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研究生:洪瑋辰
研究生(外文):Wei-Chen Hung
論文名稱:烏克蘭危機與歐洲中立國的安全策略選擇
論文名稱(外文):The Ukraine Crisis and the Security Strategies of European Neutral Countries
指導教授:楊三億楊三億引用關係
指導教授(外文):San- Yi, Yang
口試委員:邱昭憲林子立
口試日期:2017-06-22
學位類別:碩士
校院名稱:國立中興大學
系所名稱:國際政治研究所
學門:社會及行為科學學門
學類:政治學類
論文種類:學術論文
論文出版年:2017
畢業學年度:105
語文別:中文
論文頁數:159
中文關鍵詞:歐洲中立國俄羅斯烏克蘭危機瑞士奧地利芬蘭
外文關鍵詞:European Neautral CountriesRussiathe Uraine CrisisSwitzerlandAustriaFinland
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國際關係研究中,研究對象多以大國或強權間的互動發展反映國際體系,中小型國家在國際體系中影響力較小,對於安全策略的選擇經常受大國影響,從而選擇抗衡或扈從做為其主要的安全策略。然而,隨著歐洲歷經多次大戰、冷戰、後冷戰與區域整合的發展下,歐洲中小型國家除了抗衡與扈從的安全策略外,亦有選擇以中立地位維護自我國家利益者,也因此在歐洲地區產生了五個中立國家,而本文個案將聚焦於瑞士、奧地利與芬蘭。
2014年烏克蘭危機發生後,重重影響歐俄地區的發展,可能產生歐洲地區的能源供應危機,在雙方制裁與反制裁的來往下,經濟貿易也有所損失,更重要的是俄羅斯的軍事侵略行動撼動歐洲地區的軍事安全。儘管在歐洲地區的中立國不希望在歐俄之間選邊站,但由於中立國瑞士、奧地利與芬蘭身處歐洲地區,且奧地利與芬蘭又屬歐盟會員國,因此三個國家對於歐盟經濟制裁以及北約軍事行動等議題具有密切關聯,於是對於烏克蘭危機的回應備受國際社會高度關注。
因此本文利用外交層次、軍事層次、制裁層次和誘因層次等外交政策手段,來檢視瑞士、奧地利與芬蘭在烏克蘭危機後如何反應與回應?藉此探析外生因素以及內生因素對歐洲中立國中立外交政策的影響,究竟在面對相同國際重大事件時,外生因素與內生因素何者為主要影響力,何者為間接影響力?
In the study of international relations, it is considered that the interaction between the great powers contructs the international system significantly, and the small and medium- sized countries can simply choose “balancing” or “bandwagaoning” as their security strategy. However, with the development of Europe after several wars and conflicts, there are five countries choosing to be a neutral country to maintain its national interest. Among these five, this article will focus on especially Switzerland, Austria and Finland.
 The Ukrainian crisis in 2014 has put great influence on the relations between Europe and Russia, such as the energy supply crisis in Europe, and economic impact both in Europe and Russia. Most important of all, Russia''s annexation of Crimea has intensified the reginal security again after the Cold War. As known as neutral countries, Switzerland, Austria and Finland have drawn greatest attention worldwide because of the close ties with EU and NATO. Therefore, in this article the foreign policy of Switzerland, Austria and Finland are viewed via diplomacy level, military level, snactions level and incnetives level to analyze how these three neutral countries face and respond to the Ukraine crisis, and to find how exogenous factors and endogenous factors have an impact on the neutral foreign policy.
