本文關鍵詞： 國家間互信 理性選擇 情感心理 文化認同　出處：《南京大學》2017年博士論文　論文類型：學位論文

【摘要】：國家間的信任問題日益成為國際社會的一個熱點話題�；趪H關系的實踐,越來越多的國家決策者開始重視這個問題。但是國際關系理論界對這一問題的研究明顯不足。國家間互信既是一種心理狀態(tài),也可以是一種對外政策。它從信任的概念而來,是一種雙向的互動。這一問題的研究有著理論和現(xiàn)實的雙重意義。從國際關系理論的角度來說,系統(tǒng)的研究國家間互信的影響因素、對國際關系的復雜作用有助于豐富現(xiàn)實主義和建構主義等主要流派的微觀基礎;從國際關系的實踐來說,這一研究有助于把握國家間關系的實質和規(guī)律,特別有助于中國制定國家戰(zhàn)略和對外政策,尤其是對美國的政策。本文主要從三個維度展開國家間互信的理論研究:理性選擇維度、情感心理維度和文化認同維度。本文用1967-1979年中美關系從對抗、孤立到緩和與合作的進程作為案例進行分析,驗證這三個維度在中美兩國互信形成和維持的體現(xiàn)。國家間互信理論中的理性選擇主要是指決策者通過對自己國家利益的界定,分析雙方的實力對比以及外在第三方威脅因素,進行一系列的信號傳遞和反饋,以實現(xiàn)自身的目的。這一的維度的主要理論基礎是信任研究的理性選擇路徑研究和國際關系理論中的現(xiàn)實主義、新現(xiàn)實主義。首先,信任理論中的理性選擇學派認為信任幾乎等于合作。行為者通過對對方的能力和過往行為的評估,如果可以對對方產生積極預期,認為對方的行為有利于自己的利益,才會信任對方。其次,國際關系中的現(xiàn)實主義是以理性選擇作為理論假設的,它認為國家必然追求權力和安全。其中,進攻性現(xiàn)實主義認為國際間不存在信任,而防御性現(xiàn)實主義認為某些條件下,國家間可以互信并且合作。然后,本文結合了信任理論和國際關系理論中的理性選擇理論得出結論:國家間通過多次的信號傳遞和反饋進行重復博弈,表達自己的意圖,了解對方的意圖,計算雙方的相對實力,最后可以互相形成對對方行為的積極預期,也就是相互信任。國家間互信理論的第二個維度是情感心理維度。這個維度里主要包含兩個層次。一方面,國家政策的決策者個人的性格特征和情感狀態(tài)會影響其對其他國家的信任程度。另一方面,兩個民族之間的情感鏈接程度也會影響國家之間的互信關系。信任理論中的情感因素的作用和國際關系中的情感心理研究共同成為國家間互信理論中情感心理研究路徑的理論基礎。從決策者的角度看,樂觀、寬容、理想主義的決策者更容易對其他國家的產生積極預期。而決策者之間的良好的情感關系(對對方的尊重、體諒、歡迎等行為)有助于其產生信任對方國家的心理狀態(tài)。另一方面,兩個國家的民眾之間有較好的互動歷史,因而產生的友好的關系會有助于國家間互信的形成和維持。國家間互信的第三個維度是文化認同維度。兩國之間的國際信任水平受到民族主義文化和總體信任文化兩個主要因素的影響。而總體信任程度較高的國家的國際信任水平一般也較高。國家間互信的文化維度更多體現(xiàn)在兩國文化的認同程度對互信關系的影響。兩國的文化傳統(tǒng)越接近,彼此間建立信任的可能性越大。文化因素對國家間互信的影響主要體現(xiàn)在兩個方面,一是文化會影響彼此行為關系中信號的傳遞方式和理解方式;二是文化活動可以促進兩國之間的了解,有助于形成國家間互信。在案例分析部分,中國和美國在1967-1979年之間關系緩和的進程中貫穿了兩國之間互信形成和維持的過程,體現(xiàn)了互信理論的三個維度是有機統(tǒng)一、互相建構的。中美兩國的緩和,是雙方的決策者從國家的戰(zhàn)略利益角度出發(fā),對各自的實力和意圖進行了計算,并認識到共同的第三方威脅,通過不斷的信號傳遞和反饋,建立了初步的互信。同時,雙方在交往中不斷增進情感關系,在決策者之間和民眾之間建立了一定的共同情感。在中美互信形成的過程中,雙方在利益上的分歧以及文化上的差異使得關系經歷了停滯甚至倒退。最終,中美兩國的決策者審時度勢,在交往中增加了了解,對彼此的關切也有更深的理解,形成一定的共同利益和情感紐帶,并對文化差異能夠求同存異。中美緩和進程在國家間互信的三個維度的共同影響下,兩國之間從試探開始,經歷了波折,最終實現(xiàn)了關系的穩(wěn)定和一定程度的互信。國家間互信理論的三個維度的關系如下:首先,這三個維度不依賴于彼此而存在,但是國家間互信的產生至少需要其中的某一個因素。理性選擇基礎的互信是國家間在一定情境下,對彼此相對的力量和信號的交換產生的。情感心理基礎上的互信是決策者和民眾之間通過不斷的互動交流,對彼此的品質產生積極的評價以及情感鏈接而產生的。文化互信是由于國家間在文化上的同質性產生的,信任文化的相似程度也有助于文化上的互信。其次,國家間互信的理性計算的信任是國家間互信的基礎,情感上的互信可以幫助雙方建構共同利益,也就是鞏固理性基礎上的信任。但是,國家間長期缺乏利益上的共同點,會損害情感上的鏈接。而文化上的互信可以顯著的改變理性計算和信任的內在傾向,它可以產生一種范圍更深、程度更廣的互信。文化上的信任也有助于國家解讀理性的信號傳遞,建構理性的信任。另外,文化上的互信也有助于情感上的認同,培育決策者和民眾之間的情感信任�？梢哉f,文化上的互信是最穩(wěn)定和最堅固的一個維度。最后,國家間互信的三個維度和互信的程度有著密切的關系。理性計算基礎上的信任最普遍,可以說一種初級信任,并不是很穩(wěn)定,是情境型的。具有情感心理維度的國家間互信可以說是一種中等程度的互信,它需要一定的理性互信為基礎,但又不完全依賴于理性計算而存在。具有文化維度的國家間互信是一種信任的較高程度,這種信任的穩(wěn)定性也是最高的。所以,國家間的高層次互信需要同時具備理性共同利益、情感鏈接和文化認同這三個維度。這種類型的互信中的三個維度具有良好的互動關系。
[Abstract]:The issue of trust between countries has become a hot topic in the international community. Based on the practice of international relations, national policy makers are paying more attention to this problem. But the international relations theory to the study of this problem is obviously insufficient. Mutual trust between countries is not only a kind of mental state, is also a kind of foreign policy. It is from the concept of trust and is a two-way interaction. There is a theoretical and practical significance to study this problem. From the point of international relation theory, the influence factors of mutual trust among countries in a systematic study of the micro foundation of complex effects on international relations contribute to the major schools of realism and the rich constructivism; from the practice of international relations, this research helps to grasp the essence and law of relations between countries, especially to help Chinese national strategy and foreign policy, especially for the United States The policy of the country. This paper mainly study the theory of mutual trust between countries from three dimensions: rational choice dimension, emotional dimension and cultural identity dimensions. By 1967-1979 years of Sino US relations from confrontation to cooperation in the process of easing and isolated as the case analysis, validation of these three dimensions