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Graduate Institute of Political Science

College of Social Science

National Taiwan University

Master Thesis

Chinese Diplomacy Lost


Between Historiography and Political Science

Kuo Ming-Chieh

Advisor: Shih Chih-yu, Ph.D.

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June, 2008

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Abstract

Is it possible to integrate two disciplines of studying Chinese diplomacy, say,


Historiography with the fetish of historical materials and Political Science with
the cult of parsimonious theory? Yes, it is. The thesis argues that Sinology, which
has long considered China as a distinctive or even unique civilization, could offer
an epistemological framework of treating China as a special case, integrating
Historiography and Political Science.

A falsifiable research is designed to test the argument by symbolic analysis of


literature on Chinese diplomacy or foreign policy in two fields. As the
preliminary finding demonstrates, such a Sinological epistemological framework
is not only appeared in diplomatic historians narratives of Chinese diplomacy,
but also available in political scientists empirical analysis of Chinese foreign
policy. That is to say, treating China as a special case is a possible common
ground for two disciplines with different methodological concerns to integrate
with each other. This Sinological approach thus uncovers the Chinese diplomacy
lost between Historiography and Political Science.

Key words: Chinese diplomacy, diplomatic history, political science, Sinology,


epistemological framework, falsifiable test


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ix

Sinology

50
1999 5

131-156

Michael H. Hunt

1988) 47-72

15 (2004 ) 201-217

Michael H. Hunt, The Genesis of Chinese Communist Foreign Policy (New York: Columbia

University Press, 1996), pp. ix-xi.

21 5
4

21
2006 1

112-121

10

(2005 12 9 ) 1-14

11

Alastair Iain Johnston


Robert S. Ross

Alastair Iain Johnston, Trends in Theory and Method in the Study of Chinese Foreign Policy,

presented for the conference on China Studies on the occasion of the 50th Anniversary of the
Fairbank Center for East Asian Research (Cambridge, Mass.: Fairbank Center for East Asian
Research, December 2005). See http://old.iwep.org.cn/pdf/2006/johnston%20FCEAR.pdf

12

2006 10 66-74

13

sample8

(small-n problem)

Gary King, Robert O. Keohane, and Sidney Verba, Designing Social Inquiry: Scientific Inference
in Qualitative Research (Princeton: Princeton University Press, 1994), pp. 208-230.

14

Stephen Van

Evera, Guide to Method for Students of Political Science (Ithaca: Cornell University Press, 1997),
pp. 48-55.

15

16

Morton A. Kaplan
10

Paul W. Schroeder

neo-realism11

Colin
ElmanMiriam Fendius Elman
12

parsimonious
10

Morton A. Kaplan, Towards Professionalism in International Theory: Macrosystem Analysis

(New York: Free Press, 1979), p. 166.


11

Paul W. Schroeder, Historical Reality vs. Neo-Realist Theory, International Security, Vol. 19,

No. 1 (1994), pp. 108-148.


12

Colin Elman and Miriam F. Elman, Negotiating International History and Politics, in Colin

Elman and Miriam F. Elman eds., Bridges and Boundaries: Historian, Political Scientists, and the
Study of International Politics (Massachusetts, USA: The MIT Press, 2001), pp.7-8.

17

over-determined
13Marc Trachenberg

fact-mongers14

process-tracing

13

14

Marc Trachtenberg, The Craft of International History: A Guide to Method (Princeton:

Princeton University Press, 2006), p. 37.

18

Stephen H. HaberDavid M. Kennedy


Stephan D. Krasner

15

Ian S. Lustick

selection
bias16

15

Stephen H. Haber, David M. Kennedy, and Stephen D. Krasner, Brothers under the Skin:

Diplomatic History and International Relations, International Security, Vol. 22, No. 1 (1997), p.
43.
16

Ian S. Lustick, History, Historiography, and Political Science: Multiple Historical Records and

the Problem of Selection Bias, American Political Science Review, Vol. 90, No. 3 (1996), pp.
605-618.

19

Geoffrey
Roberts

historical turn
narrative turn

17

17

Geoffrey Roberts, History, Theory and the Narrative Turn in IR, Review of International

Studies, Vol. 32 (2006), pp. 703-714.

