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> Reports

• April 2013

Scott Kennedy and He Fan, The United States, China, and Global Governance: A New Agenda for a New Era (Bloomington, Indiana and Beijing, China: RCCPB & CASS, April 2013). Full Text (全文)

The RCCPB is proud to announce the release of a report offering policy recommendations on how to move forward global governance in the 21s century. Entitled, The United States, China, and Global Governance: A New Agenda for a New Era (中美两国与全球治理:新时代的新议题),the report is co-authored by the RCCPB’s Scott Kennedy and He Fan of the Institute of World Economics and Politics in the Chinese Academy of Social Sciences. The report holds that there is a significant global governance deficit, and that both China and United States need to be more responsible stakeholders of the international system. Kennedy and Fan offer specific recommendations related to strengthening global governance in general and with regard to international trade, cross-border investment, and global finance.

The report, available in English and Chinese, caps the RCCPB’s three-year Initiative on China and Global Governance, which has included 30 working papers, 4 international conferences, multiple journal articles, 3 books, and several policy dialogues. CASS’s Institute of World Economics and Politics has long played a leading role in China in conducting policy-related research on international trade, finance, and other areas of international political economy. It has just opened a new center on the study of global governance.

In April 2013, Kennedy and He presented their report at four events in New York City, Washington D.C., and Beijing. To view the international media coverage of these events, please visit our news page (click here).

> Books

• September 2012

Scott Kennedy and Shuaihua Cheng, eds., From Rule Takers to Rule Makers: The Growing Role of Chinese in Global Governance (Bloomington, Indiana, and Geneva Switzerland: RCCPB & ICTSD, September 2012). Full Text (全文)

The Research Center for Chinese Politics & Business (RCCPB) and the International Centre for Trade and Sustainable Development (ICTSD) are proud to jointly issue a study that analyzes the policy implications of growing Chinese involvement in global governance. Edited by the RCCPB’s Scott Kennedy and the ICTSD’s Shuaihua Cheng, From Rule Takers to Rule Makers presents 12 commentaries on the growing participation of Chinese in several arenas: international trade, finance, climate change, labor, public health, and foreign aid. The short chapters (2,500-3,000) words distill research first presented as working papers in the RCCPB’s Initiative on China and Global Governance.

Some important conclusions:

  • Many Chinese, both state and non-state actors, participate in global governance. Hence, we should talk of “Chinese” participation, plural, not “China’s” participation, singular.
  • Chinese are moving up the learning curve in many areas of global governance, though most rapidly in areas directly related to international trade.
  • Chinese participation has a decidedly “statist” feel, particularly at the multilateral level. Government actors are generally more active than non-state actors, and Chinese are more involved in state-based institutions than in non-state private governance institutions.
  • In some areas they are stubborn defenders of the status quo, and in others they promote limited reforms of the international system. In no area are Chinese radical anti-status quo participants.
  • Chinese influence still depends heavily on China’s “hard power” and less on “soft power.” Chinese are more influential, but not yet dominant leaders in any area of global governance.
  • Greater Chinese participation has in many areas led to the advancement of addressing global problems, but by simply being new, major participants so quickly, their involvement also has complicated both negotiations and implementation of agreements.
  • Chinese influence will likely continue to grow simply as Chinese gain more experience and become more deeply integrated into the world economy and society, but Chinese influence that contributes to addressing global problems may continue to be limited by two sets of factors: first, by domestic factors that hinder policy transparency, coordination across government departments, and activism and independence on non-state actors, both companies and non-governmental organizations; and second, by international factors that shape how the world’s current leading powers and international institutions engage Chinese participants.

The full complement of working papers from the initiative are on the RCCPB’s website. A scholarly book on this subject will be published in Routledge Press’s Series on Global Institutions, and available in March 2013.

The Initiative on China and Global Governance and publication of this book are generously supported by the Henry Luce Foundation and Indiana University.

> Working Paper Series

• October 2014

Deng Xinming, “Chinese Consumers’ Ethical Consumption: Between Intent and Behavior," Working Paper #36, October 2014. Full Text (全文)

 

Abstract: Consumers' ethical shopping behavior isvery complicated. There is an apparent gap between intent and actual behavior. Through two approaches the paper analyzes the factors preventing consumers from translating their stated ethical intentions into actual ethical buying behavior. The first type of data draws on in-depth interviews and identifies 6 personal consumerand 5 shopping situational factors impeding the transformation from consumer’s stated ethical intentions into actual ethical behavior. The second dataset is based on questionnaires from 1,000 consumers to test the adaptability of those personal and situational factors identified in the interview data, andinvestigates the moderating effects of these factors on the relationship between intentions and behavior. The findings show that among those personal factors, moral maturity, economic rationality, buying inertia, cynicism, and ethical cognitive efforts all have a significant moderating role on the relationship between ethical intentions and action. All of the situational factors moderate the relationship between intention and action. Finally, the paper develops an overall theoretic framework for consumers’ ethical decision-making process, which can provide insight into how to motivate consumers to support a firm’s ethical behavior and to transfer this kind of support into truly positive purchasing behavior.

• August 2014

Dilip K. Das, “China’s Outbound Foreign Direct Investment: Sources of Growth and Transformation,” Indiana University Research Center for Chinese Politics & Business, Working Paper #35, August 2014. Full Text (全文)

 

Abstract: The Chinese economy is in the middle of a transformation from an economy that was a recipient of the second largest amount of foreign direction investment (FDI) in the world after the US to one that has started making enormous amounts of outward FDI. In 2012 it was the third largest source of OFDI after the US and Japan. This article traces the path of China emerging into a large OFDI-making economy. By some measures China’s OFDI has grown larger than some of the traditional OFDI-making economies. It examines China’s OFDI trajectory and its shifting pattern, its points of inflection, and the domestic and global drivers of this transformation.

Although it started in a subdued manner, commercially and geographically China’s OFDI has reached significant levels. During the new millennium, since the adoption of the “go global” strategy by the government, both qualitative and quantitative changes in OFDI flows have become apparent. There are some specific factors that helped China in its rapid OFDI spurt, such as China’s conscious attempts to integrate regionally and globally, its participation in global value chains as well as the global financial crisis. The government has played a decisive role in the expansion of Chinese OFDI. An overwhelming proportion of large mergers and acquisitions have been made by state-owned enterprises (SOE). Although initially the involvement of private sector MNCs and business enterprises in OFDI was restrained, during recent years they have picked up enormous momentum. As Chinese companies are relatively new to ODFI, they suffer from some limitations. There can be few hastily contrived remedies to alleviate these systemic weaknesses.

• January 2014

Jui-Chien Cheng, “Challenges Surrounding Directors’ Duty of Care in Chinese Corporate Law,” Indiana University Research Center for Chinese Politics & Business, Working Paper #34, January 2014. Full Text (全文)

 

Abstract: The concept of fiduciary duty, derived from common law, was introduced to the Company Law of the People’s Republic of China in 2005. Even so, few fiduciary lawsuits have been brought to the courts of China since 2005. There are three main reasons for the rarity of fiduciary lawsuits. First, Chinese fiduciary law has neither clear content nor a clear standard of review. Second, the traditionally harmonious culture of China discourages filing lawsuits against directors. Third, Chinese law imposes severe restrictions on derivative lawsuits. This paper presents a detailed description of the regulation of the duty of care in China. The difficulties facing the fiduciary duty in China are examined in light of the history and status quo of the duty of care in Delaware, the outcome of the leading Chinese case regarding the duty of care, the severe restrictions on derivative lawsuits in China, and the influence of China’s social and cultural values.

摘要:2005年中国公司法首次引入了忠实义务与勤勉义务这两个英美法上的概念;然而,法院所受理的相关诉讼案件并不多。其主要原因有三:第一,忠实义务与勤勉义务的定义与审查基准并不明确。第二,中国“和谐”的文化传统降低了股东提起诉讼的意愿。第三,公司法对股东代表诉讼进行了严格限制。本文详细介绍了与勤勉义务有关的法律规定、评析特拉华州与中国关于董事勤勉义务的重要案例、介绍股东代表诉讼的严格限制、分析中国的社会与文化价值观,从四方面阐述中国董事勤勉义务诉讼所面临的困境。

• June 2013

Rory Truex, “The Returns to Office in a ‘Rubber Stamp’ Parliament,” Indiana University Research Center for Chinese Politics & Business, Working Paper #33, June 2013. Full Text (全文)

 

Abstract: Are there returns to office in an authoritarian parliament? A new dataset shows that over 500 deputies to China's National People's Congress are CEOs of various companies. Entropy balancing is used to construct a weighted portfolio of Chinese companies that matches companies with NPC representation on relevant financial characteristics prior to the 11th Congress (2008-2012). The weighted fixed effect analysis suggests that a seat in the NPC is worth an additional 2.01to 2.04 percentage points in returns and a 6.92 to 7.46 percentage point boost in operating profit margin in a given year. Additional evidence reveals that these rents stem primarily from the "reputation boost" of the position, and not necessarily formal policy influence. These findings cofirm the intuitions of several prominent theories but suggest the need to further probe the nature of rent distribution and representation in authoritarian systems.