第一章 緒論 1
第一節 研究動機與目的 1
第二節 文獻回顧 4
第三節 研究假設 16
第四節 研究方法與途徑 17
第五節 研究途徑 19
第六節 研究架構與章節安排 22
第七節 研究範圍與限制 24
第二章 中立國起源與歷史發展 26
第一節 中立概念與原則的起源與發展 26
第二節 史上最早的永久中立國—瑞士 34
第三節 強權協商下的中立國—奧地利 41
第四節 面臨威脅宣誓中立的中立國—芬蘭 49
第五節 小結 56
第三章 烏克蘭危機與歐洲安全 59
第一節 烏克蘭危機的歷史發展 59
第二節 缺乏實質功效的國際斡旋 68
第三節 烏克蘭危機:強權競爭下的歐洲安全 73
第四節 小結 84
第四章 烏克蘭危機與歐洲中立國 86
第一節 烏克蘭危機對歐洲中立國之影響 86
第二節 瑞士對烏克蘭危機的反應 99
第三節 奧地利對烏克蘭危機的反應 108
第四節 芬蘭對烏克蘭危機的反應 119
第五節 小結 127
第五章 結論 130
第一節 研究發現 130
第二節 未來研究建議 136
參考書目 139
一、中文部分
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林麗容,《瑞士文化史研究》,2008 年,台北:五南圖書。
金成進,林侑毅譯,〈建立歐洲強小國的人們〉,《天下雜誌》,2011 年。
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(二)期刊論文
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巨克毅、李玫憲,〈國際關係折衷主義研究途徑的新思維:中東歐區域安全個案分析〉,《全球政治評論》,39期,2012年7月。
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林泰和,〈烏克蘭危機的啟示〉,《全球政治評論》,中興大學,第46期,2014年。
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(三)政府文件
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(四)新聞資料
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二、西文部分
(一)書籍
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(二)期刊論文
Agius, Christine, and Devine, Karen. 2011. “‘Neutrality: A Really Dead Concept?’ A Reprise.” Cooperation and Conflict, Vol. 46, No. 3.
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Kristi Raik, Mika Aaltola, Katri Pynnöniemi, Charly Salonius-Pasternak. 2015. “Pushed together by external forces? The foreign and security policies of Estonia and Finland in the context of the Ukraine crisis.” The Finnish Institute of International Affairs.
Kubicek, Paul J. 2003. “Finland,” in James R. Millar, ed. Encyclopedia of Russian History, Vol. 2. New York: Macmillan Reference.
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(三)官方文件
1. 瑞士
“Bilateral relations Switzerland–Russia,” Federal Department of Foreign Affairs website.(https://www.fdfa.admin.ch/eda/en/home/representations-and-travel-advice/russia/switzerland-russia.html)
“Energy Statistics Report- Switzerland,” Market Intelligence Group, June 2016. (http://energymarketprice.com/products/access_SwitzerlandEnergyStatistics.pdf)
“Federal Council addresses the situation in Ukraine,” Federal Department of Foreign Affairs Media release, Mar. 26, 2014. (https://www.eda.admin.ch/eda/en/home/news/news-fdfa.html/content/eda/en/meta/news/2014/4/2/52530)
“Non-renewable energy,” Discover Switzerland Website. (https://www.eda.admin.ch/aboutswitzerland/en/home.html)
“Studie– Sicherheit 2017,” Swiss Army, May. 26, 2017. (http://www.vtg.admin.ch/de/armee.detail.news.html/verwaltung/2017/17-05/milak---studie--sicherheit-2017---optimistische-zukunftseinschae.html)
2. 奧地利
“Final energy consumption 2005 to 2015 by fuels and useful energy categories for Austria,” Statistics Austria. (http://www.statistik.at/wcm/idc/idcplg?IdcService=GET_NATIVE_FILE&RevisionSelectionMethod=LatestReleased&dDocName=042509)
“Press Release – Ukrainian election result constitutes important step towards stabilising Ukraine,” Ministry of Foreign Federal Ministry for Europe, Integration and Foreign Affairs, Vienna, May. 26, 2014. (https://www.bmeia.gv.at/en/the-ministry/press/announcements/2014/ukrainian-election-result-constitutes-important-step-towards-stabilising-ukraine/)
Austria Energy Policy, Laws and Regulation Handbook, International Business Publications, USA, Aug. 12, 2015.
