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九一八事变后,国联派遣调查团赴远东开展调查,这是国联介入中日战争的开始,研究国联调查团的组建过程是探究国联与中日战争联结的必然需求。作为国联主导国之一的英国在国联调查团的组建过程中发挥了重要作用,英国内阁、英国驻中日使领馆、英国驻国联代表团在该过程中构成了三方主体,并在国联调查团的"提议—预演(派遣观察员)—正式组建"三个阶段中发挥了实效作用。本文通过爬梳英国档案文献发现,与国联调查团组建过程同时进行的是英国远东策略基调的演进过程、派遣观察员的外交互动过程和主导国联的政治权衡过程,国联调查团的组建离不开英国因素。
Abstract：After the September 18 incident,the League of Nations sent a fact-finding mission to the far East to investigate. Britain,as one of the leading countries of the League of Nations,played an important role in the establishment of the League of Nations fact-finding Mission. The British Cabinet,the British Embassy and Consulate in China and Japan,and the British delegation to the League of Nations formed the tripartite main body in the process,and played an effective role in the three stages of the "proposal-rehearsal( sending observers)-formal formation"of the League of Nations fact-finding Mission. The formation of the League of Nations fact-finding mission could not be separated from the British factor.
(1)“The Foreign Policy of His Majesty’ s Government in the United Kingdom together with a list of commitments arising out of that policy or the foreign policy of other nations”,June 2,1931,The Cabinet Papers (CAB) 24/225/17,The National Archives (Similarly Hereinafter),p.42.
(2)有关中日冲突的“国际性”和中日两国在国联调查团组建过程中的立场态度分析,可以参见陈海懿、郭昭昭:《国际性与主体性:中日冲突和国际联盟调查团的产生》,《抗日战争研究》2017年第3期。
(3)参见王纲领:《英、美二国对九一八事变的回应》,刘维开主编《国民政府处理九一八事变之重要文献》,台北中国国民党中央委员会党史资料编纂委员会,1992年;王宇博:《英国、美国与“九·一八”事变》,《史林》1999年第2期;赵岚:《“九·一八”事变后英国、国联对日政策演变》,《武汉大学学报(人文科学版)》2014年第5期;梁敬钅享:《九一八事变史述》,台北世界书局1968年版;徐蓝:《英国与中日战争:1931—1941》,首都师范大学出版社2010年版;石井摩耶子:《国際連盟と満州事変——イギリス外交を中心にした素描》,《歴史教育》1967年第15巻第2期;小林啓治:《満州事変とイギリスの東アジア政策》,《日本史研究》1990年第338期;臼井勝美:《満洲国と国際連盟》,吉川弘文館1995年版;加藤陽子:《満州事変から日中戦争へ》,岩波書店,2007年;緒方貞子:《満州事変:政策の形成過程》,岩波書店2011年版;Sandra Wilson,“Containing the Crisis:Japan’s Diplomatic Offensive in the West,1931—1933,” Modern Asian Studies,Vol.29,no.2,pp.337—372;Sara R.Smith,The Manchurian Crisis, 1931—1932, New York:Columbia University Press,1948;Roger Louis,British Strategy in the Far East,1919—1939,Oxford:Clarendon Press,1971;Christopher Thorne,The Limits of Foreign Policy:The West,the League and the Far Eastern Crisis of 1931—1933, London:Hamilton,1972;Ian Nish,Japan’s Struggle with Internationalism:Japan,China and the League of Nations, 1931—1933, London:Kegan Paul International ltd,1993.
(4)参见徐蓝:《英国与中日战争:1931—1941》,第29页。
(5)“Meeting of the Cabinet to be held at No.10 Downing Street,S.W.L.,on Tuesday,September 22,1931,at 11.0 a.m.”,22 September 1931,CAB 23/68/15,p.4.
(6)“NO.506 Sir M.Lampson (Peking) to the Marquess of Reading (Received September 19,9.30 a.m.)”,19 September 1931,F 5014/1391/10,Documents on British Foreign Policy 1919—1939,Documents on British Policy Overseas (DBPO).
(7)关于英国人索伯恩失踪的案件始末可以参见R.A.Bickers,“Death of a Young Shanghailander:The Thorburn Case and the Defence of the British Treaty Ports in China in 1931”,Modern Asian Studies,Vol.30,no.2 (May,1996),pp.271—300.