• November 2012

An Baisheng (安佰生), “The Global Governance of Standardization: The Challenges of Convergence” (标准化的全球治理: 收敛的挑战), Indiana University Research Center for Chinese Politics & Business, Working Paper #32, November 2012. Full Text (全文)


Abstract: The current standardization regime requires rigid convergence towards international standards. This model is confronted with various limits and cannot fully attain its objectives. Standardization policy requires a balance between equity and efficiency and has important domestic public policy implications. At the same time, it exercises great influence on international competitive strategies. The multiple objectives, explicit or implicit, in the domestic policies for standards have complicated standards governance at the global level. In recent years, the public-private partnerships and multilevel governance have been among the salient characteristics of global governance of technical standards. These characteristics reflect a new model for the governance of standards, namely a model based on regulatory cooperation and a more reflexive approach.

摘要:现行全球标准化管理模式以国际标准为标尺对成员标准差异进行刚性收敛。这一模式面临诸多挑战,无法顺利实现标准化的公共管理功能,及其在全球化条件下便利贸易的目的。标准化具有重要的国内公共政策内涵,体现了“效率”与“公平”之间的权衡,同时对国际竞争战略有重要影响。标准化政策多重目的并存导致其治理的复杂性。近年来,标准化治理以“公私伙伴关系”和“多层治理”为显著特征。这一特征体现了标准化全球治理的新模式,即基于“反身”(reflexive)思路的“管制合作”模式。

 

Bruce Reynolds and Susan K. Sell, “China’s Role in Global Governance – Foreign Exchange and Intellectual Property: A Comparison”. Indiana University Research Center for Chinese Politics & Business, Working Paper #31, November 2012. Full Text (全文)


Abstract: This paper compares Chinese participation in global governance related to intellectual property (IP) and exchange rate policy (ER). Two conclusions hold for both areas. First, China’s behavior within each has demonstrated a recursive dynamic between growing domestic interest articulation, experience/capacity, relative power, and foreign pressure: the first three have caused foreign pressure to be less effective in inducing Chinese policy change. Second, China’s behavior has become more assertive and effective in promoting its preferred regimes within GGOs. Recent successes in ER (an advantageous use of pegging in 2008-10) and in the World Trade Organization (prevailing in key elements of a landmark IP enforcement dispute) are just two examples. We expect China to continue to press for reformist (but not radical) rule adjustments in its favor. But we also find notable differences between the two governance areas. In particular, in IP one would have to applaud the success of the WTO framework in mediating conflict. But when it comes to disputes over what exchange rate mechanism (ERM) China should adopt, the IMF, despite its deep expertise and authority, has played a peripheral role, and other fora (OECD, G20, etc.) are even less important. This may flow from the striking differences in the nature of the two governance regimes.

 

• September 2012

Katherine Morton, “Learning by Doing: China’s Role in the Global Governance of Food Security,” Indiana University Research Center for Chinese Politics & Business, Working Paper #30, September 2012. Full Text (全文)


Abstract: China, which faces severe resource and environmental constraints, has now reached a critical juncture in its capacity to maintain self-sufficiency in basic foods. Despite abundant grain reserves, an estimated 10 percent of the population is still undernourished. China’s food security concerns have a significant impact on the broader effort to eliminate world hunger and ensure a reliable supply and fair distribution of food on a global scale. In recent years, Beijing has encouraged the outsourcing of agricultural production overseas, expanded agricultural development projects, and increased its role in providing emergency food relief. Now an active, albeit reluctant, stakeholder in the global governance of food security, the question arises of how China’s emerging role is likely to shape the future direction of the international food regime. This paper outlines the major trends in food security governance at the global level, address the vexed question of what constitutes food security in the Chinese context, and assess the extent to which China’s current involvement in agricultural investments, food aid, and global policymaking is aligned with international norms and practices.

 

• June 2012

Shuaihua Cheng, Ting Fang, and Hui-Ting Lien, "China's International Aid Policy and Its Implications for Global Governance" (中国的对外援助政策及其对全球治理的启), Indiana University Research Center for Chinese Politics & Business, Working Paper #29, June 2012. Full Text (全文)


Abstract: The purpose of this paper is to describe and analyze the policies of China in the fields of development aid and their implications for global governance. The paper takes a comprehensive perspective on the various facets of such policies from the institutional arrangement, to key features of China's aid policies in the different stages of China's domestic reform and in the relations with recipient countries from different regions. A comparative perspective is undertaken, both vertically, through time, to have a good understanding of the evolution of China's strategies and practices in the development aid, and horizontally, with respect to the reflections among traditional donors at the international level. The paper starts with an analysis of domestic political economy of China's foreign aid policy with an emphasis of institutional arrangement and role of State Owned Enterprises (SOEs). It will then examine some new trends of international development policies of traditional donors and compare them with China's strategies and practices. The authors then draw some key features of China's aid policy by looking into its practices in three different regions (Africa, Asia and Latin America). The paper concludes with a summary and analysis of implications of China's foreign aid policy for global governance on international development.

摘要:本文的目的是描述和分析中国的对外援助政策及其对国际发展领域全球治理的影响。文章涵盖了中国对外援助政策的主要方面,包括政策制定的制度安排、中国对外援助政策的阶段性特征、以及与不同地区受援国之间的关系。此项研究采用了比较的研究方法,一方面是纵向比较中国对外援助战略和实践的历史演变,另一方面横向比较中国对外援助政策与传统援助国之间的区别。文章首先剖析了中国对外援助政策的国内政治经济根源,侧重于分析制度安排上的历史沿革以及国有企业的作用。接下来,文章分析作为传统援助国的发达国家在国际援助政策方面所推动的新的发展趋势,并与中国的战略和实践进行比较。第三部分,文章进一步的分析中国在非洲、亚洲和拉丁美洲的对外援助,侧重于其共同点和不同点。文章最后对研究结果进行了总结,并分析了中国和传统援助国之间应如何相互借鉴,从而更好地推动国际发展援助领域的全球治理。

 

Xu Jiajun, "The Anatomy of China's Influence on the International Development Finance System" (解析中国对于国际发展援助体系的影响), Indiana University Research Center for Chinese Politics & Business, Working Paper #28, June 2012. Full Text (全文)


Abstract:The entry of China as an emerging economic power into the development financing scene has raised the question of its impact on international aid architecture. The paper argues that this question cannot be fully understood unless we realize that the origin and on-going evolution of the current rules in international aid regime represent a process of political contestation both on the international level and on the domestic level. They are the outcome of conscious aid policy coordination among DAC donors to avoid crass competition and promote burden sharing. However, undue coordination dominated by hegemonic ideas of what is best aid practice may stifle alternative notions of what development is and how official flows can promote the development. After uncovering the political dynamics of existing rules and standards, the author collected first-hand data through in-depth interview in Beijing to discover that China has no incentives to participate in the current DAC dominated aid policy coordination due to domestic and international political considerations. Furthermore, China has taken a pragmatic approach to international standards and rules on development assistance. On the one hand, China is willing to draw lessons from the international practices to reform its domestic aid governance structure. On the other hand, China has deliberately distinguished itself from the DAC approach by criticizing the appropriateness of the current standards and rules and highlighting its distinctive "South-South Cooperation" approach. In addition, the author took a step further to uncover how domestic bureaucratic politics creates ambiguous attitude towards international rules due to the vested bureaucratic interests. It concludes that China has enhanced the momentum of creating a space for alternative development ideas and policy options, although such impact is not an outcome of China's conscious efforts but an unintentional impact due to the competition China brings to DAC donors and the alternatives it provides to recipient countries.

