对外经济贸易大学 博士学位论文 实施互利共赢开放战略的评估机制研究 姓名：魏磊 申请学位级别：博士 专业：世界经济 指导教师：张汉林 2010-12 5 摘 要 摘 要 从根本上说，开放是为了促进国内经济与社会发展，维护国家经济安全。在经济 全球化迅速推进， 国内外经济形势发生巨大变化， 中国经济地位日益提升的背景下。 中国越来越需要实施具有针对性、有效性、具备“精准实施”能力的政策工具（政 策制定实施的精确化） 。 互利共赢开放战略评估关系着对整个国际格局的把握， 对整 个世界局势的掌控，对政策可能造成的影响的预判，是决策科学化的重要一步。 本文从全球化、博弈论与国际合作角度入手剖析出互利共赢开放战略的理论基 础和政策内涵。研究经济全球化条件下主要大国开放中的政策评估理念及方法，对 当前开放战略评估的国际主流模式进行剖析。以此为参照分析中国当前开放政策评 估体系的现实与问题。并为互利共赢开放战略的评估机制提供基本思路与总体建构 方案。最后将这些方案应用的实际评估中，对互利共赢开放战略之中的三个重要政 策目标进行系统评估。 通过研究发现： 经济全球化是互利共赢开放战略形成的理论逻辑起点， 互利共 赢开放战略是全球化时代的理性选择。 博弈论是互利共赢战略的重要理论分析工具。 国际合作理论是互利共赢战略的实施依据。互利共赢开放战略是科学发展观在对外 开放领域的实践运用。 当前，国际上尚没有成熟的评估模式，美国、欧盟、日本等国正在探索各自的 评估方案， 欧盟的SIA评估体系尚处于学术建构阶段、 美国ERTA评估机制已经进入立 法程序开始试运行，日本的PDCA评估方案隐含在经济增长战略评估中。资料缺乏、 公众参与中的利益相关者界定、咨询渠道扩充等问题是评估机制构建的最大障碍。 也使得开放战略评估成为一个仍然无法系统、有效解决的复杂的系统工程。 就中国而言，制定的五年规划中已经有政策评估机制的雏形。政策战略评估的 意识已经开始增强，寻求政策的精确、精准和有效实施成为决策者的共识。在制定 与执行对外经贸政策时，如果能够对政策的可能影响进行正确的评估和监测，那么 政策的针对性和有效性将大大增强，能够提升中国对外经济交往的底气，在对外经 济合作与竞争中把握主动。让互利共赢开放战略评估机制进入立法者视野，让政府 部门对互利共赢开放战略实施中的每一项具体政策都进行及时、 准确、 完备的评估。 这是提高开放政策“精准实施”能力的重要手段，是中国成为全球经济强国的基础 性工程。 关键词：互利共赢，开放战略，评估机制，经济安全，跨国并购 6 A b s t r a c t A b s t r a c t Fundamentally speaking, openness is for the domestic economic and social development, national economic security. In the rapid development of economic globalization, domestic and international economic situation has undergone enormous changes, Chinas economic status is rising。China increasingly need to implement targeted, effectiveness, have the capacity to implement the “accurate” policy tools (policies for implementation of precision).Mutual benefit and win-win relationships with strategic assessment for the entire international pattern of grasping the whole control of the situation in the world, on the possible impact of the policy of prejudging, scientific decision-making. This paper analyses theoretical basis and policy intension of mutual benefit and win-win strategic from globalization, game theory and analysis of international cooperation approaches. It Studies in major powers in policy evaluation concepts and methods, strategic assessment of the current open international mainstream models. Make a reference to the analysis of Chinas current open policy evaluation system of the reality and problems. And open for mutual benefit and win-win strategic evaluation mechanism provides basic ideas and overall construction programmer. Finally, the application of these programmers, the actual assessment of mutual benefit and win-win opening strategies of three important policy objectives for system evaluation。 Through the study: the economic globalization is open for mutually beneficial win-win strategy formation logical starting point in theory, open strategy of mutual benefit and win-win is the globalization of rational choice. Game theory is a win-win strategy important theoretical analysis tools. International cooperation theory is a win-win strategy based on. Mutual benefit and win-win opening strategy is a scientific development concept in the field of practical application of opening to the outside world. Currently, the International does not have a mature evaluation mode, the US, EU, Japan and other countries are exploring their assessment programmer evaluation system in the EU is still at the stage of the academic structure, American ERTA assessment mechanism has entered the legislative process begins trial operation, Japans PDCA assessment programmer implicit in the economic growth strategy assessment. The lack of 7 particulars, public participation in the definition of the stakeholders, the consultation channel expansion issue is the assessment of the mechanism of the greatest obstacles to. Makes opening strategy evaluation into a still cannot resolve valid system, world-level challenges Chinas five-year plan has been integrated into the concept of policy evaluation. Policy strategy evaluation of awareness has started to strengthen and to seek policy is accurate, precise and effective implementation of consensus policy makers. In formulating and executing foreign trade policy, should be able to influence the policy might be correct assessment and monitoring, policy relevance and effectiveness will be greatly enhanced, to enhance Chinas foreign economic contacts between the radiant, in the foreign economic cooperation and competition to grasp the initiative The mission of this paper is to make mutual benefit and win-win strategic evaluation mechanism into the opening up of legislators from the perspective of. A government department for mutual benefit and win-win open strategy implementation in each of the specific policy is timely, accurate and complete assessment. This is the Basic project to improve the implementation of the open-door policy “accurate” ability is an important means of global economic power. Keywords：Mutual benefit and win-win，Open strategy，assessment mechanism, Economic security, Cross-border Merger and Acquisitio