(8)“No.507 Sir M.Lampson (Peking) to the Marquess of Reading (Received September 19,12.5 p.m.)”,19 September 1931,F 5033/1391/10,DBPO.
(9)“No.508 Sir F.Lindley (Tokyo) to the Marquess of Reading (Received September 20,4.50 p.m.)”,20 September 1931,F 5038/1391/10,DBPO.
(10)“No.510 Sir M.Lampson (Peking) to the Marquess of Reading (Received September 20,6.0 p.m.)”,20 September 1931,F 5076/1391/10,DBPO.
(11)“No.512 Sir M.Lampson (Peking) to the Marquess of Reading (Received September 21,2.15 p.m.)”,21 September 1931,F 5042/1391/10,DBPO.
(12)“No.509 Sir F.Lindley (Tokyo) to the Marquess of Reading (Received September 20,3.15 p.m.)”,20 September 1931,F 5031/1391/10,DBPO.
(13)“No.516 Sir F.Lindley (Tokyo) to the Marquess of Reading (Received September 22,9.30 a.m.)”,22 September 1931,F 5049/1391/10,DBPO.
(14)“No.513 Record by Mr.MacKillop of a conversation with Dr.Chen”,21 September 1931,F 5111/1391/10,DBPO.
(15)《外交部致南昌行营蒋主席电》(1931年9月19日),《外交部与军事委员会委员长蒋中正等接洽中日纠纷之文电》,外交部档案,入藏号:020000001439A,数位典藏号:020—010102—0183,第6—7页,台北“国史馆”藏。国联行政院即国联理事会(The Council of the League of Nations),国民政府在记述中常使用“行政院”,下同。
(16)《外交部致国际联合会施代表电》(1931年9月20日),《东省事变声请国联》,外交部档案,入藏号:020000001403A,数位典藏号:020—010112—0034,第17页,台北“国史馆”藏。
(17)《中国代表团对国际联合会秘书长提出之书面声请书》,《东省事变声请国联》,外交部档案,入藏号:020000001403A,数位典藏号:020—010112—0034,第18页,台北“国史馆”藏。
(18)“Appeal from the Chinese Government under Article 11 of the Covenant,Second Meeting (Public)”,10.30 a.m.,22 September 1931,League of Nations Official Journal (LNOJ),pp.2267—2268.
(19)《日内瓦吴凯声致外交部电》(1931年9月22日),《东省事变声请国联》,外交部档案,入藏号:020000001403A,数位典藏号:020—010112—0034,第38页,台北“国史馆”藏。
(20)《外交部致北平张副司令电》(1931年9月23日),《东省事变国联之决议与措置(一)》,外交部档案,入藏号:020000001401A,数位典藏号:020—010112—0030,第4页,台北“国史馆”藏。
(21)“Appeal from the Chinese Government under Article 11 of the Covenant,Second Meeting (Public)”,10.30 a.m.,22 September 1931,LNOJ,p.2267.
(22)参见英国内阁与国防委员会秘书汉基(M.P.A.Hankey)在1931年12月10日向英国内阁提交的备忘录文件,“Reduction and Limitation of Armaments;The Model Treaty to Strengthen the Means of Preventing War”,10 December 1931,CAB 24/225/12,p.20.
(23)“No.514 Mr.Cadogan (Geneva) to the Marquess of Reading (Received September 22,12.30 a.m.)”,22 September 1931,F 5054/1391/10,DBPO.
(24)“No.515 The Marquess of Reading to Mr.Patteson (Geneva)”,22 September 1931,F 5054/1391/10,DBPO.
(25)《国联中日代表,各有宣言发表,国联要人主从调查入手》,《申报》1931年9月22日,第8版。
(26)“Appeal from the Chinese Government under Article 11 of the Covenant,Second Meeting (Public)”,10.30 a.m.,22 September 1931,LNOJ,p.2269.
(27)“No.519 Mr.Patteson (Geneva) to the Marquess of Reading (Received September 23,9.0 a.m.)”,22 September 1931,F 5071/1391/10,DBPO.