Bilateral economic relations with Eastern Europe, Austria Federal Ministry of Science, Research and Economy Official website. (https://www.en.bmwfw.gv.at/ExternalTrade/Austrias_economic_relations/Seiten/Bilateral-economic-relations-with-Eastern-Europe.aspx)
Translation by Orig. German, “Resolution by the Austrian Parliament- Security and Defence Doctrine,” Vienna, Dec. 21, 2001. (https://www.bka.gv.at/DocView.axd?CobId=3604)
3. 芬蘭
“ NATO''s Partnership for Peace programme,” on website The Finnish Defense Forces(http://puolustusvoimat.fi/en/international-activities/natos-partnership-for-peace-programme)
“Fifteen years of Partnership for Peace with NATO,” Ministry of Foreign Affairs of Finland, May. 11, 2009. (http://formin.finland.fi/public/default.aspx?contentid=179805&)
“figure:Finns'' opinions on Foreign and Security Policy, Defence and Security issues,” Advisory Board of Defence Information, Ministry of Defence of Finland.
“Finnish-Russian Intergovernmental Commission for Economic Cooperation meets in Moscow,” Ministry of Foreign Affairs of Finland, Press Releases, Nov. 21, 2016. (http://formin.finland.fi/public/default.aspx?contentId=354537&nodeId=49150&contentlan=2&culture=en-US)
“President Niinistö to meet President Putin in Sochi: Open dialogue is crucial,” 15/Aug/2014, The President of the Republic of Finland. (http://www.tpk.fi/public/default.aspx?contentid=310787&nodeid=44809&contentlan=2&culture=en-US)
“President of the Republic and the Cabinet Committee on Foreign and Security Policy discussed the situation in Ukraine,” Government Communications Department Press Release 137/2014, Apr. 3, 2014. (http://www.tpk.fi/public/default.aspx?contentid=322797&nodeid=44809&contentlan=2&culture=en-US)
Division of Defence Spending, The Ministry of Defense of Finland. (http://www.defmin.fi/en/tasks_and_activities/resources_of_the_defence_administration/finances/division_of_defence_spending)
Kekkonon, Urho. 1943. “Good Neighbourliness with the ‘Hereditary Enemy.’” Speech delivered at a meeting organized by the Swedish Agrarian Union, Stockholm, December 7.
Siera Antii, 2007. “Effect of Finland’s Possible Membership.” (http://formin.finland.fi/public/default.aspx?contentid=345685)
Soini, Timo. 2016.“The assessment of the effects of Finland''s possible NATO membership,” Minister for Foreign Affairs of Finland.
Statistics Finland, preliminary information 2015. (http://www.stat.fi/til/ene_en.html)
4. NATO
“Collective defence - Article 5.” (http://www.nato.int/cps/cn/natohq/topics_110496.htm)
“Host Nation Support Agreement signed,” Sep. 9, 2014, Mission of Sweden to NATO. (http://www.swedenabroad.com/Pages/StandardPage.aspx?id=79059&epslanguage=en-GB)
“NATO Exercises 2016.” (https://www.shape.nato.int/systems/file_download.ashx?pg=14878&ver=19)
“NATO Wales Summit 2014.” Newsroom. (http://www.nato.int/cps/en/natohq/events_112136.htm)
“North Atlantic Treaty Organization, Key NATO & Allied Exercises in 2015, 2016, 2017.”
5. OSCE
“Helsinki Final Act,” Organization for Security and Co-operation in Europe, Aug. 1, 1975. (http://www.osce.org/helsinki-final-act?download=true)
6. EU
“EU restrictive measures in response to the crisis in Ukraine,” European Council. (http://www.consilium.europa.eu/en/policies/sanctions/ukraine-crisis/)
“EU sanctions against Russia over Ukraine crisis,” European Union. (http://europa.eu/newsroom/highlights/special-coverage/eu-sanctions-against-russia-over-ukraine-crisis_en)
“European Commission, Trade: Market Access Database.” (http://madb.europa.eu/madb/statistical_form.htm)
“Russia- Trade Statistics, European Commission,” Feb. 22, 2017. (http://trade.ec.europa.eu/doclib/docs/2006/september/tradoc_113440.pdf)
7. UN
“Report of the United Nations Commission on International Law”, Vol. 2,1966.
