investments from many countries, greatly mitigating the negative effects of sanctions. It also uses its unique strategic location to win support from big powers that helps resist U.S. sanctions.

Finally, as far as the current stalemate between Iran and the U.S. is concerned, this paper suggests that U.S. government identify the root cause of Iran’s nuclear development. Out of security concerns, Iran has made big efforts to develop nuclear technology, hoping to acquire nuclear deterrence and safeguard national security. Only by addressing Iran’s security concern and shifting policy to Iran can U.S.-Iran relations be put out of impasse.

姓名：刘倩倩 导师： 伊蕊

论文题目（中文）： 梭罗的政治遗产—从自我宣告到群众运动

论文题目（英文）： Thoreau’s Political Legacy: From Self-Declaration to Mass Movement

论文关键词（中文）：梭罗 甘地 马丁 路德 金 不合作主义/消极抵抗原则

论文关键词（英文）：Thoreau Gandhi, Martin Luther King, Civil disobedience/passive resistance

中文摘要：

亨利•大卫•梭罗是美国著名的超验主义作家，除了文学上的成就以外，他在美国乃至西方政治思想史上也占据着独特的地位。梭罗著名的政论文《论公民的不服从》以其独特的政治视角抒发了他对民选政府的看法，他对个人自由执着的追求促使他对赞成奴隶制和美西战争的美国政府产生了极强的敌视心理，他甚至要以自己的方式向政府宣战。梭罗将这种崭新的、非暴力的革命定义为和平革命，并且提出了不合作主义或称为消极抵抗的原则，即遵从自己的良心，不参与自己所谴责的罪行。

梭罗的消极抵抗原则在20世纪的政治实践中显示出了强大的生命力，鼓舞了世界各地的非暴力抵抗运动，圣雄甘地领导的印度独立运动和马丁•路德•金领导的美国黑人民权运动正是这一原则在政治斗争中的实际运用。梭罗、甘地和马丁•路德•金堪称世界非暴力抵抗运动的代表人物，他们的名字经常同时出现在有关消极抵抗原则或非暴力运动的论述当中。

甘地和马丁•路德•金被公认为受到了梭罗的巨大影响，二人也公开承认了梭罗在他们各自的思想进程中的启示意义，很多涉及到梭罗消极抵抗原则的影响的文章都会指出这一点，但给出实例的并不多，而将三位代表人物关于消极抵抗原则的思想放在一起进行梳理的则更少。

鉴于梭罗、甘地和马丁•路德•金在非暴力传统中的重要位置和他们三人在思想上的相互影响，有必要从具体文本出发，找出甘地和马丁•路德•金受到梭罗的政治思想影响的实例，弄清梭罗政治思想对二人具体的影响作用，并进一步梳理三人思想的共同和不同之处，从而总结出从梭罗到马丁•路德•金非暴力抵抗传统的发展史。

本文通过文本分析和对比分析发现，梭罗的思想确对甘地和马丁•路德•金产生了很大的作用，但也不能过分夸大这份作用，认定甘地和马丁•路德•金只是梭罗的追随者。通过各自的实践运动，甘地和马丁•路德•金发展了自己对该原则的看法，形成了各自的思想体系，并对非暴力抵抗传统作出了独特的贡献。从梭罗到马丁•路德•金，消极抵抗原则从自我宣告演变为群众性的集体运动，从被动地不合作发展为主动地施与爱，从弱者的反抗工具进步为强者的信条，其影响力在逐步扩大，并取得了显著的政治成果，这表示消极抵抗原则已真正地从理论走向了实践。而这一原则在哲学理念上也从遵从自己的良心的信念扩展到以对爱和真理的寻求来感化对方的生活方式。

Abstract:

Henry David Thoreau is a famous American transcendental writer. Besides the contribution in the field of literature, he has taken a special place in American even Western history of political thought. He expressed his opinion on civil government in his well-known essay “Civil Disobedience” with his unique political perspective. His rigid quest for individual freedom triggered his strong hostility towards the American government which approved slavery and the Mexican War. He even declared a war after his fashion. Thoreau brought a nonviolent way into this revolution and proposed the principle of civil disobedience or passive resistance, i.e., to confirm to one’s conscience, and not to cooperate in the act one condemns.

Thoreau’s principle of civil disobedience has shown great vitality in the 20th Century’s political practice, inspiring nonviolent movements all around the world. The Indian Independence Movement led by Gandhi and the African-American Civil Rights Movement led by Martin Luther King demonstrate its real achievement. Thoreau, Gandhi, and Martin Luther King are three representatives of the nonviolent resistant movements in the world, and their names often come together in discourses concerning the principle of civil disobedience and nonviolent movement.

It is well recognized that Gandhi and Martin Luther King were influenced greatly by Thoreau. Both of them openly admitted their indebtedness to Thoreau, and many articles that touch on Thoreau’s civil disobedience would mention this point as well. However, it is rare to see many researches with specific examples referring to Thoreau’s influence. And it is more difficult to find research that makes a linear comparison of the three altogether.

Given the important positions Thoreau, Gandhi, and Martin Luther King have taken in the nonviolence tradition, it is necessary to find out the concrete support of Thoreau’s influence on Gandhi and King, and further make clear the similarity and difference of their thought, so as to conclude the developing history of the nonviolence tradition from Thoreau to King.

After a textual analysis and comparison, it is obvious that Thoreau does have great impact on Gandhi and King. But the influence should not be overestimated. Through their own political practices, Gandhi and King have developed their own understanding of civil disobedience and their own ideology, and made special contribution to the nonviolence tradition. From Thoreau to King, the principle of civil disobedience evolves from self-declaration to mass movement, from passive noncooperation to proactive love, from a tool for the weak to the faith of the strong. The influence of this principle has been greatly multiplied, and the political achievement is outstanding. It means that the principle has been put into practice. Philosophically, the idea also develops from the faith to confirm to one’s conscience to a way of life in quest for love and truth.