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研究生: 梁智傑
Liang, Chih-Chieh
論文名稱: 包瑞德與美國對華關係,1944-1952
Colonel David D. Barrett and United States Relations with China,1944-1952
指導教授: 吳翎君
Wu, Lin-Chun
口試委員: 李君山
Li, Chun-Shan
蕭道中
Hsiao, Tao-Chung
吳翎君
Wu, Lin-Chun
口試日期: 2022/07/15
學位類別: 碩士
Master
系所名稱: 歷史學系
Department of History
論文出版年: 2022
畢業學年度: 110
語文別: 中文
論文頁數: 59
中文關鍵詞: 包瑞德迪克西使團中美關係國共關係
英文關鍵詞: David D. Barrett, Dixie Mission, China–United States relations, The Relationship between Kuomintang (KMT) and The Chinese Communist Party (CCP)
研究方法: 歷史研究法
DOI URL: http://doi.org/10.6345/NTNU202201168
論文種類: 學術論文
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  • 1945年第二次世界大戰結束後,中華民國政府與中國共產黨的衝突也日益激烈,進而導致「國共內戰」全面爆發。這場戰爭最終以中國共產黨取得勝利,中華民國政府遷移至台灣告終。為應對中國的新局勢,1949年美國國務院發表《中美關係白皮書》,強調美國政府無須為中華民國戰敗而負責。1950年1月,美國更宣布不在軍事援助中華民國,直到6月韓戰爆發後才改變政策。有關這一段時期的中美關係的研究成果非常豐富,但對親歷此一決策過程的中下級軍官的研究則相對較少。
    包瑞德上校1892出生於美國科羅拉多州,1917年入伍以參加第一次世界大戰。1924年被派駐至中國擔任北京公使館助理武官以學習中文,曾見證許多民國時期的重大事件,並與史迪威將軍以及馬歇爾將軍結為好友。1944年日軍發動「一號會戰」,國軍全面潰敗。為探討與共軍合作的可行性,由中緬印戰區組成「美軍觀察組」,亦稱「迪克西使團」,在史迪威的推薦下由包瑞德出任第一任團長。在延安期間,包瑞德主要任務為蒐集中國共產黨軍事情報。除此之外,他曾與中共領導人如毛澤東等人接觸,軍旅生涯達到頂峰。然而,這一段經歷也讓包瑞德失去晉升將領的機會。
    第二次世界大戰結束後,包瑞德繼續在中國擔任助理武官,見證了中華人民共和國之成立。1950年2月,包瑞德離開北平,被奉派至台灣擔任美國駐中華民國大使館武官。然而因為在延安的經歷,使得不受中華民國政府的信任。包瑞德退伍後曾希望定居北平,卻因在1951年被指控涉嫌暗殺毛澤東被中共所通緝。後來他希望居住在台北,卻因中華民國政府的反對,最終只能回到美國,終其一生未能再次踏足中國和台灣。
    包瑞德是一名效忠於美國的軍官,也是美國對華政策的執行者。然而他長期在中國服役,並熱愛中國的文化與人民,中國已成為他生命中重要的一部分。