摘要:作为新兴援助国中国进入国际发展援助领域,学者开始研究中国对于国际援助体系的影响。这篇文章认为只有深刻理解了国际和国内的政治过程如何产生并推进了国际援助体系的发展,才能更好地理解中国对于当前国际发展体系的影响。国际援助体系是发展援助委员会的援助国为了避免恶性竞争、达成成本分担而进行的援助政策协调的结果。然而,关于"最佳"的援助理念和做法的霸权会导致过分的协作,遏制了发展理念和实践的多样性。作者首先分析了当前规则和标准背后的政治逻辑,然后通过深度访谈发现中国基于国际和国内政治的考虑并没有意图加入当前发展援助委员会主导的援助政策协调体系。而且,中国对发展援助的国际标准和规则采取了务实的态度。一方面,中国希望从国际上汲取经验来改革国内的援助体系。另一方面,中国有意识的通过"南南合作"将自己同国际发展援助委员会的方式区分开来。最后,文章总结到中国为多样性的发展理念和政策选择提供了发展的空间,尽管这个结果并非中国特意努力的结果,而是它自身的做法无意间给发展援助委员会的援助国带来了竞争和挑战。

 

• May 2012

Gong Xiangqian, "Chinese NGOs and Global Health Governance: From the Perspective of International Law" (中国非政府组织与全球卫生治理:国际法的视角), Indiana University Research Center for Chinese Politics & Business, Working Paper #27, May 2012. Full Text (全文)


Abstract: Since China adheres to the government-led mode at home and Westphalian principle of state sovereignty abroad, Chinese NGOs play an auxiliary and limited role in global health governance. With the process of global civil society movement, and its internal governance reform, China is increasingly propelled by post-Westphalia international law to accept passively or advance actively its NGOs' participation in global health governance, among which GONGOs play a larger role than grassroots NGOs. In fact, Chinese NGOs have made huge progress in urging the government to implement international law on public health. We can see the beginning of how Chinese NGOs are learning to participate in international lawmaking and dispute settlement on public health.

摘要:中国是一个对内政府主导、对外强调主权的国家,故总体上中国的非政府组织在全球卫生治理中的作用十分有限。诚然,伴随着全球公民社会运动及其内部治理变革进程,中国在后威斯伐利亚国际法的影响下日益被动接受或主动推动非政府组织对全球卫生治理的参与。其中,相比纯草根组织,政府建立的非政府组织扮演着更重要的角色。事实上,中国非政府组织在推动中国政府实施国际卫生法义务方面起到了重要作用,并在参与国际卫生立法和相关国际争端解决上开始崭露头角。

 

Huang Yanzhong, "China and Global Health Governance" (中国和全球卫生治理), Indiana University Research Center for Chinese Politics & Business, Working Paper #26, May 2012. Full Text (全文)


Abstract: This paper examines the impact of China's participation in global health governance (GHG) by addressing two interrelated questions. First, how has China's involvement had an impact on GHG? Second, to what extent has China's GHG involvement resulted in changes in its domestic health governance? It finds that in the areas of health-related development assistance, global disease prevention and control, and global health rule making, China is making a difference in global health governance processes and outcomes. Meanwhile, despite the opaque and exclusive authoritarian structure in China, global health players, norms, and processes have a significant role to play in the country's domestic health governance, including health agenda setting, health policy formulation and implementation. The magnitude and significance of China's participation cannot simply be accommodated by the existing analytical framework. To be sure, China's engagement in GHG thus far is still narrow and limited, and not always constructive. But these constraints and limits are not static as the domestic and international context for China's engagement is changing. As China becomes more sensitive to international norms, pressures, and influences, it is anticipated to play a much bigger role in global health governance.

摘要:本文试图通过回答下述两个互相关联的问题来探讨中国参与全球卫生治理的影响:中国的介入如何影响全球卫生治理?在何种程度上中国参与全球卫生治理影响了国内卫生治理?结论是,在提供卫生开发援助、全球疾病防控、全球卫生规则的制定方面,中国对全球卫生治理的进程和结果的影响不容小觑。与此同时,中国现有的威权主义的政治体制并未阻止全球卫生的行动者、规范和过程对国内卫生治理包括卫生议程的确定、政策的制定和执行施加显著影响。因此,现有分析框架不足以解释中国参与全球卫生治理的程度和意义。虽然迄今中国的参与程度仍然有限且不总具建设性,但由于中国参与的国际国内环境的变化,这些掣肘或局限亦非一成不变。随着中国对国际规范、压力和影响越来越敏感,其在全球卫生治理中将会起到更大的作用。

 

• April 2012

Ren Xiao, "A Reform-Minded Status Quo Power? China, the G20, and Changes in the International Monetary System" (一个希望改革的现状大国?中国、二十国集团与国际货币体系变革), Indiana University Research Center for Chinese Politics & Business, Working Paper #25, April 2012. Full Text (全文)


Abstract: This paper analyzes the case of China in the G20 process and examines China's position and policies on relevant issues, including the international monetary system (IMS) reform, reform of the IFIs, international financial regulation, the future of the dollar, and internationalization of the Renminbi. My findings demonstrate that China has actively participated in the G20's deliberations and actions, put forward its suggestions, sought expanded share and voting power in the IFIs in correspondence with its rising status, and promoted the internationalization of the Renminbi. While having accepted and observed the current international rules of the game, China seeks changes for greater institutional power and for better global governance. I come to the conclusion that China is a status quo power which at the same time is hoping for constructive changes in the existing international order, and is thus a reform-minded status quo power.

摘要:本文分析中国与二十国集团(G20)进程的互动关系,考察了中国在相关问题上的立场和政策,这包括国际货币体系改革、国际金融机构改革、国际金融监管、美元的未来以及人民币国际化。我的研究发现表明,中国积极参与了G20的各种审议和行动,提出自己的建议,寻求扩大其在国际货币基金组织和世界银行中与其总体地位相称的更大份额和投票权,推进人民币国际化。在接受和遵守现存国际游戏规则的同时,中国为了获得更多制度性权力和更好的全球治理而寻求变革。本文得出的结论是,中国是一个现状大国而同时希望现存国际秩序发生建设性变革,因而是一个希望改革的现状大国。

 

• March 2012

Ricardo Meléndez-Ortiz, Joachim Monkelbaan, and George Riddell, "China's Global and Domestic Governance of Climate Change, Trade and Sustainable Energy: Exploring China's Interests in a Global Massive Scale-up of Renewable Energies" (中国对气候变化、贸易以及可持续能源的全球国内治理:探索中国对新能源大力全球规模化的兴趣), Indiana University Research Center for Chinese Politics & Business, Working Paper #24, March 2012. Full Text (全文)


Abstract: After reviewing China's involvement in energy, trade and climate change governance and its needs in this respect, this paper explores China's possible interest in a 'Sustainable Energy Trade Agreement' (SETA) approach as a way to address those needs. Subsequently, it identifies international and domestic opportunities and constraints for China's participation in an international cooperative initiative aimed enhancing global markets for renewable energy. Besides discussing the specific aspects of Chinese participation in such an initiative, this paper aims at offering broader insights into the junction between trade, energy and climate change governance in China.

摘要:在描写中国对能源、贸易以及气候变化治理的参和需求之后,这篇文章探索中国为了面对这些问题对 "可持续能源贸易协议"的兴趣。文章还指出中国参与加强新能源国际合作机制的国内外机会和障碍。除了探讨中国参与此项目的具体情况之外,这篇文章从宏观的角度分析在中国贸易、能源、以及气候变化治理之间的关系。

 

• March 2012

Thomas Hale and Charles Roger, "Domestic Politics and Participation in Transnational Climate Governance: The Crucial Case of China" (国内政治及"跨国气候治理"(TCG)参与:关键性中国案例), Indiana University Research Center for Chinese Politics & Business, Working Paper #23, March 2012. Full Text (全文)


Abstract: Transnational governance is increasingly important to many areas of global politics, including global climate change, where multilateral negotiations have fallen into gridlock. However, we have yet to fully understand how domestic political conditions affect sub- and non-state actors' ability to engage in governance beyond the state. Existing approaches to transnational governance emphasize, often implicitly, a liberal, pluralist view of politics, in which non- and sub-state actors have considerable agency with which to pursue their interests. The paper explores, instead, transnational governance under conditions of "fragmented authoritarianism," explaining how the Chinese political context affects sub- and non-state actors' participation in transnational climate governance. Because China will soon be the world's largest emitter of greenhouse gases, understanding Chinese actors' participation is crucial to the ultimate success of transnational approaches to climate governance. We find that while Chinese participation in TCG is limited and primarily reactive, the fragmented nature of the Chinese political system allows for greater participation than conventional theoretical approaches would expect.

