【作者】 王立军；

【导师】 郇庆治；

【作者基本信息】 山东大学 ， 国际政治， 2012， 博士

【摘要】 地方政府国际合作是在全球化深入展开的历史背景下发展勃兴的。全球化导致了民族国家权威不断向上转移至超国家权威、向下转移至次国家行为体、向外转移至社会性行为体,这为地方政府国际合作奠定了重要基础。全球化还使国际政治出现了分合交织进行的历史现象,为地方政府国际合作提供了重要契机。交通运输技术、信息技术的革命性进步,国际体系结构和全球安全结构的深刻调整,权力不断下放的历史趋势,以及跨国公司利益实现方式的地方化为地方政府国际合作提供了重要动力来源。在中国地方政府国际合作已成为一个较为普遍的国际现象的情况下,如何认识这一现象产生的历史背景和动力?中国地方政府国际合作行为与中央外交之间是一种什么样的关系,对国家外交运行会产生何种影响?地方政府国际化程度不断提高的趋势对中央和地方政府之间的关系会带来哪些深刻影响?随着中国地方政府逐渐成为国际关系中的一个重要行为体,如何看待它对国际体系的影响,尤其是它在国际体系中与中央政府之间的互动是如何进行的?本文梳理分析地方政府国际合作的具体实践,深入分析我国地方政府国际合作的背景、动力和渠道,试图对上述问题进行回答。当代西方既有的研究理论,即两枝世界政治理论、新中世纪主义理论、平行外交论、多层外交论、地区国家论等理论都从不同侧面对该行为进行了研究和思考,尤其是阐述了地方政府国际行为对一国外交的深刻影响以及地方政府进入国际舞台后国际体系特征呈现出的新变化,为我们研究地方政府国际合作这一重要的政治历史现象提供了基础和视角。国内既有的研究分别从治理理论、城市外交、地方国际化等不同视角对地方政府国际合作进行了探讨。在此基础上,本文从一个综合分析的视角对上述问题进行了剖析。由于地方政府国际合作具有明显的非主权性和从属性、限定性特征,对上述问题的基本判断和主要分析框架应该是：当前的国际体系已经成为以民族国家为中心、中央和各级地方在国际关系中互动的多层互动模式,这也是当前从国际关系行为体视角解析所得出的国际体系新特征。与此同时,研究我国地方政府国际合作需要以此为基本分析框架,同时设定地方政府国际合作对国家外交、央地关系、国际体系的深刻影响这几个方面作为主要研究议程。基于此,本文的基本假设是：尽管地方政府国际合作已经成为中国的重要政治历史现象,但该行为主要局限在经济社会发展等“低级政治领域”,具有明显的非主权性特征；地方政府国际合作有力促进了地方经济社会发展,从而有利于国家总体实力的提升；地方政府国际合作对中国外交起到了重要的配合、补充、服务作用,也使中国外交呈现了多维度地变化；与此同时,地方政府国际合作对中国央地关系模式和中央宏观治理能力带来了挑战；地方政府国际合作的发展需要中央和地方在国际体系中的良性互动。运用新的分析框架,从国际-国内相互结合的理论视角,本文首先对中国地方政府国际合作进行了一个区域总体分析。中国的地方政府国际合作是在中国全面参与国际体系的历史背景下展开的。冷战以来,国际体系结构的深刻调整变化,以及中国对全球安全结构的判断和预期为中国地方政府国际合作提供了重要基础,它既是中国全面参与国际体系的动因,也是地方政府国际合作发展勃兴的契机。20世纪70年代末期以来,以央地分权和权力下放为核心的改革为地方政府参与国际事务、进行国际合作提供了法律、政策层面的保障,尤其是央地经济权限的调整和财政权限的划分是地方政府寻找和利用国际资源的重要动力；以沿海-沿江-沿边-内陆为演进次序的梯度开放战略则直接促进了地方政府国际合作行为的勃兴壮大。从对东南沿海、东北、西北、西南的区域性分析,以及对广东省的国际合作、图们江国际合作开发机制、中国-亚欧博览会、大湄公河次区域国际合作机制这几个较为典型的地方政府国际合作模式的具体分析可以得到-个初步的分析结论,即中国地方政府国际合作是中央政府主导下的国家总体发展战略中的重要组成部分,地方政府国际合作的议题领域主要局限在经济社会领域,基本不涉及主权范围内事项,因而具有明显的非主权性；地方政府国际合作促进了地方经济实力的提升,也对中央外交起到了重要的配合、服务和补充作用,使中国外交呈现出网络化和多维化的特征；但地方政府国际合作与中央外交行为之间还存在直接目标的不一致性和基本性质之间的矛盾,所以急需央地之间在国际事务中进行良性互动,共同维护和拓展国家利益。在上述总体分析的基础上,本文选取地方政府国际合作制度化、规范化程度较高的“友好省州领导人峰会”作为一个典型案例对中国地方政府国际合作的背景、机制与影响做了一个案例分析。该机制的创建与发展和山东省(亚洲地区唯一一个参与该机制的地方政府)的地方国际合作的发达程度密切相关,是在全方位展开的山东省国际合作的基础上诞生的,山东省建立的大量国际友好城市以及外向型发展战略也成为该机制发展壮大的重要动力。从对该机制的创建基础、提出和建立、发展以及山东省的政策立场、合作的议题领域及基本性质等方面的具体分析看,该机制的成员既有联邦制国家地方政府,也有单一制国家地方政府,既有发达国家地方政府,也有发展中国家地方政府,但其合作交流的主题与时代背景及基于时代背景所提出的共同关心的问题密切相关,其国际合作的主要议题领域也局限于经济合作、文化交流、环境保护、科技创新、社会管理等“低级政治领域”,具有明显的非主权性特征；山东省利用该合作平台吸纳了大量的国际资源,提升了自身实力和国际影响力,也利用该平台配合了国家外交,维护了国家利益；该机制的具体运作情况也证实地方政府在有关国际问题的处理上发挥了重要作用,已经成为国际体系中的一个重要力量。最后,在以上分析的基础上,本文对中国地方政府国际合作进行了理论总结与反思,得出了本文的基本结论,即地方政府国际合作已经深刻影响了中国外交决策,对中国外交特别是中国周边外交起到了积极的推动作用,也促进了中国多维外交格局的形成,甚至正在更新人们的外交理念；地方政府国际合作还在较深层次上影响着央地关系结构模式,地方政府从国际合作中获取的国际利益以及构建的稳定获取国际利益的渠道,尤其是在地方事权过多但财权有限的背景下,地方政府具有较强的进一步拓展国际利益的冲动,这就可能对地方政府间关系以及中央宏观治理能力带来挑战。当然,中国地方政府国际合作是一个较为复杂的政治历史现象,需要进一步思考如何从体制、机制、法律等层面进一步发挥其积极作用,尤其是如何构建更加合理的外交工作结构,构建更加科学的央地关系结构,及如何加强央地在国际事务中的互动,以将地方政府国际合作的消极影响控制在最小的范围之内。更多还原