“Report of the United Nations Commission on International Law to the General Assembly,” Vol.2, 1964.
(四)新聞資料
“Austria Cautions EU on More Russia Sanctions,” The Moscow Times, Dec 21, 2014. (https://themoscowtimes.com/articles/austria-cautions-eu-on-more-russia-sanctions-42481)
“Austria invites Putin to mark 50th anniversary of cooperation with Gazprom,” Construction.RU, Apr. 28, 2017. (http://russianconstruction.com/news-1/27398-austria-invites-putin-to-mark-50th-anniversary-of-cooperation-with-gazprom.html)
“Envoy reports stability in Ukraine,” Swissinfo.ch, Apr. 10, 2014. (http://www.swissinfo.ch/eng/osce-mission_envoy-reports-stability-in-ukraine/38353248); Stefan Lehne, “Reviving the OSCE: European Security and the Ukraine Crisis,” Carnegie Europe, Sep. 22, 2015.
“EU extends travel bans, asset freezes on Russia,” Rueters, Sep. 7, 2016. (http://www.reuters.com/article/us-ukraine-crisis-russia-eu-sanctions-idUSKCN11D17H)
“Kurz to push for easing of sanctions against Russia,” The Local.at, Dec. 30, 2016. (https://www.thelocal.at/20161230/kurz-to-push-for-easing-of-sanctions-against-russia)
“Kurz: EU Muss Trotz Ukraine-Krise Kontakt Zu Russland Aufrechthalten,” Ots.at, Dec. 10, 2015. (https://www.ots.at/presseaussendung/OTS_20151210_OTS0344/kurz-eu-muss-trotz-ukraine-krise-kontakt-zurussland-aufrechthalten)
“Nationalrat: Österreich Soll Die Vereinten Nationen Weiterhin Aktiv Unterstützen,” Ots.at, Jun. 15, 2016. (https://www.ots.at/presseaussendung/OTS_20160615_OTS0274/nationalrat-oesterreich-soll-die-vereinten-nationenweiterhin-aktiv-unterstuetzen.)
“NATO chief visits neutral Switzerland,” Swissinfo.ch, Mar. 2, 2017. (http://www.swissinfo.ch/eng/security-in-europe_neutral-switzerland-and-the-nato-dilemma/42997718)
“Putin signals compromises after Burkhalter meeting,” Swissinfo.ch, May 7, 2014. (http://www.swissinfo.ch/eng/ukraine-crisis_putin-signals-compromises-after-burkhalter-meeting/38536674)
“Putin signs laws on reunification of Republic of Crimea and Sevastopol with Russia,” Mar. 21, 2014. (http://tass.com/russia/724785)
“Rosatom buys into Fennovoima,”, World Nuclear News, Mar. 28, 2014. (http://www.world-nuclear-news.org/C-Rosatom-buys-into-Fennovoima-2803144.html)
“Russian food embargo leaves Europe with glut of fruit, pork and mackerel,” The Guardian, Aug. 15, 2014.
“Russische Botschaft Wien: Kurze Jahresbilanz 2015,” Ots.at, Dec. 29, 2015. (https://www.ots.at/presseaussendung/OTS_20151229_OTS0015/russische-botschaft-wien-kurze-jahresbilanz-2015)
“Sanctions tit-for-tat: Moscow strikes back against US officials,” RT News, Mar. 20, 2014. (https://on.rt.com/3gqmtk)
“Sebastian Kurz: Economic sanctions against Russia can be lifted at any time,” Interfax.com, Jan. 19, 2017. (http://www.interfax.com/interview.asp?id=728423)
“Social Democrats oppose sanctions against Russia,” Swissinfo.ch, Mar. 23, 2014. (http://www.swissinfo.ch/eng/crimea_social-democrats-oppose-sanctions-against-russia/38222912)
“Stronach/Lintl: Kurswechsel in Österreichs Ukraine/Russland Politik Gefordert,” Ots.at, May 31, 2015. (https://www.ots.at/presseaussendung/OTS_20150531_OTS0022/stronachlintl-kurswechsel-in-oesterreichsukrainerussland-politik-gefordert.)
