臺灣博碩士論文加值系統

1998年1月，美國國防部長柯恩(William S. Cohen)與中國國防部長遲浩田簽署了「關於建立加強海上軍事安全磋商機制的協定」(Military Maritime Consultative Agreement, MMCA)，成為兩國第一個關於軍事領域信心建立措施(Confidence-Building Measures, CBMs)的協定。然而兩國簽署MMCA至今，仍然在海上或海域上空發生多起軍事接觸或是意外事件，造成兩國關係的緊張；這些海上意外事件或是軍事接觸的發生突顯出兩國依據MMCA架構進行更進一步協商討論的必要性。本文將運用迪斯賈汀絲(Marie-France Desjardins)對CBMs的理論觀點，分別就談判、締約、執行等三個面向進行系統化的比較與分析，探討美中MMCA發展所面臨的迫切問題，以作為進一步評估其發展前景之依據。本文發現，儘管美中雙方皆可能因政治問題造成軍事交流中斷，但是透過MMCA的相關措施可以促使兩國政治關係的回暖，進一步回復軍事接觸與交流。然而美中海上CBMs也因制度上的缺陷導致運作成效不彰，是故兩國也應增進互信，盡力擺脫誤解，各退一步以完善海上CBMs之制度內容，俾使兩國軍事競爭更為安全，不致因為偶發海上意外事件而導致兩國關係的全面緊張，進而造成亞太局勢的不穩。

On 19 January 1998, US Defense Secretary William Cohen and China''s Defense Minister General Chi Haotian signed the Military Maritime Consultative Agreement (MMCA). The MMCA is the first agreement on confidence building measures between the armed forces of China and the United States. Howerver, the dangers of accidents and miscalculation in near shore waters with foreign naval vessels is still high, straining Sino-U.S. relations. These accidents and potential military contacts underline the necessity of enhancing the framework of MMCA. The thesis tries to analyze the possible problems which MMCA has faced based on three aspects: negotiation phase, contract phase, and implementation phase. Two implications follow from this study. First, although U.S. and China stop military contacts frequently because of political problems, the two nations can revert to normal condition through MMCA. Moreover, the limits of the framework of MMCA still causes the implementation inefficiency. In order to make the military competition more secure and prevent maritime accidents mislead to tensions between the bilateral relations, the two nations are supposed to enhance mutual trust and lower misperception, uplift the quality of MMCA.

目次
第一章　緒論 1
第一節　研究動機與目的 1
第二節　研究途徑、架構與方法 5
第三節　文獻探討 11
第四節　研究範圍和限制 11
第五節　章節安排 17
第二章　美中對海上CBMs之基本認知與立場 19
第一節　美中海洋安全觀 19
第二節　美中海洋戰略 29
第三節　美中對海上CBMs之立場 35
第四節　小結 40
第三章　美中MMCA談判階段之檢視 43
第一節　參與動機 43
第二節　談判內容 49
第三節　適用範圍 61
第四節　小結 63
第四章　美中MMCA締約階段之檢視 65
第一節　履行義務之規定 65
第二節　條文內容 73
第三節　查證措施 76
第四節　小結 78
第五章　美中MMCA執行階段之檢視 81
第一節　制度運作 81
第二節　參與國態度 85
第三節　執行成效 90
第四節　小結 103
第六章　結論 105
第一節　研究發現 105
第二節　未來發展 110
參考書目 113
壹、中文部分 113
貳、英文部分 116

壹、中文部分
一、書籍
Bernard D. Cole著，羅倩宜、翟文中譯（2006年），《海上長城：走向廿一世紀的中國海軍》。桃園：老戰友文化事業有限公司。
Earl Barrie等著，李美華、孔祥明、林嘉娟、王婷玉等譯（1998），《社會科學研究法》。台北：時英出版社。
W. Lawrence Neuman著，王佳煌、潘忠道等譯（2002），《當代社會研究法》。台北：學富文化事業有限公司。
中國現代國際關係研究院海上通道安全課題組（2005），《海上通道安全與國際合作》。北京：時事出版社。
中國人民解放軍國防大學戰略教研部編（2006），《世界各國軍事力量手冊》。北京：解放軍出版社。
林碧炤（1997），《國際政治與外交政策》。台北：五南圖書出版股份有限公司。
防衛研究所編（2010），《東アジア戦略概観2010》東京：株式會社ぎょうせい。
邱子軒（2008），《龍鷹共舞：中共與美國海事安全互動》。台北：秀威資訊科技股份有限公司。
姜志軍、張帆編（1994），《海洋鬥爭與海上力量的運用》。北京：解放軍出版社。
胡祖慶（1989），《國際政治體系理論解析》。台北：五南圖書出版股份有限公司。
陳鴻瑜主編（2001），《信心建立措施的理論與實際》。台北：台灣綜合研究院戰略與國際研究所。
楊念祖編（2007），《決戰時刻─20XX年解放軍攻台戰役兵棋推演》。台北：時英出版社。
葉至誠、葉立誠（2000），《研究方法與論文寫作》。台北：商鼎文化出版社。