摘要:跨国治理在国际政治诸多领域中的重要性日益凸显,其中包括陷入多边谈判僵局的全球气候变化问题。然而我们还未充分了解到,国内政治条件对次国家级行为者及非国家行为者参与超国家事务治理的能力如何产生影响。现有跨国治理方法往往含蓄强调政治的自由化和多元性,次国家级行为者及非国家行为者从而拥有维护自身利益的庞大机构。本文从另一视角探讨"条块化权威"下的跨国治理,并对中国政治语境如何影响次国家级行为者及非国家行为者参与跨国气候治理展开论述。中国即将成为世界最大温室气体排放国,因此了解中国行为者的参与机制对于跨国气候治理的最终成功至关重要。我们发现,尽管中国对于TCG的有限度的总体反动性参与,但相比于传统理论方式的预期影响,中国政治体系的条块分割本质给予了这些行为者更广阔的参与空间。

 

• March 2012

Edward Wang and Cai Tuo, "China's Participation in Global Governance on Climate Mitigation: Study on the Influence of Epistemic Communities in the Policy-making Process" (缓解气候变化全球治理中的中国参与:知识共同体在政策制定过程中的影响研究), Indiana University Research Center for Chinese Politics & Business, Working Paper #22, March 2012. Full Text (全文)


Abstract: As one of the leading GHG (greenhouse gas) emission countries, China is playing the most important role in the world climate mitigation issue. Since 1980s, China's climate change policy has been transformed deeply: from the symbolic participation to substantial cooperation, from the refusing to take any quantified emission cut to taking the carbon intensity reduction way, and to take the quantified emission cut in the near future. This paper argues that the Epistemic Communities, especially the Chinese experts among them, actually facilitate China's change in the climate change issue--the change of policies and the attitude toward global governance in the climate mitigation. China has to make some change or take some responsibility facing high international press. To deal with that press, state decision makers would consult with the experts in that area. Those experts who participated in the decision making process are really influential. However, not all the professionals would be put into the consultation channel. China's transformation would be a kind of active adjustment and adaptation rather than a passive acceptance.

摘要:作为温室气体排放大国之一,中国在缓解全球气候变化事宜中扮演着最重要的角色。自二十世纪八十年代以来,中国的气候变化应对政策发生了深刻的变化:从象征性参与到实质性合作,从拒绝承担任何量化减排指标到走上降低碳强度之路,并在不久的未来即将实施量化减排。本文论证了知识共同体,尤其是知识共同体中的中国专家是促进中国在气候变化问题上转变的关键因素——包括对缓解气候变化全球治理方面的态度转变及政策转变。面对国际社会的巨大压力,中国必须做出改变或承担相应责任。为了应对压力,国家政策制定者将向该领域专家进行咨询,因此参与决策制定过程的专家意见影响深远。然而,并非所有专业人士意见都能获得采纳。中国在转型中将做出积极调整和应对,而非被动接受。

 

• March 2012

James G. McGann, "Chinese Think Tanks, Policy Advice and Global Governance" (中国智库,政策建议及全球治理), Indiana University Research Center for Chinese Politics & Business, Working Paper #21, March 2012. Full Text (全文)


Abstract: Soon after leaving his post in the Chinese government, Zeng Peiyan, a former Chinese vice premier, was elected chairman of the executive council of the China Center for International Economic Exchanges (CCIEE), a high-level think tank that was established 2010 in Beijing. The official press release and the state sponsored media in China announced and then anointed this new organization as "China's top think tank" and a "super think tank." A number of other former high level government officials were recruited to serve on the Board and the think tank was launched with great fanfare with think tanks and policymakers being invited to the inaugural conference last Spring. CCIEE's initial research agenda is ambitious and includes the continuing financial crisis, the emergence of China and the new world financial order, the strategic cooperation between China and the United States, the decision-making systems of foreign governments and international organizations including the World Bank, International Monetary Fund and the World Trade Organization and finally, the role of think tanks in formulating government economic policy. Other Chinese think tanks such as the Chinese Academy of Social Sciences, the Shanghai Academy of Social Sciences and the China Institute of Contemporary International Relations have dramatically increased their profiles at international meetings and expanded targeted outreach activities to think tanks around the globe. This paper will attempt to chronicle the rise of Chinese think tanks on the national and international stage. The paper will also attempt to identify the strengths and weaknesses of Chinese think tanks in the domestic and international political context. Finally, the research attempts to make some comparisons to think tanks in other emerging powers such as India and Brazil.

摘要:前中国国务院副总理增培炎卸任后不久,当选为中国国际经济交流中心执委会主席。该中心2010年于北京成立,是一家高位阶智囊机构。中国各官方媒体公布了此消息并将这家新机构定位为"中国顶级智囊机构"及"超级智囊"。许多前中国政府高官获聘任职于该机构董事会。该机构高调举办了启动仪式,众多智囊组织及政府决策部门代表受邀参加了去年春天的成立大会。
中国国际经济交流中心的初期研究议题雄心勃勃,其中包括持续蔓延的金融危机,中国崛起及国际金融新秩序,中美战略合作,外国政府及国际货币基金组织,世界银行和世贸组织等国际机构的决策体系,以及智囊组织在政府经济政策制定中所扮演的角色作用。
中国社会科学院,上海社会科学院及中国现代国际关系研究院等其他中国智囊机构在国际会议中的知名度日益攀升,对全球范围同行机构的影响力亦与日俱增。本文着重记述中国智囊机构在国内和国际舞台的兴起历程,阐述其在国内外政治语境中的优势及不足,并与印度及巴西等其他新兴大国的智囊机构进行横向比较。

 

• February 2012

Wang Xiaoqiong, "National Security Review of Foreign Mergers and Acquisitions in China: Progress and Reform" (中国外资并购安全审查政策回顾:进步与改革的挑战), Indiana University Research Center for Chinese Politics & Business, Working Paper #20, February 2012. Full Text (中英全文)


Abstract: China has made much progress in providing a business environment conducive to foreign direct investment (FDI). The challenge now is to move towards a more transparency-based, accountability-based and proportionality-based policy framework that will attract high-quality FDI so that China can achieve its national security goals with the smallest possible impact on investment flows. This paper proposes several policy reforms for the Chinese government to consider in further developing such a framework. These include clarifying the definition of national security, improving and clarifying the control standard, improving the accountability of the security review body, better harmonizing the security review system with China's industrial policy, and specifically stipulating the legal liability involved when market actors violate rules governing security review.

摘要:中国在提供外国直接投资的有利经营环境方面已经取得了进步,目前的挑战是如何发展吸引高质量外国直接投资的更加透明、更具有问责性和平衡性的投资政策体制,以实现在维护本国安全利益的同时,继续保持投资环境开放性的政策目标。本论文结合美国等代表性国家的相关立法和实践、中国参与投资领域国际治理的实践、国际组织的研究报告以及中国国情,为建立这种投资政策体制提出了几点建议。这些建议包括进一步澄清国家安全的含义和外资控制标准、提高并购安全审查机构的问责性、有效协调并购安全审查体制同产业政策的关系以及明确规定并购交易当事人违反并购安全审查规则的法律后果。

 

• February 2012

Quan Li and Guoyong Liang, “Political Relations and Chinese Outbound Direct Investment: Evidence from Firm- and Dyadic-Level Tests" (政治关系与中国对外直接投资:基于企业层面及双边数据的实证检验) Indiana University Research Center for Chinese Politics & Business, Working Paper #19, February 2012. 2012. Full Text


Abstract: Chinese outbound direct investment (ODI) has been a controversial phenomenon and an increasingly important research topic. We argue that ignoring the role of international relations in Chinese outbound investment is an important oversight in the literature on the determinants of Chinese ODI. Building on the literature on international politics and FDI in general, we identify the mechanisms and reasons for why China's political relations with potential hosts significantly influence firm investment decisions and ODI flow patterns. A novel empirical contribution of the paper is to test the effects of interstate political relations on Chinese ODI using two interrelated and complementary empirical tests: one at the firm level based on survey responses of 346 Chinese investors and the other at the dyadic level based on Chinese ODI flows to some 95 countries from 2003 to 2005. We find that the more importance a Chinese firm attributes to interstate relations, the more likely its investment decisions will be affected and that Chinese ODI is more likely to flow to countries with which the Chinese government has better political relations. Our analysis also addresses the puzzle of why Chinese ODI tends to go to countries of high political risks. Chinese investors go to those environments, not because of their risk acceptant preferences, but rather because of the risk-reduction effect of good political relations. Scholars of Chinese ODI as well as FDI in general should note that international politics does matter to the distribution of international production capital.

