美国对伪满洲国政策研究（1931-1941）
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摘要
自19世纪末以来,美国对中国东北地区一直保持着高度关注,并时刻以维护“门户开放”政策作为利益旨归。随着日本发动“九·一八”事变,美日之间在中国东北的矛盾逐渐加剧。美国先是消极观望事态发展,继之与国联合作、但无实际行动,最后发表了史汀生照会、抛出“不承认主义”,以此确立了对伪满洲国政策的基础。及至罗斯福上台后,远东司在制定美国对伪满洲国政策中的作用愈发突出,副司长汉密尔顿的远东之行重新估测了美国对伪满政策,新政府决定继续保持对伪满政权的不予承认。在日本授意下,伪满洲国颁布了《石油专卖法》,对东北的石油产品进行垄断经营,这损害了以美孚石油公司为代表的大企业的利益。大企业与国务院密切合作,共同对抗日伪的垄断经营,却终究难逃被排挤出东北的厄运。鉴于经济利益的受挫,美国驻伪满各地领事馆开始建议国务院将该地领事人员撤出。此时正值日本全面侵华的前夜,美国远东司关注的重点开始转向关内地区,但对伪满洲国政策照旧不变。1941年美日之间举行高级会谈,战争也在“秘而不宣”中悄然而至。珍珠港事件后,伪满洲国遵照日本旨意,发表了《时局诏书》,伪满境内的美国领事人员、商人、教会人员、侨民等相继被驱逐出境,美国对伪满洲国政策遂告终结。
Picking the period from the Mukden Incident to the severance of diplomatic relations between the United States and Puppet Manchukuo after the Pearl Harbor Incident as the research limit, this dissertation made a thorough investigation of the United States policy towards Puppet Manchukuo by the use of Foreign relations of the United States, Maxwell M. Hamilton Papers and Stanley K. Hornbeck Papers stored in Hoover Institution Archive, and important historical materials such as Manchukuo Government Gazette, Shengjing Times and so on. On the basis of studying the U.S. political attitudes on the one hand and analyzing the economic links on the other, the dissertation focused on the elucidation of subtle issues from broad angles by putting the whole process in the grand background of the U.S. Far East policy, striving for profundity in argument presentations and accuracy in discussions.
The dissertation consists of three parts: introduction, body and conclusion, and the body is divided into five chapters.
Chapter I, the introduction, introduced the current state of researches on the U.S. policy towards Puppet Manchukuo, summarized relating academic achievements and pointed out their deficiencies and problems, hereupon explained the reasons of the topic selection of this dissertation, its academic values and practical meanings, and introduced the researching methodology and logical frame of this dissertation.
Chapter II reviewed the origin and evolution of American northeast China policy. At the end of the 19th century, the U.S. put forward the Open Door Policy toward China. Later, either the policy“to aid Japan to contain Russia”, or the contest against Japan, in the final analysis, was to defend the Open Door Policy and realize its national interests. In 1920’s, although apparently not, actually there were numerous contradictions between the U.S. and Japan. Peace under the Washington System was transient and could not bind up Japan.
Chapter III discussed the initial establishment of the U.S. policy towards Puppet Manchukuo. After the Mukden Incident, American attitude towards the incident experienced three stages from negative wait-and-see and pass-the-buck to cooperation with League of Nations but without practical actions, and then to the announcement of Stimson Doctrine of Non-Recognition. During the policy-making process, there were often violent arguments because of different opinions between President Hoover and Secretary of State Stimson, of which the biggest may be their disparate ideas about the harm that the incident could bring to America. There are rich materials for this chapter. Besides the incident archives at home, there were also accounts in The Memoirs of Herbert Hoover and in Stimson’s writings, which can be used to very each other together with Foreign relations of the United States. In addition, this chapter made a comment on the Stimson Doctrine and carried out an analysis of the Non-Recognition Doctrine in the light of internal law theories.
Chapter IV mainly discussed the revaluation of the Unites States on its policy towards Puppet Manchukuo. In 1933, when Roosevelt became the new American president in place of Hoover, it was widely talked in international and American opinion that the United States would change its Manchukuo and Far East policies. Starting from January 1933 when Stimson met Roosevelt to discuss the policy towards Puppet Manchukuo, this chapter on the one hand described Roosevelt’s China views, and on the other hand analyzed the roles of officials from the States Council and relating American diplomats in the making of policy towards Puppet Manchukuo. More importantly, after consulting a large number of historical materials, the author found that in the 1933-1934 American-Puppet Manchukuo relations, a significant historical fact has be neglected all the time, that is Hamilton’s trip to Far East. Through a textual research on Maxwell M. Hamilton Papers and Stanley K. Hornbeck Papers stored in Hoover Institution Archive, this chapter made a thorough analysis on Far East Division’s reevaluation in making the policy towards Puppet Manchukuo.
Chapter V mainly discussed the 1935-1936 adjustments of the U.S. policy towards Puppet Manchukuo. Because Puppet Manchukuo issued the Oil Monopoly Law on Japan’s instructions to monopolize oil products, America’s economic interest in northeast China suffered heavy blows. U.S. companies represented by the Standard-Vacuum Oil Company exerted pressures on the State Department policy makers to safeguard their business interests in Puppet Manchukuo. On the basis of an analysis of America’s business interest in Puppet Manchukuo, and a comparison by putting it into America’s whole economic interest in east Asia, this chapter analyzed the reasons of the U.S. policies.
Chapter VI discussed the process of the U.S. withdrawal from Puppet Manchukuo. In 1936, a not-too-big-nor-too-small controversy was provoked about whether the U.S. consulates in Harbin and Mukden (Shenyang) should retreat. In 1937, the launch of Japan’s all-around aggression against china diverted America’s attention to Puppet Manchukuo. While great administration reorganizations were conducted in Puppet Manchukuo in order to support Japan’s invading strategies against China, there were also personnel changes in American Far East Division. It was not until autumn 1941 that the U.S. and Japan held a senior meeting in Washington, but when the war was coming quietly without declaration. On Japan’s instructions Puppet Manchukuo issued the rescript On the Current Situation, which declared the end of the U.S. policy towards Puppet Manchukuo.
Relations between the U.S. and Puppet Manchukuo lasted ten years, and the U.S. policy towards Puppet Manchukuo constituted a significant part of the wartime U.S. Far East policies. In the light of theories, the making of such policy reflected the double needs of American diplomacy for both idealism and realism, while in the light of practice, the making of such policy was deeply influenced by multiple forces as interest groups and big companies, which reflected the multiple considerations in the process of policy makings, during which the Far East Division played key roles.
Picking the period from the Mukden Incident to the severance of diplomatic relations between the United States and Puppet Manchukuo after the Pearl Harbor Incident as the research limit, this dissertation made a thorough investigation of the United States policy towards Puppet Manchukuo by the use of Foreign relations of the United States, Maxwell M. Hamilton Papers and Stanley K. Hornbeck Papers stored in Hoover Institution Archive, and important historical materials such as Manchukuo Government Gazette, Shengjing Times and so on. On the basis of studying the U.S. political attitudes on the one hand and analyzing the economic links on the other, the dissertation focused on the elucidation of subtle issues from broad angles by putting the whole process in the grand background of the U.S. Far East policy, striving for profundity in argument presentations and accuracy in discussions.
The dissertation consists of three parts: introduction, body and conclusion, and the body is divided into five chapters.
Chapter I, the introduction, introduced the current state of researches on the U.S. policy towards Puppet Manchukuo, summarized relating academic achievements and pointed out their deficiencies and problems, hereupon explained the reasons of the topic selection of this dissertation, its academic values and practical meanings, and introduced the researching methodology and logical frame of this dissertation.
Chapter II reviewed the origin and evolution of American northeast China policy. At the end of the 19th century, the U.S. put forward the Open Door Policy toward China. Later, either the policy“to aid Japan to contain Russia”, or the contest against Japan, in the final analysis, was to defend the Open Door Policy and realize its national interests. In 1920’s, although apparently not, actually there were numerous contradictions between the U.S. and Japan. Peace under the Washington System was transient and could not bind up Japan.
Chapter III discussed the initial establishment of the U.S. policy towards Puppet Manchukuo. After the Mukden Incident, American attitude towards the incident experienced three stages from negative wait-and-see and pass-the-buck to cooperation with League of Nations but without practical actions, and then to the announcement of Stimson Doctrine of Non-Recognition. During the policy-making process, there were often violent arguments because of different opinions between President Hoover and Secretary of State Stimson, of which the biggest may be their disparate ideas about the harm that the incident could bring to America. There are rich materials for this chapter. Besides the incident archives at home, there were also accounts in The Memoirs of Herbert Hoover and in Stimson’s writings, which can be used to very each other together with Foreign relations of the United States. In addition, this chapter made a comment on the Stimson Doctrine and carried out an analysis of the Non-Recognition Doctrine in the light of internal law theories.
Chapter IV mainly discussed the revaluation of the Unites States on its policy towards Puppet Manchukuo. In 1933, when Roosevelt became the new American president in place of Hoover, it was widely talked in international and American opinion that the United States would change its Manchukuo and Far East policies. Starting from January 1933 when Stimson met Roosevelt to discuss the policy towards Puppet Manchukuo, this chapter on the one hand described Roosevelt’s China views, and on the other hand analyzed the roles of officials from the States Council and relating American diplomats in the making of policy towards Puppet Manchukuo. More importantly, after consulting a large number of historical materials, the author found that in the 1933-1934 American-Puppet Manchukuo relations, a significant historical fact has be neglected all the time, that is Hamilton’s trip to Far East. Through a textual research on Maxwell M. Hamilton Papers and Stanley K. Hornbeck Papers stored in Hoover Institution Archive, this chapter made a thorough analysis on Far East Division’s reevaluation in making the policy towards Puppet Manchukuo.
Chapter V mainly discussed the 1935-1936 adjustments of the U.S. policy towards Puppet Manchukuo. Because Puppet Manchukuo issued the Oil Monopoly Law on Japan’s instructions to monopolize oil products, America’s economic interest in northeast China suffered heavy blows. U.S. companies represented by the Standard-Vacuum Oil Company exerted pressures on the State Department policy makers to safeguard their business interests in Puppet Manchukuo. On the basis of an analysis of America’s business interest in Puppet Manchukuo, and a comparison by putting it into America’s whole economic interest in east Asia, this chapter analyzed the reasons of the U.S. policies.
Chapter VI discussed the process of the U.S. withdrawal from Puppet Manchukuo. In 1936, a not-too-big-nor-too-small controversy was provoked about whether the U.S. consulates in Harbin and Mukden (Shenyang) should retreat. In 1937, the launch of Japan’s all-around aggression against china diverted America’s attention to Puppet Manchukuo. While great administration reorganizations were conducted in Puppet Manchukuo in order to support Japan’s invading strategies against China, there were also personnel changes in American Far East Division. It was not until autumn 1941 that the U.S. and Japan held a senior meeting in Washington, but when the war was coming quietly without declaration. On Japan’s instructions Puppet Manchukuo issued the rescript On the Current Situation, which declared the end of the U.S. policy towards Puppet Manchukuo.
Relations between the U.S. and Puppet Manchukuo lasted ten years, and the U.S. policy towards Puppet Manchukuo constituted a significant part of the wartime U.S. Far East policies. In the light of theories, the making of such policy reflected the double needs of American diplomacy for both idealism and realism, while in the light of practice, the making of such policy was deeply influenced by multiple forces as interest groups and big companies, which reflected the multiple considerations in the process of policy makings, during which the Far East Division played key roles.
引文
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①《苏州大学学报(哲学社会科学版)》,2006(6):88-92.
①关于所涉部门的详尽分析,亦见于欧内斯特·梅、小詹姆斯·汤姆逊主编的《美中关系史论——兼论美国与亚洲其它国家的关系》(北京:中国社会科学出版社,1991年)。
②[美]欧内斯特·梅、小詹姆斯·汤姆逊主编,齐文颖等译:《美中关系史论——兼论美国与亚洲其它国家的关系》,北京:中国社会科学出版社,1991年,第212页。
①Dean Acheson, Present at the Creation: My Years in the State Department, New York: W.W. Norton, Inc., 1969, p.15.