二、論文
王松岐、鐘魁潤（2006），〈中美海軍首次進行海上聯合演練〉，《艦船知識》，2006年第11期，頁8-12。
宋燕輝（2007），〈中國近期在南海活動及情勢發展〉，《戰略安全研析》，第28期，頁14-18。
陳永康、翟文中（1997），〈中共海軍戰略演進之研究〉，《中國大陸研究》，第40卷第9期，頁7-20。
翟文中（2002），〈海上軍事信任建立措施：台海兩岸簽署預防海上意外事件協定研究〉，《國防政策評論》，第3卷第1期，頁42-65。
───（2008），〈中共與美國海上軍事安全磋商機制之研究─背景、運作與展望〉，《國防雜誌》，第23卷第5期（2008年10月），頁43-56。
─── （2009），〈海上軍事安全協定之研究─以美中MMCA與美蘇INCSEA為例〉，《中華戰略學刊》，98年秋季刊，頁161-201。
熊玠（2006），〈中日東海之爭與海權、海洋法〉，《中國評論月刊》，第97期第1月號，頁1-9。
蔡明彥（2009），〈美國與中國軍事交流之發展與限制(二○○四～二○○七年)〉，《歐美研究》，第39卷第3期，頁533-566。
葉自成、慕新海（2005），〈對中國海權發展戰略的幾點思考〉，《國際政治研究》，2005年第3期，頁5-17。
劉中民（2005），〈海權問題與冷戰後的中美關係：矛盾的認知與艱難的選擇〉，《外交評論》，第85期，頁55-60。
劉新華（2001），〈試論中國發展海權的戰略〉，《復旦學報─社會科學版》，第6期，頁68-72。
劉復國（2006），〈東南亞恐怖主義對亞太區域安全影響之研究〉，《問題與研究》，第45卷第6期，頁79-106。
錢春泰（2002），〈中美海上軍事安全磋商機制初析〉，《現代國際關係》，2002年第4期，頁7-11。

三、未出版論文
宋燕輝（2007），〈中國與美國海上軍事諮商之現況與未來發展之研究〉，發表於《「台美中關係專題研究：2004-2007」學術研討會》。台北：中央研究院歐美研究所。

四、官方文書
中華人民共和國國務院新聞辦公室（2011），《2010年中國的國防》。北京：國務院新聞辦公室。
全國人民代表大會常務委員會（1998），《中華人民共和國專屬經濟區和大陸架法》。北京：全國人民代表大會。
───（1992），《中華人民共和國領海及毗連區法》。北京：全國人民代表大會。

五、網路資料來源
《人民日報》。http://www.peopledaily.cn/
《中央社》。http://www.cna.com.tw/
《中國評論新聞》。http://www.chinareviewnews.com/
中國國防部。http://www.mod.gov.cn/
清華大學中美關係研究中心。http://www.chinausa.org.cn/