摘要:中国对外直接投资是一个富有争议且日益重要的研究课题。我们认为忽略国际关系在中国对外投资中的作用是中国对外直接投资研究中的一个重要缺陷。基于国际政治和外国直接投资的文献,我们确认了中国和潜在东道国的政治关系影响企业投资决策及对外投资流动的机制和原因。本文的实证创新在于用两种相关且互补的实证检验研究国际政治关系对中国对外投资的作用,第一种检验使用346位中国投资者的企业层面调查数据,而第二种检验使用中国2003-2005年在95个国家对外投资的双边数据。我们发现中国企业如认为国际关系影响越大,其投资决策就越可能受影响,且中国对外投资最可能流向与中国政治关系更友好的国家。我们的分析也解决了为什么中国企业倾向于去政治风险高的国家投资的难题。中国投资者去这些地方不是因为他们愿意接受高风险,而是因为良好的政治关系降低了风险。研究中国对外投资及更广泛的对外直接投资的学者应该关注国际政治对国际生产资金分布的重要作用。

 

• February 2012

Tim Bartley and Zhang Lu, "Opening the 'Black Box': Transnational Private Certification of Labor Standards in China" (打开"黑箱": 跨国私营劳工标准认证在中国), Indiana University Research Center for Chinese Politics & Business, Working Paper #18, February 2012. Full Text


Abstract: This paper examines the dynamics and possible effects of transnational private certification of labor standards in Chinese export-oriented consumer products industries. Drawing on interviews with various relevant actors in Guangdong, Shanghai, and Beijing and a survey of manufacturing firms in Guangdong province, we investigate: How have initiatives originating outside China been shaped by the Chinese context and potential competition from domestically-driven standards? What are the circumstances in which factories get certified, and to what extent does being certified indicate compliance with standards? To what extent are there clear differences in the performance of certified and non-certified factories? Overall, we find that factory certification has been insufficient to transform labor conditions and relations in Chinese factories, but it sometimes supports improvement or formalization in management practices. In addition, we consider whether factory certification may have indirect effects on the evolution of labor relations in China and the shape of global governance.

摘要:本文探讨了跨国私营劳工标准认证在中国出口导向的消费品制造业的发展动态和可能产生的影响。根据我们在广东、上海、北京三地对相关人员的访谈以及对广东省制造企业的调查数据的分析,我们研究:最初产生于中国以外的劳工标准认证的倡议是如何被中国国情和受国内因素驱动的标准的潜在竞争所形成?工厂获得认证的条件是什么,并在何种程度上得到认证表明符合标准?在何种程度上被认证的和非认证的工厂在表现上有明显的差异?总的来说,我们发现工厂认证不足以改变中国工厂里的劳动条件和关系,但它有时能够促进管理实践的改善或正规化。此外,我们还探讨了工厂认证是否可能对中国劳动关系的演变和全球治理的形式产生间接的影响。

 

• January 2012

John Wagner Givens, "On Their Best Behaviour: Foreign Plaintiffs in Chinese Administrative Litigation," Indiana University Research Center for Chinese Politics & Business, Working Paper #17, January 2012. Full Text


Abstract: Representatives of multinational companies routinely bring suits against the Chinese state in the form of the patent or trademark bureau in Beijing's First Intermediate Court. While some foreign litigants still complain about delays and the quality of some proceedings, litigation runs at something approaching an international standard. Yet in any given year, outside of this single chamber in a single court in a single city in a country of over a billion people, only a small handful of foreign litigants will directly challenge the Chinese state in court. Instead, disagreements between foreign multinationals and other parts of the Chinese state will most likely be settled in direct meetings with officials.

This paper argues that this discrepancy is part of a compromise between the Chinese state and multinationals operating in China. The "groping for stones to cross the river" approach that has been a hallmark of China's reform era government means that instead of using a foreign presence to motivate reform and improve the administrative legal system, the state creates an effective but ad hoc solution to fix problems affecting foreigners. I demonstrate that although foreign firms may have difficulty litigating against the Chinese government, it is on balance no more difficult for them than most other classes of plaintiffs. I conclude that while the reluctance of multinationals to engage the Chinese state in litigation is understandable, multinationals' reluctance to make use of administrative courts and a preference for extra-legal special treatment severely limits their potential contribution to China's rule of law.

摘要:跨国公司代表可以例行向北京市第一中级人民法院对中国政府——专利或商标局提起诉讼。尽管仍有外国诉讼人抱怨诉讼程序的拖延及实施的质量,诉讼正在以接近国际化的标准得以履行。 然而任何年份里,在这样一个人口超过十亿的国家的任一城市的任一法庭,只有少数外国诉讼参与人当庭直接挑战中国政府。相反,跨国公司与中国机构间的争议往往通过与中国官员的直接谈判处理解决。维持与地方政府的良好关系对于外国公司而言至关重要,地方官员亦期望通过鼓励外商投资完成经济增长定额,取悦上级官员并获得升迁。 本文认为这种脱节根源于中国政府与在华跨国公司之间的妥协与默契。"摸着石头过河"方式作为改革时代的中国政府标志,意味着政府制造了一种有效但特别的方式解决涉外问题,而非借力外方存在促进改革并完善行政司法体系。我相信虽然外国公司在起诉中国政府上可能面临诸多障碍,但总体而言,不会比其他类型的原告难度更大。结论是,跨国公司不愿将中国政府诉诸法律的态度纵然可以理解,但其不愿行使行政司法权利而偏好院外特殊解决方式的行为极大地削弱了他们对中国法制建设的潜在贡献作用。

 

• January 2012

Lan Rongjie, "Are Intellectual Property Litigants Treated Fairer in China's Courts? An Empirical Study of Two Sample Courts," Indiana University Research Center for Chinese Politics & Business, Working Paper #16, January 2012. Full Text

[Published as "Are Intellectual Property Litigants Treated Fairer in China's Courts? An Empirical Study of Two Courts", International Review of Intellectual Property and Competition Law, 751-771 (2012), available online by clicking here.]


Abstract: Compared with regular civil cases, intellectual property cases more often involve: 1) profound scientific and technical issues; and 2) at least one foreign party. Empirical research in two sample courts, corroborated by information from other sources, reveals: 1) epistemic deference of judges, court leaders in particular, to expert opinions with respect to scientific and technical matters; and 2) more care and scrutiny from the court in foreign-related cases. Also due to higher participation of lawyers, intellectual property cases are generally tried in a fairer manner in China's courts.

摘要:相比普通民事案件,知识产权诉讼有两大特点:一是包含更多专业的科技知识,二是更大比例案件涉及域外当事人。通过对两个样本法院的实证研究发现,前一特点使得法官——尤其是法院领导——形成对专家意见的依赖,后一特点则使法院在个案中更加谨慎。加之知识产权案件律师介入比例相对更高,当事人因而在总体上更能获得一个公正审判。

 

• January 2012

Dan Li, Marjorie Lyles, and Haifeng Yan, "Effects of Past Experience, Learning Capabilities and Overall Motivation on the Performance of Chinese Outward FDI and the Mediating Role of Learning," Indiana University Research Center for Chinese Politics & Business, Working Paper #15, January 2012. Full Text


Abstract: Existing theoretical models of internationalization do not fully explain the international venturing of emerging economy private ventures (Yiu, Lau & Burton, 2007; Lu, Liu, & Wang, 2010; Zahra, 2003). Using survey data of midsized private Chinese firms that have already made outward foreign direct investments (OFDI), this paper introduces how past international experiences, learning capabilities and overall motivations of a firm influence the performance of its OFDI. We hypothesize that each of these variables will have a positive effect on the performance of the current OFDI project and that the firm's learning mediates these relationships. Our results show that the relationship between the firm's potential absorptive capacity and its OFDI performance is fully mediated by what the firm learned from the OFDI project. Also we find that the firm's overall motivation has a direct effect on performance and is partially mediated by what the firm has learned. What the firm has learned from the firm's international business in the host country has a direct and positive effect on the performance of the OFI. However, diverging from prior research, our analysis indicates that neither the founder's international experience nor the firm's prior international experience has a direct impact on the OFDI performance.

