1. 研究课题（中文）：

课题名称：防扩散领域中的中美关系

（1）提出问题

2001年美国“9·11”事件后，防止恐怖主义分子获得大规模杀伤性武器成为各国维护世界安全的共识，中美两国也进一步加强了在防扩散领域的合作。中国外交部军控司刘结一司长在2002年11月14日卡内基国际防扩散会议的午餐会上，发表题为《加强团结合作 共同应对挑战——国际防扩散展望与中国的政策》的讲话，认为防扩散合作将成为中美关系的一个亮点。然而，几年后，2005年3月10日，美国国务院负责军备控制事务的助理国务卿斯蒂芬·拉德梅克在美中经济与安全审议委员会举行的听证会上表示，“中国仍在从事不可接受的扩散活动。”那么，面对这相矛盾的两种说法，到底中美两国在防扩散领域的关系如何？双方还存在哪些分歧？这些分歧又在多大程度上影响到了中美关系？双方合作的前景如何？这些都是本课题将要讨论的问题。

 

（2）研究背景

第二次世界大战中，核武器作为一种大规模杀伤性武器被首次使用。第一颗原子弹爆炸所产生的巨大杀伤力和破坏力引起了人们极大的震惊和恐惧，此后，反对核军备竞赛的升级以及试验、使用、扩散核武器就自然而然地成为人类社会一直追求的坚定目标和共同关心的全球性的问题。但是，由于核武器涉及到国家的安全利益、外交战略和地缘政治环境，又同国家地位、民族感情、经济利益和科学技术的发展水平等交织在一起，因此，一直以来总有一些国家想方设法试图跨入核国家的行列。在扩散与防扩散的较量过程中，受冷战影响，中国最初在防止核扩散领域并不象美国那样积极，甚至彼此产生过一些摩擦。但是，随着中国逐渐融入国际社会，防扩散也成为了中国的基本国际政策。

在防扩散领域，中美关系大致划分为三个时期：1949年到1991年为第一个时期。这一时期中，国际军控与防扩散谈判主要在美苏之间展开，中美在该领域的互动则主要表现为美国对中国的核威慑。美国多次试图阻碍中国核战略力量的发展，并对中国实施了严厉的出口控制，但由于中美核力量的悬殊，防扩散问题并没有成为影响中美关系发展的重要因素。1991年到2001年为第二个时期。这一时期中，中美在防扩散领域主要处于摩擦和磨合状态。随着冷战结束后国际格局的结构性变化和美国的军控战略调整，中国成为美国的主要关注点，并在防扩散领域出现了不少摩擦。但是，也是在这一时期中，中国逐步融入到国际军控与不扩散机制中，成为维护多边军控和不扩散机制的重要力量之一。2001年“9?11”事件后至今为第三个时期。这一时期中，军控和不扩散问题已经基本成为促进中美关系发展的积极因素，两国的合作日益增多。中国出台了一系列防扩散的文件、法规，积极参与到核不扩散的事业当中。

关于中美防扩散关系发展变化的原因，清华大学的周宝根认为主要是由于中国的自我核身份认同发生了变化，由特殊核国家（第三世界的代言人）转变为了普通核国家。[1]当然更多观点是认为美国受到“9·11”恐怖袭击的打击后，其主要防范的对象由可能构成挑战的大国转向了与恐怖活动有关的组织和国家，美国需要中国加入到其反恐阵线中。

当然这两方面的解释都有其合理之处，但作者认为中美在防扩散领域里的关系需要放到中美关系的整体视角下看，换句话说，是中美关系的整体调整决定了军控和防扩散领域的关系改善，而不是相反。美国助理国务卿佐利克的讲话称中国是利益相关者，这被认为是中美关系的一个具有战略意义的转变。佐利克的讲话一方面是开启了一个新时代，另一方面也是对过去的一个总结。中美两国在防扩散领域具有共同利益，这才是两国合作愈加密切的主要原因。

但是，虽然双方在核不扩散领域有了前所未有的合作，由于中美两国的核地位以及国际地位的差异，双方在不扩散的诸多方面仍然存有利益分歧，在一些问题上也不能达成一致意见。在新出现的朝核问题以及伊朗核问题等方面，双方的立场仍保持着一定的距离。

 

