【作者】 李红；

【导师】 刘丽云；

【作者基本信息】 中国人民大学 ， 国际关系， 2005， 硕士

【摘要】 在国际关系的理论研究和现实运作中,对外援助问题具有不可取代的重要作用和意义,尽管对外援助在形态上表现为一种经济性的政策行为,但却往往超越经济规律的制约,带有极为浓厚的政治、安全、外交、意识形态和价值观念等多方面的深远意义,体现了援助国的战略意图和政策目标,在更多情况下和更大程度上,受到国家之间的政治、外交、安全等关系的支配。 政府开发援助(ODA)以其官方背景、政府行为、战略意图和政策优惠等特点,成为对外援助中的重要研究领域。尤其对日本这样一个具有特殊国情,战后以来难以在国际社会发挥政治、军事作用的国家来说,ODA 恰恰是其发挥国际作用、扩大国际影响的有效方式。1954 年日本加入“科伦坡计划”后,开始以援助国的身份正式提供政府援助。1978 年,日本已经位居向亚洲实施双边援助之首,20 世纪 80 年代以后,日本在国际开发援助体系中的地位日趋重要,并从1989 年起超过美国成为世界第一援助大国(除 1990 年外),占 OECD 成员国 ODA总额的 1/4 以上。日本的 ODA 是其对外政治、经济关系的重要组成部分,对于在军事上受到极大限制的日本来说,对外经济援助始终是其国家发展战略中的重要工具和手段。 日本对华 ODA 是中日关系友好的重要组成部分,日本对华 ODA 包括两部分:一是日元贷款;二是无偿资金援助和技术援助。其中,日元贷款是主要的,占70%以上,日本对华日元贷款是中日经济合作的重要组成部分,始于 1979 年。在日本对华提供 ODA 之初,大平首相便宣布了对华经济合作三原则:不搞军事合作;不损害日本同东盟国家等其他发展中国家之间的合作关系;不谋求意在独占中国市场的排他关系。然而,20 世纪 90 年代后日本外交和 ODA 政策发生变化,1992 年日本国会通过《ODA 大纲》,提出所谓“ODA 大纲四原则”,把是否提供 ODA,与别国的军费开支、人权及民主状况挂钩,给对发展中国家的援助注入意识形态因素,把原来互利合作的渠道变为体现本国意志的外交手段。2003 年8 月,日本政府制定了新的《ODA 大纲》,在援助理念、重点课题、重点区域和实施方法等方面又有所变化。当然对华 ODA 也是发生了较大的转变,更有甚者2004 年底出现了种种停止对华援助的呼声与言论。虽然目前国内对日本 ODA 的基本状况、政策方针、组织体系、以及战后以来的发展变化等问题进行了相当6深入的研究,并取得了有目共睹的成果。但相对日本学得其他领域(政治、外交、贸易)来说,对日本 ODA 的研究,特别是日本对华 ODA 方面在广度和深度方面仍有不足,存在进一步深入研究的必要。而且关于冷战后时期日本对外援助及其对华援助方面的详细介绍和深入分析比较少,而且从外交决策和外交战略进行深入分析的也不多见。日本对外援助的战略目标是什么,调整的根由是什么?这种调整变化与日本对中日关系发展甚至整个对外战略的总体设想是否有关联,ODA 的变化是日本有意识要牵制中国呢,还是对日本来说,中日关系的战略地位有所降低?实际的影响是怎样的?中国对日本的对外援助应该怎样认识和应对?这些问题都是值得进一步探究的问题。在本文中,我将自己所学习的国际关系理论和国际政治经济学知识运用到日本对外援助研究中。第一章,日本在冷战后对华 ODA 方面的调整,以 1992 年和 2003 年日本《ODA 大纲》为例,介绍日本冷战后以来对外援助整体发生的一些调整与变化,然后从对华 ODA 数额的变化、对华 ODA 的实施内容、对华 ODA的实施方式、对华 ODA 的附加条件几个方面重点分析日本对华 ODA 方面的调整;第二章,日本对华 ODA 调整的背景及原因探析,结合国际形势、日本国内情况和中国的情况来深入分析这种调整变化的原因;第三章,日本对华 ODA 的调整对中日关系的影响,结合我国国情,对日本对华 ODA 方面的调整变化给中日政治关系、经济关系的影响做了简单的介绍与展望。当然,由于专业和知识水平的限制,本文的许多观点肯定有待商榷,但我希望对这些问题的探讨能把对外援助的理论研究推向一个更深的层次。正确认识冷战后日本对外援助调整的特点、揭示其深层原因,对于理解日本的发展援助以及它在新世纪的外交调整动向都具有重要的意义。特别是对华实施政府开发援助的 20 多年来,尽管褒贬不一,然而不可否认的是日本对华援助确实曾经对中国改革开放和现代化建设起到过促进作用。随着中国经济的发展,中国对日本的对华 ODA 的需求和期待有所变化,同时日本由于其严峻的经济和财政形势也在不断调整其 ODA 政策。在这样的背景下,中日两国都应该通过更合理地利用对华 ODA,从深度和广度上进一步增进 21 世纪的中日关系。在21世纪的世界格局中,中日仍将是亚太地区举足轻重的大国,两国关系对亚太地区和世界的稳定与发展有重大影响。因此,中日两国应本着信任与合作的精神,冷静、理智地处理好影响中日两国发展关系的一些障碍性问题,使中日关更多还原