(28)“No.519 Mr.Patteson (Geneva) to the Marquess of Reading (Received September 23,9.0 a.m.)”,footnote 3,22 September 1931,F 5071/1391/10,DBPO.
(29)“No.520 Mr.Patteson (Geneva) to the Marquess of Reading (Received September 23,9.20 a.m.)”,23 September 1931,F 5094/1391/10,DBPO.
(30)“No.523 The Marquess of Reading to Sir F.Lindley (Tokyo)”,24 September 1931,F 5094/1391/10,DBPO.
(31)“No.526 Sir F.Lindley (Tokyo) to the Marquess of Reading (Received September 24,2.30 p.m.)”,24 September 1931,F 5127/1391/10,DBPO.
(32)“No.527 Sir F.Lindley (Tokyo) to the Marquess of Reading (Received September 24,4.0 p.m.)”,24 September 1931,F 5128/1391/10,DBPO.
(33)《滿洲事變に關する政府第一次聲明》(1931年9月24日),日本外務省編纂《日本外交年表竝主要文書》下巻,原書房1955年版,第181—182頁。
(34)“No.528 Sir F.Lindley (Tokyo) to the Marquess of Reading (Received September 25,9.0 a.m.)”,25 September 1931,F 5131/1391/10,DBPO.
(35)“No.531 Sir F.Lindley (Tokyo) to the Marquess of Reading (Received September 25,6.0 p.m.)”,25 September 1931,F 5146/1391/10,DBPO.
(36)“No.536 Sir F.Lindley (Tokyo) to the Marquess of Reading (Received September 28,3.40 p.m.)”,28 September 1931,F 5208/1391/10,DBPO.
(37)“No.537 Sir F.Lindley (Tokyo) to the Marquess of Reading (Received September 28,4.0 p.m)”,28 September 1931,F 5207/1391/10,DBPO.
(38)“No.542 The Marquess of Reading to Sir F.Lindley (Tokyo)”,29 September 1931,F 5325/1391/10,DBPO.
(39)“No.529 The Marquess of Reading to Mr.Patteson (Geneva)”,25 September 1931,F 5131/1391/10,DBPO.
(40)“No.538 The Marquess of Reading to Sir F.Lindley (Tokyo)”,29 September 1931,F 5146/1391/10,DBPO.
(41)“No.605 Letter from Lord Tyrrell (Paris) to Sir R.Vansittart”,10 October 1931,F 5689/1391/10,DBPO.
(42)“No.543 Sir F.Lindley (Tokyo) to the Marquess of Reading (Received September 30,11.30 a.m.)”,30 September 1931,F 5146/1391/10,DBPO.
(43)“Appeal from the Chinese Government under Article 11 of the Covenant,Seventh Meeting”,4 p.m.,30 September 1931,LNOJ,p.2308.
(44)9月30日议决案共有九条,可以参见自上海明社出版部编印《国际联盟调查团报告书》,1932年,第1—2页;“Appeal from the Chinese Government under Article 11 of the Covenant,Seventh Meeting”,4 p.m.,30 September 1931,LNOJ,Vol.12,Iss.12,1931,pp.2307—2308;《滿洲事變に關する國際聯盟理事會決議》(1931年9月30日),日本外務省編纂《日本外交年表竝主要文書》下巻,第183—184頁。
(45)“No.550 Sir F.Lindley (Tokyo) to the Marquess of Reading (Received November 3)”,1 October 1931,F 6279/1391/10,DBPO.
(46)《中央政治会议特种外交委员会第二次会议记录》(1931年10月1日),刘维开主编《国民政府处理九一八事变之重要文献》,第9—10页。
(47)“Telegram from the Acting Minister of Foreign Affairs in Nanking to the American Minister at Peiping”,October 3,1931,Conditions in Manchuria,House and Senate Documents,Serial Set Id:9520 S.doc.55,pp.12—13.
(48)“No.556 Sir M.Lampson (Peking) to the Marquess of Reading (Received October 5,9.0 a.m.)”,5 October 1931,F 5381/1391/10,DBPO.
(49)“No.557 Sir M.Lampson (Peking) to the Marquess of Reading (Received October 5,9.0 a.m.)”,5 October 1931,F 5374/1391/10,DBPO.
