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    Title: 習近平時期中共對北韓制裁之研究: 結構現實主義視角
    A Study on the North Korean Sanctions by the Chinese Communist Party in Xi Jinping`s Ruling: A Perspective of Structural Realism
    Authors: 郭相立
    Kuo, Hsiang-Li
    Contributors: 邱坤玄
    Chiu, Kun-Shuan
    郭相立
    Kuo, Hsiang-Li
    Keywords: 北韓核武試驗
    制裁
    中共
    結構現實主義
    權力平衡
    North Korea’s Nuclear Test
    Sanction
    CCP
    Structural Realism
    Balance of Power
    Date: 2020
    Issue Date: 2020-08-03 18:28:39 (UTC+8)
    Abstract: 一直以來,北韓發展核武所引發的問題不單是其國內事務,而是涉及全球範圍的國際議題,隨著金正恩2011年上任後不顧國際反對進行具挑釁意味的試驗,對國際社會而言這個難題變的更為棘手。北韓在2006年第一次進行核武試驗至2017年的第六次試驗,聯合國安理會共通過了19項制裁決議作為懲戒,在這過程當中,與北韓有著不可分割的關係,同時身為常任理事國而擁有否決權的中共在每一次的決議皆投下贊成票同意對北韓進行制裁。
    然而,在投下贊成票的背後,中共並非如實地按照聯合國決議內容對北韓實施制裁,其背後的考量便成為本文之研究主軸。是以,本文透過結構現實主義與其權力平衡的宏觀概念,利用國際體系結構制約的運作框架、相關國家行為者之間的勢力消長過程、威脅認知與行為制約考量來解釋中共的對外行為,從中梳理並分析中共在習近平時期對北韓制裁的態度、執行情形,以及作為的考量因素。
    本文發現,第六次核武試驗後的2375號決議是中共態度首次發生轉變的關鍵時間點,且中共官方聲明的改變意味著其在執行力度上亦有所變化,在2013年至2019年的6年間,中共對北韓制裁的態度發生兩次轉變,因而將其分為三個時間分期。第一個時間分期為2013年3月至2017年8月,此時中共認知到美國體系與日本、南韓造成的區域威脅,並考量北韓作為戰略資產的重要性,因此對北韓傾向不制裁態度;第二個時間分期為2017年9月至2018年8月,此時中共認知到北韓第六次核試造成的衝擊,因此決定對北韓傾向嚴厲制裁態度作為抗衡;第三個時間分期為2018年9月至2019年底,此時因北韓未有核試行為而突顯出美國的體系威脅,因此中共選擇對北韓傾向不制裁態度並與其改善關係來共同遏止美國勢力。綜觀上述,依循根據本文之研究視角,本文認為中共對北韓制裁的態度選擇並非毫無依循,而是可預測的立場。
    The nuclear weapons development undergone by North Korea is not merely a domestic matter, it involves the international community in its entirety. After being elected in 2011, Kim Jong-un has conducted hostile military exercises, despite international pressure, making the dilemma more difficult to handle for the global community. From the first nuclear test carried out by North Korea in 2006 to the sixth in 2017, the Security Council in the United Nations (UN) has issued 19 sanctions as punishment. During the process, Chinese Communist Party (CCP), who is amongst those permanent members that possess veto power in the Security Council, has voted in agreement to each and every sanction regardless of having a close and inseparable relationship with North Korea.

    However, after the casting an affirmative vote, CCP did not act in accordance with the sanctions agreement the UN established upon. The reasons behind CCP’s decisions then become the focus of this study. This research look through the lens of Structural Realism and its balance of power macro concept while utilizing the international structure constraints principles, the changes in the power of those related countries, threat perception, and constrained behavior to explain CCP’s behavior. The research analyzes CCP’s attitude, execution, and actions with respect to the sanctions towards North Korea under Xi Jinping’s ruling.

