【作者】 江振鹏；

【导师】 李凡；

【作者基本信息】 南开大学 ， 世界史， 2012， 博士

【摘要】 “金元外交”是与塔夫脱总统和诺克斯国务卿这两位美国外交家紧密相连的外交政策，其核心理念在于适应现代商业发展的要求，以“金元”取代“子弹”，由国务院出面推动对“一切合法、有利可图的美国海外企业予以一切恰当的支持”。这包含了两个层面的意味，一则是从政府政策功能出发，“外交应该为金元的扩张服务”；二则为从私人资本的视角着眼，“金元”可以参与政府对外开拓的重要事业，追逐国外的广阔市场与高额利润，公私紧密结合，从而实现更大范围内的美国综合经济、政治和安全利益，缔造“金元下的和平”。从这个意义上说，“金元外交”是对20世纪初美国开始崛起为世界大国的背景下，对美国向外扩张中华盛顿与华尔街进行公私互动关系的一种思考实践与凝练升华。“金元外交”实施的对象大都是处于欠发达国家和地区的亚非拉殖民地半殖民地或附庸国，由于自身的因素和欧洲资本输出的加强，亚非拉各国政府大都处于严重的财政困难和恶性的外债危机之中，这既酿成了外来殖民干预之威胁，也给美国的“金元”治理与干预提供了机遇。“金元外交”的政策宗旨在于通过“金元”促使欠发达国家和地区形成稳定的财政能力进而达成政治秩序，其行动的逻辑在于由美国监管或接手当地税收重要来源，实施“科学合理”的监管，从而形成稳定的财政偿还能力，进而免除欧洲殖民势力干涉的直接借口，也塑造了美国在这些地区的财政和金融影响。因此，塔夫脱实施“金元外交”的背后，涉及一系列的制度设计和政策支持，这样才能保证“金元”达到效果。从政策实施的具体过程和暂时效果来看，“金元外交”在亚非拉实施存在着不同的类型。在尼加拉瓜，塔夫脱政府利用1909年的债务危机和革命动乱，将尼加拉瓜打造成为拉美地区实施“金元外交”的样板，代表了“门罗主义”旗号下美国绝对控制其后院财政稳定和政治秩序的类型。与此同时，在西非的利比里亚，美国利用两国间历史上存在的特殊关系和债务危机，组建了以美国银行团为核心的国际银行团，而后又建立了美国主导下的关税监管体制，掌控了财政大权，最终将利比里亚变成了“财政附庸国”，在欧洲殖民势力控制的非洲建立一个对美国保持门户开放的立足之地。在远东的中国，塔夫脱政府利用清末民初的财政困难和外债危机，借助银行团的金融力量积极介入中国的铁路建设、币制改革和善后大借款，欲更改远东地区的游戏规则，维持和发展“门户开放”的帝国主义。但是日俄的强烈反对和英法德的消极态度使其步步后退，华尔街自身实力的局限也令美国主导中国财政大权的梦想落空，美国不得不撤出“金元外交”。“金元外交”的不同类型充分体现了塔夫脱和诺克斯对于“金元外交”核心原则的理解——“一切恰当的支持”，即在外交政策的全球布局中，当须有所为而有所不为。当然，“金元外交”实施的过程都涉及到代表公共权力的国务院、代表私人资本的华尔街投资银行和代表“科学知识”的财政专家的组合。在这个组合秩序中，政府出台政策提供制度保障，华尔街的银行家提供资金支持，财政专家贡献的是进步主义时代的科学原则和专业知识，他们希望帮助欠发达地区国家有效管理银行家提供的贷款，助其自助，使当地形成财政稳定和政治有序，从而实现美国自身利益的最大化。在这一过程中，代表公共权力的政府与代表私人利益银行家之间通过财政专家这个桥梁搭建的平台进行密切合作，政府与私人机构之间的界线已经不再清晰。这种新的“组合主义”外交目的在于将有效率的、有责任感的华尔街银行与政府主导的公共目标和外交利益相结合，从而能够相互促进，达到双赢。因此，塔夫脱试图在欠发达地区打造一个新的世界秩序——政府通过整合市场力量和相互合作的私人银行来共同在全球经济中扩张，并且通过财政专家的努力建立一个理性化的、以美国为中心的政治经济秩序，由此“金元外交”成为美国在20世纪中后期构建国际财政和金融霸权的早期尝试和重要基点。但无论是从实施过程还是政策结果来看，“金元外交”都并非欠发达债务国的“福音”，相反，美国总是不时通过牺牲弱小国家的主权和利益来换取或实现美国自身的利益。此外，从历史的演进来看，“金元外交”植根于美国深厚的“商业”外交传统，同时适应了华尔街崛起后美国金融资本对外扩张的需要，在实践层面上承继并发展了“门户开放”和“门罗主义”及其推论，并将二者整合成为一项针对欠发达国家和地区的整体性的对外政策，代表了20世纪初期美国对于“现代外交”的探索与总结，具有一定程度的务实性和可操作性，体现了一种战略眼光。因此，在塔夫脱政府之后的20世纪美国外交政策发展历程中，各种类型、各个版本的“新金元外交”不绝如缕，至今仍在美国对外政策中发挥重要影响，这也是一个世纪之后研究“金元外交”的意义所在。更多还原

