【作者】 徐凡；

【导师】 张汉林；

【作者基本信息】 对外经济贸易大学 ， 世界经济， 2014， 博士

【摘要】 G20从成立开始就被定义为“布雷顿森林体系内部的非正式对话机制”，然而在起初的十余年中，G20作为一种危机应对及预防机制在国际治理中一直处于边缘化地位。2008美国金融危机爆发，并迅速蔓延至全球，对世界经济造成巨大影响。传统的国际治理机制---七国集团和其主要执行机构IMF未能发挥应有作用，而G20却一跃成为应对这场危机的最核心治理机制，并迅速升级为峰会，在匹兹堡峰会后开始取代G7成为国际经济对话的首要平台。迄今为止，G20已成功召开了8次领导人峰会，在应对全球金融危机方面取得了明显成效。但另一方面，在后危机时代，G20也面临着如何从危机应对机制过渡为长效治理机制及如何进行机制化建设等问题。有关G20机制化建设这一课题无疑具有丰富的理论和实践意义。对G20机制化建设进行研究将丰富相关学科的理论背景，提供更多的分析框架和批判视角。首先，G20机制研究可进一步丰富“国际制度该如何设计”这一课题；其次，G20机制研究可反映出国际格局最新变化并推动重要国际经济机构改革进程；第三，G20机制研究可反映全球治理机制发展趋势及发展相关理论；第四，G20机制研究可为国际宏观政策协调机制建设、国际货币体系改革等现实操作提供新思路。G20机制化建设研究不仅具有丰富的理论意涵，也具有十分紧迫的实践意义。其一，G20机制研究可为其未来发展方向和方式提供新思路；其二，对G20机制的研究有利于中国积极地参与国际事务，实现国家利益。因此，对G20进行深入研究符合我国发展战略，深远的实践意义不言而喻。综合对国内外文献的整理分析以及本文设定的思路框架，笔者在研究中着重关注如下几点：一是寻找新的切入点，如从国际政治经济学、国际法等跨学科的角度进行思考。力求从一个有新意的角度重新审视G20的成立、发展、机制化建设，填补国内相关领域的空白；二是着重关注G20作为一个国际机制的内在发展规律，如其内部矛盾（成员国间的利益诉求博弈）、内在动力（成员国共同利益）、与其他国际机制的关系、机制化的理由问题，以此丰富有关国际机制的研究；三是注意使用科学的研究方法，如定性与历史分析相结合、经济视角和政治视角相统一的方法，并尝试运用利益分析等研究方法，尽量避免研究出现深度不足、过于主观化等问题。在对G20机制化建设进行研究的过程中，关于国际机制与国际组织的理论占有重要地位，因此本文先从全球经济治理理论综述入手，在研究相关理论的基础上，在更深刻的层面阐述G20问题，整个理论框架共分为三个方面：一是以世界体系的相关概念为原点展开理论框架的阐述；二是从国际政治经济学角度研究G20为什么要机制化；三是从国际法角度研究该机制应如何设计。G20机制化建设是一个复杂问题，在机制化路线的设计过程中，本文还广泛吸取其他国际机制的验和教训，对硬法性WTO和软性机制G7、APEC进行系统比较，为G20机制化建设的性质定位提供了更加丰富的实践背景。在研究了相关国际机制理论和其他国际机制的经验教训后，笔者运用定性与历史分析相结合、经济视角与政治视角相统一的研究方法，对G20作为一个国际机制的历史背景、存在基础及内在矛盾与发展动力展开深入解读，并对G20的性质作出明确定位。分析G20内、外部的矛盾离不开对其成员国的深入探究，本文进而对G20成员国的利益诉求及各方互动进行了深入探讨，更从博弈视角下论证了G20未来机制化面临的国际关系基础，以此形成G20机制化建设可能性和可行性分析的重要实践参考。有了以上这些研究作为基础，笔者对G20机制化建设的可能性及可行性进行论证分析，更从国际软法角度论证了G20作为国际治理机制的法律框架选择。国际政治经济学视角涉及G20机制化建设的内容和实质，而国际法视角则是前者的具体外在形式，此内容适合于此形式，G20研究框架下二者的结合相得益彰。本着客观与创新的原则，本文对G20未来的机制化路线提出具体设计方案，将G20机制化建设划分为软性非正式阶段、软性半机制化阶段和“软硬兼施”机制化阶段等三个阶段：软性非正式阶段的主要任务是通过具体准备工作，为软性半机制化建设作出前期铺垫。2013年圣彼得堡峰会业已明确提出经济复苏的主要任务：“如何启动投资这一发展引擎以及如何通过搭建国际金融架构并预防可导致新危机的经济失衡，达到降低风险的目的。”本文藉此将圣彼得堡峰会作为机制化建设的正式开端。软性半机制化阶段是G20着眼于未来长效全球统筹机制使命,向半机制化阶段过渡是一条必由之路，即首先强化G20组织架构及议题专门化设置，这也同时符合G20机制软法性特征的形成规律，即软法机制的成型须经由程序化、透明化、规范化和制度化等一系列完整程序。其中，组织架构建设主要集中于固定秘书处的设置论证，为了力求本研究的客观性，笔者将此预设为备选方案进行可行性分析，以便读者作出独立判断和甄别。议题建设专门化设置分为三个步骤：经济议题专门化、金融议题专门化、议题建设多元化。“软硬兼施”的机制化阶段重点从五方面展开G20机制化建设方案：1.逐步扩展、开放议题领域；2.严格成员国准入制度；3. G20决策机制构建；4.多层级会晤与协商框架构建；5.G20决议执行机制构建；6.相互评估程序构建。中国作为G20成员国之一，其行为将对G20机制的发展产生重要影响；同样，G20作为中国参与国际事务最有效的平台，其发展也将对中国产生深远影响。本文最后一章着重从中国视角对G20机制化建设提出观点，即G20机制化建设中的中国战略，从中国的态度和立场、G20机制化对于中国的潜在利益、G20机制化建设对于中国的制约因素和潜在风险等展开论述，并提出中国对于G20机制化建设的应对战略。世界政治多极化和经济全球化浪潮势不可挡，金融、贸易、投资等经济议题以及能源安全、气候变化、粮食安全、反恐等安全挑战日益不可分割，G20峰会为全球性问题提供了最佳沟通平台。然而由于各国经济诉求不同，各集团综合实力各异，以及世界格局的风云变幻，各方利益的交织与博弈往往很难最终取得共赢结果。如何克服这一治理困境以保障世界经济永续发展，是G20机制化建设过程中需要深刻思考及永续关注的一项议题。更多还原

【Abstract】 Since established in1999, G20has been defined as "an informal dialoguemechanism under the Bretton Woods system ". But during the first ten years, asa crisis response and prevention mechanism in international governance, G20had been marginalized. The2008financial crisis quickly spread throughout theworld, causing a huge impact on the world economy. Traditional internationalgovernance mechanisms---the G7、the IMF and other implementing agenciesfailed to play their due roles, while G20emerged as the core response to the crisisand quickly escalated into a summit. After Pittsburgh Summit Meeting, G20began to replace the G7as the primary platform for international economicdialogue.To date, G20has successfully held8summit meetings, and achievedremarkable results in response to the global financial crisis. But on the otherhand, in the post-crisis era, G20is also faced with how to transit from a crisisresponse mechanism to a long-term governance mechanism and how toinstitutionalize itself. The research of the G20institutionalization willundoubtedly have a value of theoretical and practical significance.This research will enrich the theoretical background of related disciplines,and provide more analytical frameworks