20

18

19

18

6 (1995 ) 259-278

19

274

21

20John K.
Fairbank

21

20

(Zbigniew Wesolowshi)

26 2 (2007) 30-40
21

John K. Fairbank, Assignment for the 70s, American Historical Review, Vol. 74, No. 3

(1969), pp. 861-879.

22

Robert
Boardman

22

Thomas S. Kuhn
paradigm shift
23

22

Robert Boardman, Themes and Explanation in Sinology, in Roger L. Dial ed., Advancing and

Contending Approaches to the Study of Chinese Foreign Policy (Halifax, Canada: Department of
Political Science, Dalhousie University), pp. 5-50.
23

Thomas S. Kuhn, The Structure of Scientific Revolution 2nd edition (Chicago: University of

Chicago Press), p. 10.

23

24

24

25

24

Robert Jervis, International History and International Politics: Why They Studied Differently,

and Paul W. Schroeder, International History: Why Historians Do It Differently than Political
Scientists, both in Colin Elman and Miriam F. Elman eds., Bridges and Boundaries: Historians,
Political Scientists, and the Study of International Politics, pp. 385-402, 403-416
25

t(0) t(n)n>=1
n

25

Frederick W. Mote
Association for Asian Studies

26

26

27
Richard W. Wilson

28

26

Frederick W. Mote, The Case for the Integrity of Sinology, The Journal of Asian Studies, Vol.

23, No. 4 (1964), p.533.


27

Ping-Ti Ho and Tang Tsou, eds., China in Crisis: Chinas Heritage and the Communist Political

System, I, Book I (Chicago: University of Chicago Press, 1968), p. 81.


28

Richard W. Wilson, Chinese Studies in Crisis, World Politics, Vol. 23, No. 2 (1971), p. 309.

27


disciplines

29
George E. TaylorJoint Committee on
Contemporary China

30Thomas
A. MetzgerRamon H. Myers

31

29

Frederick W. Mote, ibid, p.533.

30

George E. Taylor, Special Report: The Joint Committee on Contemporary China, 1959-69,

Asian Studies of Professional Review, Vol. 1, No. 1 (1971), p. 47.


31

Thomas A. Metzger and Ramon H. Myers, Sinological Shadows: The State of Modern China

Studies in the US, The Australian Journal of Chinese Affairs, No. 4 (1980), p. 1.

28

29

30

32

32

1 (2005 1 )

32-34

31

special casegeneral
case

33

33

32

34

typological hypothesis
35

34

(1995 ) 20

35

(typology)(John G.

Ruggie)(Peter J. Katzenstein)(Robert O. Keohane)(Philippe C.


Schmitter)(Ernst B. Hass)John G. Ruggie, Peter J. Katzenstein,
Robert O. Keohane, and Philippe C. Schmitter, Transformations in World Politics: The
Intellectual Contributions of Ernst B. Hass, Annual Review of Political Science, Vol. 8, Issue1
(2005), pp. 276-277.

33

34

35

Charles D. Elder and Roger W. Cobb

36

36

symbolic
analysis

36

Charles D. Elder and Roger W. Cobb, The Political Uses of Symbols (New York: Longman), p.

28; Lowell Dittmer, Political Culture and Political Symbolism, World Politics, Vol.29, No. 4, pp.
577, 579.

37

David I.
Kertzer
37

38

37

David I. Kertzer, Ritual, Politics and Power (New Heaven: Yale University Press, 1988), pp.

67-69
38

(2007 )

38

dependent variableindependent variable

39

39

4041

4243

39

(2001 )

(2005 )
40

Michael H. Hunt, The Making of a Special Relationship: The United States and China to

1914 (New York: Columbia University Press, 1983); Nancy B. Tucker, Patterns in the Dust:
Chinese American Relations and the Recognition Controversy, 1949-1950 (New York: Columbia
Press, 1983); Harry Harding, A Fragile Relationship: The United States and China Since 1972
(Washington, D.C.: Brookings Institution, 1992). Robert Ross, Negotiating Cooperation: The
United States and China, 1969-1989 (Stanford: Stanford University Press, 1995);
(1998 )
41

Lucian Pye, Warlord Politics: Conflict and Coalition in the Modernization of Republican

