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中文論文名稱 美國發表《中國白皮書》之決策過程
英文論文名稱 The Decision Making Process of China White Paper
校院名稱 淡江大學
系所名稱(中) 美國研究所碩士班
系所名稱(英) Graduate Institute of American Studies
學年度 97
學期 2
出版年 98
研究生中文姓名 賴亞欣
研究生英文姓名 Ya-Shin Lai
學號 695250034
學位類別 碩士
語文別 中文
口試日期 2009-06-19
論文頁數 138頁
口試委員 指導教授-陳一新
委員-包宗和
委員-蔡瑋
中文關鍵字 中國白皮書  決策理論  艾奇遜  中國幫  美中關係  杜魯門 
英文關鍵字 China White Paper  Decision-making theory  Dean Acheson  China bloc  United States Relations with China  Harry Truman 
學科別分類 學科別社會科學區域研究
中文摘要 1949年8月5日,美國政府發表通稱《中國白皮書》之《美國與中國關係1944-1949》。白皮書將「失去中國」的責任歸咎於蔣介石政府的腐敗與不得民心,並指出儘管國民政府獲得美國大量的軍事與經濟援助,國府仍輸掉了中國大陸。杜魯門總統在8月4日的記者會上表示,發表白皮書的目的是要確保中國政策在民眾知悉美中關係的前提下做出。杜魯門總統指出,美國政府在美中關係中的角色受到許多誤傳、扭曲與誤解。這些誤會的產生,正是因為政府不願對外公開美中關係的實情。所以,唯有對外公開美中關係,才能使民眾與國會議員知悉美中關係的實情,作為遠東外交政策制定的基礎。
本論文以艾里遜所提出的三種決策模式,即理性行為模式、組織行為模式以及政府政治模式作為理論架構。希望藉由三種決策模式的引導,更清楚地呈現美國發表中國白皮書的決策過程。經過理性行為模式之分析,本論文發現,美國政府為同時達到說服國會和民眾接受與國府劃清界線的政策,以及避免行政部門與國會在中國議題上的對立波及歐洲軍事援助計畫,所以決心儘快發表白皮書。經過組織行為模式之分析,本論文發現,由於白皮書團隊受到組織文化與組織次文化的影響,以及轉呈信受到組織標準作業程序的影響,所以中國白皮書的執行成果無法達到當初公正客觀的預期。經過政府政治模式的分析,本論文發現,國務卿艾奇遜受惠於杜魯門的決策風格、與杜魯門單獨會面的管道以及與杜魯門良好的私人關係,所以享有許多議價優勢。這些優勢使艾奇遜在白皮書一事上,不需與其他參與者妥協便能爭取到杜魯門總統的支持。
經過以上三種決策模式的分析,本論文可以更完整地解釋美國政府發表中國白皮書的決策過程。白皮書「必須」對外發表,是因為行政部門相信唯有如此,才能取得國會與民眾對對華政策的支持。白皮書要「儘快」發表,是因為行政部門希望避免中國議題的對立波及歐洲軍事援助計畫。而白皮書最後「能夠」對外發表,是因為艾奇遜善用議價優勢,取得杜魯門的支持。至於白皮書為何在「8月5日」發表,則是因為艾奇遜必須顧及底下官員的質疑,等到司徒雷登大使離華之後才對外發表。而白皮書「未能達到」預期的目標,就是因為白皮書之編寫過程受到組織文化與標準作業程序的影響,無法既公正又客觀地分析事實。
英文摘要 United States government issued United States Relations with China with Special Reference to the Period 1944-1949, commonly known as China White Paper, on August 5, 1949. The China White Paper placed the responsibility of loss of China on the corrupt and unpopular government of Chiang Kai-Shek, emphasizing that the Nationalists lost the mainland even though they received enormous American military and economic aid. On the press conference of August 4, President Truman indicated that the purpose in releasing the China White Paper is to insure that the policy toward China shall be based on informed and intelligent public opinion. President Truman pointed out that the role of American government in its relations with China had been subject to considerate misrepresentation, distortion, and misunderstanding. Those attitudes arouse because the government was reluctant to reveal certain facts relating to United States-China relations. Therefore, revealing those facts was the only way that the public and their representatives in Congress could have the understanding necessary to the sound evolution of the foreign policy in the Far East.
The author will apply three models of decision-making theory, namely the rational actor model, the organizational behavior model, and the governmental politics model, to analyze the decision-making process of China White Paper. Under the guidance of rational actor model, the thesis finds that United States government decided to release the China White Paper as soon as possible in order to convince the Congress and the public of the correctness of the policy to abandon the Nationalists, and simultaneously avoid the hostility between the administration and the Congress in China issue spreading to European Military Assistance Programs. Under the guidance of organizational behavior model, the thesis finds that the China White Paper could not reach the standard of fairness and objectivity because the writing team was under the influence of organizational culture and subculture, and the Letter of Transmittal was