    This research found that CCP changed its stance after the sixth nuclear test in resolution No. 2375. In addition, the deviations in the CCP official statement reflects the changes in the sanctions’ execution. During the six years between 2013 and 2019 CCP has shifted its attitude twice regarding sanctions on North Korea. Therefore, this research divided the timeline into three periods. The first period is from March 2013 to August 2017, CCP realized the increasing regional threats brought by the US, Japan, and South Korea and the importance to keep North Korea as its strategic assets, therefore CCP inclined toward not imposing sanctions towards North Korea. The second period is from Sep 2017 to August 2018 where CCP recognized the impact on the sixth nuclear test carried out by North Korea and consequently shown stricter execution of the sanctions to counter North Korea. Finally, the third period ranges from Sep 2018 to the end of 2019. During this timeframe, North Korea did not carry out any nuclear test, in contrast, the US forces appeared more prominent. As a result, CCP tried to rebuild its relationship with North Korea so as to strike a balance with the growing US power. From the findings above, this research argues that CCP’s attitude towards North Korea is in fact predictable.
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    賴怡忠,「習近平時代的中國大陸對北韓政策觀察」,行政院大陸委員會,大陸與兩岸情勢簡報(2017年9月),頁11-16。<https://ws.mac.gov.tw/Download.
    ashx?u=LzAwMS9VcGxvYWQvMjk1L2NrZmlsZS82YTMzYjFkYS01MjY0LTRmYzYtODAzMS02MTdkZDhiYWE1MzQucGRm&n=MTA2MDkwMy5wZGY%3D>。

    七、官方資訊
    行政院大陸委員會,https://www.mac.gov.tw/。
    中華人民共和國商務部,http://big5.mofcom.gov.cn/gate/big5/www.mofcom. gov.cn/
    index.shtml。
    中華人民共和國外交部,https://www.fmprc.gov.cn/web/。
    中華人民共和國國防部,http://www.mod.gov.cn/big5/。
    中華人民共和國中央人民政府網,http://www.gov.cn/。
    中華人民共和國國務院新聞辦公室,http://www.scio.gov.cn/index.htm。

    八、學位論文
    宋玉蓮,第二次北韓核武危機中共扮演角色之研究,台北:政治大學碩士學位論文,2008年。
    李國誠,中共對北韓外交決策之影響,台北:台北市立教育大學碩士學位論文,2012年。
    林宗瑤,後冷戰時期中共對北韓外交政策之研究,桃園:銘傳大學碩士在職專班學位論文,2007年。
    孟東偉,從朝鮮核是來看東北亞地區的安全困境,廣州:暨南大學碩士學位論文,2011年。
    柯正文,習近平第一任主政時其對北韓政策研究(2012-2017),台北:淡江大學碩士在職專班學位論文,2018年。
    郭天勇,從權力平衡論台海安全問題-由同盟關係切入,台北:政治大學碩士在職專班學位論文,2004年。
    張超,聯合國對朝鮮制裁研究,遼寧:遼寧大學碩士學位論文,2019年。
    謝之鵬,後冷戰時期中共核武戰略與發展之研究,台北:政治大學碩士學位論文,2004年。
    羅程龍,朝鮮半島局勢變化對中國周邊安全環境的影響,遼寧:遼寧大學碩士學位論文,2014年。


    英文部分
    一、專書
    Cha, John H. Exit Emperor Kim Jong-ll: Notes from His Former Mentor. Pleasanton: Abbott Press.
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    Garcia, Zenel. Japan’s Normalization and the South China Sea Territorial Disputes. Cham: Palgrave Pivot, 2019.
    Herz, John H. Political Realism and Political Idealism: A Study in Theories and Realities. Chicago Press: Chicago University, 1951.
    Krieger, Leonard and Stern Fritz: The Responsibility of Power: Historical Essays in Honor of Hajo Holborn. New York: Doubleday, 1967.
    Lau, Lawrence J. The China-U.S. Trade War and Future Economic Relations. Hong Kong: Chinese University Press, 2019.
    Morgenthau, Hans J. Politics among Nations. New York: McGraw-Hill, 1985.
    Morgenthau, Hans J., Politics Among Nations: The Struggle for Power and Peace. New York : Knopf, 1978.
    Newt, Gingrich. Trump vs. China: Facing America`s Greatest Threat. London: Hachette UK, 2019.
    Panetta, Leon. Sustaining U.S. Global Leadership: Priorities for 21st Century Defense. Pennsylvania: U.S. diane publishing company, 2012.
    Rinehart, Ian E. and Elias, Bart. China’s Air Defense Identification Zone (ADIZ). Washington D.C.: Congressional Research Service, 2015.
    Scobell, Andrew. North Korea’s Strategic Intentions. Pennsylvania: Strategic Studies Institute, 2005.
    Stares, Paul B. and Wit Joel, Preparing for Sudden Change in North Korea. New York: Council on Foreign Relations, 2009.
    Turcsányi, Richard Q. Chinese Assertive Actions in the South China Sea. Cham: Springer, 2017.
    Walt, Stephen M. The Origins of Alliances. London: Cornell University Press, 1987.
    Waltz, K.enneth. Theory of International Politics. Reading Mass: Addison-Wesley, 1979.
    Wohlforth, William Curtis. The Elusive Balance: Power and Perceptions during the Cold War. New York: Cornell University Press, 1993.
    Wuthnow, Joel. Chinese Diplomacy and the UN Security Council: Beyond the Veto. New York and Oxon: Routledge, 2013.