②对30年代国务院的官僚政治所做的深刻写照,见小詹姆斯·汤姆森的《国务院的作用》(James C, Thomson, Jr., The Role of the Department of State, in Dorothy Borg, Shumpei Okamoto ed. Pearl Harbor as History: Japanese-American Relations, 1931-1941, New York: Columbia University Press, pp.81-106.)。
③[美]欧内斯特·梅、小詹姆斯·汤姆逊编:《美中关系史论——兼论美国与亚洲其它国家的关系》,北京:中国社会科学出版社,1991年,第245页。
①该书已有中译版本,[美]约瑟夫·C·格鲁著,蒋相泽译:《使日十年——1932至1942年美国驻日大使格鲁的日记及公私文件摘录》,商务印书馆,1983年。
②Nelson T. Johnson,又译为纳尔逊·约翰逊。从1930年2月1日开始担任美国驻华公使,1935年9月17日两国外交关系升格为大使级,詹森担任大使至1941年5月14日。Cathal J. Nolan ed., Notable U.S. Ambassadors Since 1775, A Biographical Dictionary, Greenwood Press, pp.201-204.
①Charles S. Campbell, Jr., Special Business Interests and the Open Door Policy,New Haven: Yale University Press, 1968, pp.29-30.
①William A. Williams, The Tragedy of American Diplomacy, Cleveland and New York: The World Publishing Company, 1959, p.30.
②Charles S. Campbell, Jr., Special Business Interests and the Open Door Policy, New Haven: Yale University Press, 1968, p.12.
③Walter Lafeber, The New Empire: An Interpretation of American Expansion, 1860-1898, New York: Cornell University Press, 1963, p.375.
①Ernest N. Paolino, The Foundations of the American Empire: William Henry Seward and U. S. Foreign Policy, New York: Cornell University Press, 1973, p.26.
②Ernest N. Paolino, The Foundations of the American Empire: William Henry Seward and U. S. Foreign Policy, New York: Cornell University Press, 1973, p.29.
③王玮主编:《美国对亚太政策的演变(1776-1995)》,济南:山东人民出版社,1995年,第96页。
④王晓德著:《美国对外关系史散论》,北京:中华书局,2007年,第598页;王玮、戴超武著:《美国外交思想史(1775-2005年)》,北京:人民出版社,2007年,第171页。
①United States Department of State, Papers relating to the foreign relations of the United States, 1899, Washington D. C.: Government Printing Office, 1901, pp.129-130. Hereafter cited as FRUS.
②[美]孔华润著,张静尔译:《美国对中国的反应——中美关系的历史剖析》,上海:复旦大学出版社,1997年,第42页。
③Mr. Hay to Mr. Herdliska, July 3, 1900, FRUS, 1900, p.299.
①杨生茂、冯承柏、李元良编:《美西战争资料选辑》,上海:上海人民出版社,1981年,第287页。
②The Annual Message of the President Transmitted to Congress, December 3, 1901, FRUS, 1901, pp. li-liii.
③Dana G. Munro, American Commercial Interests in Manchuria, Annals of the American Academy of Political and Social Science, Volume 39, China: Socialand Economic Conditions (January, 1912), pp.154-168.该文对美国在东北的商业利益做了详细统计,包括大量表单数据。
④[日]井上清、铃木正四著,杨辉译:《日本近代史》上册,北京:商务印书馆,1959年,第251页。
①Elting Morrison ed., The Letters of Theodore Roosevelt, Volume VII, Cambridge: Harvard University Press, 1951, p.764.
②Elting Morrison ed., The Letters of Theodore Roosevelt, Volume IV, Cambridge: Harvard University Press, 1951, p.724.
③Elting Morrison ed., The Letters of Theodore Roosevelt, Volume IV, Cambridge: Harvard University Press, 1951, pp.1283-1287.
④Elting Morrison ed., The Letters of Theodore Roosevelt, Volume IV, Cambridge: Harvard University Press, 1951, p.482.
⑤王芸生编著:《六十年来中国与日本》(第四卷),北京:生活·读书·新知三联书店,2005年,第204-205页。
①Lloyd C. Griscom, Diplomatically Speaking, Boston: Little, Brown and Company, 1940, p.263.
②王芸生编著:《六十年来中国与日本》(第五卷),北京:生活·读书·新知三联书店,2005年,第13页。
①杨生茂主编:《美国外交政策史(1775-1989)》,北京:人民出版社,1991年,第251页。另据《纽约时报》统计,从1905-1909年间,美国向东北输出的商品由2350万美元,下降到750万美元。New York Times, 1910.6.18.
①[清]徐世昌等编纂,李澍田等点校:《东三省政略》,长春:吉林文史出版社,1989年,第1页。
②王绍坊著:《中国外交史:鸦片战争至辛亥革命时期(1840-1911)》,郑州:河南人民出版社,1988年,第353-354页。
①关于第一次《日俄密约》全文,可参见蔡凤林著:《日俄四次密约——近代日本“满蒙”政策研究之一》,北京:中央民族大学出版社,2008年,第41-43页。
②The Japanese Ambassador to the Secretary of State, November 30, 1908, FRUS, 1908, pp.510-512.
①Foster Rhea Dulles, China and America, The story of Their Relations Since 1784, New Jersey: Princeton University Press, 1946, p.124.
②[美]孔华润著,张静尔译:《美国对中国的反应——中美关系的历史剖析》,上海:复旦大学出版社,1997年,第67页。
③《东三省总督锡良奏折——筹借外债议筑锦瑷铁路(附草合同,宣统元年八月十八日)》,参见中华人民共和国财政部、中国人民银行总行编印:《清代外债史资料(1853-1911)》中册,内部资料,第522页。
①王彦威纂辑、王亮编:《清季外交史料》第4卷《清宣统朝外交史料》,北京:书目文献出版社,1987年,第3580页。
②王芸生编著:《六十年来中国与日本》(第五卷),北京:生活·读书·新知三联书店,2005年,第249-253页。
③The Secretary of State to Ambassador Reid, November 6, 1909, FRUS, 1910, p.234.
①条约原文可参见蔡凤林著:《日俄四次密约——近代日本“满蒙”政策研究之一》,北京:中央民族大学出版社,2008年,第63-65页。
②王彦威纂辑、王亮编:《清季外交史料》第4卷《清宣统朝外交史料》,北京:书目文献出版社,1987年,第3722页。
③Griswold. A. Whitney, The Far Eastern Policy of the United States, New York: Harcourt, Brace and company, 1938, p.132.
④Elting Morrison ed., The Letters of Theodore Roosevelt, Volume VII, Cambridge: Harvard University Press, 1951, p.190.
⑤[美]查尔斯·威维尔著,张玮瑛、李丹阳译:《美国与中国:财政和外交研究(1906-1913)》,北京:社会科学文献出版社,1990年,第145页。
⑥[苏]耶·马·茹科夫主编:《远东国际关系史》,北京:世界知识出版社,1959年,第207页。
①外务省编:《日本外交文书》第45卷第2册,日本国际联合协会,1963年,第414-422页。转引自崔丕:《近代东北亚国际关系史研究》,长春:东北师范大学出版社,1992年,第289页。
②丁名楠著:《帝国主义侵华史》第二卷,北京:人民出版社,1986年,第375页。
③倪世雄等著:《当代西方国际关系理论》,上海:复旦大学出版社,2005年,第40页。
④Arther S. Link, ed., The Papers of Woodrow Wilson, Volume 32, New Jersey: Princeton University Press,1979, p.197.
①The Japanese Ambassador to the Secretary of State, June 14, 1917, Papers relating to the foreign relations of the United States with the address of the president to Congress, December 4, 1917, p.258.
②British Documents on Foreign Affairs, PartⅡ, Series E. Asia, Volume 22, China, p.289.转引自秦珊著:《美国威尔逊政府对华政策研究》,北京:中国社会科学出版社,2005年,第141页。
①Agreement Effected by Exchange of Notes between the United States and Japan, Papers relating to the foreign relations of the United States with the address of the president to Congress December 4, 1917, pp.264-265.
②[美]查尔斯·威维尔著,张玮瑛、李丹阳译:《美国与中国:财政和外交研究(1906-1913)》,北京:社会科学文献出版社,1990年,第58页。
①Griswold. A. Whitney, The Far Eastern Policy of the United States, New York: Harcourt, Brace and company, 1938, p.217.
②[美]罗伊·沃森·柯里著,张玮瑛、曾学白译:《伍德罗·威尔逊与远东政策(1913-1921)》,北京:社会科学文献出版社,1994年,第158页。
①公约原文见王芸生编著:《六十年来中国与日本》(第八卷),北京:生活·读书·新知三联书店,2005年,第332-334页;王铁崖编:《中外旧约章汇编》(第三册),北京:生活·读书·新知三联书店,1959年,第217-220页。
②New York Times, 1922.2.18.
③中国社会科学院近代史研究所《近代史资料》编辑室主编,天津市历史博物馆编辑:《秘笈录存》,北京:中国社会科学出版社,1984年,第475页。
①[英]加文·麦柯马克著,毕万闻译:《张作霖在东北》,长春:吉林文史出版社,1988年,第58页。
②《关东厅警察长的报告》,《日本外务省档案》,MT. 161425,第7099页。转引自车维汉、朱虹、王秀华著:《奉系对外关系》,沈阳:辽海出版社,2001年,第151页。
③常城主编:《张作霖》,辽宁人民出版社,1980年,第193页。
①上海《时报》,1928年6月7日。
②即John V. A. Mac Murray,中文又译作马慕瑞或马克谟。1907年进入美国国务院,1913-1917年任美国驻华使馆头等参赞,1919-1924年任美国国务院远东司司长,1924-1925年任助理国务卿。l925-1929年任驻华公使。1930-1933年任霍普金斯大学国际关系学院院长兼教授。1942-1944年任国务卿特别助理,1944年退休。
③《东方杂志》第25卷第19期,第133页。
④何汉文编著:《中俄外交史》,北平:中华书局,1935年,第398页。
⑤黑龙江省档案馆藏东省特别行政区行政长官公署档案,第四目录,第十一卷。转引自王学良:《美国对“中东路事件”的外交政策及其失败》,载《学术研究丛刊》1985年第4期。
①[美]马士、宓享利著,姚曾廙等译:《远东国际关系史》,北京:商务印书馆,1975年,第647页。
②The Minister in China (Mac Murray) to the Secretary of State, July 22, 1929, FRUS, 1929, Volume II, pp.227-228.
③王学良在《美国对“中东路事件”的外交政策及其失败》(载《学术研究丛刊》,1985年第4期)一文中认为,美国在中东路事件初期积极采取“仲裁方式”解决,并为此积极奔走,但根据FRUS档案显示,事实并非如此。
①The Secretary of State to the Minister in China (Mac Murray), July 13, 1929, FRUS, 1929, Volume II, p.200.?
②? The Secretary of State to the Minister in China (Mac Murray), July 19, 1929, FRUS, 1929, Volume II, pp.215-217.?
③? The Secretary of State to the Minister in China (Mac Murray), July 22, 1929, FRUS, 1929, Volume II, p.223.?
④? The Minister in China (Mac Murray) to the Secretary of State, July 26, 1929, FRUS, 1929, Volume II, p.250.?
⑤? The Secretary of State to the French Ambassador (Claudel), AIDE MEMOIRE, FRUS, 1929, Volume II, pp.242-244.?
①The Naval Attache in China (Powell) to Mac Murray, August 2, 1929, FRUS, 1929, Volume II, pp.267-270.
②The Secretary of State to the Chargéin Japan (Neville), November 26, 1929, FRUS, 1929, Volume II, pp.350-352.?
③? The Secretary of State to Certain Diplomatic Representatives, December 1, 1929, FRUS, 1929, Volume II, p.372.?
④[台]教育部主编:《中华民国建国史》第三编,台北:国立编译馆,1989年,第1048页。
①The Chargéin China(Perkins) to the Secretary of State, Nov.27, 1929, December 5, 1929, FRUS, 1929, Volume II, pp.392-393.