摘要:目前的国际化理论不能完全解释新兴市场私营企业的国际化行为,因此,本研究基于有对外直接投资的中国中小私营企业的调查数据,考察了先前的国际化经验、学习能力,以及企业的国际化动机如何影响其对外投资绩效。我们假设每一个因素都对企业的对外直接投资绩效具有正向的影响,并且,企业的学习在此关系中扮演了中介角色。结果显示,学习在企业潜在吸收能力与其投资绩效关系之间起到了完全中介作用;我们还发现,企业国际化动机对绩效产生了直接的影响,学习在此间扮演了部分中介角色。企业在国际商务活动中的学习对其投资绩效有直接的正向影响。然而,与此前研究结论不同,我们的分析结果显示,不论企业创始人的国际化经验,还是企业先前的国际化经验,对海外投资绩效均没有直接的影响。

 

• October 2011

Wang Yong, "Being in the WTO for Ten Years: China's Experience of Learning and Growing Confidence in Global Governance: Institutional Transformation and Interdependence," Indiana University Research Center for Chinese Politics & Business, Working Paper #13, October 2011. Full Text


Abstract: China has been within WTO for ten years since its accession in 2001. Ten years experience with WTO has been a process of learning, for China to learn to use the WTO rules to safeguard its own industrial/export interests, and learn how to deal with political pressure from major trading partners like the US.

The WTO accession has greatly transformed Chinese society. Though the state remains powerful, it has become a public service provider, to serve the interests of domestic industries and exporters. On the other hand, China has become increasingly a diversified society, fragmented in perceiving China's WTO accession and international economic system.

In this context of great transformation, Chinese have developed a contradictory self-image about itself and the outside world: a strong power and a vulnerable country; a beneficiary and victim of international trading system; a defender and a critic of the international system.

The most important lesson China has learned from the impact of the global financial crisis, is this one: as Chinese economy has become inseparable part of the global economy, China doesn't have the other choice except continuing to work with WTO and rely on the WTO rules to protect itself.

China's experience of learning in the past ten years since the WTO accession has profound implication to the role of China in global governance and the future of global governance. It is clearly the consideration of the growing practical interests which would continue to make Chinese decision makers and the public to work with and would make great efforts to strengthen the multilateral trading system and contribute more to the international public good, though sometimes it would be reluctant to do.

摘要:2001年中国加入WTO,迄今已十个年头。对于中国来说,"入世"十年是一个不断学习的过程,包括学会利用WTO规则,维护自身的产业/出口利益,并处理好来自美国等主要贸易伙伴的政治压力。
加入世贸组织,大大改变了中国社会。虽然国家的作用依然强大,但是它已转变成为一个"公共服务提供者",为维护国内产业与出口商的利益而工作。另一方面,中国已日益成为一个多元化的社会,在如何看待中国加入WTO 和国际经济体系等问题上存在意见分歧。
在这个伟大变革的背景下,中国人在自身和外部世界方面形成了一种相互矛盾的自我形象:中国是一个既强大而又脆弱的大国,既是国际贸易体系的受益者又是体系的受害者,既是一个国际体系的捍卫者又是一个国际体系的批判者。教训,中国已经从全球金融危机的冲击中汲取的最重要的教训是:中国经济已成为全球经济不可分割的一部分,中国除了继续与世贸组织合作并依靠世贸规则来保护自身权益别无其他选择。
中国在"入世"十年中学习的经验对我们理解中国将在全球治理中扮演的角色以及全球治理的未来具有深刻的影响。显然,正是考虑到日益增长的实际利益,才使得中国决策者和公众努力加强多边贸易体制,提供更多的国际公共物品,尽管有些时候这样做并不总是十分情愿。

 

• October 2011

Li Chunding, "Antidumping Shocks and the Productivity Response of Chinese Industries," Indiana University Research Center for Chinese Politics & Business, Working Paper #12, October 2011. Full Text


Abstract: This paper gives a comprehensive analysis of the productivity effects of China received antidumping (AD) measures on Chinese industries from both theoretical and empirical aspects. Theoretical analysis reveals that import country's AD tax improves export firms' technological efficiency but hurts scale efficiency. Technological progress and TFP also will be improved in regular conditions. Empirical results show that China's industrial TFP improved under the pressure of AD from developed countries, increased on average 6.1% after one year; the mechanism is via inspiring both technological efficiency (improved 5.1%) and technological progress (improved 6.4%). Additionally, pure technological efficiency has been significantly improved in AD year but decreased one year later, profit per capital has been hurt in AD measure year but benefited one year later, and total profit has been significantly hurt. Developing countries' AD measures nearly have no significant productivity effects on Chinese targeted industries, only have some positive effects on technological efficiency and negative impacts on pure technological efficiency. We have included some cases to demonstrate the impact mechanism of the empirical results.

摘要:本文从理论与实证两个方面全面分析了国外涉华反倾销措施对于中国行业生产率的影响。理论分析揭示:进口国的反倾销税会提高出口国企业以及行业的技术效率,但会损害规模效率;技术进步和全要素生产率在通常情况下也会受到正向激励。实证研究的结果发现:发达国家对华反倾销在措施一年后促进行业全要素生产率提高6.1%,影响机制是通过促进技术效率提升5.1%并推动技术进步提高6.4%。同时,纯技术效率在反倾销当年显著提高而措施一年后显著降低,单位资本利润在反倾销当年受到损害但措施一年后效应转为正,总利润受到的冲击是显著为负的。发展中国家对华反倾销措施效应较弱,仅有技术效率得到显著提高而纯技术效率显著下降。另外,我们从实际案例分析了国外涉华反倾销影响中国行业生产率的作用机制并为实证结果提供了一些更多的证据。

 

• October 2011

Wei Liang and Junji Nakagawa, "A Comparison of the FTA Strategies of Japan and China and Their Implications for Multilateralism," Indiana University Research Center for Chinese Politics & Business, Working Paper #11, October 2011. Full Text


Abstract: Japan and China's trade policy has historically centered on multilateralism. Over the past ten years, however, these two countries have shifted course somewhat by pursuing a number of free trade agreements (FTAs) and Economic Partnership Agreements (EPAs). As the two largest economies in Asia, the actions and interactions of China and Japan have a direct impact on the global trading system. This paper investigates the divergent motivations and strategies of these two countries in negotiating FTAs and its impact on regional integration and multilateralism.

摘要:日中贸易政策正在前所未有地向多边主义发展。然而,在过去十年加入自由贸易协定和经济伙伴协定的选择中,两国进程不尽相同。作为亚洲两个最大经济体,中日两国的一举一动及相互作用都将对地区一体化和全球贸易系统产生直接影响。本篇论文研究了两国在自由贸易协定谈判中趋异的动机与战略,以及它们对区域一体化和多边主义的影响。

 

• October 2011

Li Luosha, "A New Model for Global Governance: Mutual Benefit of the WTO and FTAs," Indiana University Research Center for Chinese Politics & Business, Working Paper #10, October 2011. Full Text


Abstract: Setting up Experimental Economic Development Zone and groping the way across the river is the successful experience of China's reform and opening up, which could be referenced for global trade governance. Similarly, Economic Integration (FTA) should be regarded as an experimental area of the global multilateral trade governance institutions (WTO). The tough contradiction between balanced development of trade and equally enjoying fruits of the development by all members along with deficiencies of the WTO multilateral trade governance institutions could be broken, through the practicality and experimental role of establishing FTA by seeking successful experience, regulations and mechanisms. And they will be applied to the WTO multilateral system to better make it a sound global trade governance institution. Consequently, the WTO and FTA of long‐term coexistence and complementary trend is a new pattern of global trade governance.

摘要:试验区和摸着石头过河是中国改革开放的成功经验。全球贸易治理可参照中国经验,视区域经济一体化FTA为全球多边贸易治理机构WTO的试验区。贸易均衡发展和所有成员都均等享受发展成果的全球贸易治理难题,以及WTO多边贸易治理机构的不足之处,均可通过区域FTA摸着石头过河的实践性和试验性作用,探索破解全球贸易治理难题的成功经验、法规和机制,再补充到WTO多边体系中使之成为更完善的全球贸易治理机构。因此,WTO和FTA 并存与互补是长期态势,是全球贸易治理的新模式。

 

• October 2011

Cheng Dawei, "An Empirical Study on the Endogenous Factors Affecting China's Industrial Diplomacy: Antidumping as a Case Study," Indiana University Research Center for Chinese Politics & Business, Working Paper #9, October 2011. Full Text


Abstract: Current studies on Chinese industrial diplomacy have the following problems: (1) The studies in China are mainly in cases and events, or takes form of a detailed analysis of a region, which are lack of general description about Chinese industrial diplomacy (Chen Shengyong 2004 Yu Jianxing 2007) (2). Chinese industry association is a product of reform and opening up with short developing time, complex background and significant path dependent difference which is different from the association developing in western mature economy and that increases the difficulty in the study of the industry diplomacy (3). The scope, approach and method of Chinese industrial diplomacy have not been fully legitimately established, with the lack of standardization leading to research difficulties.