reflected in the formation and maintenance of Sino US mutual trust the rational choice theory. Mutual trust between countries mainly refers to the decision maker through the definition of its national interests, analysis of the balance of power between the parties and the third party external threats are a series of signal transmission and feedback, to achieve its purpose. The main theoretical foundation of this dimension is the rational choice of trust study on the path and theory of international relations in realism, new realism. Firstly, rational choice theory of trust in that trust is almost equal to the actors through cooperation. Assessment of capacity for each other and past behavior, if can have positive expectations for each other, that their behavior is conducive to their own interests, will trust each other. Secondly, realism in international relations is a rational choice as the theoretical hypothesis, it believes that the state is bound to the pursuit of power and security. Among them, offensive realism don't trust the existence of international view, and defensive realism believes that under certain conditions, can be mutual trust and cooperation between countries. Then, this paper combines the theory of rational choice theory and trust in international relations theory concluded between countries through multiple signal transmission and feedback of the repeated game, express their intentions to understand each other's calculation of the relative strength of intentions of both parties, finally can form another positive expectations of the behavior of the other party, that is mutual trust mutual trust between countries. The theory of second This dimension is the emotional dimension. The dimension mainly includes two levels. On the one hand, national policy makers of personal character and emotional state will affect the level of trust in other countries. On the other hand, the degree of emotional link between the two ethnic groups have mutual influence relations between countries. The research of emotion psychology emotional factors in the theory and the role of trust in international relations between countries together to become the theoretical basis of emotion psychology research path trust theory. From the perspective of decision makers, optimistic, tolerant, idealistic decision makers are more likely to have positive expectations. Other countries and decision between good relationships (respect for each other, considerate, welcome acts) contribute to the trust of each country's state of mind. On the other hand, a good interactive history between the people of the two countries, and for production The friendly relations between the students will contribute to mutual trust among countries in the formation and maintenance of mutual trust between countries. The third dimensions of cultural identity is the international dimension. The level of trust between the two countries has been influenced by two main factors of nationalism culture and culture. And the overall trust level of International Trust in countries with a higher degree of overall trust is generally high mutual trust between countries. The cultural dimension reflects more influence on the relationship of mutual trust in the identity of the two cultures. The cultural tradition is close to each other, the greater the possibility of establishing trust. Influence of cultural factors on the mutual trust between countries is mainly reflected in two aspects, one is the culture will affect the transmission way and the way of understanding signal each other the two is the relationship between behavior; cultural activities can promote the understanding between the two countries and contribute to the formation of mutual trust between countries. In the part of case analysis, China and the United States in 1967-1979 The relationship between the process of transition years through mutual trust