China (New York: Praeger, 1971); Andrew J. Nathan, Peking Politics, 1918-1923: Factionalism
and the Failure of Constitutionalism (Berkeley, CA: University of California Press, 1976);
His-sheng Chi, Warlord Politics in China, 191601928 (Stanford, CA: Stanford University Press,
1976).
42

Lydia H. Liu, The Clash of Empires: The Invention of China in Modern World Making

(Cambridge, MA: Harvard University Press, 2006)/


43

Peter J. Katzenstein and Takashi Shiraishi eds., Beyond Japan: The Dynamics of East Asian

Regionalism (Ithaca, NY: Cornell University Press, 2006);


(1999 )

40

44
45
44

202

45

(2000

41

sample

)(1970 )20
(1999 )

42

John K. Fairbank
46

46

John K. Fairbank, ed., The Chinese World Order (Cambridge: Harvard University Press, 1968).

43

47

48

C. Y. Chao
49

47

John K. Fairbank, ed., The Chinese World Order, pp. 10-11.

48

John K. Fairbank, ed., The Chinese World Order, pp. 4-5.

49

C. Y. Chao, A Brief History of Chinese Foreign Relations (Taipei: China Cultural Service,

194-).

44

45

50

51

52

50

C. Y. Chao, A Brief History of Chinese Foreign Relations, Introduction.

51

(1919-1928) (1998 ) 352

52

(1919-1928) 352

46

53

54

Mesopotamia

55

53

(1993 )

54

55

1-2

47

Mark Mancall
56

57

56

Mark Mancall, China at the Center: 300 Years of Foreign Policy (New York: The Free Press,

1984).
57

Mark Mancall, China at the Center: 300 Years of Foreign Policy, pp. xii-xiii.

48

Oikoumene

Empire

58

58

(1993 ) 6

49

59

60

61

62

63

59

313

60

314

61

314

62

63

3-4

50

51

64

65

linkage politics

66

64

(1988 )

65

13

66

52

67

68

69

67

(2007 )

68

288

69

288

53


70

71

72

70

45

71

Yingjin Zhang, China in International Society since 1949: Alienation and Beyond (New York:

St. Martins Press, 1998).


72

Yingjin Zhang, China in International Society since 1949: Alienation and Beyond, p. 4.

54

73

Westphalia

74

75

73

Yingjin Zhang, China in International Society since 1949: Alienation and Beyond, p. 5.

74

Yingjin Zhang, China in International Society since 1949: Alienation and Beyond, p. 250.

75

(1949-2001)(2002 ) 21-23

55

76

77

psychocultural cybernetic model


levels of analysis
78

76

(1949-2001) 20

77

Chih-yu Shih, The Sprit of Chinese Foreign Policy: A Psychocultural View (New York: St.

Martin Press, 1990).


78

Chih-yu Shih, The Sprit of Chinese Foreign Policy: A Psychocultural View, p. 2.

56

79

80

Huiyun Feng
81

operational code

79

Chih-yu Shih, The Sprit of Chinese Foreign Policy: A Psychocultural View, p. ix.

80

Chih-yu Shih, The Sprit of Chinese Foreign Policy: A Psychocultural View, p. 15.

81

Huiyun Feng, Chinese Strategic Culture and Foreign Policy Decision-Making: Confucianism,

Leadership and War (London: Routledge, 2007).

57

82

Ross Terrill
83

84

85

82

Huiyun Feng, Chinese Strategic Culture and Foreign Policy Decision-Making: Confucianism,

Leadership and War, p. 27.


83

Ross Terrill, The New Chinese Empire: And What It Means for the United States (New York:

Basic Book, 2003).


84

Ross Terrill, The New Chinese Empire: And What It Means for the United States, p. 263

85

Ross Terrill, The New Chinese Empire: And What It Means for the United States, p. 267.

58

86

87

86

Ross Terrill, The New Chinese Empire: And What It Means for the United States, p. 52.

87

(2000 )

59

88

88

60

61

62

63

89

89

(1972)

64

90

91
92

93

Anne E. Sartori

94

90

10-20

91

4-5

92

93

94

Anne E. Satori, Deterrence by Diplomacy (Princeton, NJ: Princeton University Press, 2005).