(50)“No.558 Sir M.Lampson (Peking) to the Marquess of Reading (Received October 5,5.10 p.m.)”,5 October 1931,F 5388/1391/10,DBPO.
(51)“No.559 Mr.Patteson (Geneva) to the Marquess of Reading (Received October 6,11.45 a.m.)”,6 October 1931,F 5397/1391/10,DBPO.
(52)“No.562 The Marquess of Reading to Lord Tyrrell (Paris)”,6 October 1931,F 5388/1391/10,DBPO.
(53)“No.560 The Marquess of Reading to Sir M.Lampson (Peking) and Sir F.Lindley (Tokyo)”,6 October 1931,F 5388/1391/10,DBPO.
(54)“No.561 The Marquess of Reading to His Majesty`s Representatives at Washington,Berlin,Rome and Madrid”,6 October 1931,F 5388/1391/10,DBPO.
(55)“No.566 Sir M.Lampson (Peking) to the Marquess of Reading (Received October 7,5.0 p.m.)”,7 October 1931,F 5388/1391/10,DBPO.
(56)“No.569 Sir F.Lindley (Tokyo) to the Marquess of Reading (Received October 7,4.0 p.m.)”,7 October 1931,F 5485/1391/10,DBPO.
(57)“No.570 Sir F.Lindley (Tokyo) to the Marquess of Reading (Received October 7,2.0 p.m.)”,7 October 1931,F 5447/1391/10,DBPO.
(58)1931年9月30日,芳泽谦吉在国联理事会发言中曾建议“理事会每一个成员都应该向秘书长发送各自政府在中国东北现场收集到的任何信息,这是可取的,有益于(日本)与理事会其他成员国沟通信息”,参见“Appeal from the Chinese Government under Article 11 of the Covenant,Fifth Meeting”,4 p.m.,30 September 1931,LNOJ,p.2308.
(59)“No.567 Mr.Patteson (Geneva) to the Marquess of Reading (Received October 7,5.30 p.m.)”,7 October 1931,F 5455/1391/10,DBPO.
(60)“No.573 Record of conversation between Sir E.Drummond and Dr.Sze”,7 October 1931,F 5592/1391/10,DBPO.
(61)“No.571 Lord Tyrrell (Paris) to the Marquess of Reading (Received October 8,9.0 a.m.)”,7 October 1931,F 5453/1391/10,DBPO.
(62)“No.577 The Marquess of Reading to Sir M.Lampson (Peking)”,8 October 1931,F 5497/1391/10,DBPO.
(63)“No.578 Sir M.Lampson (Peking) to the Marquess of Reading (Received October 8,1.40 p.m.)”,8 October 1931,F 5494/1391/10,DBPO.
(64)“No.580 Sir M.Lampson (Peking) to the Marquess of Reading (Received October 8,2.20p.m.)”,8 October 1931,F 5495/1391/10,DBPO.
(65)“Letter from the Chinese representatives to the President of the Council Requesting the reconvention of the Council”,9 October 1931,Annex.1344—X—13,LNOJ,p.2483.
(66)“No.603 Sir M.Lampson (Peking) to the Marquess of Reading (Received October 11,4.30 p.m.)”,10 October 1931,F 5616/1391/10,DBPO.
(67)“No.620 Record of a conversation at Geneva between the Marquess of Reading and Mr.Yoshizawa”,12 October 1931,F 5854/1391/10,DBPO.
(68)“Appeal from the Chinese Government under Article 11 of the Covenant,Eighth Meeting”,12 noon,13 October 1931,LNOJ,pp.2312—2313.
(69)《事略稿本—民国二十年十月》,蒋中正“总统”文物档案,入藏号:002000000521A,数位典藏号:002—060100—00041—014,第2页,台北“国史馆”藏。
(70)“No.677 Sir M.Lampson (Nanking) to the Marquess of Reading (Received November 25)”,22 October 1931,F 6889/1391/10,DBPO.
(71)“10·24”议决案共有7项内容,具体可以参见“Appeal from the Chinese Government under Article 11 of the Covenant,Thirteenth Meeting”,4 p.m.,22 October 1931,LNOJ,pp.2340—2341.