貳、英文部分
一、書籍
Alagappa, Muthiah, ed. (2003), Asian Security Order: Instrumental and Normative Features. California: Stanford University Press.
Allen, Kenneth, and Eric A. Mcvadon (1999), China''s Foreign Military Relations. Washington D.C.: The Henry L. Stimson Center.
Cole, Bernard D. (2001), The Great Wall at Sea: China''s Navy Enters the Twenty-first Century. Annapolis, MD: US Naval Institute Press.
Cossa, Ralph A. ed. (1995), Asia Pacific Confidence and Security Building Measures. Washington, D.C.: The Center for Strategic ＆ International Studies.
Cossa, Ralph A., Brad Glosserman, Michael A. McDevitt, et al. (2009), The United States and the Asia-Pacific Region: Security Strategy for the Obama Administration. Washington, D.C.: Center for a New American Security.
Desjardins, Marie-France (1997), Rethinking Confidence-Building Measures, ADELPI Paper, no.307. Oxford: Oxford University Press for IISS.
Dickens, David ed. (1997), No better Alternatives: Towards Comprehensive and Cooperative Security in Asia-Pacific. New Zealand: Centre for Strategic Studies.
Dutton, Peter A. (2010), “Charting the Course: Sino-American Naval Cooperation to Enhance Governance and Security,” in Andrew S. Erickson, Lyle J. Goldstein, and Nan Li, eds., China, the United States, and 21st Century Sea Power. Maryland: Naval Institute Press.
Eden, John G. (2008), New Maritime Strategy - A Chance for Greater Relevance. Carlisle Barracks, PA: U.S. Army War College.
Garver, John W. (1998), Face Off: China, the United States, and Taiwan’s Democratization. Washington: University of Washington Press.
Griffiths, David N. (2000), Maritime Aspects of Arms Control and Security Improvement in the Middle East, Policy Paper No.56. California: Institute on Global Conflict and Cooperation of the University of California.
Gurtov, Mel, and Byong-Moo Hwang (1998), China’s Security: New Roles of the Military. Boulder, Colo.: Lynne Rienner.
Hoffman, Frank (2008), From Preponderance to Partnership: American Maritime Power in the 21st Century. Washington, DC: Center for a New American Security.
Junnola, Jill R. ed. (1996), Maritime Confidence Building in Regions of Tension. Washington, DC: The Henry L. Stimson Center.
Kan, Shirley A. (2010), U.S.-China Military Contacts: Issues for Congress. Washington, D.C.: Congressional Research Service.
Krepon, Michael, Dominiqu M. McCoy, and Mattew C.J. Rudolph eds. (1998), A Handbook of Confidence-Building Measures for Regional Security. Washington D.C.: The Henry L. Stimson Center.
Macintosh, James (1996), Confidence Building in the Arms Control Process: A Transformation View, Arms Control and Disarmament Studies, no.2. Ottawa: Department of Foreign Affairs and International Trade.
Mahan, Alfred Thayer (1918), The Influence of Sea Power upon History. Boston: Little, Brown and Company Press.
Medeiros, Evan S., Keith Crane, Eric Heginbotham, et al. (2008), The responses of U.S. Allies and Security Partners in East Asia to China''s Rise. Santa Monica, CA: RAND Corporation.
Miller, Steven E., and Stephen Van Evera eds. (1988), Naval Strategy and National Security. New Jersey: Princeton University Press.
Office of the Secretary of Defense, Annual Report to Congress: Military and Security Developments Involving the People’s Republic of China 2010. Washington, D.C.: Office of the Secretary of Defense.
Pendharkar, Rajesh (2003), The Lahore Declaration and Beyond: Maritime Confidence-Building Measures in South Asia. Washington D.C.: The Henry L. Stimson Center.
Pillsbury, Michael ed. (1997), Chinese Views of Future Warfare. Washington, D.C.: National Defense University Press.
─── (2000), China Debates the Future Security Environment. Washington, D.C.: National Defense University.
Pollpeter, Kevin (2004), U.S.-China Security Management: Assessing the Military-to-Military Relationship. Santa Monica, CA: RAND Corporation.
Roughead, Gary, James Conway, and Thad Allen (2007), A Cooperative Strategy for 21st Century Seapower . Darby, PA: Diane Publishing.
Shambaugh, David (2003), Modernizing China''s Military: Progress, Problems and Prospects. California: California University Press.
Elizabeth Speed, Chinese Naval Power and East Asian Security, Working Paper No.11. Vancouver: Centre of International Relations.
O''rourke, Ronald (2008), China Naval Modernization: Implications for U.S. Navy Capabilities. New York: Nova Science Publishers.
Wallace, Michael D., and Charles A. Meconis (1995), New Powers, Old Patterns: Dangers of the Naval Buildup in the Asia Pacific Region. Vancouver, Canada: University of British Columbia.
Zalamea, Ulysses O. (1996), Eagles and Dragons at Sea: The Inevitable Strategic Collision between the United States and China. Washington D.C.: The Henry L. Stimson Center.