This article attempts to investigate the characteristics of collective action of Chinese industrial diplomacy which reflect the current situation of Chinese industrial diplomacy. This article chooses responding to anti‐dumping measures as direct study object because it's too general to choose "Chinese industrial diplomacy" as dependent variable, hoping to discover the characteristics of Chinese industrial diplomacy through a specific behavior. The article mainly focuses on the industry association's endogenous factors' impact on responding to anti‐dumping measures. The second part of it investigates in industry association's endogenous factors and analyzes the possibility of being independent variable in order to put forward the basic hypothecs. The third part of it is empirical examination and the fourth part of it draws the conclusion on the Chinese industrial diplomacy and makes judgment on the development phase of Chinese industrial diplomacy by comparison between the USA and china.

摘要:目前对中国行业外交的研究存在以下问题:(1)中国国内的研究或是案例性的、事件性的,或是对某一地区的详细分析(陈剩勇,2004;郁建兴,2007),缺乏对中国行业外交一 般性、整体性的描述。(2)中国行业协会是中国改革开放之后的产物,发展时间短却背景复杂、路径依赖差异显著,不同于西方成熟市场经济中发展起来的行业协会,这加大了行业外交研究的难度。(3)中国行业外交的范围、方式、方法尚未得到立法充分确定,行业外交具有不规范性,这造成了研究困难。
本文试图挖掘中国行业外交集体行动的特点,反映中国行业外交的一般现状。鉴于选择"中国行业外交"作为研究的因变量过于笼统,本文选择了"反倾销应诉"作为直接研究对象,希望通过这样一个具体行为透视中国行业外交的特点。本文重点研究行业协会内生性因素对"反倾销应诉"的影响,文章第二部分将研究行业协会内生性因素,并分析其作为自变量的可能性,进而提出本文的基本研究假设。第三部分是实证分析。第四部分得出关于中国行业外交的研究性结论,并通过中美行业外交的对比判断中国行业外交的发展阶段。

 

• October 2011

Yang Rongzhen, "Research of China's Participation in the WTO Trade Policy Review Process," Indiana University Research Center for Chinese Politics & Business, Working Paper #8, October 2011. Full Text


Abstract: In 2006, 2008 and 2010, China underwent three trade policy reviews from the WTO. This article first outlines the three reviews, mainly focusing on 5 aspects: transparency, main adjustment of the trade law, foreign investment system, intellectual property, standards and other technical requirements involved in the reviews. Second is a discussion about Chinese capacity building in making and adjusting trade policy during different stages. And next is an analysis of the influence of WTO's trade policy review mechanism on China based on the discussion.

摘要:中国于2006年、2008年和2010年三次接受WTO的贸易政策审议。本文通过对三次审议情况的概述,特别以审议中涉及的透明度、主要贸易法律调整、外商投资体制、知识产权、标准和其他技术性要求等五个方面的审议内容为主,探讨中国在不同阶段制定与调整贸易政策法规的能力建设情况,并在此基础上分析WTO贸易政策审议机制对中国产生的影响。

 

• October 2011

Wang Xiaodong, "China's Status and Influence in the Multilateral Trade System," Indiana University Research Center for Chinese Politics & Business, Working Paper #7, October 2011. Full Text


Abstract:In December 2001, China joined the WTO and became the 143rd full member. In the last decade, China's international trade developed rapidly and it has consequently become the largest commodity exporter and the second largest importer in the world. Undoubtedly, China's international status has improved significantly. During this period, the pattern of international economy and trade are also undergoing profound changes. The changes of the balance of power between developing and developed countries, new forms of international trade barriers, a large number of bilateral free trade zones as well as some developed countries' rethinking of globalization are all consequences of the rapid rise of China and its interactions with the outside world. Simultaneously, all this contributes to the uncertainty of the future of China's foreign trade.

China's position and influence in the WTO depend not only on China's own development, but also its interrelationship with other countries. So far, China has taken safeguarding the interests of the core areas as a priority in the Doha Round of negotiations, and this negotiation strategy proved to be practical and effective. Since 2008, China has gradually taken a key role in decision-making in Doha Round negotiations, but its composition of influence is unbalanced. Huge market and the scale of imports is still the crucial source of China's influence, and the gap between China and other leading powers is mainly reflected in the soft power, such as agenda-setting capacity in multilateral negotiations, the dispute-solving skills and the power of guiding the public voice and so on. Whether China can exert the power of considerable leadership compatible with its position as a leading trader depends not only on China's political will, but also on its design of path to the multilateral trading system, professional training and the speed with which it enhances its soft power.

In December 2001, after 15 years of hard negotiations, China became a full member of the WTO, its 143rd. Over the past decade, China seized opportunities for development and basically realized initial strategic goals, which built the foundation of long-term development. China obtained permanent MFN treatment by the U.S., relative fair and stable international trading environment and the right to participate in
the WTO dispute settlement and rules-making. Above all, the accession to WTO helped dramatically promote domestic reform and open and stimulate the economy.

Then how to see the function and influence of China in this multilateral trade system? Firstly, we should analyze the current situation of China's trade and its international background, which will help to understand China's choice of standpoint in the WTO negotiations and policy development's path.

摘要:2001 年12 月中国加入世界贸易组织 (WTO), 成为该组织的第143 个正式成员。过去十年中,中国的国际贸易取得的快速发展,已成为世界上最大的商品出口国和第二大进口国,国际地位显著提高。在此期间,国际经济贸易格局也在发生着深刻的变化。发展中国家与发达国家间力量对比的改变、国际贸易壁垒形式的新变化、双边自由贸易区安排大量产生以及部分发达国家对全球化的反思等既是中国快速崛起与外部世界相互作用的产物,也将构成中国未来贸易发展的不确定性因素。
中国在WTO 中的地位和影响不仅取决于中国自身的发展,也体现在和其他国家的相互作用过程中。中国迄今在多哈回合中以维护核心领域的谈判利益作为工作重点,这种谈判策略被证明是实用和有效的。自2008 年起中国逐步进入了
WTO 多哈回合谈判的决策核心,但其影响力的构成并不均衡。巨大的市场和进口规模仍是中国影响力最重要的来源,中国与其他主要大国的差距则主要体现在软实力要素方面,如多边谈判中制定议程的能力、争端解决的能力和引导舆论的能力等。未来中国能否在WTO 中发挥与其贸易地位相当的国际领导力,不仅取决于中国的政治意愿,还取决于其对多边贸易体制未来发展路径的设计、专业人才的培养以及软实力水平提升的速度。
2001年12月,经过15年努力谈判,中国成为世贸组织第143个正式成员。 过去十年,中国在WTO体制内部,积极抓住发展机遇,最初确立的战略目标基本实现,发展态势良好。中国获得了美国的永久最惠国待遇、相对公平和稳定的 国际贸易环境、参与WTO争端解决和规则制订的平等权利。最重要的是,加入WTO极大推动了国内改革开放,使其经济释放出巨大活力。
如何看待中国在多边贸易体制中发挥的作用和影响?首先应分析中国贸易的发展现状和国际贸易大环境的变化特点,这将有助于理解中国在WTO谈判中 的立场选择和政策发展轨迹。

 

• October 2011

Tu Xinquan, "Organizational Aspects of China's GPA Accession Negotiation and Their Implications," Indiana University Research Center for Chinese Politics & Business, Working Paper #6, October 2011. Full Text


Abstract: On December 28, 2007, China delivered its application and initial offer for acceding to the Agreement on Government Procurement (GPA) to the WTO Secretariat. The negotiation will define China's openness in an economically and politically significant market: the government procurement for consumption and investment. As a plurilateral agreement under the WTO, the GPA accession negotiation follows the way of WTO accession negotiation. Like the WTO agreements, the GPA also contains general principles and rules over government procurement, as well as specific commitments of individual parties. The negotiation will take place bilaterally between the acceding member and interested parties, then going to the multilateral phase. With the 15-year experience of tough WTO membership talks, China is supposed to be comfortable about copying the previous negotiation approach. In addition, the WTO accession has proven to be successful. The Chinese government is also launching a series of events to commemorate the achievements in the 10th anniversary of China's WTO membership.

However, after the first three years, China's GPA negotiation have shown a number of different features from WTO negotiation. In particular, China is taking a quite different organizational structure in this negotiation in terms of political leadership, organizational arrangements, academic and public involvement. Without a formal political process of interest groups as democracies, these organizational aspects actually represent a Chinese-characteristic trade politics. They have influenced the up-to-date process of the negotiation and will influence the future results as well. The paper will try to describe the organizational aspects of China's GPA accession negotiation in comparison with WTO negotiation from a variety of perspectives, and to discover why they would be so different and how these differences would impact the coming negotiation and its results.