and critical perspectives. Firstly, thestudy further enriches the subject of " how to design an international system ";secondly, the study reflects the latest changes in the international situation andpromotes the process of reform of the international economic institutions;Thirdly, the study reflects trends of global governance mechanisms and developsrelated theories; fourthly, the study provides new ideas for the construction ofinternational macroeconomic policy coordination mechanisms, and promotes thereform of the international monetary system.The research not only has a wealth of theoretical implications, but also hasa very urgent practical significance. First, it provides new ideas for the futuredirection of the G20; second, it enhances China’s active participation ininternational affairs and helps achieve national interests. Therefore, the in-depthstudy of the subject is in line with China’s development strategy. The profoundpractical significance is self-evident.With comprehensive analysis of relevant literature and argumentationframework of the whole paper, the study focus on the following points: First,from the perspectives of international political economy and international law,the paper seeks to make an interdisciplinary reexamination on the establishment,development and institutionalization of the G20, aiming at narrow the distancefrom the West in this field; second, focus on the inherent law of development ofthe G20as an international mechanism, such as its internal contradictions (inthe game of interest demands), intrinsic motivation (the common interests ofmember states), relations with other international mechanisms, reasons of institutionalization, in order to enrich the research of relevant internationalmechanisms; third, use scientific research methods, such as a combination ofqualitative and historical analysis, unity of economic and political perspectives,and try to avoid under-depth and subjective analysis.In the course of the study, theories of international mechanisms andinternational organizations play an important role. this paper starts withsummarizing the theories of global economic governance, with the wholetheoretical framework divided into three areas: first, the elaboration oftheoretical framework with the concepts of the origin of the world system;second, exploration of the reasons why the G20should be institutionalized fromthe IPE perspective; third how to design the mechanism from the perspective ofinternational law.In the process of mechanism design, the paper also draws extensively onthe experiences and lessons of other international mechanisms, comparingsystemically for hard and soft law of the WTO mechanism of hard law natureand the G7、APEC mechanisms of soft law nature, which provides a moreextensive practical background for nature positioning of the institutionalization.After studying the theory and practice lessons of relevant internationalmechanisms, the paper proceeds to interpret the historical background, existencebases and inherent contradictions of the G20, and makes a definite position forits nature.The analysis of the internal and external conflicts is supposed to refer tothe interests game of the member states, accordingly the paper has a thoroughdiscussion on the interactions to lay a foundation of international relations forthe G20institutionalization in the future, and thus forming an importantpractical reference for the possibility and feasibility analysis.With these studies as a basis, the paper demonstrates reasons for choosingthe legal framework in the mechanism design from the perspective ofinternational soft law, as well as makes the possibility and feasibility analysis.The IPE perspective applied in the design plays a role of substance of the G20construction, while the perspective of international