    二、專書專章
    Freeman, Carla P., “Introduction: Continuity and Change in Chinese Expert Views of North Korea.” in Freeman, Carla P. China and North Korea: Strategic and Policy Perspectives from a Changing China, London: Palgrave Macmillan, 2015, pp.1-14.
    Ramon Pacheco Pardo, “Dandong and Sinuiju: The Sino-North Korean Border Shadow Economy.” in Leila Simona Talani, Alexander, Clarkson, and Ramon Pacheco Pardo, Dirty Cities: Towards a Political Economy of the Underground in Global Cities, Berlin: Springer, October 2013, pp.89-109.
    Shi, Yinhong, “Painful Lessons, Reversing Practices, and Ongoing Limitations: China Facing North Korea since 2003.” Freeman, Carla P. China and North Korea: Strategic and Policy Perspectives from a Changing China, 2015, pp.17-36.
    Yang Xiyu, “China’s Role and Its Dilemmas in the Six-Party Talks.” in Freeman, Carla P. China and North Korea: Strategic and Policy Perspectives from a Changing China, 2015, pp.179-188.
    Zhang, Jiadong, “The US’ Indo-Pacific Initiative and Its Impact on China.” in Zhu Cuiping, Annual Report on the Development of the Indian Ocean Region (2018), Berlin: Springer, June 2019, pp.53-82.
    Zhu Feng, “North Korea’s Security Implications for China.” in Freeman, Carla P. China and North Korea: Strategic and Policy Perspectives from a Changing China, 2015, pp.37-64.

    三、期刊文章
    Arms, Control Association. “Chronology of U.S.-North Korean Nuclear and Missile Diplomacy.” Arms Control Today, Vol.48, No.3 (April 2018), pp.1-40.
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    Chiang, Min Hua. “Contemporary China-Japan Relations: the Politically Driven Economic Linkage.” East Asia, No.36 (2019). pp. 271-290.
    Choi, Jinwook. “A game changer: North Korea’s third nuclear test and Northeast Asian Security.” The Journal of East Asian Affairs, Vol.27, No.1 (Spring/Summer 2013), pp.99-125.
    Chung, Samman “North Korea’s Nuclear Threats and Counter-Strategies.” The Journal of East Asian Affairs, Vol.30, No.2 (Fall/Winter 2016), pp. 83-131.
    Clinton, Hillary. “America’s pacific Century.” Foreign Policy, No. 189, November 2011.
    Galace, Uriel N. “In Retrospect: Assessing Obama’s Asia Rebalancing Strategy.” Center for international relations strategic studies, Vol.3, No.16, December 2016.
    Gill, Bates. “China’s North Korea Policy-Assessing Interests and Influences.” United States Institute of Peace, Vol.283, No.2 (June 2011), pp.2-14.
    Gordon. H. Hanson, “The impacts of the U.S.–China trade war.” National Association for Business Economics, Vol. 55(February 2020), pp. 69-72.
    Gurtov, Mel. “Common Security in North Korea: Quest for a New Paradigm in Inter-Korean Relations.” .Asian Survey, Vol.42, No.3 (May/June 2002), pp.397-418.
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    Kashyap and Bothra. “Sino-US Trade and Trade War.” Management and Economics Research Journal, Vol. 5, No.4 (2019), pp.1-12.
    Kim, Hong Nack. “China`s Policy Toward North Korea Under the Xi Jinping Leadership.” Journal Article, Vol.9, No.2 (Fall 2013), pp.83-98.
    Klingner, Bruce. “Deny, Deceive and Delay-North Korea`s Nuclear Negotiating Strategy.” The Journal of East Asian Affairs, Vol.26, No.2 (Fall/Winter 2012), pp.1-24.
    Larus, Elizabeth Freund Shirley Naa-Kowaa Martey Hargis. “U.S. President Obama’s China Policy: a Critical assessment.” Teka Kom. Politol. Stos. Międzynar, Vol.12, No.2 (2017), pp.7-29.
    Lee, Jong Woon, Gray, Kevin. “Cause for optimism? Financial sanctions and the rise of the Sino-North Korean border economy.” Review of International Political Economy, Vol.24, No.3 (March 2017), pp.424-453.
    Lee, Seong hyon. “The Shift of Security Environment in Northeast Asia: The US–China Conflict and its Implications for Korea.” Journal for Peace and Nuclear Disarmament, Vol. 1(August 2018), pp.352-362.
    Levkowitz, Alon Ran Shauli, “The Cost of Sanctions on North Korea.” The Begin-sadat Center for strategic studies, No.1269, August 28, 2019.
    McFarland & Company. “The Chronology of the North Korean Nuclear Program.” North Korean Review, Vol.5, No.2 (Fall 2009), pp.99-110.
    Saunders, Phillip.C. “The Rebalance to Asia: U.S.-China Relations and Regional Security.” Institute for National Strategic Studies, No.281 (August 2013), pp.1-16.
    Savage,Timothy. “China`s Policy toward North Korea.” Journal Article, Vol.20, No.3 (September 2003), pp.29-35.
    Scott, Snyder. “China-Korea Relations: Political Fallout from North Korea’s Test.” Comparative Connections, Vol.8, No.4 (January 2007).
    Shen, Dingli. “North Korea’s Strategic Significance to China.” China Security (Autumn 2006), pp. 20.
    Song, Jooyoung. “Understanding China`s Response to North Korea`s Provocations.” Asian Survey, Vol.51, No.6 (November/December 2011), pp.1134-1155.
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    Xia, Liping. “The Role of Korean Factor in China`s Foreign Policy.” Korea and World Affairs, Vol.29, No.2 (Summer 2005), pp.249-276.