【Abstract】 The axiomatic principle of Dollar Diplomacy relating with President William Howard Taft and Secretary Philander Knox charactered as substituting dollars for bullets. This policy which has sought to respond to the modern ideas of commercial intercourse means the government of American shall extend all proper support to every legitimate and beneficial American enterprise abroad. This principle includes two meanings, on the first side, it implicates diplomacy should service for the dollars conditioned on the governmental function, and on the other side, from the private enterprises views, the dollars should participate into the overseas expansion activities of American government which can earn the vast foreign market and high profits. The interaction of public power and private sectors can achieve comprehensively the economic, political and security interests in larger areas, and creating the Pax Dollar. In this sense, Dollar Diplomacy is a kind of deliberation, practice and sublimation of the public‐private interaction between Washington and Wall Street during the early20th Century which America became a world power.The application targets of Dollar Diplomacy lied mostly in the underdeveloped zones, such as the colony, semi‐colony countries or financial protectorate. These countries have been fallen into serious financial crisis and vicious debts cycle which has caused colonization interference and also provided the American dollars output in this era. The doctrine of Dollar Diplomacy implied financial stabilization which America should take some steps to control and urge these poor, weak governments into the political order through inserting dollar. And its action logic includes America takes over the financial tax source, then practice the receivership in the name of scientific management and finally shapes the financial repaid timely in order to avoid the excuse of the Europe colony interference and give rise to the establishment of the American financial power. Therefore the enforcement of Dollar Diplomacy which aimed to cope with the financial crisis in underdeveloped areas referred to a series of system designs and policies support so as to ensure the effects of the Dollar.As far as the specific progress and contemporary effects are concerned, the different types of practices of Dollar diplomacy indeed exist in Asia, Africa and Latin America. When Nicaragua case being discussed, Taft Administration exploited the domestic debt crisis and revolution riots happened in1909as an excellent opportunity to make Nicaragua as a practical example in Latin America to carry Dollar diplomacy into execution. This stands for the typical type of absolute controlling of financial stability and political order of America’s backyard, which is definitely under the flag of Monroe Doctrine. At the same time, Taft Administration takes advantage of the special historical relationship between America and Liberia and the latter’s debt crisis, and establishes an American‐banks‐leading International Bank Group at first, then the American‐leading Receivership as well. With the controlling of Liberia finance, America successfully turns Liberia into its financial vassal state in Africa where which is surrounded by European colonial powers and keeps one of the Africa’s door open to America. When it comes to China, Taft Administration takes the similar chances of financial difficulties and debt crisis during late Qing Dynasty and the early Republic of China. With the helps from Wall Street’s bank groups, America unprecedentedly actively interpose the railroad building, Currency Reformation and Reorganizational Loan in China, in order to achieve its further target to change the game rules in Fast East, which could be explained to balance the extension of sphere of influence of different powers, thus of course to sustain the further development of Open Door.However, Taft Administration’s efforts are counteracted by the strong opposition from Japan and Russia, and negative noncooperation of Britain, French and Germany. The intrinsically limited influence of Wall Streets’ banks also makes America government’s dream, which is to control China’s finance through the American‐leading International Bank Group, fallen and American have to withdraw from the practice of Dollar diplomacy in China. Those above practical types and characters of Dollar diplomacy fully illustrates Taft and Knox’s understanding to the key principle of Dollar diplomacy‐‐‐‐appropriate supports by all means from government. This doctrine could be understood as government being obliged to do its duty in the diplomatic field with the global background.Another aspect that should be discussed about Dollar diplomacy is the systematic combinations among Department of State standing for public power, Wall Street’ investment banks standing for personal capitals, and financial experts standing for scientific knowledge. From the literal meaning of those expressions, the triangle duties are clean and clear, government providing with the political security system, bankers affording with the financing support, and those exports contributing with their scientific principles and professional knowledge on behalf of progressive era. The target of this group is obvious, as well, to assist those under‐development countries to effectively manage the loans provided by foreign bankers, and further more to build up a stable economic and political order.But one more thing about the triangle cooperation that should be pointed out is the distinction between government and personal institutions is not clear any more, because if the financial experts could continue to play their constructive roles, the cooperation platform built up by the government on behalf of public power and bankers on behalf of personal interest is necessary. If this new idea of corporatism had applied into diplomatic field, the purpose would be attempted to combine the efficient and responsible investment bankers with government‐leading public target and diplomatic interest, therefore to bring the mutual promotion and achieve double‐win. Thereby, Taft attempted to forge a new world order in non‐industrialized countries which the American government can integrate the market force and cooperation of the private bankers together into the economic expansion, and create an rational and American‐oriented political and economic order along with the efforts of money doctors. From this point, dollar diplomacy became an essential basis to build the international financial hegemony after middle and late20th Century.Furthermore, Dollar Diplomacy which rooted into the profound American diplomacy tradition named as ‘Commerce diplomacy’ and added the needs of the rise of financial capital of Wall Street in a new stage inherited and developed the Open Door and the Corollary to Monroe Doctrine, and blended these two doctrines into a comprehensive policy aiming to the underdeveloped zones in order to perform responsibility as a world power. It was an effort frankly directed to the exploration of the modern diplomacy in the early20th Century and represented a strategy viewpoint because of its realism and operability. Consequently, there are many types and many versions of the New Dollar Diplomacy after Taft Administration and Dollar Diplomacy has been a normal policy choice in20th Century American history. That is the significance of this research after100years lied in.更多还原