从缓冲区到结盟：新中国成立前后苏联的对华政策

【作者】 丁常昕；

【导师】 朱明权；

【作者基本信息】 复旦大学 ， 国际关系， 2007， 博士

【摘要】 苏联对华政策在新中国经过了重大的转变。中苏之间共经历了米高扬访问西柏坡、刘少奇访苏、毛泽东访苏、以及朝鲜战争等重大事件。苏联的对华政策由支持国民党、转为中立调停、继而支持中共、形成中苏同盟、最后演变成战时军事同盟。本文旨在研究苏联对华政策发生改变的过程、推动这种转变的动力以及这种动力与俄罗斯传统历史上的外交目标的关系。透过研究,本文发现,从历史上观察,俄罗斯的对外政策始终受限于“领土与港湾的追求”、“使命感”与“例外论”三者。在不同的时期,这三者会转化成不同的型态。本文认为,调和这三者的,正是特定时期的苏联国家战略。苏联的国家战略不但能厘清三者之间的关系,更能排列出这三者的轻重缓急次序。从而为俄罗斯的对外政策找到追求的方向。到了二次世界大战后,这三个目标转化为“缓冲区”、“结盟”与“担心世界大战爆发”的内容。在1947年,由于苏联的国家战略从“一国建设成社会主义”战略转变成“两个阵营”战略。苏联的对外政策目标追求也从以“缓冲区”转向“结盟”。透过历史档案的研究,本文认为苏联对华政策也不能例外于这种情形。只是国共内战尚未结束,使得苏联不能将新的战略运用于对华政策上。基于上述研究,本文认为:首先,苏联国家战略改变是苏联对华政策转变的主要因素。换言之,只有苏联国家战略的改变才能导致苏联对华政策根本性的调整。否则,任何的对外政策调整只是因应外在因素变化而在手段上的改变,政策背后所追求的目标是不会改变的。其次,本文提出了“双重缓冲区”的概念,用以说明苏联的对华政策。本文认为,在“一国建设成社会主义”的战略指导下,恰恰是苏联为了在中国建立双重缓冲区,即以整个中国为美苏的战略缓冲区、以东北为中苏之间的战术缓冲区,所以在官方的对外政策上,采取支持国民党的态度,希望国民党代表的中国能起码在形式上独立于美国;在东北的问题上,则希望在一定程度上削弱国民党政府对于东北的控制,俾使东北在自治的状态下,成为中苏之间的缓冲。最后,本文引用斯利卡的“联盟观念”的概念,用以解释中苏之间的结盟关系。在联盟观念的作用下,中苏结成了同盟。以中苏同盟的功能而言,苏联希望透过制约中国导向美国,以维持美苏之间两大阵营对峙下的国际均衡。与新中国结盟就是最好的制约手段。就中国来说,通过中苏结盟,可以求得社会主义阵营国家阵营的国际承认。这有助于刚刚建立新中国的中共巩固政权与使其政权合法化。更多还原

【Abstract】 The Soviet Union’s foreign policy toward China has been deeply transformed since 1949 to 1950. There were lots great incidents had been occurred between CCP and the Soviet Union, such as Mikoyan’s secret trip to Xibaipo、Liu Shaoqi’s interview to Moscow、Mao Zedong’s trip to Moscow and the Korean war. The Soviet Union’s foreign policy has transformed from supporting KMT to neutrality and mediation, then from supporting CCP to Sino-Soviet alliance, and finally transformed into wartime alliance. This dissertation aims to do researches on the processing of transformation of the Soviet Union’s China policy, the dynamic reason of transformation, and the relations between transformation and Russian traditional foreign goals. The finding of this research is that according to Russian history, Russian foreign policies were always restricted in the goals of territory and harbor, vocation and exception. In different eras, these three goals would transform into different forms. The writer of this dissertation consider that the Russian national strategy could clear the relations between this three goals and arrange the priority of this three one, than orient the foreign policy of Russia. After the Second World War, these three goals have been transformed into "chasseing buffer zone" , "finding alliance " and "concerning about world war" . In 1947, because the national strategy had been changed from "constructing socialist society by one state" to "two camps" , the foreign goals of the Soviet Union foreign policy had transformed from chasseing buffer zone to finding alliance. According to history files my researching, the writer of this dissertation consider that the Soviet Union’s China policy can not be exception of this condition. The reason that the Soviet Union could not apply this new strategy is just because that civil war between CCP and KMT had not been finished.Based on upper working, the findings of this research are presented as following:1. The main reason of transformation of the Soviet Union’s China policy is the changing of the Soviet Union’s national strategy. In the other words, Soviet Union’s China policy can be fundamentally changed only by the Soviet Union’s national strategy. Otherwise, any kind of adjust of foreign policy would be a kind of feedback of transformation of external environment or be a kind of changing means. The goals that policies pursuit would be not changed. 2. The author of this dissertation adjust the concept of "double buffer zone" to explain the Soviet Union’ s China policy. He suggests that under the direction of "constructing socialism by one state" strategy, Soviet Union wanted construct double buffer zone in China. They wanted the whole China as the strategic buffer zone, and northeast part of china as tactic buffer zone. They officially supported Chinese Nationalist, and hoped they will be at least independent from the U.S. They also wanted to decline the power of Chinese Nationalist in the northeast part of china to make there will be under the status of autonomy, and to make there become the buffer zone between China and Soviet Union.3. The author of this dissertation borrow the concept "alliance ideology" which developed by George Silica to explain the alliance between China and Soviet Union. Soviet Union wanted by Sino-soviet alliance to prevent China from sliding with the United State and to maintain the balance between the two camps. On the other side, China wanted by alliance to get the recognition from socialist states. This will help china to consolidate its reins of power and its legitimization.更多还原