law plays a role of theexternal form, with the content and the outlook combined to make it acomplementary framework in the design.In line with objective and innovative principle, the paper designs specificroute of the G20mechanism, dividing the whole process into three phases,namely the informal stage of soft law nature, semi-institutionalization stage ofsoft law nature, and the "carrot and stick" stage of institutionalization:The main task of the first stage is pave the way for the second stagethrough concrete preparations.2013St. The Petersburg Summit of2013clearlystated the main task of economic recovery: How to start the engine of investmentand how to achieve the purpose of reducing the risks through building theinternational financial architecture and preventing economic imbalances thattend to cause new crises. And this paper will take Petersburg Summit as theformal start of the G20institutionalization. The semi-institutionalization stage is the only way to the third stage whichtargeting the future mission of the G20as a long-term global co-ordinationmechanism. The organizational structure and set of specialized topics will befirst strengthened, which also meets the regularities of the soft law formation ofthe G20, namely molding soft law is subjected to a full range of procedures ofstandardization, institutionalization, etc. The feasibility research of a fixedsecretariat will be the focus of the organizational structure building. In order toseek the objectivity, the paper sets the blueprint as an alternative so as for thereaders to make independent judgments and screening. The construction ofspecialized topics set is divided into three steps: specialized economic issues,specialized financial issues, and the building of diversified issues.Over the years, the emphasis of the G20has been put on multilateralconsultations on economic issues, which are lack of implementation binding.During the post-crisis era, whether the G20can strengthen the premierinternational economic cooperation platform status and the role a long-termcoordinating body in global governance of, depends on its expanding force with abroad dynamic range. Therefore, at the third stage, the G20institutionalbuilding programs extend in five aspects:1. Enlarge fields of issues gradually;2.Control the access system for member states;3. Build the decision-makingmechanism;4. Build multi-level consultative framework;5. Establish theexecutive mechanism;6. Build mutual assessment procedures.China, as a member of the G20, will have a significant impact on thedevelopment of the G20mechanism; Similarly, G20will also have a profoundimpact on China’s participation in international affairs as the most effectiveplatform for its global interests. This paper makes proposals in the last chapterfrom the Chinese perspective on the construction of the G20mechanism, namelyChina’s strategy including China’s attitudes and position, the potential intereststhat the institutionalization may bring China and the potential risk factors. AndChina’s coping strategies is put forward logically in the end.The political multi-polarization and economic globalization of the world isunstoppable. Issues of finance, trade and investment are increasingly indivisibleto challenges like energy security, climate change, food security,counter-terrorism, etc. G20Summit of global issues provides the bestcommunication platform in this regard. However, due to various demands,different overall strengths of the member states, and the ever changing worldsituation, interwoven interests of the parties often make it difficult to achieve awin-win final outcome. How to overcome the difficulties of governance in orderto guarantee a sustainable world economy growth is a mission the G20institutional building process is all concerned with.更多还原