②《伯力议定书》全文可参见[台]国立编译馆主编,陈志奇辑编:《中华民国外交史料汇编(六)》台北:渤海堂文化事业有限公司,1996年,第2514-2515页。
③沈予著:《日本大陆政策史(1868-1945)》,社会科学文献出版社,2005年,《前言》第3-4页。当然,关于大陆政策的形成时间及标志,史学界一向存在不同意见,参见周颂伦:《近代日本的基本国策——大陆政策》,载《江海学刊》2004年第1期。
①复旦大学历史系中国近代史教研组:《中国近代对外关系史资料选辑(1840-1949)》下卷第一分册,上海:上海人民出版社,1977年,第140页。
①复旦大学历史系中国近代史教研组:《中国近代对外关系史资料选辑(1840-1949)》下卷第一分册,上海:上海人民出版社,1977年,第143页。
②王绳祖主编:《国际关系史》(第五卷),北京:世界知识出版社,1995年,第57页。
③日本国际政治学会:《走向太平洋之路别卷·资料编》,东京:朝日新闻社,1963年,第86页。转引自胡德坤著:《中日战争史(1931-1945)》,武汉:武汉大学出版社,1987年,第8页。
④即平定阶段、统治阶段、国防阶段。参见吴相湘编著:《第二次中日战争史(1931-1945)》上册,台北:综合月刊社,1975年,第76页。
⑤日本国际政治学会:《走向太平洋之路别卷·资料编》,东京:朝日新闻社,1963年,第105-107页。转引自中国史学会、中国社会科学院近代史研究所编,章伯锋、庄建平主编:《抗日战争第一卷从九一八至七七》,成都:四川大学出版社,1997年,第84页。
①中国国民党中央委员会党史委员会编印,秦孝仪主编:《中华民国重要史料初编——对日抗战时期》续编(一),台北:文物供应社,1980年,第281页。
②[美]韦罗贝著,薛寿衡等译:《中日纠纷与国联》,上海:商务印书馆,1937年,第26-27页。
③Rohan Butler, J. P. T. Bury, M. E. Lambert ed., Documents on British Foreign Policy, 1919-1939, Second Series, Volume III, Her Majesty's Stationery Office, 1960, pp.826-828.
①Rohan Butler, J. P. T. Bury, M. E. Lambert ed., Documents on British Foreign Policy, 1919-1939, Second Series, Volume IX, Her Majesty's Stationery Office, 1960, pp.282-283.
②Christopher Thorne, The Limits of Foreign Policy: The West, The League, and the Eastern Crisis of 1931-1933, London: Hamish Hamilton, 1972, p.189.
①The Minister in China (Johnson) to the Secretary of State, September 19, 1931, FRUS, Japan: 1931-1941, Volume I, p.1.
②The Minister in China (Johnson) to the Secretary of State, September 22, 1931, FRUS, Japan: 1931-1941, Volume I, p.5.
③Russell D. Buhite, Nelson T. Johnson and American Policy toward China, 1925-1941, East Lansing: Michigan State University Press, 1968, p.163.
④时为中国驻国联代表。
①[美]入江昭、孔华润编:《巨大的转变:美国与东亚(1931-1949)》,上海:复旦大学出版社,1991年,第3页。
②Henry L. Stimson, The Far Eastern Crisis: Recollection and Observations, New York: Harper and Brothers, 1936, pp.34-37.
③The Secretary of State to the Minister in Switzerland (Wilson), at Geneva, September 23, 1931, FRUS, 1931, Volume III, The Far East, p.48.
④Memorandum of Trans-Atlantic Telephone Conversation, FRUS, 1931, Volume III, The Far East, pp.50-51.
⑤Memorandum by the Secretary of State, September 22, 1931, FRUS, Japan: 1931-1941, Volume I, pp.5-8.?
①The Secretary of State to the Charge in Japan (Neville), September 24, 1931, FRUS, Japan: 1931-1941, Volume I, pp.8-9.
②[美]孔华润著、张静尔译:《美国对中国的反应——中美关系的历史剖析》,上海:复旦大学出版社,1997年,第111页。
③杭州师范大学民国史研究中心的袁成毅先生认为,“国际社会之所以聚焦轰炸锦州,最重要的原因在于它是日本军队实施无差别轰炸的第一次,事实上也开启了第二次世界大战中的无差别轰炸。”(载《中国社会科学报》,2010年3月2日)
④[美]入江昭、孔华润编:《巨大的转变:美国与东亚(1931-1949)》,上海:复旦大学出版社,1991年,第6页。
①The Vice Consul at Mukden (Lynch) to the Minister in China, September 20, 1931, FRUS, 1931, Volume III, The Far East, p.21.
②金安泰:《“九·一八”事变与美国外交》,载《史学集刊》1983年第3期。
③Henry L. Stimson, The Far Eastern Crisis: Recollection and Observations, New York: Harper and Brothers, 1936, p.67.
④金安泰:《“九·一八”事变与美国外交》,载《史学集刊》1983年第3期。
⑤9月30日决议是国联关于中日冲突的第一个决议,主要规定日军于下一次国联会议(即此次)召开前“撤回原地”。
⑥Resolution Voted Upon by the Council of the League of Nations on October 24, 1931, FRUS, Japan: 1931-1941, Volume I , pp.29-30.?
⑦? The Secretary of State to the Consul General at Nanking (Peck), October 27, 1931, FRUS, Volume III, The Far East, p.331.
①Memrorandum by the Unddr Secretary of State (Castle), November 2, 1931, FRUS, Volume III, The Far East, p. 351.
②[美]入江昭、孔华润编:《巨大的转变:美国与东亚(1931-1949)》,上海:复旦大学出版社,1991年,第7页。
③Memorandum by the Secretary of State of a Conversation With the Japanese Ambassador (Debuchi), November 19, 1931, FRUS, Japan: 1931-1941, Volume I, pp.45-46.
④Memorandum by the Secretary of State, November 22, 1931, FRUS, 1931, Volume III, The Far East, pp.534-535.
①Memorandum by the Secretary of State, January 7, 1932, FRUS, 1932. Volume III, The Far East, p.8.
②[日]匝胤瑳次著,杨敬慈译述:《日本军人眼中之日美危机》,上海:大公报社,1932年,第424页。
①Rohan Butler, J. P. T. Bury, M. E. Lambert ed., Documents on British Foreign Policy, 1919-1939, Second Series, Volume IV, Her Majesty's Stationery Office, 1960, pp.102.
②罗家伦主编:《革命文献》第34辑,台北:正中书局,1956年,第7798页。
③日本国际政治学会编:《太平洋战争への道2满洲事变》,东京:朝日新闻社,1962年,第24页。转引自史桂芳著:《近代日本人的中国观与中日关系》,北京:社会科学文献出版社,2009年,第175页。
①日本国际政治学会编:《太平洋战争への道资料篇》,东京:朝日新闻社,1962年,第167页。转引自何兰著:《政治游戏中的一张王牌——德国对伪满洲国政策研究》,长春:吉林人民出版社,2001年,第76-77页。
②日本国际政治学会:《走向太平洋战争之路·资料篇》,东京:朝日新闻社,1962年,第124页。转引自胡德坤著:《中日战争史(1931-1945)》(修订本),武汉:武汉大学出版社,2005年,第21-22页。
①Henry L. Stimson, The Far Eastern Crisis: Recollection and Observations, New York: Harper and Brothers, 1936, p.175.
②《日本外务省外交文书·满洲事变》第2卷第2册,第231-234页,转引自武寅著:《从协调外交到自主外交——日本在推行对华政策中与西方列强的关系》,北京:中国社会科学出版社,1995年,第140页。
①花谷正:《我们为什么选择溥仪》,孙邦主编:《九·一八事变》,长春:吉林人民出版社,1993年,第593页。
②《盛京时报》,第7955号,大同元年(1932)3月16日,第2版。
③Memorandum by the Secretary of State, March 17, 1932, FRUS, 1932, Volume III, The Far East, p.592.
④国联调查团正式成立于1932年1月21日,团长为英国驻国联代表、前印度代理总督罗伯特·李顿(V. A. G. R. Lytton),团员有美国前任菲律宾总督麦考益、法国前任安南(越南)军司令官劳德、德国前任东非总督施奈、意大利前任南美各国公使马柯迪。此外,中国前外交部长顾维钧和日本驻土耳其大使吉田伊三郎作为调查团顾问,分别代表本国政府襄助调查团工作。
⑤The Secretary of State to the Consul at Geneva (Gilbert), January 21, 1932, FRUS, 1932, Volume III, The Far East, pp. 42-43; The Secretary of State to the Consul General at Shanghai (Cunningham) , January 29,1932, FRUS, 1932, Volume III, The Far East, pp. 100-101.
①The Consul General at Mukden (Myers) to the Minister in China (Johnson), June 3, 1932, FRUS, 1932, Volume IV, The Far East, pp. 58-60.
②The Consul General at Harbin (Hanson) to the Minister in China (Johnson), May 23, 1932, FRUS, 1932, Volume IV, The Far East, pp. 33-34.
③上海申报编辑著:《国联调查团报告书》,1932年,第102页。
①罗家伦主编:《革命文献》第40辑,台北:中央文物供应社,1978年,第2756-2757页。
②罗家伦主编:《革命文献》第40辑,台北:中央文物供应社,1978年,第2764页。
①The Secretary of State to the Minister in China (Johnson), March 8, 1932, FRUS, 1932, Volume III, The Far East, pp. 529-530.
②The Secretary of State to Ambassador Guthrie, May 11, 1915, FRUS, 1915, p.146.
①Richard N. Current, The Stimson Doctrine and the Hoover Doctrine, The American Historical Review, Volume 59, No. 3. (April, 1954), pp. 513-542.
②Elting E. Morison, The Turmoil and Tradition: A Study of the Life and Times of Henry L. Stimson, Boston: Houghton Mifflin, 1960, p.312.
③[英]奥本海著,詹宁斯、瓦茨修订,王铁崖等译《奥本海国际法》第一卷第一分册,北京:中国大百科全书出版社,1995年,第122页。
①关于德拉诺家族与中国的关系,参见邓蜀生著:《罗斯福:自由世界的盟主》,台北:百观出版社,1995年,第17-18页;Nathan Miller, The Roosevelt Chronicles: The Story of a Great American Family, New York: Doubleday and Co., 1979, pp.182-183.
②Elliot Roosevelt, As He Saw It, New York: Duell, Sloan and Pearce, 1946, p.158.
③Herbert Feis, 1933: characters in crisis, Boston: Little, Brown and Company, 1966, pp.48-52.
④Charles Beard, American Foreign Policy in the Making, 1932-1940, New Heaven: Yale University Press, 1947, p.137.
①Robert Ferrell: American Diplomacy in the Great Depression, Hoover-Stimson Foreign Policy, 1929-1932, New Heaven: Yale University Press, 1957, p. 241.
②Charles Beard, American Foreign Policy in the Making, 1932-1940, New Heaven: Yale University Press, 1947, p.141.
③Bernard Sternsher, The Stimson Doctrine: F. D. R. Versus Moley and Tugwell, The Pacific Historical Review, Volume 31, No. 3 (August, 1962), p. 284.
①张毅军、林永文等编著:《美国政府机构手册》,军事谊文出版社,2000年,第23页。
②赫尔从1906年进入政坛开始,便对处理国际间的关贸秩序问题情有独钟,因此被誉为“税务专家”。
③Waldo H. Heinrichs, Jr.,“1931-1937,”in Ernest May and James C. Thomas Jr. ed., American-East Asian Relations: A Survey, Cambridge: Harvard University Press, 1972, p.252.
④Dean Acheson, Present at the Creation: My Years in the State Department, New York: W. W. Norton, Inc., 1969, p.15.
①Ernest May and James C. Thomas Jr. ed., American-East Asian Relations: A Survey, Cambridge: Harvard University Press, 1972, p.250.
②浙江大学校史编写组编:《浙江大学简史》(第1卷),杭州:浙江大学出版社,1996年,第12页。
③Shizhang Hu, Stanley K. Hornbeck and the Open Door Policy, 1919-1937, London: Greenwood Publishing Group, 1995, p.23.
④1916年,霍恩贝克完成《当代远东政治》(Contemporary politics in the Far East)一书,该书出版后风靡一时,曾先后八次再版。霍恩贝克亦因此奠定了远东问题专家的地位。
⑤关于霍恩贝克在美国远东政策制定中的作用,可参见Waldo H. Heinrichs, Jr.,“1931-1937”, in Ernest May and James C. Thomas Jr. ed., American-East Asian Relations: A Survey, Cambridge: Harvard University Press, 1972, p.217; Frederich W Marks III., Wind over Sand: The Diplomacy of Franklin Roosevelt, Athens: University of Georgia Press, 1988, pp.48-49; Russell D. Buhite,“The Open Door in Perspective,”in Frank J. Merli and Theodore A. Wilson ed., Makers of American diplomacy, from Benjamin Franklin to Henry Kissinger, New York: Simon & Schuster Adult Publishing Group, 1974, pp.431-432. etc.