    四、網路資料
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    五、網站內容
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    “USS Decatur FONOP and Near Collision with Chinese warship.” Maritime Awareness Project. http://maritimeawarenessproject.org/gallery/incident-timeline
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    Cheng Xiaohe, “Chinese Perspective on the Impact of Sanctions.” Korea Economic Institute of America, August 2017. <http://www.keia.org/sites/default/files/public
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    Chong, Tai-leung, Li, Xiaoyang. “Understanding China-US Trade War: Causes, Economic Impact, and the Worst-Case Scenario.” Lau Chor Tak Institute of Global Economics and Finance The Chinese University of Hong Kong-Working Paper, February 2019.< https://www.igef.cuhk.edu.hk/igef_media/working- paper/IGEF/igef%20working%20paper%20no.%2071%20english%20version.pdf>.
    Dhawan, Ranjit Kumar. “China and its Peripheries Contentious Relations with North Korea.” Institute of Peace and Conflict Studies (August 2013), < https://www.files.ethz.ch/isn/168038/IB231-Dhawan-ChinaPeriphery-NorthKore
    a.pdf>.
    Freund, Eleanor. “Freedom of Navigation in the South China Sea: A Practical Guide.” Belfer Center, June 2017. <https://www.belfercenter.org/sites/default/files/files/
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    Glaser, Bonnie, Scott Snyder and John S. Park, “Keeping an Eye on an Unruly Neighbor.” Center for Strategic and International Studies, January, 2008. <https://www.usip.org/sites/default/files/resources/Jan2008.pdf.>.
    Kim, Jiyoon and Karl Friedhoff, “The North Breeze: South Korean Public Opinion on North Korea after the North`s Third Nuclear Test.” The Asan Institute for Policy Studies, February 2013. http://en.asaninst.org/contents/issue-brief-no-46-the-fallout-south-korean-public-opinion-following-north-koreas-third-nuclear-test/.
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    Lukin, Artyom. “Russia’s policy toward North Korea: following China’s lead.” Stimson, December 2019. https://www.stimson.org/?utm_medium=38N%20Top%20Bann
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    Przystup, James J. and Phillip C. Saunders. “Asia and the Trump Administration: Challenges, Opportunities, and a Road Ahead.” Institute for National Strategic Studies, August 8, 2017, <https://inss.ndu.edu/Portals/68/Documents/stratpersp
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    Siegfried, Hecker, Robert L. Carlin and Elliot A. Serbin, “North Korea’s denuclearization: Status and prospects.” Center for International Security and Cooperation, February 2019. <https://fsi-live.s3.us-west-1.amazonaws.com/s3fs-public/hecker_carlin-serbin_denuc2019fin.pdf>.
    Smith, Shane. “North Korea’s Evolving Nuclear Strategy.” U.S.-Korea institute at sais, August 2015.< https://www.38north.org/wp- content/uploads/2015/09/ NKNF_
    Evolving-Nuclear-Strategy_Smith.pdf >
    Straub, David. “North Korea Policy: Recommendations for the Trump Administration.” Korea Economics institute of America: On Korea: Academic Paper Series 2016, December 2016. < http://www.keia.org/sites/default/files/publications/kei_aps_
    straub_final.pdf>.
    Thompson, Drew and Natalie Matthews. “Six-party talks and china’s goldilocks strategy: getting North Korea just right.” Korea Economics institute of Agency: U.S.-Korea Academic Symposium, Octorbor 2010.< U.S.-Korea Academic Symposium>.
    Thu, Huong Le. “Vietnam Should Update Its South China Sea Strategy.” Asia Maritime Transparency Initiative, December 2018. https://amti.csis.org/vietnam-should-update-south-china-sea-strategy/.
    Tsai, Sabrina. “Obama’s Second Term in the Asia-Pacific Region: Reflecting on the Past, Looking to the Future.” Project 2049 Institute. September 2013 <https://project2049.net/wpcontent/uploads/2018/06/Tsai_Obama_Second_Term_in_Asia_Pacific_Region.pdf>.
    Wong, Dorcas and Alexander Chipman Koty, “The US-China Trade War: A Timeline.” China Briefing, May 2020. https://www.china-briefing.com/news/the-us-china-trade-war-a-timeline/.