“Swiss feel safe in their homeland,” Swissinfo.ch, May 29, 2015. (http://www.swissinfo.ch/eng/beliefs-unshaken_swiss-feel-safe-in-their-homeland/41459290)
“Switzerland adopts stricter measures on Russia,” Swissinfo.ch, Aug. 28, 2014. (http://www.swissinfo.ch/eng/foreign-trade_switzerland-adopts-stricter-measures-on-russia/40575972)
“U.S. says Russia must pull convoy from Ukraine or face more sanctions,” Reuters, Aug. 22, 2014. (http://www.reuters.com/article/us-ukraine-crisis-aid-convoy-idUSKBN0GM0IS20140822)
“Ukraine ceasefire ''agreed for east of country'' at Minsk peace talks,” The Guardian, Sep. 5, 2014. (https://www.theguardian.com/world/2014/sep/05/ukraine-ceasefire-east-minsk-peace-talks)
“Ukraine: UN report shows rising civilian deaths, ongoing rights abuses,” UN News Centre, Aug. 29, 2014.(http://www.un.org/apps/news/story.asp?NewsID=48588#.WQK3t4mGMVx)
“Umfrage: Mehrheit Dafür, Dass Heimische Politiker Putin Empfangen,” Profil.at, Jun. 21, 2014. (https://www.profil.at/oesterreich/wien-oesterreich-umfrage-mehrheit-politiker-putin-376150)
“Umfrage: Mehrheit Gegen Schärfere Russland-Sanktionen,” Profil.at, Sep. 13, 2014. (https://www.profil.at/oesterreich/umfrage-mehrheit-russland-sanktionen-377957)
“Umfrage: Russland Hat Bei 70% Der Österreicher Schlechten Ruf,” Profil.at, Apr. 5, 2014. (https://www.profil.at/oesterreich/umfrage-russland-70-oesterreicher-ruf-374069)
“Werner Faymann offers Vienna as a place for Ukraine negotiations,” The VIENNA.AT, Mar. 21, 2014. (http://www.vienna.at/werner-faymann-bietet-wien-als-ort-fuer-ukraine-verhandlungen-an/3901368)
“Western food imports off the menu as Russia hits back over Ukraine sanctions,” The Guardian, Aug. 7, 2014
“Yle survey: Russian-Finnish relations significantly weakened by Ukraine crisis,” Jan. 4, 2015. (http://yle.fi/uutiset/osasto/news/yle_survey_russian-finnish_relations_significantly_weakened_by_ukraine_crisis/7719508)
“Zum Offiziellen Besuch Des Bundespräsidenten Der Republik Österreich, S.E. Dr. Heinz Fischer, in Russland Am 5. Und 6. April 2016,” Ots.at, Apr. 5, 2016. (https://www.ots.at/presseaussendung/OTS_20160405_OTS0066/zumoffiziellen-besuch-des-bundespraesidenten-der-republik-oesterreich-se-dr-heinz-fischer-in-russland-am-5-und-6-april-2016.)
Broga, Dominykas. “Austria-Russia gas deal exposes EU disunity over Ukraine,” Global Risk Insights, May 20, 2014. (http://globalriskinsights.com/2014/05/austria-russia-gas-deal-exposes-eu-disunity-over-ukraine/)
Gallsept, Carlotta. “Despite Cease-Fire, Fighting Escalates in Eastern Ukraine City,” The New York Times, Sep. 14, 2014.