二、論文
Acharya, Amitv (2003), “Regional Institutions and Asian Seurity Order: Norms, Power, and Prospects for Peaceful Change,” in Asian Security Order: Instrumental and Normative Features, ed. Muthiah Alagappa. California: Stanford University Press.
Bateman, Sam (1996), “Asia-Pacific Maritime Confidence Building,” in Jill R. Junnola ed., Maritime Confidence Building in Regions of Tension. Washington, D.C.: The Henry L. Stimson Center.
─── (2005), “Hydrographic surveying in the EEZ: differences and overlaps with marine scientific research,” Maritme Policy, Vol.29, No.2, pp.163-174.
Campbell, Kurt, and Richard Weitz (2005), “The Limits of U.S.-China Military Cooperation: Lessons from 1995–1999,” The Washington Quarterly, Vol.29, No.1, pp.169-186.
Capie, David (2004), “Between A Hegemon and A Hard Place: The ‘War on Terror’ and Southeast Asian-U.S. Relations,” The Pacific Review, Vol.17, No.2, pp.223-248.
Cha, Victor D. (2010), “Powerplay: Origins of the U.S. Alliance System in Asia,” International Security, Vol.34, No.3, pp.158-196.
Chunlai, Shi (1999), “Preventive Diplomacy and the Asia-Pacific Region,” in Desmond Ball and Amitau Acharya, eds., The Next Stage: Preventive Diplomacy and Security Cooperation in the Asia-Pacific Region. Canberra: Australian National University.
Cole, Bernard D. (2007), “Beijing''s Strategy of Sea Denial,” China Brief, Vol.6, No.23, pp.2-4.
Collins, Gabriel and Michael Grubb (2009), “Strong Foundation: Contemporary Chinese Shipbuilding Prowess,” in Andrew S. Erickson, Lyle J. Goldstein and Carnes Lord, eds., China Goes to Sea: Maritime Transformation in Comparative Historical Perspective. Annapolis, MD: US Naval Institute Press.
Erickson, Andrew, Lyle Goldstein, and William Murray (2005), “‘Gate Crashing’: China’s Submarine Force Tests New Waters,” Chinese Military Update, Vol. 2, No. 7, pp.1-4.
Erickson, Andrew (2007), “New U.S. Maritime Strategy: Initial Chinese Responses,” China Security, Vol.3, No.4, pp.40-61.
Griffiths, David N. (2010), “Challenges in the Development of Military-to-Military Relationships,” in Andrew S. Erickson, Lyle J. Goldstein, and Nan li, eds., China the United States and 21st-century Sea Power. Annapolis, Maryland: Naval Institute Press.
Guan, Ang Cheng (2000), “The South China Sea Dispute Re-visited,” Australian Journal of International Affairs, Vol.54, No.2, pp.201-215.
Holmes, James (2011), “China’s Maritime Strategy Is More Than Naval Strategy,” China Brief, Vol.11, No.6, pp.10-13.
Holloway, Nigel (1995), “Closer Encounters: U.S., China Try to Avert the Hostile Kind,” Far Eastern Economic Review, Vol.158, No.15, pp.1-30.
Holst, John Jorgen (1983), “Confidence Building Measures: A Conceptual Framework,” Survival, Vol.25, No.1, pp.2-15.
Ji, Guoxing (2001), “Rough Waters in the South China Sea: Navigation Issues and Confidence-Building Measures,” The AsiaPacific Issues, No.53, pp.1-8.
Ji, You (1995), “A Test Case for China’s Defence and Foreign Policies,” Contemporary Southeast Asia, Vol.16, No.4, pp.375-403.