adversely affected by the standard operating procedures. Under the guidance of governmental politics model, the thesis finds that Secretary of State Acheson enjoyed three bargaining advantages which were drawn from the decision-making style of President Truman, the access to meet the President alone, and the cozy relationship with Truman. These advantages enabled Acheson to obtain Truman’s support without making any concessions to other participants.
Applying the three decision-making models, the thesis can display the decision-making process of China White Paper more completely. The China White Paper “had to” be released because the government believed it was the only way to win over the Congress and the public. The China White Paper should release “as soon as possible” because the administration wanted to prevent the hostility in China issues from extending to the Military Assistance Programs. The China White Paper “did” release because Acheson wisely use his bargaining advantages to gain the support of President Truman. The China White Paper was released “on August 5” because Acheson had to give consideration to the opposition of his subordinates, awaiting the departure of Ambassador Stuart from China. The China White Paper “could not achieve its expected goal” because the organizational culture exercised influence on the writing team and the standard operating procedures affected the outcome of the Letter of Transmittal.
論文目次 第一章 緒論.............................................1
第一節 研究目的與研究主旨...............................3
第二節 相關文獻與研究之探討.............................4
第三節 研究方法與範圍限制...............................9
第四節 小結.............................................11
第二章 理論與假設.......................................13
第一節 理性行為模式.....................................13
第二節 組織行為模式.....................................15
第三節 政府政治模式.....................................19
第四節 小結.............................................24
第三章 檢證以理性行為模式分析中國白皮書之決策過程的效果.26
第一節 1949年之前的國際情勢與國內政治...................26
第二節 1949年行政部門與國會的對立.......................31
(一) 第一階段:行政部門尚未決定對外公開美中關係..........31
(二) 第二階段:法案之挫敗使得行政部門決心發表白皮書......39
第三節 小結.............................................47
第四章 檢證以組織行為模式分析中國白皮書之決策過程的效果.50
第一節 中國白皮書之準備過程.............................50
第二節 組織文化對中國白皮書之影響.......................54
第三節 組織標準作業程序對中國白皮書之影響...............63
第四節 小結.............................................69
第五章 檢證以政府政治模式分析中國白皮書之決策過程的效果.73
第一節 杜魯門總統之決策風格.............................73
第二節 白皮書發表之過程.................................77
(一) 第一階段:梅爾比提案到杜魯門總統准許國務院編寫白皮書78
(二) 第二階段:巴特沃斯負責執行白皮書構想到傑賽普負責完成白
皮書......................................81
(三) 第三階段:艾奇遜向國家軍事機構協調白皮書內容到白皮書發
表........................................89
第三節 艾奇遜與強生的議價優勢與劣勢.....................94
第四節 小結.............................................101
第六章 結論.............................................105
參考書目.................................................113
附錄
附錄一:中英人名對照表...................................122
附錄二:轉呈信...........................................124
表次
表4-1 組織行為模式對白皮書之決策過程的分析...............71
表5-1 第二階段行動管道...................................89
表5-2 第三階段行動管道...................................101