65

bluff

95

96

balance of power

97

95

Anne E. Satori, Deterrence by Diplomacy, pp. 41-42.

96

Shuisheng Zhao, Power Competition in East Asia: From the Old Chinese World Order to

Post-Cold War Regional Mutipolarity (London: Macmillan Press, 1997)


97

Shuisheng Zhao, Power Competition in East Asia: From the Old Chinese World Order to

Post-Cold War Regional Mutipolarity, p. 11.

66

98

Neorealist

Michael D.
SwaineAshley D. Tellis
99

98

Shuisheng Zhao, Power Competition in East Asia: From the Old Chinese World Order to

Post-Cold War Regional Mutipolarity, p. 12.


99

Michael D. Swaine and Ashley J. Tellis, Interpreting Chinas Grand Strategy: Past, Present,

and Future (Washington, D.C.: Rand, 2000).

67

100

101

102

Andrew Natha103

100

Michael D. Swaine and Ashley J. Tellis, Interpreting Chinas Grand Strategy, pp. 21-95.

101

Michael D. Swaine and Ashley J. Tellis, Interpreting Chinas Grand Strategy, p. 7.

102

Michael D. Swaine and Ashley J. Tellis, Interpreting Chinas Grand Strategy, P. 8.

103

Andrew J. Nathan and Robert S. Ross, The Great Wall and Empty Fortress (New York: W.W.

Norton, 1997).

68

104

105

104

Andrew J. Nathan and Robert S. Ross, The Great Wall and Empty Fortress, p. xv.

105

Andrew J. Nathan and Robert S. Ross, The Great Wall and Empty Fortress, p. xvi.

69


106
parabellum

107

108

106

Alastair Iain Johnston, Cultural Realism: Strategic Culture and Grand Strategy in Chinese

History (Princeton: Princeton University Press, 1995).


107

Alastair Iain Johnston, Cultural Realism: Strategic Culture and Grand Strategy in Chinese

History, p. 259.
108

Alastair Iain Johnston, Cultural Realism: Strategic Culture and Grand Strategy in Chinese

History, p. 260.

70

realpolitik ideology

socialization
mimickingsocial
inferencepersuasion
micro-process

109
109

Alastair Iain Johnston, Social States: China in International Institutions, 1980-2000 (Princeton,

NJ: Princeton University Press, 2008), pp.32-33.

71

novice

primary effect

most likely case

least likely
case

general case110

Andrew Scobell
111

112

110

Alastair Iain Johnston, Social States: China in International Institutions, 1980-2000, p. 39.

111

Andrew Scobell, Chinas Use of Force: Beyond the Great Wall and Long March (Cambridge,

UK: Cambridge University Press, 2003)


112

Andrew Scobell, Chinas Use of Force: Beyond the Great Wall and Long March, p. 15.

72

Richard Betts

113

113

Andrew Scobell, Chinas Use of Force: Beyond the Great Wall and Long March, pp. 196-197.

73

74

114

1995

2008

114

(1977 )

121

75

76

77

78

Michel
Oksenberg115

115

Michel Oksenberg, Sources and Methodological Problems in the Study of Contemporary

China, in A. Doak Barnett ed., Chinese Communist Politics in Action (Seattle: University of
Washington Press, 1969 ), pp. 273-317

79

116

116

(Paul H. B. Godwin)

(David Shambaugh)

Robert S. Ross and Paul H. B. Godwin, New Directions in Chinese Security


Studies, in David Shambaugh ed., American Studies of Contemporary China (New York: M. E.
Sharpe, 1993), pp. 138-160; David Shambaugh, Studies of Chinas Foreign and Security Policies
in the United States, in Robert Ash, David Shambaugh, and Seiichiro Takagi eds., China
Watching (London: Routledge, 2007), pp. 213-240; Michael H. Hunt, The Genesis of Chinese
Communist Foreign Policy, pp.251-272.

80

81

82

83

unintended consequence

84

117
117

(Geoffery Barraclough)

Geoffery Barraclough,
History in a Changing World (London: Basil Blackwell & Mott, 1955), p. 14(Edward H.
Carr)

Edward H. Carr, What is History? (New York: Knopf, 1962), p. 9.