⑥James C. Thomson Jr., The Role of the Department of State in Dorothy Borg, Shumpei Okamoto, Dale K. A. Finlayson ed., Pearl Harbor as History:Japanese-American Relations, 1931-1941, New York: Columbia University Press: 1973, pp.82-83.
⑦中国社会科学院近代史研究所翻译室编:《近代来华外国人名辞典》,北京:中国社会科学出版社,1981年,第189页。
①沈阳曾数度易名:1634年,清太宗皇太极改沈阳为盛京。1657年,清朝以“奉天承运”之意在沈阳设奉天府。1911年辛亥革命后,奉天逐渐发展成为以张作霖为首的奉系军阀统治中心。1923年,张作霖正式设立的奉天市政公所为沈阳市建市伊始。1928年“皇姑屯事件”后,张学良“东北易帜”,并于次年将奉天市改名为沈阳市。1932年伪满洲国建立后沈阳市名称改回奉天市。抗日战争结束后,奉天市恢复沈阳市的名称。
②Waldo H. Heinrichs Jr., American ambassador: Joseph C. Grew and the development of the United States, New York: Oxford University Press, 1986, p.186.
③Joseph C. Grew, Ten years in Japan: A contemporary record drawn from the diaries and private and official papers of Joseph G. Grew, United States ambassador to Japan, 1932-1942, New York: Simon & Schuster, 1944, p.80.
④K. Marlin Friedrich, In Search of A Far Eastern Policy: Joseph Grew, Stanley Hornbeck, and American-Japanese relations, 1937-1941, Michigan: University Microfilms, 1980, Preface p. IV.
①Trip to Far East, Diary, October 26, 1933.
②Trip to Far East, Diary, December 5, December 11, 1933.
③The Counnselor of Legation in China (Peck) to the Secretary of State, December 6, 1933, FRUS, 1933, Volume III, The Far East, p.477.
④1933年11月16日,苏美两国正式建立了外交关系。参见《中华民国史事纪要》编辑委员会编:《中华民国史事纪要(初稿)1933年10-12月》,台北:文物供应社,第734-746页。
①Trip to Far East, Diary, October 26, December 5, December 11, December 12, 1933.
②颜品忠主编:《花旗银行在华掠夺纪实》,北京:新世界出版社,2004年,第27页。
③Trip to Far East, Diary, November 2, November 20, November 29, November 27, 1933; January 8, 1934.
④高家龙:《企业、政府与中国战争》,入江昭、孔华润编:《巨大的转变:美国与东亚(1931-1949)》,上海:复旦大学出版社,1991年,第122页。
①MacGregor Clauss, Errol, The Roosevelt Administration and Manchukuo, 1933-1941 , Historian, 32:4 (1970:August), p.601.
②The Secretary of State to the Consul General at Shanghai (Cunningham), March 27, 1934, FRUS, 1934, Volume III, The Far East, p.91.
①伪满洲国《政府公报》,1933年3月1日号外。
②滕利贵:《伪满经济统治》,长春:吉林教育出版社,1992年,第5页。
①日本经济新闻社编:《昭和经济历程3日本的企业》,北京:东方出版社,1992年,第31页;吉林省政协文史资料委员会编:《“九·一八”事变资料汇编》,长春:吉林文史出版社,1991年,第140页。
②[日]满史会著,东北沦陷十四年史辽宁编写组译:《满洲开发四十年史》上卷,内部资料,1988年,第43页。
③伪满的专卖制度开始于1933年3月,各种专卖法规的施行情况可参见杨荫波:《伪满的专卖制度》,载孙邦主编:《经济掠夺》,长春:吉林人民出版社,1993年,第64-67页。
①《中华民国海关华洋贸易总册》,1912年,第18页。转引自[台]吴翎君著:《美孚石油公司在中国(1870-1933)》,台北:稻香出版社,2001年,第44页。
②尹希尧:《美孚石油公司对东北市场的垄断》,载中国人民政治协商会议辽宁省暨沈阳市委员会文史资料研究委员会编:《文史资料选辑》第3辑,沈阳:辽宁人民出版社,1963年,第29页。
③[台]吴翎君著:《美孚石油公司在中国(1870-1933)》,台北:稻香出版社,2001年,第57页。
①尹希尧:《美孚石油公司对东北市场的垄断》,载中国人民政治协商会议辽宁省暨沈阳市委员会文史资料研究委员会编:《文史资料选辑》第3辑,沈阳:辽宁人民出版社,1963年,第28-36页。
②The Ambassador in Japan (Grew) to the Secretary of State, May 8, 1933, FRUS, 1933, Volume III, The Far East, pp.732-733.
①The Consul General at Mukden (Myers) to the Acting Secretary of State, June 2, 1933, FRUS, 1933, Volume III, The Far East, p.734.
②The Consul General at Mukden (Myers) to the Acting Secretary of State, July 10, 1933, FRUS, 1933, Volume III, The Far East, pp.736-737.
③William Bernard Ashbaugh, "The yardstick of trade": The Far Eastern Division and American-East Asian relations, 1933-1935, Ph.D. Dissertation, Temple University, 2000, p.286.
④《伪国石油株式会社法》,《外交周报》,1934年第20期,第21页。
⑤实业部地质调查所、国立北平研究院地质学研究所印行:《中国矿业纪要地质专报丙种第五号第五次(民国二十一年至二十三年)》,1935年12月,第599-600页。
⑥王才良、周珊编:《世界石油大事记》,北京:石油工业出版社,2008年,第83页。
①旭日火油公司是壳牌集团于1900年在日本设立的分支机构,英文原名为Rising Sun Petroleum。
②1934年美孚在伪满洲国的投资估计达448,096美元,相比之下,它在日本投资为7,108,587美元。参见Irvine H. Anderson, Jr., The Standard-Vacuum Oil Company and United States East Asian Policy, 1933-1941, Princeton: Princeton University Press, 1975, p.53, Table II-2.
③Irvine H. Anderson, Jr., The Standard-Vacuum Oil Company and United States East Asian Policy, 1933-1941, Princeton: Princeton University Press, 1975, pp.54-55.
④The American Embassy in Japan to the Japanese Ministry for Foreign Affairs, Informal Memorandum, FRUS, Japan, 1931-1941, Volume I, pp.130-131.
①The Japanese Ministry for Foreign Affairs to the American Embassy in Japan, August 2, 1934, FRUS, Japan, 1931-1941, Volume I, pp.132-133.
②伪满洲国《政府公报》,1934年11月14日,第二百十二号,原文为《煤油专卖法》。
③伪满洲国《政府公报》,1934年11月30日,第二百二十六号,原文为《煤油类专卖法施行令》;王卓然、刘达人主编:《外交大辞典》,北平:中华书局,1937年,第1024-1025页。
④其中美国石油公司所占的市场份额最大,如1932年,伪满洲国进口的全部石油中,有55%是由美国石油公司提供的(江红著:《为石油而战:美国石油霸权的历史透视》,北京:东方出版社,2002年,第140页)。
①The Ambassador in Japan (Grew) to the Secretary of State, December 1, 1934, FRUS, 1934, Volume III, The Far East , pp.773-774.
②日本侵占东北后,曾竭尽全力到处寻找石油。但囿于日本的勘探技术,当时在东北地区穷其所能也未找到大储藏量的石油资源,后来仅利用在抚顺发现的油页岩矿,于1936年建了抚顺西炼油厂,年产粗油14万吨。所以,在东北地区以后建立的炼油厂所用原油,几乎全是进口原油。
③The Ambassador in China (Johnson) to the Secretary of State, FRUS, 1935, Volume III, The Far East, p.933.
①Edward W. Chester, United States Oil Policy and Diplomacy: A Twentieth-Century Overview, Westport, Conn. : Greenwood Press, 1983, p.296.
①[英]J·G·斯塔克著,赵维田译,温光均校:《国际法导论(1977年第八版)》,北京:法律出版社,1984年,第125页。
②从19世纪五六十年代开始,近代石油工业在西方一些资本主义国家迅速发展起来。一直到1900年前这一阶段,人们仅从原油中提炼煤油用以点灯照明,因而被称为世界石油发展史上的“煤油时代”。由于西方列强特别是美、俄等西方国家在“煤油时代”国内的石油需求量有限,于是,他们便把大量的石油产品(主要是煤油)在19世纪70年代输往中国。(梁华、刘金文总编,刘立范、张无强、张叔岩主编:《中国石油通史(1840-1949)》,北京:中国石化出版社,2003年,第105-106页)
③尹希尧:《美孚石油公司对东北市场的垄断》,载中国人民政治协商会议辽宁省暨沈阳市委员会文史资料研究委员会编:《文史资料选辑》第3辑,沈阳:辽宁人民出版社,1963年,第30-31页。
①尹希尧:《美孚石油公司对东北市场的垄断》,载中国人民政治协商会议辽宁省暨沈阳市委员会文史资料研究委员会编:《文史资料选辑》第3辑,沈阳:辽宁人民出版社,1963年,第32页。
②苗利华:《美孚石油公司》,载陆坚心、完颜绍元主编:《20世纪上海文史资料文库》第4辑,上海:上海书店出版社,1999年,第12页。
③《申报》,1929年12月25日,页2,以半版篇幅刊载“美孚牌”汽油广告。图中采用两人对话方式“请问用什么汽油顶好呢?”“用美孚汽油顶好,他的牌子老油质好”。此即为美孚石油公司推广汽油产品的一个明证。
④Warren I. Cohen, The Chinese connection: Roger S. Green, Thomas W. Lamont, George E. Sokolsky, and American-East Asian Relations, New York: Columbia University Press, 1978, pp.13-17.
①The Consul General at Mukden (Ballantine) to the Chargéin China (Gause), Febrary 16, 1935, FRUS, 1935, Volume III, The Far East, pp.64-65.
②Justus D. Doenecke, The Diplomacy of Frustration: The Manchuria Crisis of 1931-1933 as Recealed in the Papers of Stanley K. Hornbeck, Stanford, California: Hoover Institution Press, 1981, p.63.
③The Consul General at Mukden (Ballantine) to the Chargéin China (Gause), Febrary 16, 1935, FRUS, 1935, Volume III, The Far East, p. 65.
①The Consul General at Harbin (Adams) to the Minister in China (Johnson), March 21, 1935, FRUS, 1935, Volume III, The Far East, pp. 86-88.
②New York Times, 1935.7.30.
③中央档案馆、中国第二历史档案馆、吉林省社会科学院合编:《日本帝国主义侵华档案资料选编伪满傀儡政权》,北京:中华书局,1994年,第126页。
④李群:《20世纪30年代日本在中国东北撤销治外法权问题研究》,载中国社会科学院近代研究所编:《中国抗战与世界反法西斯战争——纪念中国人民抗日战争暨世界反法西斯战争胜利60周年学术研讨会文集》中卷,北京:社会科学文献出版社,2009年,第558页。
①The Ambassador in China (Johnson) to the Secretary of State, July 29, 1936, FRUS, 1936, Volume IV, The Far East, p.255.
②中央档案馆、中国第二历史档案馆、吉林省社会科学院合编:《日本帝国主义侵华档案资料选编伪满傀儡政权》,北京:中华书局,1994年,第128页。
③伪满洲国《政府公报》,1937年11月5日。
④The American Ambassador in Japan (Grew) to the Japanese Minister for Foreign Affairs (Hirota), December 1, 1937, FRUS, Japan: 1931-1941, Volume I, p.154.
⑤The Counselor of Embassy in China (Lockhart) to the Secretary of State, December 3, 1937, FRUS, 1937, Volume III, The Far East, p. 946.
⑥The Secretary of State to the Coun8elor of Embassy in China (Lockhart), at Peiping, December 23, 1937, FRUS, 1937, Volume III, The Far East, p. 952.