【Abstract】 International cooperation between local governments has developed under the background of globalization. Globalization has caused diffusion of national authority to supranational authority, sub-national actors, and social behavior bodies, which has laid foundation of international cooperation between local governments. Globalization also makes international politics appear integration-fragmentation characteristics, and provides an important opportunity for international cooperation between local governments as well. The progress of the transportation technology and the information technology, the profound adjustment of the international structure and global security structure, the decentralization trend, and the localization of transnational corporation provide an important power for the international cooperation between local governments. In China, international cooperation between local governments has become very common. How to explain the historic background and the power of it? What relations between it and the central government’ foreign diplomatic behavior is? What is its influence on the central government’foreign diplomatic behavior? And what is the profound impact on the mode of central-local relation? As the local government become an important role in the international society, how to explain its impact on the international relation, especially how to coordinate the relation with the central government? This dissertation tries to answer these questions.At present, the theory of bifurcated structure of world politics, the neo-medievalism theory, parallel diplomatic theory, multilayer diplomatic theory and region theory of state, have studied this problem from different angles. The influences of international behaviors of local governments and the new changes of local governments appear on international stage have provided a good base for the study on international cooperation of local governments. In China, there are different perspectives of governance, city diplomacy, localization and so on for the study on international cooperation of local governments. This dissertation provides a comprehensive angle based on those questions. As the international cooperation between local governments has a non-sovereign nature, the analytic structure of this phenomenon is, the current international system has become a mode of nation-center, the central and local levels interactive with each other in international relations. The profound impact on the central government’diplomacy, to the central-local relation, to the international system is the main subject of this study.The hypothesis of this dissertation is, although the international cooperation between local governments in China has become a very important historic phenomenon, but it is limited in the low-level political areas. The international cooperation between local governments has promoted the locals’economic and social development, and has done a positive role to the central government’diplomacy. But the international cooperation between local governments has also challenged the central-local relation and the central’governance. So how to interact well with the central government in the international system is a very important thing for the local governments.The international cooperation between local governments in China has developed in the background of Chinese participation in the international system. After the Cold War, the international structure has changed profoundly, while Chinese judgment and expectation of the global security structure have also changed to a peaceful direction, which provides an important base to the international cooperation between local governments in China. Since the late twenty seventies, the reform with a core of decentralization in China provides a political and legal support to the local governments to participate in international affairs. Especially the adjustment in the economic rights and financial power division provided an important power to the local governments. The opening strategy has also directly promoted the prosperity of local governments’behavior to expand international cooperation. The author review the southeast, northeast, northwest, southwest region in China, and chose four most typical local’ international cooperation in these four regions-the international cooperation of Guangdong province, the Tu-men River international cooperation development mechanism, China-Asia Expo, GMS mechanisms of international cooperation to analyze the international cooperation between local governments in China. Through these analyses, the author got a preliminary conclusion. That is, the local governments’international cooperation in China is dominated by the central government, and is limited in the low-level politics such as the economic and social development, it has promoted the local’economic power, and has done a positive role to the central government’ diplomacy. China’s diplomacy has appeared multi-dimensional changes. But it has also some contradiction with the central government’ diplomacy. So how to coordinate well with each other in the international relations to strength themselves becomes a new problem.Start form these analysis, the author chose the friendly provinces (state) leaders’ summit to do a case study. Shandong province is the only one local government which involves in this mechanism in the Asian region, so the author analyzes its international cooperation, the international friendly cities, and its foreign trade. These are also the bases of its participation to this mechanism. Then, the author analyzes the creation and development of this mechanism, Shandong province’s policy positions, the major cooperation issues, and so on. From these analyses, the author finds the typical local international cooperation mechanism has appeared the characteristic of non-sovereign, are limited in the low-level politics. It helps to promote the power and international influence of Shandong. The mechanism also proves that the local governments have become an important force in international affairs.Finally, the author gives a theoretical summary and reflection, and draws a basic conclusion of this dissertation. International cooperation between local governments in China has profoundly influenced Chinese diplomacy. It has played a positive role to China’ neighboring diplomacy, and promoted to a multi-dimensional pattern of foreign affairs dealing. It has also deeply impacted the mode of the central-local relations in China, and may challenge the central macro-governance. Of cause, this is a very complex question and needs our next deep study; especially on how to coordinate the central and local governments’ activities well on the international platform, and make a more rational foreign work structure and more scientific central-local relation.更多还原