（3）课题内容

本课题计划分为四部分：第一部分为中美在防扩散领域内关系的发展；第二部分为中国防扩散政策调整的背景和原因；第三部分为美国防扩散政策调整的背景和原因；第四部分为两国继续合作的前景展望。

 

2. Research Proposal:

注：为便于国际问题研究所委员会中的美方成员更深刻地了解您的研究内容，请用英文详细地陈述一下您的研究课题。

I Title of the research and its focus

Research Title: Sino-US relationship on Non-proliferation

This project aims to discuss with the relationship between Beijing and Washington in non-proliferation field. After the “9.11”, it is well accepted by most countries that preventing terrorists from getting the weapons of mass destruction (WMD) is necessary for global security, and then China and America increased cooperation on non-proliferation issues. On November 14, 2002, LIU Jieyi, the former Director-General of Department of Disarmament and Arms Control of China mentioned that the cooperation between China and America on non-proliferation issues would be a bright part of Sino-US relationship when he gave a lunch speech in Carnegie International Non-proliferation Conference. While after years, on March 10, 2005, Stephen G. Rademaker, assistant Secretary of State who is responsible for arms control issues gave witness in the hearing of US-China Economic and Security Review Commission (USCC) that “China is taking unacceptable actions on proliferation.” [2] So there comes series of questions: how to review the situation of the non-proliferation relation between China and America? And what are the differences? What influence did the differences have on Sino-US relation? What’s the prospect in this field? This project will focus to answer these questions.

 

II Research Background

During the Second World War, nuclear weapon was firstly produced, as well as used by American. The huge damage power of nuclear bomb explosion shocked the world strongly. Although opposing the use, proliferation, test and upgrading of nuclear weapons pose a grand stream of human society, there always are some countries pursue nuclear weapon as some kind of strategic power since nuclear power involves many fields of a country, such as security interest, diplomatic strategy, national position, nation affection, economic benefit and scientific technology development. With the process of competition of proliferation and non-proliferation, affected by the Cold War, Beijing didn’t always support the non-proliferation policy of US till China is involved much in international community. Now, arms control and non-proliferation policy has been a kind of based national policy of China.

 

The history of Sino-US relationship is divided into 3 period based on non-proliferation issues: From 1949 to 1991 is the first period. In this period, US and Soviet Union organized most international arms control and non-proliferation negotiations, and stronger deterrence capability was the major goal of the two countries to join such negotiations. Since China belonged to the East Camp, US attempted to prevent China from developing strategic nuclear strength through conducting stern control on export to China. Because China’s nuclear power was too weak at that time, arms control and non-proliferation issues were not worthy to be talked about in Sino-US relations. From 1991 to 2001 is the second period. In this period, conflict on arms control issues increased, as well as cooperation. After Soviet Union disintegration, China became the focus of US containment, which unavoidably led to more conflict. At the same time, China blended into international non-proliferation system step by step, as well as transformed to be an important role in maintaining multilateral arms control and nonproliferation system. Up to the present from “9.11” of 2001 is the third period. In this period, non-proliferation issues became positive factors that promoted Sino-US relationship since the two countries had common interest in preventing the spread of WMD.

 

As for the reason of the change of Sino-US relationship in non-proliferation field, ZHOU Baogen, a researcher of Tsinghua University argued that the self-identity of Chinese nuclear power change leads to the relation change, because China called itself a special nuclear power which represent the third world when it get nuclear capacity at 1960s. But now China has developed to a common nuclear power.[3]Of course, more arguments think that America transformed its strategic goal from China to some organization and countries related to terrorism result to the change after the “9.11”.

 

Both of the two explanations are reasonable, while the author think that the relation of proliferation should be reviewed in the whole framework of Sino-US relationship. In other word, it is the adjustment of Sino-US relationship results in the improvement of non-proliferation relation. Common interest in non-proliferation is the real foot to close cooperation, and Deputy Secretary Zoellick called China “stakeholder” is a proof. On the other side, because of the difference of nuclear capacity and international position, the two sides also have divergence on some issues, such as North Korea nuclear crisis and Iran nuclear issue.

 

III Research plan

This project will bring to a paper as production. The paper will include four parts. The first part is about the development of non-proliferation relation of China and America. The second part is about the background and reason of the adjustment of Chinese non-proliferation policy. The third part is about the background and reason of the adjustment of American non-proliferation policy. The fourth part is about the prospect of cooperation of the two sides.