①伪满洲国《政府公报》,1932年4月1日。
②吴欣哲:《日本殖民主义下的满洲国法制(1932-1945)》,台湾国立政治大学法律学系硕士论文,2004年,第36页。
①有关谢介石的情况,参见许雪姬:《是勤王还是叛国——「满洲国」外交部总长谢介石的一生及其认同》,台湾中央研究院近代史研究所集刊第57期,第57-117页。
②[日]满洲国史编纂刊行会编、黑龙江省社会科学院历史研究所译:《满洲国史(总论)》,1990年内部发行,第228页。
③王绍中:《伪满对外关系的几个问题》,载伪满洲国皇宫陈列馆编:《伪皇宫陈列馆年鉴1988年》,第138页。
④当然,这一时期伪满洲国也在积极与西方国联系,希望获得其承认。例如德国在1934年已经开始考虑事实上的承认问题,在德国看来,承认伪满洲国已不再是原则问题,而只是时机、利益问题,不承认政策也仅仅是个形式。及至1935年德国远东经济考察团访问伪满洲国之后,这种事实上的承认迅速向法律上的承认转化,并最终在1938年希特勒公开表示承认。
①中央档案馆、中国第二历史档案馆、吉林省社会科学院合编:《日本帝国主义侵华档案资料选编伪满傀儡政权》,北京:中华书局,1994年,第274-281页。
①中央档案馆、中国第二历史档案馆、吉林省社会科学院合编:《日本帝国主义侵华档案资料选编伪满傀儡政权》,北京:中华书局,1994年,第264页。
①刘明远、陈丰、王桂梅编著:《走进周期性金融危机的深处》,北京:金盾出版社,2009年,第46页。
②James C. Thomson Jr., The Role of the Department of State in Dorothy Borg, Shumpei Okamoto, Dale K. A. Finlayson ed., Pearl Harbor as History:Japanese-American Relations, 1931-1941, New York: Columbia University Press: 1973, p.84.
③James C. Thomson Jr., The Role of the Department of State in Dorothy Borg, Shumpei Okamoto, Dale K. A. Finlayson ed., Pearl Harbor as History:Japanese-American Relations, 1931-1941, New York: Columbia University Press: 1973, p.84.
①James C. Thomson Jr., The Role of the Department of State in Dorothy Borg, Shumpei Okamoto, Dale K. A. Finlayson ed., Pearl Harbor as History:Japanese-American Relations, 1931-1941, New York: Columbia University Press: 1973, p.83.
②Cordell Hull, The Memoirs of Cordell Hull, Volume I, New York: the Macmillan Company, 1948, pp.894-895.
③Cordell Hull, The Memoirs of Cordell Hull, Volume I, New York: the Macmillan Company, 1948, p.895.
①日本外务省编:《日美谈判资料》第1部,第13页,转引自俞辛焞著:《近代日本外交研究》,天津:天津古籍出版社,2006年,第297页。
①Proposal Presented to the Department of State Through the Medium of Private American and Japanese Individuals on April 9, 1941, FRUS, Japan: 1931-1941, Volume II, pp.398-402.
②Memnorandumn by the Secretary of State, April 16, 1941, FRUS, Japan: 1931-1941, Volume II, pp.406-407.
③Cordell Hull, The memoirs of Cordell Hull, Volume II, New York: Macmillan Co., 1948, p.995.
①丁则勤:《论一九四一年美日谈判中美国政府的对日妥协倾向与中国问题》,载李铮、蒋忠新主编:《季羡林教授八十华诞纪念论文集》(上册),南昌:江西人民出版社,1991年,第423页。
②[美]罗伯特?菲斯著,周颖如、李嘉善译:《通向珍珠港之路——美日战争的来临》,北京:商务印书馆,1983年,第218-219页。
③Renewed Insistence by the Japanese Government upon its Peaceful Purposes-Resumption of Conversations, FRUS, Japan: 1931-1941, Volume II, pp.345-348.
④日本外务省编:《日本外交年表及主要文书》(下册),第543-545页,转引自臧运祜:《近代日本亚太政策的演变》,北京:北京大学出版社,2009年,第275页。
①Roberta Wohlstetter, Pearl Harbor: Warning and Decision, Palo Alto, California: Stanford University Press, 1962, p.146.
②Roberta Wohlstetter, Pearl Harbor: Warning and Decision, Palo Alto, California: Stanford University Press, 1962, p.146.
①George M Waller edited with an introduction, Pearl Harbor : Roosevelt and the coming of the war, D C Heath & Co., 1976, p.338.
②Joseph P. Lash, Roosevelt and Churchill, 1939-1941: The Partnership That Saved the West, New York : W. W. Norton, 1976, p.469.
③Roberta Wohlstetter, Pearl Harbor: Warning and Decision, Palo Alto, California: Stanford University Press, 1962, p.518.
④咨文全文可参见复旦大学历史系中国近代史教研组:《中国近代对外关系史资料选辑(1840-1949)》(下卷第二分册),上海:上海人民出版社,1977年,第161-162页。
⑤王庆祥在《末代皇帝溥仪改造全纪录》(天津:天津人民出版社,2009年)一书中详细回顾了《时局诏书》出台的过程,指出该诏书是日本负责起草的,而溥仪只是被推向前台表演的傀儡。该诏书的出台,也恰恰说明了伪满洲国的所谓“外交”是完全从属于日本的。
①《盛京时报》,1941年12月10日。
②伪满洲国皇宫陈列馆编:《伪皇宫陈列馆文集1991年》,第102页。
③吉林省金融研究所:《伪满洲中央银行史料》,长春:吉林人民出版社,1984年,第462页。
④即苟尔雷(Louis Hill Gourley)。
⑤哈尔滨市地方志编纂委员会:《哈尔滨市志·外事对外经济贸易旅游》,哈尔滨:黑龙江人民出版社,1998年,第23、54、68页。
①[美]罗伯特·达莱克著,陈启迪等译:《罗斯福与美国对外政策(1932-1945)》下册,商务印书馆,1984年,第459页。
②Dean Acheson, Present at the Creation: My Years in the State Department, New York: W. W. Norton, Inc., 1969, p.15.
③孔华润:《美国领导人与东亚(1931-1938)》,载[美]入江昭、孔华润编:《巨大的转变:美国与东亚(1931-1949)》,复旦大学出版社,1991年,第4页。
④对此过程,前文已经详细论述,此不赘言。
①俞辛焞著:《近代日本外交研究》,天津:天津古籍出版社,2006年,第297页。
②伪满洲国遵循日本旨意发布《时局诏书》,并非是对美国的正式宣战,但《时局诏书》的发布却表明伪满洲国与美国已经进入到事实上的战争状态。
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①《苏州大学学报(哲学社会科学版)》,2006(6):88-92.
①关于所涉部门的详尽分析,亦见于欧内斯特·梅、小詹姆斯·汤姆逊主编的《美中关系史论——兼论美国与亚洲其它国家的关系》(北京:中国社会科学出版社,1991年)。
②[美]欧内斯特·梅、小詹姆斯·汤姆逊主编,齐文颖等译:《美中关系史论——兼论美国与亚洲其它国家的关系》,北京:中国社会科学出版社,1991年,第212页。
①Dean Acheson, Present at the Creation: My Years in the State Department, New York: W.W. Norton, Inc., 1969, p.15.
②对30年代国务院的官僚政治所做的深刻写照,见小詹姆斯·汤姆森的《国务院的作用》(James C, Thomson, Jr., The Role of the Department of State, in Dorothy Borg, Shumpei Okamoto ed. Pearl Harbor as History: Japanese-American Relations, 1931-1941, New York: Columbia University Press, pp.81-106.)。
③[美]欧内斯特·梅、小詹姆斯·汤姆逊编:《美中关系史论——兼论美国与亚洲其它国家的关系》,北京:中国社会科学出版社,1991年,第245页。
①该书已有中译版本,[美]约瑟夫·C·格鲁著,蒋相泽译:《使日十年——1932至1942年美国驻日大使格鲁的日记及公私文件摘录》,商务印书馆,1983年。
②Nelson T. Johnson,又译为纳尔逊·约翰逊。从1930年2月1日开始担任美国驻华公使,1935年9月17日两国外交关系升格为大使级,詹森担任大使至1941年5月14日。Cathal J. Nolan ed., Notable U.S. Ambassadors Since 1775, A Biographical Dictionary, Greenwood Press, pp.201-204.
①Charles S. Campbell, Jr., Special Business Interests and the Open Door Policy,New Haven: Yale University Press, 1968, pp.29-30.
①William A. Williams, The Tragedy of American Diplomacy, Cleveland and New York: The World Publishing Company, 1959, p.30.
②Charles S. Campbell, Jr., Special Business Interests and the Open Door Policy, New Haven: Yale University Press, 1968, p.12.
③Walter Lafeber, The New Empire: An Interpretation of American Expansion, 1860-1898, New York: Cornell University Press, 1963, p.375.
①Ernest N. Paolino, The Foundations of the American Empire: William Henry Seward and U. S. Foreign Policy, New York: Cornell University Press, 1973, p.26.
②Ernest N. Paolino, The Foundations of the American Empire: William Henry Seward and U. S. Foreign Policy, New York: Cornell University Press, 1973, p.29.
③王玮主编:《美国对亚太政策的演变(1776-1995)》,济南:山东人民出版社,1995年,第96页。
④王晓德著:《美国对外关系史散论》,北京:中华书局,2007年,第598页;王玮、戴超武著:《美国外交思想史(1775-2005年)》,北京:人民出版社,2007年,第171页。
①United States Department of State, Papers relating to the foreign relations of the United States, 1899, Washington D. C.: Government Printing Office, 1901, pp.129-130. Hereafter cited as FRUS.
②[美]孔华润著,张静尔译:《美国对中国的反应——中美关系的历史剖析》,上海:复旦大学出版社,1997年,第42页。
③Mr. Hay to Mr. Herdliska, July 3, 1900, FRUS, 1900, p.299.
①杨生茂、冯承柏、李元良编:《美西战争资料选辑》,上海:上海人民出版社,1981年,第287页。
②The Annual Message of the President Transmitted to Congress, December 3, 1901, FRUS, 1901, pp. li-liii.
③Dana G. Munro, American Commercial Interests in Manchuria, Annals of the American Academy of Political and Social Science, Volume 39, China: Socialand Economic Conditions (January, 1912), pp.154-168.该文对美国在东北的商业利益做了详细统计,包括大量表单数据。
④[日]井上清、铃木正四著,杨辉译:《日本近代史》上册,北京:商务印书馆,1959年,第251页。
①Elting Morrison ed., The Letters of Theodore Roosevelt, Volume VII, Cambridge: Harvard University Press, 1951, p.764.
②Elting Morrison ed., The Letters of Theodore Roosevelt, Volume IV, Cambridge: Harvard University Press, 1951, p.724.
③Elting Morrison ed., The Letters of Theodore Roosevelt, Volume IV, Cambridge: Harvard University Press, 1951, pp.1283-1287.
④Elting Morrison ed., The Letters of Theodore Roosevelt, Volume IV, Cambridge: Harvard University Press, 1951, p.482.
⑤王芸生编著:《六十年来中国与日本》(第四卷),北京:生活·读书·新知三联书店,2005年,第204-205页。
①Lloyd C. Griscom, Diplomatically Speaking, Boston: Little, Brown and Company, 1940, p.263.
②王芸生编著:《六十年来中国与日本》(第五卷),北京:生活·读书·新知三联书店,2005年,第13页。
①杨生茂主编:《美国外交政策史(1775-1989)》,北京:人民出版社,1991年,第251页。另据《纽约时报》统计,从1905-1909年间,美国向东北输出的商品由2350万美元,下降到750万美元。New York Times, 1910.6.18.
①[清]徐世昌等编纂,李澍田等点校:《东三省政略》,长春:吉林文史出版社,1989年,第1页。
②王绍坊著:《中国外交史:鸦片战争至辛亥革命时期(1840-1911)》,郑州:河南人民出版社,1988年,第353-354页。
①关于第一次《日俄密约》全文,可参见蔡凤林著:《日俄四次密约——近代日本“满蒙”政策研究之一》,北京:中央民族大学出版社,2008年,第41-43页。
②The Japanese Ambassador to the Secretary of State, November 30, 1908, FRUS, 1908, pp.510-512.
①Foster Rhea Dulles, China and America, The story of Their Relations Since 1784, New Jersey: Princeton University Press, 1946, p.124.
②[美]孔华润著,张静尔译:《美国对中国的反应——中美关系的历史剖析》,上海:复旦大学出版社,1997年,第67页。
③《东三省总督锡良奏折——筹借外债议筑锦瑷铁路(附草合同,宣统元年八月十八日)》,参见中华人民共和国财政部、中国人民银行总行编印:《清代外债史资料(1853-1911)》中册,内部资料,第522页。
①王彦威纂辑、王亮编:《清季外交史料》第4卷《清宣统朝外交史料》,北京:书目文献出版社,1987年,第3580页。
②王芸生编著:《六十年来中国与日本》(第五卷),北京:生活·读书·新知三联书店,2005年,第249-253页。
③The Secretary of State to Ambassador Reid, November 6, 1909, FRUS, 1910, p.234.