摘要:2007 年12 月28 日,中国向世界贸易组织(WTO)秘书处递交申请,首次提出加入政府采购协议(GPA)意愿。政府采购涉及政府自身庞大消费及投资投入,准入谈判对于中国政府采购市场的开放性具有经济和政治双重涵义。作为WTO 框架下的多边协议,GPA 准入谈判遵循入世谈判步骤规则。与WTO 协议类似,GPA 协议除了规定协议各方应履行具体承诺外,也包含政府采购总体原则及规则。谈判首先在申请方与相关方双边之间展开,然后进入多边谈判阶段。具备15 年的艰苦卓绝入世谈判经验,中国有望在此次准入谈判中驾轻就熟地加以借鉴,更何况入世谈判最终证明成功可行。中国政府同步正在组织一系列活动纪念入世十周年。
然而历经三年,中国GPA 准入谈判体现出有别于入世谈判的种种特征,尤其在政治领导,组织安排以及学界和公众参与度等方面表现出结构性组织差异,具有中国特色的贸易政治与通行的利益相关方之间正规民主决策程序大相径庭。这种差异影响着谈判的最新进程及未来结果。本篇论文从不同视角对比入世谈判,阐述中国GPA 准入谈判的组织结构特征,探讨发掘差异性存在的原因以及这些差异将如何影响未来谈判和结果。

 

• October 2011

James Scott and Rorden Wilkinson, "China and the WTO", Indiana University Research Center for Chinese Politics & Business, Working Paper #5, October 2011. Full Text

Abstract: The 'rise' of China stands as one of the most significant developments in global politics in the post-cold war era. Yet, China's rise has not been uniformly welcomed. For some, it has generated fears that the PRC's growing global prominence will inevitably be malignant; for others the rise of China has been largely 'system-preserving' in character. While a consensus has yet to emerge, the dominance of the debate has ensured that investigations into the factors shaping the PRC's international relations and, with regard to the subject of this paper, its behaviour in the World Trade Organisation (WTO) have been too bound up with, and as a result too distracted by, the search for proof of 'real' intentions and less concerned with clear analysis. We seek to move beyond the strictures of this debate to investigate more thoroughly the factors shaping China's trade diplomacy.

We argue that an examination of the factors shaping China's trade diplomacy must take into account the strong effects exerted on that diplomacy by its membership of the WTO. To substantiate our argument, we begin by setting out some conceptual markers on what we know about the peculiarities of international institutions as a framework for understanding how the WTO as an institution affects China. We then explore key developments in China's political economy to the point at which the PRC acceded to the organisation before considering how the pursuit of WTO membership has shaped Chinese development, its trade diplomacy, and impact on the WTO of China's membership. We conclude that while WTO accession may have altered the composition of the organisation's core decision-making group by placing China at its heart, it has been sufficiently, and perhaps uniquely costly to China in terms of concessions made, in closing down room for manoeuvre in the current Doha round and in constraining the PRC's capacity to switch from an export-led to a domestic consumption based model of development.

摘要:中国崛起已成为后冷战时期全球政治领域最引人关注的现象之一。然而,这一现象却尚未获得国际社会普遍欢迎和接受。一些观点担心,中华人民共和国日渐强大的全球影响力势必危及世界;另一些观点认为中国崛起本质上仍为"系统内聚"性特征。各方观点集中探讨中国国际关系形成机制的影响因素,以及本文主题所涉及的中国在世界贸易组织(WTO)中的行为特点,但种种观察研究过多局限于对真实意图证据的挖掘而非客观的逻辑分析,因而偏离了问题核心实质。本篇论文立意摆脱这种争论的局限性,对中国贸易外交政策的形成因素展开透彻剖析。
本文认为,研究中国贸易外交影响因素必须考虑中国世界贸易组织成员国身份的重要影响作用。为了使论述充分具体,本文从反映国际组织机构特殊性的概念切入,为深入理解世界贸易组织对中国的影响方式提供背景框架。文章随后探讨中国入世之际的关键政治经济政策考量,进而阐述世贸组织成员国身份争取过程对于中国发展模式和贸易政策制定的影响,以及这种身份对于世贸组织的反作用力。最终得出结论,中国入世可能由于其核心地位而改变世贸组织核心决策机制,同时就入世前的种种让步而言,中国必须承受独特的重大代价,比如目前多哈回合谈判中的有限回旋空间,以及出口导向型向内需导向型发展模式转变过程中所受的制约。

 

February 2011

Ethan Michelson, "Public Goods and State-Society Relations: An Impact Study of China's Rural Stimulus," Indiana University Research Center for Chinese Politics & Business, Working Paper #4, February 2011. Full Text

Abstract: Evidence I present in this paper from two rural surveys—one conducted in 2002 and the other in 2010—reflects a dramatic and positive turnaround in state-society relations in the Chinese countryside. Information villagers reported in the surveys reflect improvements in public goods provision, household economic conditions, and popular perceptions of the government in the wake of a pro-rural policy shift beginning in 2004 and heightened by China's 2008 economic stimulus plan. The surveys also suggest that public goods are an important reason why statesociety relations have improved. Public goods significantly enhanced villagers' perception that the government cares about their wellbeing. Although every level of government enjoyed a popularity boost from improvements in public goods provision, the greatest gains were made at local levels of the state. At the same time, however, we have reason to question the long-term sustainability of this positive trajectory. Lying beneath these positive trends are ominous signs of potential threats to state-society relations on the horizon.

 

October 2010
Edwin Way and Scott Kennedy, " Conference Proceedings for the Workshop on China & Global Governance," Indiana University Research Center for Chinese Politics & Business, October 12,2010. Full Text

Abstract: China's active participation and influence in a wide range of global regimes, from the World Trade Organization to international energy markets, has inspired growing attention and excitement among scholars, policymakers, businesspeople, and others both within and outside of China. In July 2010, Indiana University's Research Center for Chinese Politics & Business organized a conference at Peking University that brought together more than 40 scholars, government officials and industry representatives officials to discuss China's growing participation in global governance. The diverse group of conference participants had a wide range of expertise and came from the Chinese mainland, Taiwan, Canada, Japan, South Korea, Switzerland, and the United States. The conference covered a number of contentious and important issue areas, including the WTO, trade remedies, currency and financial market regulation, technology standards, global energy markets, climate change and the relationship between bilateral relationships and multilateral forums.
The goal of this paper is to: 1) Present a faithful summary of the central points of discussion and debate of each panel; 2) Provide an analysis which highlights similarities and differences in Chinese participation across regime areas; and 3) Indicate likely areas of research which emerged from the discussion. Since the presentations and discussion were made on a "not for attribution" basis, the names of individual participants and their identifying information have been withheld.


August 2010
Lu Zhang, “From Detroit to Shanghai? Globalization, Market Reform, and Dynamics of Labor Unrest in the Chinese Automobile Industry,” Indiana University Research Center for Chinese Politics & Business, Working Paper #3, August 2010. Full Text.


• July 2010
Jialu Liu, Virginia Harper Ho, and Lu Zhang, "Chinese Workers: Under Threat or a Threat to American Workers?” Indiana University Research Center for Chinese Politics & Business, Working Paper #2, July 2010. Full Text.

Also avaliable at the Social Science Research Network (SSRN) website. Click Here.

Editor's note: In March 2010, the RCCPB hosted the symposium, "Chinese Workers: Under Threat or a Threat to American Workers?" The motivation for the symposium and the question from which its title comes out of are the regular stream of newspaper headlines which paint Chinese workers as either suffering from low pay and horrible working conditions or as fundamental threats to American workers (and those of other advanced economies). Although an oversimplification or even wrong in some respects, the purpose was to provoke and gain greater insights into the condition of labor in China. Liu Jialu, Virginia Harper Ho, and Lu Zhang provided different, yet complementary perspectives based on their backgrounds as an economist, legal scholar, and sociologist, respectively. (At the time of the symposium, Liu was a doctoral candidate in IU's Economics Department and Ho a visiting professor in IU's Maurer School of Law.) Each of them has spent a number of years culling through data, examining cases, and observing workers in China.

 

• February 2008
Thomas Kellogg, "Constitutionalism with Chinese Characteristics? Constitutional Development and Civil Litigation in China," Indiana University Research Center for Chinese Politics & Business, Working Paper #1, February 2008. Full Text.

 

 
     
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