between the two countries in the formation and maintenance of the process, embodies the three dimensions of trust theory is an organic unity, mutual construction. Between the two countries is easing, decision makers on both sides of the departure from the national strategic interests perspective on their strength and intentions are calculated, and understanding the third party to the common threat, through continuous signal transmission and feedback, the establishment of the initial trust. At the same time, the two sides continue to enhance the emotional relationship in between, between the decision makers and people to establish a common emotion. In the formation process of Sino US mutual trust in the differences between the two sides in the interests and cultural differences the relationship between experienced stagnation and even retrogression. Finally, two decision makers understand situation, increase exchanges, to each other's concerns also have a deeper understanding of the formation of some common Interests and emotional ties, and the cultural differences to seek common ground. Common influence the three dimensions of the Sino US mutual trust between countries in the transition process, between the two countries from the tentative start, twists and turns, finally realized the relationship between the stability and the degree of mutual trust. Relationship between the three dimensions of trust theory between countries: first and these three dimensions does not depend on each other, but the mutual trust between countries have at least one of these factors. The rational choice based on mutual trust between countries in certain situations, exchange power and signal to produce relative to each other. On the basis of mutual trust is the emotional interaction through constantly between the decision makers and the public, the quality of each other have a positive evaluation and emotional links generated. Cultural mutual trust is due to the national cultural homogeneity in the cultures of the trust The degree also contributes to the cultural trust. Secondly, rational calculation of mutual trust between countries of the trust is the foundation of mutual trust between countries, emotional trust can help the parties to construct common interests, also is to consolidate the rational basis of trust between countries. However, the long-term lack of common interests, will damage the emotional link and culture on the inherent tendency. Mutual trust can change the rational calculation and trust significantly, it can produce a range of deeper and wider degree of mutual trust. The trust culture also helps countries rational interpretation of signal transmission, construction of trust. In addition, the culture of mutual trust also helps the emotional identity between foster decision-makers and the public trust. It can be said that the culture of trust is a dimension of the most stable and strong. Finally, the three dimensions and the degree of mutual trust and mutual trust between countries are closely related Based on rational calculation. The most common trust, can be said to a primary trust, and is not very stable, is a situational type. With emotional and psychological dimensions of mutual trust between countries can be said to be a moderate degree of trust, which is based on the need of rational trust, but not entirely dependent on the existence of rational is calculated. The cultural dimension of mutual trust between countries is a high degree of trust, the stability of the trust is the highest. Therefore, the high level of mutual trust between countries need to have rational common interests, emotional links and cultural identity of the three dimensions. It has a good interactive relationship between the three dimensions of this type of trust.

【學位授予單位】：南京大學
【學位級別】：博士
【學位授予年份】：2017
【分類號】：D80
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本文編號：1544711