①条约原文可参见蔡凤林著:《日俄四次密约——近代日本“满蒙”政策研究之一》,北京:中央民族大学出版社,2008年,第63-65页。
②王彦威纂辑、王亮编:《清季外交史料》第4卷《清宣统朝外交史料》,北京:书目文献出版社,1987年,第3722页。
③Griswold. A. Whitney, The Far Eastern Policy of the United States, New York: Harcourt, Brace and company, 1938, p.132.
④Elting Morrison ed., The Letters of Theodore Roosevelt, Volume VII, Cambridge: Harvard University Press, 1951, p.190.
⑤[美]查尔斯·威维尔著,张玮瑛、李丹阳译:《美国与中国:财政和外交研究(1906-1913)》,北京:社会科学文献出版社,1990年,第145页。
⑥[苏]耶·马·茹科夫主编:《远东国际关系史》,北京:世界知识出版社,1959年,第207页。
①外务省编:《日本外交文书》第45卷第2册,日本国际联合协会,1963年,第414-422页。转引自崔丕:《近代东北亚国际关系史研究》,长春:东北师范大学出版社,1992年,第289页。
②丁名楠著:《帝国主义侵华史》第二卷,北京:人民出版社,1986年,第375页。
③倪世雄等著:《当代西方国际关系理论》,上海:复旦大学出版社,2005年,第40页。
④Arther S. Link, ed., The Papers of Woodrow Wilson, Volume 32, New Jersey: Princeton University Press,1979, p.197.
①The Japanese Ambassador to the Secretary of State, June 14, 1917, Papers relating to the foreign relations of the United States with the address of the president to Congress, December 4, 1917, p.258.
②British Documents on Foreign Affairs, PartⅡ, Series E. Asia, Volume 22, China, p.289.转引自秦珊著:《美国威尔逊政府对华政策研究》,北京:中国社会科学出版社,2005年,第141页。
①Agreement Effected by Exchange of Notes between the United States and Japan, Papers relating to the foreign relations of the United States with the address of the president to Congress December 4, 1917, pp.264-265.
②[美]查尔斯·威维尔著,张玮瑛、李丹阳译:《美国与中国:财政和外交研究(1906-1913)》,北京:社会科学文献出版社,1990年,第58页。
①Griswold. A. Whitney, The Far Eastern Policy of the United States, New York: Harcourt, Brace and company, 1938, p.217.
②[美]罗伊·沃森·柯里著,张玮瑛、曾学白译:《伍德罗·威尔逊与远东政策(1913-1921)》,北京:社会科学文献出版社,1994年,第158页。
①公约原文见王芸生编著:《六十年来中国与日本》(第八卷),北京:生活·读书·新知三联书店,2005年,第332-334页;王铁崖编:《中外旧约章汇编》(第三册),北京:生活·读书·新知三联书店,1959年,第217-220页。
②New York Times, 1922.2.18.
③中国社会科学院近代史研究所《近代史资料》编辑室主编,天津市历史博物馆编辑:《秘笈录存》,北京:中国社会科学出版社,1984年,第475页。
①[英]加文·麦柯马克著,毕万闻译:《张作霖在东北》,长春:吉林文史出版社,1988年,第58页。
②《关东厅警察长的报告》,《日本外务省档案》,MT. 161425,第7099页。转引自车维汉、朱虹、王秀华著:《奉系对外关系》,沈阳:辽海出版社,2001年,第151页。
③常城主编:《张作霖》,辽宁人民出版社,1980年,第193页。
①上海《时报》,1928年6月7日。
②即John V. A. Mac Murray,中文又译作马慕瑞或马克谟。1907年进入美国国务院,1913-1917年任美国驻华使馆头等参赞,1919-1924年任美国国务院远东司司长,1924-1925年任助理国务卿。l925-1929年任驻华公使。1930-1933年任霍普金斯大学国际关系学院院长兼教授。1942-1944年任国务卿特别助理,1944年退休。
③《东方杂志》第25卷第19期,第133页。
④何汉文编著:《中俄外交史》,北平:中华书局,1935年,第398页。
⑤黑龙江省档案馆藏东省特别行政区行政长官公署档案,第四目录,第十一卷。转引自王学良:《美国对“中东路事件”的外交政策及其失败》,载《学术研究丛刊》1985年第4期。
①[美]马士、宓享利著,姚曾廙等译:《远东国际关系史》,北京:商务印书馆,1975年,第647页。
②The Minister in China (Mac Murray) to the Secretary of State, July 22, 1929, FRUS, 1929, Volume II, pp.227-228.
③王学良在《美国对“中东路事件”的外交政策及其失败》(载《学术研究丛刊》,1985年第4期)一文中认为,美国在中东路事件初期积极采取“仲裁方式”解决,并为此积极奔走,但根据FRUS档案显示,事实并非如此。
①The Secretary of State to the Minister in China (Mac Murray), July 13, 1929, FRUS, 1929, Volume II, p.200.?
②? The Secretary of State to the Minister in China (Mac Murray), July 19, 1929, FRUS, 1929, Volume II, pp.215-217.?
③? The Secretary of State to the Minister in China (Mac Murray), July 22, 1929, FRUS, 1929, Volume II, p.223.?
④? The Minister in China (Mac Murray) to the Secretary of State, July 26, 1929, FRUS, 1929, Volume II, p.250.?
⑤? The Secretary of State to the French Ambassador (Claudel), AIDE MEMOIRE, FRUS, 1929, Volume II, pp.242-244.?
①The Naval Attache in China (Powell) to Mac Murray, August 2, 1929, FRUS, 1929, Volume II, pp.267-270.
②The Secretary of State to the Chargéin Japan (Neville), November 26, 1929, FRUS, 1929, Volume II, pp.350-352.?
③? The Secretary of State to Certain Diplomatic Representatives, December 1, 1929, FRUS, 1929, Volume II, p.372.?
④[台]教育部主编:《中华民国建国史》第三编,台北:国立编译馆,1989年,第1048页。
①The Chargéin China(Perkins) to the Secretary of State, Nov.27, 1929, December 5, 1929, FRUS, 1929, Volume II, pp.392-393.
②《伯力议定书》全文可参见[台]国立编译馆主编,陈志奇辑编:《中华民国外交史料汇编(六)》台北:渤海堂文化事业有限公司,1996年,第2514-2515页。
③沈予著:《日本大陆政策史(1868-1945)》,社会科学文献出版社,2005年,《前言》第3-4页。当然,关于大陆政策的形成时间及标志,史学界一向存在不同意见,参见周颂伦:《近代日本的基本国策——大陆政策》,载《江海学刊》2004年第1期。
①复旦大学历史系中国近代史教研组:《中国近代对外关系史资料选辑(1840-1949)》下卷第一分册,上海:上海人民出版社,1977年,第140页。
①复旦大学历史系中国近代史教研组:《中国近代对外关系史资料选辑(1840-1949)》下卷第一分册,上海:上海人民出版社,1977年,第143页。
②王绳祖主编:《国际关系史》(第五卷),北京:世界知识出版社,1995年,第57页。
③日本国际政治学会:《走向太平洋之路别卷·资料编》,东京:朝日新闻社,1963年,第86页。转引自胡德坤著:《中日战争史(1931-1945)》,武汉:武汉大学出版社,1987年,第8页。
④即平定阶段、统治阶段、国防阶段。参见吴相湘编著:《第二次中日战争史(1931-1945)》上册,台北:综合月刊社,1975年,第76页。
⑤日本国际政治学会:《走向太平洋之路别卷·资料编》,东京:朝日新闻社,1963年,第105-107页。转引自中国史学会、中国社会科学院近代史研究所编,章伯锋、庄建平主编:《抗日战争第一卷从九一八至七七》,成都:四川大学出版社,1997年,第84页。
①中国国民党中央委员会党史委员会编印,秦孝仪主编:《中华民国重要史料初编——对日抗战时期》续编(一),台北:文物供应社,1980年,第281页。
②[美]韦罗贝著,薛寿衡等译:《中日纠纷与国联》,上海:商务印书馆,1937年,第26-27页。
③Rohan Butler, J. P. T. Bury, M. E. Lambert ed., Documents on British Foreign Policy, 1919-1939, Second Series, Volume III, Her Majesty's Stationery Office, 1960, pp.826-828.
①Rohan Butler, J. P. T. Bury, M. E. Lambert ed., Documents on British Foreign Policy, 1919-1939, Second Series, Volume IX, Her Majesty's Stationery Office, 1960, pp.282-283.
②Christopher Thorne, The Limits of Foreign Policy: The West, The League, and the Eastern Crisis of 1931-1933, London: Hamish Hamilton, 1972, p.189.
①The Minister in China (Johnson) to the Secretary of State, September 19, 1931, FRUS, Japan: 1931-1941, Volume I, p.1.
②The Minister in China (Johnson) to the Secretary of State, September 22, 1931, FRUS, Japan: 1931-1941, Volume I, p.5.
③Russell D. Buhite, Nelson T. Johnson and American Policy toward China, 1925-1941, East Lansing: Michigan State University Press, 1968, p.163.
④时为中国驻国联代表。
①[美]入江昭、孔华润编:《巨大的转变:美国与东亚(1931-1949)》,上海:复旦大学出版社,1991年,第3页。
②Henry L. Stimson, The Far Eastern Crisis: Recollection and Observations, New York: Harper and Brothers, 1936, pp.34-37.
③The Secretary of State to the Minister in Switzerland (Wilson), at Geneva, September 23, 1931, FRUS, 1931, Volume III, The Far East, p.48.
④Memorandum of Trans-Atlantic Telephone Conversation, FRUS, 1931, Volume III, The Far East, pp.50-51.
⑤Memorandum by the Secretary of State, September 22, 1931, FRUS, Japan: 1931-1941, Volume I, pp.5-8.?
①The Secretary of State to the Charge in Japan (Neville), September 24, 1931, FRUS, Japan: 1931-1941, Volume I, pp.8-9.
②[美]孔华润著、张静尔译:《美国对中国的反应——中美关系的历史剖析》,上海:复旦大学出版社,1997年,第111页。
③杭州师范大学民国史研究中心的袁成毅先生认为,“国际社会之所以聚焦轰炸锦州,最重要的原因在于它是日本军队实施无差别轰炸的第一次,事实上也开启了第二次世界大战中的无差别轰炸。”(载《中国社会科学报》,2010年3月2日)
④[美]入江昭、孔华润编:《巨大的转变:美国与东亚(1931-1949)》,上海:复旦大学出版社,1991年,第6页。
①The Vice Consul at Mukden (Lynch) to the Minister in China, September 20, 1931, FRUS, 1931, Volume III, The Far East, p.21.
②金安泰:《“九·一八”事变与美国外交》,载《史学集刊》1983年第3期。
③Henry L. Stimson, The Far Eastern Crisis: Recollection and Observations, New York: Harper and Brothers, 1936, p.67.
④金安泰:《“九·一八”事变与美国外交》,载《史学集刊》1983年第3期。
⑤9月30日决议是国联关于中日冲突的第一个决议,主要规定日军于下一次国联会议(即此次)召开前“撤回原地”。
⑥Resolution Voted Upon by the Council of the League of Nations on October 24, 1931, FRUS, Japan: 1931-1941, Volume I , pp.29-30.?
⑦? The Secretary of State to the Consul General at Nanking (Peck), October 27, 1931, FRUS, Volume III, The Far East, p.331.
①Memrorandum by the Unddr Secretary of State (Castle), November 2, 1931, FRUS, Volume III, The Far East, p. 351.
②[美]入江昭、孔华润编:《巨大的转变:美国与东亚(1931-1949)》,上海:复旦大学出版社,1991年,第7页。
③Memorandum by the Secretary of State of a Conversation With the Japanese Ambassador (Debuchi), November 19, 1931, FRUS, Japan: 1931-1941, Volume I, pp.45-46.
④Memorandum by the Secretary of State, November 22, 1931, FRUS, 1931, Volume III, The Far East, pp.534-535.
①Memorandum by the Secretary of State, January 7, 1932, FRUS, 1932. Volume III, The Far East, p.8.
②[日]匝胤瑳次著,杨敬慈译述:《日本军人眼中之日美危机》,上海:大公报社,1932年,第424页。
①Rohan Butler, J. P. T. Bury, M. E. Lambert ed., Documents on British Foreign Policy, 1919-1939, Second Series, Volume IV, Her Majesty's Stationery Office, 1960, pp.102.