(72)日本提出要同中国谈判确定解决九一八事变的“五项基本原则”,坚持要将此“基本原则”文本写入议决案,并将中日两国取得“基本原则”的谅解作为日本撤军的先决条件,国联理事会和中国都予以反对,具体参见“Appeal from the Chinese Government under Article 11 of the Covenant,Fourteenth Meeting”,6.15 p.m.,23 October 1931,LNOJ,pp.2346—2350;《理事会決議案の修正について》(1931年10月23日),外務省編《日本外交文書:満州事変》第1巻第3冊,外務省1963年版,第398—400頁。日本外务省在10月26日发表的关于九一八事变的第二次政府声明中公开了五项基本原则,即:1.互相否认侵略政策及行动;2.尊重中国领土的完整;3.彻底取缔一切有碍贸易自由及激起国际仇视的有组织运动;4.有效保障满洲各地日本侨民的一切和平企业;5.尊重日本在满洲的条约权益。参见《滿洲事變に關する政府第二次聲明》(1931年10月26日),日本外務省編纂《日本外交年表竝主要文書》下巻,第185—186頁。
(73)《道德上日本已受重创,国联尚可取进一步行动,白里安谓阴谋或将吹散》,《申报》1931年10月27日,第3版。
(74)“No.690 Sir M.Lampson (Peking) to the Marquess of Reading (Received October 31,9.30 a.m.)”,30 October 1931,F 6237/1391/10,DBPO.
(75)《中央政治会议特种外交委员会第二十三次会议记录》(1931年10月27日),刘维开主编《国民政府处理九一八事变之重要文献》,第81—84页。
(76)“No.623 Sir M.Lampson (Peking) to Sir R.Vansittart (Received October 13,9.30 a.m.)”,13 October 1931,F 5645/1391/10,DBPO.
(77)“No.697 Sir M.Lampson (Peking) to Mr.Ingram (Nanking)”,31 October 1931,F 6240/1391/10,DBPO.
(78)“Conclusions of a meeting of the Cabinet held at 10,Downing Street,S.W.1.,on Tuesday,10 November 1931,at 10.0 a.m.”,10 November 1931,CAB 23/69/3,p.6.
(79)《国联盟约》第16条第1款规定:“联盟会员国如有不顾本盟约第12条、第13条或第15条所定之规约而从事战争者,则据此事实应即视为对于所有联盟其他会员国有战争行为。其他各会员国应当立即与之断绝各种商业上或财政上之关系,禁止其人民与破坏盟约人民之各种往来并阻止其他任何一国,不论为联盟会员国或非联盟会员国之人民与该国之人民财政上、商业上或个人之往来。” 参见世界知识出版社编印《国际条约集(1917—1923)》,1961年,第272页。
(80)《国联盟约》第15条第1款规定“联盟会员国约定,如果联盟会员国之间发生任何足以决裂的争议,而未按照第13条提交仲裁或司法解决者,应将该案提交理事会。为此目的,各方中任何一方可将争议通知秘书长,秘书长应采取一切措施,以便详细调查和研究”,参见世界知识出版社编印《国际条约集(1917—1923)》,第271页。
(81)“No.702 Letter from Sir E.Drummond to Mr.Cadogan”,2 November 1931,F 6355/1391/10,DBPO.
(82)“No.709 The Marquess of Reading to Sir R.Lindsay (Washington)”,5 November 1931,F 6304/1391/10,DBPO.
(83)“No.722 Record by Sir V.Wellesley of a conversation with the French Ambassador”,11 November 1931,F 6655/1391/10,DBPO.
(84)“Third appeal from the president of the council to the Chinese and Japanese governments”,11 November 1931,Annex.1344—XXXI,LNOJ,p.2523.
(85)“No.739 Memorandum by Viscount Cecil (Paris)”,16 November 1931,349/1,DBPO.
(86)《理事會対策ノ件》(1931年11月15日),JACAR(アジア歴史資料センター),日支事件ニ関スル交渉経過(連盟及対米関係)第四卷,Ref.B02030391000,第143頁。
(87)“The Charge in France (Shaw) to the Secretary of State”,17 November 1931,Foreign Relations of the United States,The Far East (1931),Vol.III,pp.467—468.