    六、官方資訊
    United Nations. https://www.un.org/securitycouncil/.
    United States Department of State. https://www.state.gov/.
    United States Department of Defense. https://dod.defense.gov/.
    United States-China Economic and Security Review Commission. https://www.uscc.go
    v/.
    Whitehouse. https://www.whitehouse.gov/.

    七、學位論文
    Kim, Sea Young. China`s crackdown on North Korean refugees: North Korea provocation Intensity Border Control (Washington, D.C.: Graduate School of Arts and Sciences of Georgetown University, December 2018).
    POH, Angela. Sanctions with Chinese Characteristics: The Effects of China’s Sanctions Rhetoric on Its Behavior (Singapore: Nanyang Technological University doctoral dissertation, 2018)


    其他部分
    “북한대외무역동향.” Korea Trade-investment Promotion Agency,https://news.
    kotra.or.kr/user/globalBbs/kotranews/787/globalBbsDataList.do?setIdx=249.
    “광산물분야 무역실적.” International system for Resources of North Korea, http://www.irenk.net/v3.1/page1/p2_1.asp?m=1.
    “중국의 대북투자현황:건축 자재분야.”Korea Trade-investment Promotion Agency,https://news.kotra.or.kr/user/globalBbs/kotranews/786/globalBbsData
    View.do?setIdx=247&dataIdx=179711&pageViewType=&column=&search=&searchAreaCd=&searchNationCd=&searchTradeCd=&searchStartDate=&searchEndDate=&searchCategoryIdxs=&searchIndustryCateIdx=&searchItemCode=&searchItemName=&page=1&row=10.
    “조중관계의 기둥을 찍어버리는 무모한 언행을 더이상 하지 말아야 한다.” 조선중앙통신, May 2017. http://www.kcna.kp/kcna. user.article.retriev
    eNewsViewInfoList.kcmsf#this.
    “한중 관계 개선 관련 양국간 협의 결과.” October 2017, 외교부, http://www.mofa.go.kr/www/brd/m_4080/view.do?seq=367200&srchFr=&srchTo=&srchWord=&srchTp=&multi_itm_seq=0&itm_seq_1=0&itm_seq_2=0&company_cd=&company_nm=&page=49.
    Description: 碩士
    國立政治大學
    東亞研究所
    106260007
    Source URI: http://thesis.lib.nccu.edu.tw/record/#G0106260007
    Data Type: thesis
    DOI: 10.6814/NCCU202001051
    Appears in Collections:[東亞研究所] 學位論文

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