參考文獻 壹、中文部份

一、官方資料
中央檔案館編。《中共中央文件選集 (一九四九年一月至九月):第18冊》。河北:中共中央黨校出版社,1992。
美國參議院司法委員會編、國防部總政治作戰部譯。《美國參議院司法委員會“太平洋學會”調查報告》。台北:總政治作戰部,民58。

二、書籍
毛澤東。《毛澤東選集:第四卷》。北京:人民出版社,1991。
布海特著、武競時譯。《赫爾利將軍與中國》。台北:淡江大學,民73。
邵玉銘。《中美關係硏究論文集》。台北:傳記文學出版社,民69。
邵宗海。《美國介入國共和談之角色》。台北:五南,民84。
林博文。《歷史的暗流:近代中美關係秘辛》。台北:元尊文化,民88。
官進勝。《美國對華政策中的國會因素(1949-1950)》。上海:上海人民出版社,2007。
秦孝儀主編。《中華民國重要史料初編—對日抗戰時期第七編:戰後中國(三)》。台北:中國國民黨中央委員會黨史委員會,1981。
陳一新。《斷交後的中美關係》。台北:五南,民84。
陳志奇。《戰後美國對華政策之蛻變》。台北:帕米爾,民70。
梁敬錞。《中美關係論文集》。台北:聯經,民71。
陶文釗主编。《美國對華政策文件集(1949-1972)》。北京:世界知識出版社,2003。
陶文釗。《中美關係史(1911-1949)》。上海:上海人民出版社,2004。
資中筠。《追根溯源—戰後美國對華政策的緣起與發展,1945-1950》。北京:中國社會科學出版社,2007。
顧維鈞。《顧維鈞回憶錄:第七分冊》。北京:中華書局,1988。

三、期刊文章
陳之邁。〈艾奇遜與中美關係白皮書〉。《傳記文學》26卷,6期 (民64年6月):頁9-15。
劉傳暘。〈再論艾奇遜的對華態度〉。《中國歷史學會史學集刊》,37期 (民94年7月):頁267-86。
趙綺娜。〈親國府議員對中國政策的影響〉。《歐美研究》21卷,3期 (民80年9月):頁83-129。

貳、英文部分

I. Official Documents
U.S. Congress. Senate. Committees on Foreign Relations and Armed Services. Hearings: Military Situation in the Far East. 82nd Cong., 1st sess., 1951.
U.S. Congress. Senate. Committee on Foreign Relations. Hearings on United States Relations with the People’s Republic of China. 92nd Cong., 1st sess., 1971.
U.S. Department of State. Foreign Relations of the United State, 1949. Vol. 7: The Far East and Australasia. Washington, DC: Government Printing Office, 1976.
------ Foreign Relations of the United State, 1949. Vol. 8: The Far East: China. Washington, DC: Government Printing Office, 1978.
------ Foreign Relations of the United State, 1949. Vol. 9: The Far East: China. Washington, DC: Government Printing Office, 1975.
------ United States Relations with China with Special Reference to the Period 1944-1949. 1949. Reprint, California: Stanford University Press, 1967.

II. Microfilms
Harry S. Truman Library. President Harry S. Truman's Office Files, 1945-1953. Edited by Gary Hoag, Paul Kesaris, and Robert E. Lester. Frederick, MD: University Publications of America, 1989.
U.S. Department of State. Confidential U.S. State Department Central Files. China, 1945-1949: Internal Affairs. Edited by Robert Lester. Frederick, MD: University Publications of America, 1984.
------ Confidential U.S. State Department Central Files. United States-China relations, 1940-1949. Edited by Robert Lester. Frederick, MD: University Publications of America, 1985.
------ Official Conversations and Meetings of Dean Acheson, 1949-1953. Edited by Paul Kesaris. Frederick, MD: University Publicatios of America, 1980.
------ Office of Chinese Affairs. Records of the Office of Chinese Affairs, 1945-1955. Edited by U.S. National Archives and Records Administration. Wilmington, DE: Scholarly Resources, 1989.