②罗家伦主编:《革命文献》第34辑,台北:正中书局,1956年,第7798页。
③日本国际政治学会编:《太平洋战争への道2满洲事变》,东京:朝日新闻社,1962年,第24页。转引自史桂芳著:《近代日本人的中国观与中日关系》,北京:社会科学文献出版社,2009年,第175页。
①日本国际政治学会编:《太平洋战争への道资料篇》,东京:朝日新闻社,1962年,第167页。转引自何兰著:《政治游戏中的一张王牌——德国对伪满洲国政策研究》,长春:吉林人民出版社,2001年,第76-77页。
②日本国际政治学会:《走向太平洋战争之路·资料篇》,东京:朝日新闻社,1962年,第124页。转引自胡德坤著:《中日战争史(1931-1945)》(修订本),武汉:武汉大学出版社,2005年,第21-22页。
①Henry L. Stimson, The Far Eastern Crisis: Recollection and Observations, New York: Harper and Brothers, 1936, p.175.
②《日本外务省外交文书·满洲事变》第2卷第2册,第231-234页,转引自武寅著:《从协调外交到自主外交——日本在推行对华政策中与西方列强的关系》,北京:中国社会科学出版社,1995年,第140页。
①花谷正:《我们为什么选择溥仪》,孙邦主编:《九·一八事变》,长春:吉林人民出版社,1993年,第593页。
②《盛京时报》,第7955号,大同元年(1932)3月16日,第2版。
③Memorandum by the Secretary of State, March 17, 1932, FRUS, 1932, Volume III, The Far East, p.592.
④国联调查团正式成立于1932年1月21日,团长为英国驻国联代表、前印度代理总督罗伯特·李顿(V. A. G. R. Lytton),团员有美国前任菲律宾总督麦考益、法国前任安南(越南)军司令官劳德、德国前任东非总督施奈、意大利前任南美各国公使马柯迪。此外,中国前外交部长顾维钧和日本驻土耳其大使吉田伊三郎作为调查团顾问,分别代表本国政府襄助调查团工作。
⑤The Secretary of State to the Consul at Geneva (Gilbert), January 21, 1932, FRUS, 1932, Volume III, The Far East, pp. 42-43; The Secretary of State to the Consul General at Shanghai (Cunningham) , January 29,1932, FRUS, 1932, Volume III, The Far East, pp. 100-101.
①The Consul General at Mukden (Myers) to the Minister in China (Johnson), June 3, 1932, FRUS, 1932, Volume IV, The Far East, pp. 58-60.
②The Consul General at Harbin (Hanson) to the Minister in China (Johnson), May 23, 1932, FRUS, 1932, Volume IV, The Far East, pp. 33-34.
③上海申报编辑著:《国联调查团报告书》,1932年,第102页。
①罗家伦主编:《革命文献》第40辑,台北:中央文物供应社,1978年,第2756-2757页。
②罗家伦主编:《革命文献》第40辑,台北:中央文物供应社,1978年,第2764页。
①The Secretary of State to the Minister in China (Johnson), March 8, 1932, FRUS, 1932, Volume III, The Far East, pp. 529-530.
②The Secretary of State to Ambassador Guthrie, May 11, 1915, FRUS, 1915, p.146.
①Richard N. Current, The Stimson Doctrine and the Hoover Doctrine, The American Historical Review, Volume 59, No. 3. (April, 1954), pp. 513-542.
②Elting E. Morison, The Turmoil and Tradition: A Study of the Life and Times of Henry L. Stimson, Boston: Houghton Mifflin, 1960, p.312.
③[英]奥本海著,詹宁斯、瓦茨修订,王铁崖等译《奥本海国际法》第一卷第一分册,北京:中国大百科全书出版社,1995年,第122页。
①关于德拉诺家族与中国的关系,参见邓蜀生著:《罗斯福:自由世界的盟主》,台北:百观出版社,1995年,第17-18页;Nathan Miller, The Roosevelt Chronicles: The Story of a Great American Family, New York: Doubleday and Co., 1979, pp.182-183.
②Elliot Roosevelt, As He Saw It, New York: Duell, Sloan and Pearce, 1946, p.158.
③Herbert Feis, 1933: characters in crisis, Boston: Little, Brown and Company, 1966, pp.48-52.
④Charles Beard, American Foreign Policy in the Making, 1932-1940, New Heaven: Yale University Press, 1947, p.137.
①Robert Ferrell: American Diplomacy in the Great Depression, Hoover-Stimson Foreign Policy, 1929-1932, New Heaven: Yale University Press, 1957, p. 241.
②Charles Beard, American Foreign Policy in the Making, 1932-1940, New Heaven: Yale University Press, 1947, p.141.
③Bernard Sternsher, The Stimson Doctrine: F. D. R. Versus Moley and Tugwell, The Pacific Historical Review, Volume 31, No. 3 (August, 1962), p. 284.
①张毅军、林永文等编著:《美国政府机构手册》,军事谊文出版社,2000年,第23页。
②赫尔从1906年进入政坛开始,便对处理国际间的关贸秩序问题情有独钟,因此被誉为“税务专家”。
③Waldo H. Heinrichs, Jr.,“1931-1937,”in Ernest May and James C. Thomas Jr. ed., American-East Asian Relations: A Survey, Cambridge: Harvard University Press, 1972, p.252.
④Dean Acheson, Present at the Creation: My Years in the State Department, New York: W. W. Norton, Inc., 1969, p.15.
①Ernest May and James C. Thomas Jr. ed., American-East Asian Relations: A Survey, Cambridge: Harvard University Press, 1972, p.250.
②浙江大学校史编写组编:《浙江大学简史》(第1卷),杭州:浙江大学出版社,1996年,第12页。
③Shizhang Hu, Stanley K. Hornbeck and the Open Door Policy, 1919-1937, London: Greenwood Publishing Group, 1995, p.23.
④1916年,霍恩贝克完成《当代远东政治》(Contemporary politics in the Far East)一书,该书出版后风靡一时,曾先后八次再版。霍恩贝克亦因此奠定了远东问题专家的地位。
⑤关于霍恩贝克在美国远东政策制定中的作用,可参见Waldo H. Heinrichs, Jr.,“1931-1937”, in Ernest May and James C. Thomas Jr. ed., American-East Asian Relations: A Survey, Cambridge: Harvard University Press, 1972, p.217; Frederich W Marks III., Wind over Sand: The Diplomacy of Franklin Roosevelt, Athens: University of Georgia Press, 1988, pp.48-49; Russell D. Buhite,“The Open Door in Perspective,”in Frank J. Merli and Theodore A. Wilson ed., Makers of American diplomacy, from Benjamin Franklin to Henry Kissinger, New York: Simon & Schuster Adult Publishing Group, 1974, pp.431-432. etc.
⑥James C. Thomson Jr., The Role of the Department of State in Dorothy Borg, Shumpei Okamoto, Dale K. A. Finlayson ed., Pearl Harbor as History:Japanese-American Relations, 1931-1941, New York: Columbia University Press: 1973, pp.82-83.
⑦中国社会科学院近代史研究所翻译室编:《近代来华外国人名辞典》,北京:中国社会科学出版社,1981年,第189页。
①沈阳曾数度易名:1634年,清太宗皇太极改沈阳为盛京。1657年,清朝以“奉天承运”之意在沈阳设奉天府。1911年辛亥革命后,奉天逐渐发展成为以张作霖为首的奉系军阀统治中心。1923年,张作霖正式设立的奉天市政公所为沈阳市建市伊始。1928年“皇姑屯事件”后,张学良“东北易帜”,并于次年将奉天市改名为沈阳市。1932年伪满洲国建立后沈阳市名称改回奉天市。抗日战争结束后,奉天市恢复沈阳市的名称。
②Waldo H. Heinrichs Jr., American ambassador: Joseph C. Grew and the development of the United States, New York: Oxford University Press, 1986, p.186.
③Joseph C. Grew, Ten years in Japan: A contemporary record drawn from the diaries and private and official papers of Joseph G. Grew, United States ambassador to Japan, 1932-1942, New York: Simon & Schuster, 1944, p.80.
④K. Marlin Friedrich, In Search of A Far Eastern Policy: Joseph Grew, Stanley Hornbeck, and American-Japanese relations, 1937-1941, Michigan: University Microfilms, 1980, Preface p. IV.
①Trip to Far East, Diary, October 26, 1933.
②Trip to Far East, Diary, December 5, December 11, 1933.
③The Counnselor of Legation in China (Peck) to the Secretary of State, December 6, 1933, FRUS, 1933, Volume III, The Far East, p.477.
④1933年11月16日,苏美两国正式建立了外交关系。参见《中华民国史事纪要》编辑委员会编:《中华民国史事纪要(初稿)1933年10-12月》,台北:文物供应社,第734-746页。
①Trip to Far East, Diary, October 26, December 5, December 11, December 12, 1933.
②颜品忠主编:《花旗银行在华掠夺纪实》,北京:新世界出版社,2004年,第27页。
③Trip to Far East, Diary, November 2, November 20, November 29, November 27, 1933; January 8, 1934.
④高家龙:《企业、政府与中国战争》,入江昭、孔华润编:《巨大的转变:美国与东亚(1931-1949)》,上海:复旦大学出版社,1991年,第122页。
①MacGregor Clauss, Errol, The Roosevelt Administration and Manchukuo, 1933-1941 , Historian, 32:4 (1970:August), p.601.
②The Secretary of State to the Consul General at Shanghai (Cunningham), March 27, 1934, FRUS, 1934, Volume III, The Far East, p.91.
①伪满洲国《政府公报》,1933年3月1日号外。
②滕利贵:《伪满经济统治》,长春:吉林教育出版社,1992年,第5页。
①日本经济新闻社编:《昭和经济历程3日本的企业》,北京:东方出版社,1992年,第31页;吉林省政协文史资料委员会编:《“九·一八”事变资料汇编》,长春:吉林文史出版社,1991年,第140页。
②[日]满史会著,东北沦陷十四年史辽宁编写组译:《满洲开发四十年史》上卷,内部资料,1988年,第43页。
③伪满的专卖制度开始于1933年3月,各种专卖法规的施行情况可参见杨荫波:《伪满的专卖制度》,载孙邦主编:《经济掠夺》,长春:吉林人民出版社,1993年,第64-67页。
①《中华民国海关华洋贸易总册》,1912年,第18页。转引自[台]吴翎君著:《美孚石油公司在中国(1870-1933)》,台北:稻香出版社,2001年,第44页。
②尹希尧:《美孚石油公司对东北市场的垄断》,载中国人民政治协商会议辽宁省暨沈阳市委员会文史资料研究委员会编:《文史资料选辑》第3辑,沈阳:辽宁人民出版社,1963年,第29页。
③[台]吴翎君著:《美孚石油公司在中国(1870-1933)》,台北:稻香出版社,2001年,第57页。
①尹希尧:《美孚石油公司对东北市场的垄断》,载中国人民政治协商会议辽宁省暨沈阳市委员会文史资料研究委员会编:《文史资料选辑》第3辑,沈阳:辽宁人民出版社,1963年,第28-36页。
②The Ambassador in Japan (Grew) to the Secretary of State, May 8, 1933, FRUS, 1933, Volume III, The Far East, pp.732-733.
①The Consul General at Mukden (Myers) to the Acting Secretary of State, June 2, 1933, FRUS, 1933, Volume III, The Far East, p.734.
②The Consul General at Mukden (Myers) to the Acting Secretary of State, July 10, 1933, FRUS, 1933, Volume III, The Far East, pp.736-737.
③William Bernard Ashbaugh, "The yardstick of trade": The Far Eastern Division and American-East Asian relations, 1933-1935, Ph.D. Dissertation, Temple University, 2000, p.286.
④《伪国石油株式会社法》,《外交周报》,1934年第20期,第21页。
⑤实业部地质调查所、国立北平研究院地质学研究所印行:《中国矿业纪要地质专报丙种第五号第五次(民国二十一年至二十三年)》,1935年12月,第599-600页。
⑥王才良、周珊编:《世界石油大事记》,北京:石油工业出版社,2008年,第83页。
①旭日火油公司是壳牌集团于1900年在日本设立的分支机构,英文原名为Rising Sun Petroleum。
②1934年美孚在伪满洲国的投资估计达448,096美元,相比之下,它在日本投资为7,108,587美元。参见Irvine H. Anderson, Jr., The Standard-Vacuum Oil Company and United States East Asian Policy, 1933-1941, Princeton: Princeton University Press, 1975, p.53, Table II-2.