【Abstract】 In theoretical research and realistic operation in the international relations, the foreign aid question has important function and meaning that can’t be replaced , though foreign aid is shown as a kind of economic policy behavior, but often surmount the restriction of the economic rule, there are far-reaching meanings in many aspects, such as politics, security, diplomatic, ideology and values, etc, which has reflected the strategic intention and policy goal of the country ,in more cases and on greater degree, dominated by politics, diplomacy, security and other relations between the countries. The Official Development Assistance (ODA) with such characteristics as its official background, government’s behavior, strategic intention and policy are favorable, become the important research field in foreign aid. Especially have special meaning to Japan, which country is difficult to play a political, military role since after the war, ODA is its effective way to play an international role, expanding international influence. After the eighties of the 20th century, Japan’s status in foreign aid system becoming important, exceed U.S.A. become the first aid country from 1989 in world (besides 1990), accounts for more than 1/4 ODA total values of OECD member state. ODA is Japan’s important component of its political, economic relations, as to Japan which country is limited on the military affairs, the foreign aid is an importance tool and means in its national development strategy all the time. Japanese ODA to China is the important component in friendly Sino-Japanese relations, Japanese yen loan to China is the important component of Sino-Japanese economic cooperation, started in 1979. The Japanese Congress passed “ODA Charter” in 1992, propose so-called “ODA four principle”, that offer ODA, get in touch with the expenses of military expenditure, human rights and democratic state of the other countries, inject the ideology factor into aid to developing countries, turn the channel originally of mutually beneficial cooperation into a diplomatic means to reflect national will. In August of 2003, Japanese government makes new “ODA Charter”, change to some extent in aid idea, key subject, key area and implement the method etc .Of course, Japan’s ODA to China make greater transition too, moreover, all sorts of voice and speech to stop aiding China appear at the end of 2004. What is the strategic objective of Japanese foreign aid, what is the origin adjusted? How is real influence? How should the foreign aid of Japan know and reply correctly in China? These questions are all questions that are worth probing into further. In the article, I apply international relations theory and international political economy knowledge to Japanese foreign aid. Firstly, I introduce the adjustment of Japanese ODA to China after the cold war, take 1992 and 2003 Japan’s “ODA Charter” as an example, some adjustment and change taking place wholly in Japanese foreign aid after cold war, then from the change of ODA number, the implementation content, the mode of execution, the appended document and so on, several respect to analysis the adjustment of Japanese ODA to China especially correctly; The background which Japan adjusts to China ODA and reason analysis then get concert, combine the international situation, the situation of Japan and China to analysis the reason of adjustment; On this basis, combine of our country national conditions, make simple introduction of the influence to Sino-Japanese relations and prospect to Japan to China adjustment change of ODA. Certainly, because of the limitations of my knowledge level, a lot of views of this text certainly remain to be discussed, but I hope can push the discussion of these theoretical research of foreign aid question to a deep level. Understanding the adjustment of Japanese foreign aid after the cold war correctly, announcing its deep reason, for understanding development assistance and its diplomatic adjustment tendency in the new century in Japan for all have important meanings. Imp更多还原