III. Books
Acheson, Dean. Present at the Creation: My Years in the State Department. New York: W. W. Norton and Co., 1969.
------ Sketches from Life of Men I Have Known. New York: Harper& Brothers, 1961.
Allison, Graham and Philip Zelikow. Essence of Decision: Explaining the Cuban Missile Crisis. New York: Longman, 1999.
Blum, Robert M. Drawing the Line: The Origin of the American Containment Policy in East Asia. New York: W. W. Norton, 1982.
Borg, Dorothy and Waldo Heinrichs, eds. Uncertain Years : Chinese-American relations, 1947-1950. New York: Columbia University Press, 1980.
Brinkley, Douglas. Dean Acheson and the Making of U.S. Foreign Policy. New York: St. Martin’s Press, 1993.
Chace, James. Acheson: The Secretary of State Who Created the American World. New York: Simon and Schuster. 1998.
Edwards, Lee. Missionary for Freedom: The Life and Times of Walter Judd. New York: Paragon House, 1990.
Feis, Herbert. The China Tangle: the American Effort in China from Pearl Harbor to the Marshall Mission. Princeton: Princeton University Press, 1953.
George, Alexander L. Presidential Decisionmaking in Foreign Policy. Boulder, Colorado: Westview Press, 1980.
Graebner, Norman A., ed. An Uncertain Tradition: American Secretaries of State in the Twentieth Century. New York: McGraw-Hill, 1961.
Grasso, June M. Truman’s Two-China Policy: 1948-1950. Armonk, NY: M.E. Sharpe, 1987.
Halperin, Morton. Bureaucratic Politics and Foreign Policy. Washington D.C.: The Brookings Institute, 1974.
Kahn E. J. Jr. The China Hands: America's Foreign Service Officers and What Befell Them. New York: Viking Press, 1975.
Kennan, George F. At a Century’s Ending: Reflections, 1982-1995. New York: W. W. Norton and Company, 1996.
Kingdon, John W. Agenda, Alternatives, and Public Policy. Second Edition. New York: Longman, 1995.
Koen, Ross Y. The China Lobby in American Politics. New York: Harper&Row, 1974.
Kubek, Anthony. How the Far East Was Lost: American Policy and the Creation of Communist China, 1941-1949. Chicago: Henry Regnery, 1963.
Lacey, Michael J., ed. The Truman Presidency. New York: Cambridge University Press, 1989.
Lauren, Paul Gordon, ed. The China Hands’ Legacy: Ethics and Diplomacy. London: Westview Press, 1987.
Lilienthal, David. The Atomic Energy Years, 1945-1950. Vol. 2 of The Journals of David E. Lilienthal. New York: Harper & Row, 1964.
MacKinnon, Stephen R. and Oris Friesen. China Reporting: An Oral History of American Journalism in the 1930s and 1940s. Berkeley: University of California Press, 1990.
March, James G. and Herbert A. Simon. Organization. Second Edition. Cambridge: Blackwell Publisher, 1993.
McFarland, Keith D. and David L. Roll. Louis Johnson and the Arming of America: The Roosevelt and Truman Years. Bloomington: Indiana University Press, 2005.
McGlothlen, Ronald L. Controlling the Waves: Dean Acheson and U.S. Foreign Policy in Asia. New York: Norton, 1993.
McLellan, David S. Dean Acheson: The State Department Years. New York: Dodd Mead& Company, 1976.
Melby, John. The Mandate of Heaven: Record of A Civil War, China 1945-49. Toronto: University of Toronto Press, 1968.
Merli, Frank J. and Theodore A. Wilson, eds. Makers of American Diplomacy: From Benjamin Franklin to Henry Kissinger. New York: Charles Scribner's Sons, 1974.
Miller, Merle. Plain Speaking: An Oral Biography of Harry S. Truman. New York: Tess Press, 1974.
Millis, Walter, ed. The Forrestal Diaries. New York: The Viking Press, 1951.
Morgenthau, Hans J. Politics among Nations: The Struggle for Power and Peace. Fifth Edition, Revised. New York: Alfred A. Knopf, 1978.
Neustadt, Richard E. Presidential Power and Modern Presidents.New. York: The Free Press, 1990.
Purifoy, Lewis McCarroll. Harry Truman's China Policy: McCarthyism and the Diplomacy of Hysteria, 1947-1951. New York: New Viewpoints, 1977.
Rand, Peter. China Hands: The Adventures and Ordeals of the American Journalists Who Joined Forces with the Great Chinese Revolution. New York: Simon and Schuster, 1995.
Rea, Kenneth W. and John C. Brewer, eds. The Forgotten Ambassador: The Reports of John Leighton Stuart, 1946-1949.Colorado: Westview Press, 1981.
Service, John S. The Amerasia Papers: Some Problems in the History of US-China Relations. Berkeley: University of California Press, 1971.
------ John S. Service, State Department Duty in China, the McCarthy Era, and After, 1933-1977. Berkeley, California: University of California, 1981.
Smith, Gaddis. Dean Acheson. New York: Publisher, Inc., 1972.
Stuart, John Leighton. Fifty Years in China. New York: Random House, 1954.
Taylor, Jay. The Generalissimo: Chiang Kai-Shek and the Struggle for Modern China. Cambridge: The Belknap Press of Harvard University Press, 2009.
Truman, Harry S. Memoirs: Years of Trial and Hope( Vol. II). New York: the New American Library, 1956.
Tsou, Tang. America's Failure in China, 1941-50. Chicago: The University of Chicago Press, 1963.
Tucker, Nancy Bernkopf. China Confidential: American Diplomats and Sino-American Relations, 1945-1996. New York: Columbia University Press, 2001.
------ Patterns in the Dust: Chinese-American Relations and the Recognition Controversy, 1949-1950. New York: Columbia University Press, 1983.
Turabian, Kate L., Wayne C. Booth, Gregory G. Colomb, and Joseph M. Williams. A Manual for Writers of Research Papers, Theses, and Dissertations. 7th ed. Chicago: The University of Chicago Press, 2007.
Utley, Freda. The China Story. Chicago: Henry Regnery Company, 1951.
Vandenberg, Arthur H. Jr. and Joe Alex Morris, eds. The Private Papers of Senator Vandenberg. Boston: Houghton-Mifflin,1952.
Vertzberger, Yaacov. The World in Their Mind: Information Processing, Cognition and Perception in Foreign Policy Decision Making. Stanford: Stanford University Press, 1990.
Wedemeyer, Albert C. Wedemeyer Reports! New York: Henry Holt and Company, 1958.
Westerfield, H. Bradford. Foreign Policy and Party Politics: Pearl Harbor to Korea. New Haven: Yale University Press, 1955.