(88)“Enclosure 2 ‘Minute communicated by Sir Eric Drummond’ in No.749 United Kingdom Delegate (Paris) to Foreign Office (Received November 19)”,18 November 1931,F6715/1391/10,DBPO.
(89)“Enclosure 1 in No.749 United Kingdom Delegate (Paris) to Foreign Office (Received November 19)”,18 November 1931,F 6715/1391/10,DBPO.
(90)“No.750 United Kingdom Delegate (Paris) to Foreign Office (Received November 19)”,18 November 1931,F 6724/1391/10,DBPO.
(91)“Enclosure 1 in No.754 United Kingdom Delegate (Paris) to Foreign Office (Received November 23)”,19 November 1931,F 6820/1391/10,DBPO.
(92)“Footnote 3” in “Enclosure 1 in No.754 United Kingdom Delegate (Paris) to Foreign Office (Received November 23)”,19 November 1931,F 6820/1391/10,DBPO.
(93)“No.758 Lord Tyrrell (Paris) to Sir M.Lampson (Nanking)”,20 November 1931,F 6803/1391/10,DBPO.
(94)“No.752 Mr.Campbell (Paris) to Sir M.Lampson (Nanking)”,19 November 1931,F 6749/1391/10,DBPO.
(95)“No.753 Mr.Campbell (Paris) to Sir M.Lampson (Nanking)”,19 November 1931,F 6752/1391/10,DBPO.
(96)“Appeal from the Chinese Government under Article 11 of the Covenant,Eighteenth Meeting”,4.30 p.m.,21 November 1931,LNOJ,pp.2365—2366.
(97)“Enclosure 2 ‘Draft Resolution’ in No.770 United Kingdom Delegate (Paris) to Foreign Office (Received November 24)”,23 November 1931,F6715/1391/10,DBPO.
(98)“Enclosure 1 ‘Record of a Private Meeting of the Council on November 23’ in No.770 United Kingdom Delegate (Paris) to Foreign Office (Received November 24)”,23 November 1931,F6715/1391/10,DBPO.
(99)“Memorandum by the Secretary of state for Foreign Affairs”,23 November 1931,CAB 24/224/29,pp.1—7.
(100)“Meeting of the Cabinet to be held at No.10,Downing Street,S.W.1.,on Wednesday,November 25,1931,at 11.0 a.m.”,25 November 1931,CAB 23/69/10,pp.1—3.
(101)“No.775 Sir J.Simon to Lord Tyrrell (Paris)”,25 November 1931,F 6938/1391/10,DBPO.
(102)“No.782 Lord Tyrrell (Paris) to Sir J.Simon (Received November 26,11.40 a.m.)”,26 November 1931,F 6939/1391/10,DBPO.
(103)“No.784 Sir J.Simon to Lord Tyrrell (Paris)”,26 November 1931,F 7028/1391/10,DBPO.
(104)“No.786 Lord Tyrrell (Paris) to Sir J.Simon (Received November 27,9.0 a.m.)”,26 November 1931,F 6980/1391/10,DBPO.
(105)“Meeting of the Cabinet to be held at No.10,Downing Street,S.W.1.,on Wednesday,2 December 1931,at 11.0 a.m.”,2 December 1931,CAB 23/69/13,p.18.
(106)参见《中央政治会议特种外交委员会第四十七次会议记录》(1931年11月22日),刘维开主编《国民政府处理九一八事变之重要文献》,第147—151页;《中央政治会议特种外交委员会第四十九次会议记录》(1931年11月24日),刘维开主编《国民政府处理九一八事变之重要文献》,第155—158页。
(107)关于议决草案的内容和议决过程可以参见“Appeal from the Chinese Government under Article 11 of the Covenant,Nineteenth Meeting”,5 p.m.,9 December 1931,LNOJ,pp.2374—2375;“Appeal from the Chinese Government under Article 11 of the Covenant,Twentieth Meeting”,4.30 p.m.,10 December 1931,LNOJ,pp.2376—2377.
基本信息:
中图分类号:K151
引用信息:
[1]陈海懿,徐天娜.九一八事变后的英国与国联调查团组建——基于英国档案文献的考察[J].史林,2019,No.181(04):170-185+221.
基金信息:
国家社科基金抗日战争研究专项工程“李顿调查团档案翻译与研究”(16KZD017)的阶段性成果