85

86

87

88

200621
2006 1 112-121
199950
1999 5 131-156
1988
47-72
1995

6
259-278
2005

1-14
2004

15
201-217
2005 1
32-34
2006

2006 10 66-74
1977
117-130

89

2007 26 2
30-40

1993
1995
2007

1993
2005

1970
1998 1919-1928
1972
2002
1949-2001

1999
20

1998

1988
2000

90

2001
2000
1999

2007

Boardman, Robert. 1974. Themes and Explanations in Sinology, in Roger L.


Dial ed., Advancing and Contending Approaches to the Study of Chinese
Foreign Policy. Halifax, Canada: Department of Political Science, Dalhousie
University. pp. 5-50.
Dittmer, Lowell. 1977. Political Culture and Political Symbolism, World
Politics, Vol.29, No. 4, pp. 552-583.
Haber, Stephen H, David M. Kennedy, and Stephen D. Krasner. 1997. Brothers
under the Skin: Diplomatic History and International Relations,
International Security, Vol. 22, No. 1, pp. 34-43.
Fairbank, John K. 1969. Assignment for the 70s, American Historical Review,
Vol. 74, No. 3, pp. 861-879
Jervis, Robert. 2001. International History and International Politics: Why They
Studied Differently, in Colin Elman and Miriam F. Elman eds., Bridges and
Boundaries: Historians, Political Scientists, and the Study of International
91

Politics. Cambridge, Mass.: MIT Press. pp. 385-402.


Johnston, Alastair Iain. 2005. Trends in Theory and Method in the Study of
Chinese Foreign Policy, presented for the conference on China Studies on
the occasion of the 50th Anniversary of the Fairbank Center for East Asian
Research. Cambridge, Mass.: Fairbank Center for East Asian Research.
Accessible from http://old.iwep.org.cn/pdf/2006/johnston%20FCEAR.pdf.
Lustick, Ian S. 1996. History, Historiography, and Political Science: Multiple
Historical Records and the Problem of Selection Bias, American Political
Science Review, Vol. 90, No. 3, pp. 605-618.
Mote, Frederick W. 1964. The Case for the Integrity of Sinology, The Journal
of Asian Studies, Vol. 23, No. 4, pp. 531-534.
Oksenberg, Michel. 1969. Sources and Methodological Problems in the Study
of Contemporary China, in A. Doak Barnett ed., Chinese Communist
Politics in Action. Seattle: University of Washington Press. pp. 273-317.
Roberts, Geoffrey. 2006. History, Theory and the Narrative Turn in IR, Review
of International Studies, Vol. 32, pp. 703-714.
Ross, Robert S. and Paul H. B. Godwin. 1993. New Directions in Chinese
Security Studies, in David Shambaugh ed., American Studies of
Contemporary China. New York: M. E. Sharpe. pp. 138-160
Ruggie, John G., Peter J. Katzenstein, Robert O. Keohane, and Philippe C.
Schmitter. 2005. Transformations in World Politics: The Intellectual
Contributions of Ernst B. Hass, Annual Review of Political Science, Vol. 8,
No. 1, pp. 276-277.
Shambaugh, David. 2007. Studies of Chinas Foreign and Security Policies in the
United States, in Robert Ash, David Shambaugh, and Seiichiro Takagi eds.,
92

China Watching. London: Routledge. pp. 213-240.


Schroeder, Paul W. 2001. International History: Why Historians Do It Differently
than Political Scientists, in Colin Elman and Miriam F. Elman eds., Bridges
and Boundaries: Historians, Political Scientists, and the Study of
International Politics. Massachusetts, USA: The MIT Press. pp. 403-416.
Taylor, George E. 1971. Special Report: The Joint Committee on Contemporary
China, 1959-69, Asian Studies of Professional Review, Vol. 1, No. 1, pp. 47.
Wilson, Richard W. 1971. Chinese Studies in Crisis, World Politics, Vol. 23, No.
2, pp. 295-317.

Barraclough, Geoffery. 1955. History in a Changing World. London: Basil


Blackwell & Mott.
Chao, C. Y. 194-. A Brief History of Chinese Foreign Relations. Taipei: China
Cultural Service.
Carr, Edward H. 1962. What is History? New York: Knopf.
Chi, Hsi-sheng. 1976. Warlord Politics in China, 1916-1928. Stanford, CA:
Stanford University Press.
Elman, Colin and Miriam F. Elman eds. 2001. Bridges and Boundaries: Historian,
Political Scientists, and the Study of International Politics. Massachusetts,
USA: The MIT Press.