③Irvine H. Anderson, Jr., The Standard-Vacuum Oil Company and United States East Asian Policy, 1933-1941, Princeton: Princeton University Press, 1975, pp.54-55.
④The American Embassy in Japan to the Japanese Ministry for Foreign Affairs, Informal Memorandum, FRUS, Japan, 1931-1941, Volume I, pp.130-131.
①The Japanese Ministry for Foreign Affairs to the American Embassy in Japan, August 2, 1934, FRUS, Japan, 1931-1941, Volume I, pp.132-133.
②伪满洲国《政府公报》,1934年11月14日,第二百十二号,原文为《煤油专卖法》。
③伪满洲国《政府公报》,1934年11月30日,第二百二十六号,原文为《煤油类专卖法施行令》;王卓然、刘达人主编:《外交大辞典》,北平:中华书局,1937年,第1024-1025页。
④其中美国石油公司所占的市场份额最大,如1932年,伪满洲国进口的全部石油中,有55%是由美国石油公司提供的(江红著:《为石油而战:美国石油霸权的历史透视》,北京:东方出版社,2002年,第140页)。
①The Ambassador in Japan (Grew) to the Secretary of State, December 1, 1934, FRUS, 1934, Volume III, The Far East , pp.773-774.
②日本侵占东北后,曾竭尽全力到处寻找石油。但囿于日本的勘探技术,当时在东北地区穷其所能也未找到大储藏量的石油资源,后来仅利用在抚顺发现的油页岩矿,于1936年建了抚顺西炼油厂,年产粗油14万吨。所以,在东北地区以后建立的炼油厂所用原油,几乎全是进口原油。
③The Ambassador in China (Johnson) to the Secretary of State, FRUS, 1935, Volume III, The Far East, p.933.
①Edward W. Chester, United States Oil Policy and Diplomacy: A Twentieth-Century Overview, Westport, Conn. : Greenwood Press, 1983, p.296.
①[英]J·G·斯塔克著,赵维田译,温光均校:《国际法导论(1977年第八版)》,北京:法律出版社,1984年,第125页。
②从19世纪五六十年代开始,近代石油工业在西方一些资本主义国家迅速发展起来。一直到1900年前这一阶段,人们仅从原油中提炼煤油用以点灯照明,因而被称为世界石油发展史上的“煤油时代”。由于西方列强特别是美、俄等西方国家在“煤油时代”国内的石油需求量有限,于是,他们便把大量的石油产品(主要是煤油)在19世纪70年代输往中国。(梁华、刘金文总编,刘立范、张无强、张叔岩主编:《中国石油通史(1840-1949)》,北京:中国石化出版社,2003年,第105-106页)
③尹希尧:《美孚石油公司对东北市场的垄断》,载中国人民政治协商会议辽宁省暨沈阳市委员会文史资料研究委员会编:《文史资料选辑》第3辑,沈阳:辽宁人民出版社,1963年,第30-31页。
①尹希尧:《美孚石油公司对东北市场的垄断》,载中国人民政治协商会议辽宁省暨沈阳市委员会文史资料研究委员会编:《文史资料选辑》第3辑,沈阳:辽宁人民出版社,1963年,第32页。
②苗利华:《美孚石油公司》,载陆坚心、完颜绍元主编:《20世纪上海文史资料文库》第4辑,上海:上海书店出版社,1999年,第12页。
③《申报》,1929年12月25日,页2,以半版篇幅刊载“美孚牌”汽油广告。图中采用两人对话方式“请问用什么汽油顶好呢?”“用美孚汽油顶好,他的牌子老油质好”。此即为美孚石油公司推广汽油产品的一个明证。
④Warren I. Cohen, The Chinese connection: Roger S. Green, Thomas W. Lamont, George E. Sokolsky, and American-East Asian Relations, New York: Columbia University Press, 1978, pp.13-17.
①The Consul General at Mukden (Ballantine) to the Chargéin China (Gause), Febrary 16, 1935, FRUS, 1935, Volume III, The Far East, pp.64-65.
②Justus D. Doenecke, The Diplomacy of Frustration: The Manchuria Crisis of 1931-1933 as Recealed in the Papers of Stanley K. Hornbeck, Stanford, California: Hoover Institution Press, 1981, p.63.
③The Consul General at Mukden (Ballantine) to the Chargéin China (Gause), Febrary 16, 1935, FRUS, 1935, Volume III, The Far East, p. 65.
①The Consul General at Harbin (Adams) to the Minister in China (Johnson), March 21, 1935, FRUS, 1935, Volume III, The Far East, pp. 86-88.
②New York Times, 1935.7.30.
③中央档案馆、中国第二历史档案馆、吉林省社会科学院合编:《日本帝国主义侵华档案资料选编伪满傀儡政权》,北京:中华书局,1994年,第126页。
④李群:《20世纪30年代日本在中国东北撤销治外法权问题研究》,载中国社会科学院近代研究所编:《中国抗战与世界反法西斯战争——纪念中国人民抗日战争暨世界反法西斯战争胜利60周年学术研讨会文集》中卷,北京:社会科学文献出版社,2009年,第558页。
①The Ambassador in China (Johnson) to the Secretary of State, July 29, 1936, FRUS, 1936, Volume IV, The Far East, p.255.
②中央档案馆、中国第二历史档案馆、吉林省社会科学院合编:《日本帝国主义侵华档案资料选编伪满傀儡政权》,北京:中华书局,1994年,第128页。
③伪满洲国《政府公报》,1937年11月5日。
④The American Ambassador in Japan (Grew) to the Japanese Minister for Foreign Affairs (Hirota), December 1, 1937, FRUS, Japan: 1931-1941, Volume I, p.154.
⑤The Counselor of Embassy in China (Lockhart) to the Secretary of State, December 3, 1937, FRUS, 1937, Volume III, The Far East, p. 946.
⑥The Secretary of State to the Coun8elor of Embassy in China (Lockhart), at Peiping, December 23, 1937, FRUS, 1937, Volume III, The Far East, p. 952.
①伪满洲国《政府公报》,1932年4月1日。
②吴欣哲:《日本殖民主义下的满洲国法制(1932-1945)》,台湾国立政治大学法律学系硕士论文,2004年,第36页。
①有关谢介石的情况,参见许雪姬:《是勤王还是叛国——「满洲国」外交部总长谢介石的一生及其认同》,台湾中央研究院近代史研究所集刊第57期,第57-117页。
②[日]满洲国史编纂刊行会编、黑龙江省社会科学院历史研究所译:《满洲国史(总论)》,1990年内部发行,第228页。
③王绍中:《伪满对外关系的几个问题》,载伪满洲国皇宫陈列馆编:《伪皇宫陈列馆年鉴1988年》,第138页。
④当然,这一时期伪满洲国也在积极与西方国联系,希望获得其承认。例如德国在1934年已经开始考虑事实上的承认问题,在德国看来,承认伪满洲国已不再是原则问题,而只是时机、利益问题,不承认政策也仅仅是个形式。及至1935年德国远东经济考察团访问伪满洲国之后,这种事实上的承认迅速向法律上的承认转化,并最终在1938年希特勒公开表示承认。
①中央档案馆、中国第二历史档案馆、吉林省社会科学院合编:《日本帝国主义侵华档案资料选编伪满傀儡政权》,北京:中华书局,1994年,第274-281页。
①中央档案馆、中国第二历史档案馆、吉林省社会科学院合编:《日本帝国主义侵华档案资料选编伪满傀儡政权》,北京:中华书局,1994年,第264页。
①刘明远、陈丰、王桂梅编著:《走进周期性金融危机的深处》,北京:金盾出版社,2009年,第46页。
②James C. Thomson Jr., The Role of the Department of State in Dorothy Borg, Shumpei Okamoto, Dale K. A. Finlayson ed., Pearl Harbor as History:Japanese-American Relations, 1931-1941, New York: Columbia University Press: 1973, p.84.
③James C. Thomson Jr., The Role of the Department of State in Dorothy Borg, Shumpei Okamoto, Dale K. A. Finlayson ed., Pearl Harbor as History:Japanese-American Relations, 1931-1941, New York: Columbia University Press: 1973, p.84.
①James C. Thomson Jr., The Role of the Department of State in Dorothy Borg, Shumpei Okamoto, Dale K. A. Finlayson ed., Pearl Harbor as History:Japanese-American Relations, 1931-1941, New York: Columbia University Press: 1973, p.83.
②Cordell Hull, The Memoirs of Cordell Hull, Volume I, New York: the Macmillan Company, 1948, pp.894-895.
③Cordell Hull, The Memoirs of Cordell Hull, Volume I, New York: the Macmillan Company, 1948, p.895.
①日本外务省编:《日美谈判资料》第1部,第13页,转引自俞辛焞著:《近代日本外交研究》,天津:天津古籍出版社,2006年,第297页。
①Proposal Presented to the Department of State Through the Medium of Private American and Japanese Individuals on April 9, 1941, FRUS, Japan: 1931-1941, Volume II, pp.398-402.
②Memnorandumn by the Secretary of State, April 16, 1941, FRUS, Japan: 1931-1941, Volume II, pp.406-407.
③Cordell Hull, The memoirs of Cordell Hull, Volume II, New York: Macmillan Co., 1948, p.995.
①丁则勤:《论一九四一年美日谈判中美国政府的对日妥协倾向与中国问题》,载李铮、蒋忠新主编:《季羡林教授八十华诞纪念论文集》(上册),南昌:江西人民出版社,1991年,第423页。
②[美]罗伯特?菲斯著,周颖如、李嘉善译:《通向珍珠港之路——美日战争的来临》,北京:商务印书馆,1983年,第218-219页。
③Renewed Insistence by the Japanese Government upon its Peaceful Purposes-Resumption of Conversations, FRUS, Japan: 1931-1941, Volume II, pp.345-348.
④日本外务省编:《日本外交年表及主要文书》(下册),第543-545页,转引自臧运祜:《近代日本亚太政策的演变》,北京:北京大学出版社,2009年,第275页。
①Roberta Wohlstetter, Pearl Harbor: Warning and Decision, Palo Alto, California: Stanford University Press, 1962, p.146.
②Roberta Wohlstetter, Pearl Harbor: Warning and Decision, Palo Alto, California: Stanford University Press, 1962, p.146.
①George M Waller edited with an introduction, Pearl Harbor : Roosevelt and the coming of the war, D C Heath & Co., 1976, p.338.
②Joseph P. Lash, Roosevelt and Churchill, 1939-1941: The Partnership That Saved the West, New York : W. W. Norton, 1976, p.469.
③Roberta Wohlstetter, Pearl Harbor: Warning and Decision, Palo Alto, California: Stanford University Press, 1962, p.518.
④咨文全文可参见复旦大学历史系中国近代史教研组:《中国近代对外关系史资料选辑(1840-1949)》(下卷第二分册),上海:上海人民出版社,1977年,第161-162页。
⑤王庆祥在《末代皇帝溥仪改造全纪录》(天津:天津人民出版社,2009年)一书中详细回顾了《时局诏书》出台的过程,指出该诏书是日本负责起草的,而溥仪只是被推向前台表演的傀儡。该诏书的出台,也恰恰说明了伪满洲国的所谓“外交”是完全从属于日本的。
①《盛京时报》,1941年12月10日。
②伪满洲国皇宫陈列馆编:《伪皇宫陈列馆文集1991年》,第102页。
③吉林省金融研究所:《伪满洲中央银行史料》,长春:吉林人民出版社,1984年,第462页。
④即苟尔雷(Louis Hill Gourley)。
⑤哈尔滨市地方志编纂委员会:《哈尔滨市志·外事对外经济贸易旅游》,哈尔滨:黑龙江人民出版社,1998年,第23、54、68页。
①[美]罗伯特·达莱克著,陈启迪等译:《罗斯福与美国对外政策(1932-1945)》下册,商务印书馆,1984年,第459页。
②Dean Acheson, Present at the Creation: My Years in the State Department, New York: W. W. Norton, Inc., 1969, p.15.
③孔华润:《美国领导人与东亚(1931-1938)》,载[美]入江昭、孔华润编:《巨大的转变:美国与东亚(1931-1949)》,复旦大学出版社,1991年,第4页。
④对此过程,前文已经详细论述,此不赘言。
①俞辛焞著:《近代日本外交研究》,天津:天津古籍出版社,2006年,第297页。
②伪满洲国遵循日本旨意发布《时局诏书》,并非是对美国的正式宣战,但《时局诏书》的发布却表明伪满洲国与美国已经进入到事实上的战争状态。