Jones, Peter (1996), “Maritime Confidence-Building Measures in the Middle East,” in Jill R. Junnola ed., Maritime Confidence Building in Regions of Tension. Washington, D.C.: The Henry L. Stimson Center, 1996.
─── (1996), “Maritime CBMs in the Asia-Pacific: the Application of the INCSEA Concept in the Region,” The Korean Journal of Defense Analysis, Vol.8, No.1, pp.7-36.
─── (2008), “Maritime Confidence-building in the Gulf,” Security & Terrorism Research Bulletin, No.8, pp.20-23.
Li, Tao (2005), “Confidence-Building Measure and Sino-US Military Maritime Consultative Agreement,” Chinese Public Affairs Quarterly, Vol.1, No,1, pp.8-22.
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Lord, Carnes (2009), “China and Maritime Transformations,” in Andrew S. Erickson, Lyle J. Goldstein and Carnes Lord, eds., China Goes to Sea: Maritime Transformation in Comparative Historical Perspective. Annapolis, MD: US Naval Institute Press.
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─── (1988), “A Quiet Success for Arms Control: Preventing Incidents at Sea,” in Steven E. Miller, and Stephen Van Evera eds., Naval Strategy and National Security. New Jersey: Princeton University Press.
─── (1988), “The Incident at Sea Agreement," in Alexander Dallin, Philip J. Farley, and Alexander L. George eds., US-Soviet Security Cooperation. New York: Oxford University Press.
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─── (2009), “The Reckless and the Resolute: Confrontation in the South China Sea,” China Security, Vol.5, No.2, pp.1-15.
─── (2007), “U.S.-PRC Maritime Cooperation: An Idea Whose Time Has Come? “ China Brief, Vol.7, No.12, pp.11-13.
Menon, K. R. (1996), “Maritime Confidence Building in South Asia,” in Jill R. Junnola ed., Maritime Confidence Building in Regions of Tension. Washington, D.C.: The Henry L. Stimson Center.
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Pugh, Michael (2000), “The Potential for Maritime Confidence-building and Peace-support Co-operation,” in John B. Hattendorf, ed., Naval Policy and Strategy in the Mediterranean: Past, Present and Future. London: Frank Cass & CO. Ltd.
Raymond, Catherine (2006), “Maritime Terrorism in Southeast Asia: A Risk Assessment,” Terrorism & Political Violence, Vol.18, No.2, pp.239-257.
Roy, Denny (1998), “Restructuring Foreign and Defense Policy: The People’s Republic of China,” in Anthony McGrew and Christopher Brook, eds., Asia-Pacific in the New World Order. London: Open University.
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Song, Yann-Hei (2005), “Declarations and Statements with Respect to the 1982 UNCLOS: Potential Legal Disputes between the United States and China after U.S. Accession to the Convention,” Ocean Development & International Law, No.36, pp.261-289.
Till, Geoffrey, (2008), “A Cooperative Strategy for 21st Century Seapower: What’s New? What’s next? A View from Outside,” Journal of Defense Studies, Vol.8, No.2, pp.240-57.
Weitz, Richard (2009), “Maritime Confrontation Highlights Troubled State of China-U.S. Defense Diplomacy,” China Brief, Vol.9, No. 9, pp.10-13.
─── (2006), “Persistent Barriers to Sino-American Military Dialogue,” China Brief, Vol.6, No.18, pp.6-7.
Wrikler, David F (1996), “US-Soviet Maritime Confidence-Building Measures,” in Jill R. Junnola ed., Maritime Confidence Building in Regions of Tension. Washington, DC: The Henry L. Stimson Center.

三、未出版論文
Ji, Guoxing (1994), “Maritime Confidence-Building Measures (CBMs) in Northeast Asia,” paper presented at Northeast Asia Cooperation Dialogue Meeting, Tokyo.

四、官方文書
Department for Disarmament Affairs, Report of the Secretary-General: The Naval Arms Race, New York, 1986.
Department of Political and Security Council Affairs, Report for the Secretary General: Comprehensive Study on Confidence-building Measures, New York, August 14, 1981.
Government of the Republic of Korea. Agreement between the Government of the Republic of Korea and the Government of the Russian Federation concerning the Prevention of Incidents at Sea Beyond the Territorial Sea, Moscow, June 2, 1994.
Willard, Robert F.. Statement Before the House Armed Services Committee, January 13, 2010.
United Nations. United Nations Convention on the Law of the Sea, December 10, 1982.
U.S. Department of Defense. Agreement between the Government of the United States of America and the Government of the Union of Soviet Socialist Republic on the Prevention of Incidents on and over the High Seas, Moscow, May 25, 1972.
───. Agreement between the Department of Defense of the United States of America and the Ministry of National Defense of the People''s Republic of China on Establishing a Consultation Mechanism to Strengthen Military Maritime Safety, Beijing, January 19, 1998.
───. America''s Asia-Pacific Security Strategy. Remarks by Secretary of Defense William S. Cohen before the Institute of Defense and Strategic Studies, Singapore, January 15, 1998
───. Secretary of Defense Donald H. Rumsfeld Briefs on EP-3 Collision, April 13th, 2001.

五、網路資料來源
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The Brookings Insittution. http://www.brookings.edu/
The Heritage Foundation. http://www.heritage.org/
The Henry L. Stimson Center. http://www.stimson.org/
The Hoover Institution. http://www.hoover.org
The International Institute for Strategic Studies. http://www.iiss.org/
The National Bureau of Asian Research. http://www.nbr.org/
The New York Times. http://www.nytimes.com/
The Washington Quarterly. http://www.twq.com/
The White House. http://www.whitehouse.org/
United Nations. http://www.un.org/
Yale Global Online. http://yaleglobal.yale.edu/index.jsp