Geiser, Urs. “Foreign ministry wins praise for OSCE chair,” Swissinfo.ch, Dec. 2, 2014. (http://www.swissinfo.ch/eng/peacekeeping_foreign-ministry-wins-praise-for-osce-chair/41126752)
Gorka, Alex. “Going against the Anti-Russian EU Sanctions Regime: Austria Wants Closer Relationship With Russia,” Global Research, Apr. 07, 2016. (http://www.globalresearch.ca/going-against-the-anti-russian-eu-sanctions-regime-austria-wants-closer-relationship-with-russia/5519148)
Groendahl, Andrew and Tirone, Jonathan, “Austria Calls for Russian Sanctions Rethink to Bring Progress,” Feb. 23, 2017. (https://www.bloomberg.com/politics/articles/2017-02-23/austria-calls-for-russian-sanctions-rethink-to-bring-progress)
Lehne, Stefan. “Reviving the OSCE: European Security and the Ukraine Crisis,” Carnegie Europe, Sep. 22, 2015.
Mayer, Thomas. “Letter From Vienna,” The Carnegie Endowment, Apr. 03, 2015. (http://carnegieeurope.eu/strategiceurope/59636?lang=en)
Riley, Alan. “Sapping Europe''s Energy Security,” The New York Times, May 27, 2014. (https://cn.nytimes.com/opinion/20140527/c27riley/en-us/)
Siegenthaler, Peter. “Swiss stance on Russia sanctions divides opinions,” Swissinfo.ch, Aug. 26, 2014. (http://www.swissinfo.ch/eng/eu-and-ukraine_swiss-stance-on-russia-sanctions-divides-opinions/40571478)
Translated by Sam Morgan, “Austrian neutrality complicates future role in security policy,” EURACTIV.de, Mar. 30, 2017. (https://www.euractiv.com/section/politics/news/austrian-neutrality-complicates-future-role-in-security-policy/)
Translated from German by Werner Schrimpf in German Economic News, “Data Shows Austria Took a Major Hit From Russia Sanctions,” Dec. 19, 2015. (http://russia-insider.com/en/actual-data-prove-sanctions-against-russia-are-disastrous-austria/ri12052)
Wilson, Nigel. “Austria Backs EU Sanctions and Accuses Russia of ''Deception'' in Ukraine,” International Business Times, Sep. 2, 2014. (http://www.ibtimes.co.uk/austria-backs-eu-sanctions-accuses-russia-deception-ukraine-1463612)
(五)網路資料
“Economic Relations,” SECO - State Secretariat for Economic Affairs, Mar. 7, 2017. (https://www.seco.admin.ch/dam/seco/en/dokumente/Aussenwirtschaft/Wirtschaftsbeziehungen/L%C3%A4nderinformationen/Europa_Zentralasien/Russland.pdf.download.pdf/Russland.pdf)
“Finland-Estonia gas pipeline advances,” Oil and Gas Journal, Oct. 26, 2016. (http://www.ogj.com/articles/2016/10/finland-estonia-gas-pipeline-advances.html)
“Is Neutrality a Solution for Ukraine?” Euromaiden Press, Jan. 20, 2017. (http://euromaidanpress.com/2017/01/20/is-neutrality-a-solution-for-ukraine/)
“Main Outlines of Finnish History,” Finland Promotion Board, 2005.
“Military expenditure by country as a share of GDP, SIPRI Military Expenditure Database,” SIPRI 2017. (https://www.sipri.org/databases/milex)
“The Austrian Defense Industry - Market Attractiveness and Emerging Opportunities to 2020: Market Profile,” Strategic Defence Intelligence, Nov., 2015. (https://store.strategicdefenceintelligence.com/report/df2194mp--the-austrian-defense-industry-market-attractiveness-and-emerging-opportunities-to-2020-market-profile/#save-report)
Finland – Energy, International Trade Administration Trade (ITA) Website. (https://www.export.gov/article?id=Finland-Energy)
OEC: The Observatory of Economic Complexity (http://atlas.media.mit.edu/en/)
SECO - State Secretariat for Economic Affairs (https://www.seco.admin.ch/dam/seco/en/dokumente/Aussenwirtschaft/Wirtschaftsbeziehungen/L%C3%A4nderinformationen/Europa_Zentralasien/Russland.pdf.download.pdf/Russland.pdf)
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