IV. Dessertations
Feaver, John Hansen. “The Truman Administration and China, 1945-1950: The Policy of Restrained Intervention.” Ph.D. dissertation, University of Oklahoma, 1980.

V. Articles
Acheson, Dean. “Basic Principles of U.S. Policy Toward the Far East.” Department of State Bulletin 21, no. 528 (August 15, 1949): 236-37.
------ “Department of State Answers Criticism on China Policy.” Department of State Bulletin 21, no. 528 (August 15, 1949): 350-52&359.
------ “The President and the Secretary of State.” In The Secretary of State, edited by Don K. Price, 27-50. Englewood Cliffs, NJ: Prentice Hall, 1960.
Alstyne, Richard W. Van. “The White Paper and China.” Current History 17 (October 1949): 193-201.
Cohen, Warren I. “Consul General O. Edmund Clubb on the "Inevitability" of Conflict Between the United States and the People's Republic of China, 1949-50.” Diplomacy History 5, no. 2 (1981): 165-68.
Fairbank, John K. “Toward a Dynamic Far Eastern Policy.” Far Eastern Survey 18, no. 18 (September 7, 1949): 209-12.
------ “US Reviews China Policy on Light of White Paper.” Foreign Policy Bulletin 28, no. 43 (August 1949): 1-2.
Lijphart, Arend. “Comparative Politics and the Comparative Method.” American Political Science Review 65, no. 3 (September 1971): 682-93.
Lippmann, Walter. “The White Paper: The Chiang Stranglehold.” In Commentaries on American Foreign Policy. New York: American Institute of Pacific Relations, 1950.
Newman, Robert P. “The Self-Inflicted Wound: The China White Paper of 1949.” Prologue: Journal of The National Archives 14, no. 3 (Fall 1982): 140-56.
Paterson, Thomas G. “If Europe, Why not China? The Containment Doctrine, 1947-1949.” Prologue: Journal of The National Archives 13, no. 1 (Spring 1981): 19-38.
------ “Presidential Foreign Policy, Public Opinion, and Congress: The Truman Years.” Diplomacy History 3, no. 1 (1979): 1-18.
Rosinger, Lawrence K. “White Paper on China in Brief.” Far Eastern Survey 28, no. 18 (September 7, 1949): 205-8.
Schaller, Michael. “Consul General O. Edmund Clubb, John P. Davies, and the "Inevitability" of Conflict Between the United States and China, 1949-50: A Comment and New Documentation.” Diplomacy History 9, no. 2 (1985): 149-60.
Simon, Herbert. “Human Nature in Politics: The Dialogue of Psychology with Political Science.” American Political Science Review 79 (1985): 293-304.

VI. Online Databases
“Oral History Interview with Ambassador Philip D. Sprouse.” Truman Library. http://www.trumanlibrary.org/oralhist/sprousep.htm (accessed March 26, 2009).
“Oral History Interview with Henry Byroade.” Truman Library.
http://www.trumanlibrary.org/oralhist/byroade.htm (accessed March 26, 2009).
“Oral History Interview with John F. Melby.” Truman Library. http://www.trumanlibrary.org/oralhist/melby2.htm (accessed March 12, 2009).
“Oral History Interview with Lucius D. Battle.” Truman Library.
http://www.trumanlibrary.org/oralhist/battle.htm (accessed March 26, 2009).
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