93

Evera, Stephen Van. 1997. Guide to Method for Students of Political Science.
Ithaca: Cornell University Press.
Fairbank, John K. ed. 1968. The Chinese World Order. Cambridge: Harvard
University Press.
Feng,

Huiyun.

2007.

Chinese

Strategic

Culture

and

Foreign

Policy

Decision-Making: Confucianism, Leadership and War. London: Routledge.


Harding, Harry. 1992. A Fragile Relationship: The United States and China Since
1972. Washington, D.C.: Brookings Institution.
Hunt, Michael H. 1983. The Making of a Special Relationship: The United States
and China to 1914. New York: Columbia University Press.
Hunt, Michael H. 1996. The Genesis of Chinese Communist Foreign Policy. New
York: Columbia University Press.
Ho, Ping-Ti and Tang Tsou eds. 1968. China in Crisis: Chinas Heritage and the
Communist Political System, I, Book I. Chicago: University of Chicago
Press.
Johnston, Alastair Iain. 1995. Cultural Realism: Strategic Culture and Grand
Strategy in Chinese History. Princeton: Princeton University Press.
Johnston, Alastair Iain. 2008. Social States: China in International Institutions,
1980-2000. Princeton, NJ: Princeton University Press.
Kaplan, Morton A. 1979. Towards Professionalism in International Theory:
Macrosystem Analysis. New York: Free Press.

94

Katzenstein, Peter J. and Takashi Shiraishi eds., 2006. Beyond Japan: The
Dynamics of East Asian Regionalism. Ithaca, NY: Cornell University Press.
Kertzer, David I. 1988. Ritual, Politics and Power. New Heaven: Yale University
Press,.
King, Gary Robert O. Keohane, and Sidney Verba. 1994. Designing Social
Inquiry: Scientific Inference in Qualitative Research. Princeton: Princeton
University Press.
Kuhn, Thomas S. 1970. The Structure of Scientific Revolution. Second edition.
Chicago: University of Chicago Press.
Liu, Lydia H. 2006. The Clash of Empires: The Invention of China in Modern
World Making. Cambridge, MA: Harvard University Press.
Mancall, Mark. 1984. China at the Center: 300 Years of Foreign Policy. New
York: The Free Press.
Nathan, Andrew J. 1976. Peking Politics, 1918-1923: Factionalism and the
Failure of Constitutionalism. Berkeley, CA: University of California Press.
Nathan, Andrew J. and Robert S. Ross, 1997. The Great Wall and Empty Fortress.
New York: W.W. Norton.
Pye, Lucian. 1971. Warlord Politics: Conflict and Coalition in the Modernization
of Republican China. New York: Praeger.
Ross, Robert. 1995. Negotiating Cooperation: The United States and China,
1969-1989. Stanford: Stanford University Press.
Scobell, Andrew. 2003. Chinas Use of Force: Beyond the Great Wall and Long
95

March. Cambridge, UK: Cambridge University Press.


Shih, Chih-yu. 1990. The Sprit of Chinese Foreign Policy: A Psychocultural View.
New York: St. Martin Press.
Swaine, Michael D. and Ashley J. Tellis. 2000. Interpreting Chinas Grand
Strategy: Past, Present, and Future. Washington, D.C.: Rand.
Satori, Anne E. 2005. Deterrence by Diplomacy. Princeton, NJ: Princeton
University Press.
Trachtenberg, Marc. 2006. The Craft of International History: A Guide to Method.
Terrill, Ross. 2003. The New Chinese Empire: And What It Means for the United
States. New York: Basic Book.
Tucker, Nancy B. 1983. Patterns in the Dust: Chinese American Relations and the
Recognition Controversy, 1949-1950. New York: Columbia Press.
Zhang, Yingjin. 1998. China in International Society since 1949: Alienation and
Beyond. New York: St. Martins Press.
Zhao, Shuisheng. 1997. Power Competition in East Asia: From the Old Chinese
World

Order to Post-Cold War Regional Mutipolarity. London: Macmillan

Press.

96