    After the end of World War II, the conflict between the Government of the Republic of China and The Chinese Communist Party (CCP) was growing in intensity, and it caused the Chinese Civil War. This war culminated in the winning of CCP and the retreat of the government of the Republic of China to Taiwan. Facing the new situation of China, the United States Department of State published The China White Paper, which emphasized that the Government of the United States did not need to be responsible for the defeat of the Republic of China. On January 1950, the Government of the United States also stated that they would stop to give military aid to the Republic of China. As the Korean War broke out in June 1950, the Government of the United States resumed economic and military aid to the Republic of China. The scholars have achieved plentiful production of research on the US-China relations in this period up to now. However, there is rare research on junior officers or field officers who had participated in the decision-making process on U.S. Policy toward China.
    In 1892, Colonel David D. Barrett was born in Colorado, and he enlisted in the United States Army in 1917 to participate in World War I. In 1924, he was assigned to Peiping as Assistant Military Attaché for Language Study. During the time he served in Peiping, David Barrett experienced many major events in the Republic of China era, and he also made friends with General George C. Marshall and General Joseph Stilwell. In 1944, after the Imperial Japanese Army forces defeated the National Revolutionary Army of the Republic of China in the Operation Ichi-Go, The U.S. Army Observation Group to Yan'an, commonly known as the Dixie Mission was formed by China Burma India Theater (CBI) to research the feasibility of cooperating with CCP army. David Barrett became the first commander of Dixie Mission under the recommendation of the General Joseph Stilwell. In Yan'an, David Barrett was sent to on a mission to gather military intelligence about the CCP. In addition, he also met with the leaders of CCP such as Mao Zedong in Yan'an. Being the commander of Dixie Mission made David Barrett reach the pinnacle of his military career; however, the experience in Yan'an also made him fail to be promoted to general.
    After the end of World War II, David Barrett still served as Assistant Military Attaché in China, and he witnessed the foundation of the People's Republic of China. In February 1950, David Barrett left Peiping and he was assigned to Taiwan as Military Attaché in U.S. Embassy in the Republic of China. However, because of the experience in Yan'an, the Government of the Republic of China distrusted David Barrett. David Barrett intended to live in Peiping after retirement, but he was wanted by the government of People's Republic of China for attempting to assassinate Mao Zedong in 1951. After that, he wished to reside in Taiwan;however, his application for residing in Taiwan was rejected by the government of the Republic of China. As a result, he could only return to the United States after retiring from the army, and he never came back to China and Taiwan for the rest of his life.
    Colonel David Barrett was loyal to the United States of America, and he was also the implementer of U.S. Policy toward China. However, he had served in China for a long time and he loved the Chinese culture and the Chinese people. China was an important part of his life.

    第一章、緒論 1 第一節、研究動機 1 第二節、研究回顧 4 第三節、研究方法與架構 6 第二章、包瑞德與「迪克西使團」(1944) 10 第一節、包瑞德的早年經歷與「迪克西使團」團長之選派 10 第二節、包瑞德筆下的「迪克西使團」與赫爾利調停 18 第三章、包瑞德與戰後國共關係 27 第一節、包瑞德與國共內戰 27 第二節、包瑞德與中共建政 31 第四章、冷戰初期包瑞德在台灣 37 第一節、包瑞德在台灣的活動 37 第二節、包瑞德赴台定居受挫之原因 41 第三節、晚年的包瑞德 45 第五章、結論 52 附錄一:包瑞德年表 54 參考書目 55

    一、中文部份
    (一) 檔案、文獻與報紙
    1. 美國史丹佛大學胡佛研究所圖書檔案館(Hoover Institution Library & Archives, Stanford University)藏,《蔣介石日記》,1950年6月24日。
    2. 國史館藏,外交部檔,〈護照及相關事務雜卷(三)〉,典藏號:020-210499-0008。
    3. 國史館藏,國民政府檔,〈國民政府令包瑞德給予特種襟綬附勛表寶鼎勛章〉,典藏號:001-035100-00171-015。
    4. 國史館藏,蔣經國總統文物,〈蔣中正與美國大使藍欽會談美國大使報告韓境停戰後中共進入聯合國可能性及對太平洋公約主張等談話紀錄〉,典藏號:005-010205-00079-010。
    5. 國家發展委員會檔案管理局藏,財政部檔案,〈各機關首長到職離職案〉,檔號AA07000000D/0049/630/1/2/18。
    6. 中央檔案館編,《中央檔案館藏美軍觀察組檔案彙編》,上海:上海遠東出版社,2018年。
    7. 中央檔案館編,《中共中央文件選集第十三冊(1941-1942)》,北京:中共中央黨校出版社,1991年。
    8. 中共中央文献研究室,《毛澤東年譜:1893-1949 (中卷)》,北京:人民出版社,1993年。
    9. 中共陝西省委黨史研究室編,《中外記者團和美軍觀察組在延安》,西安:陝西人民出版社,1995年。
    10. 周錫瑞(Joseph W. Esherick)編,《在中國失掉的機會:美國前駐華外交官約翰S.謝偉思第二次世界大戰時期的報告》,羅清、趙仲強譯,北京:國際文化出版公司,1989年。
    11. 秦孝儀主編,《中華民國重要史料初編—對日抗戰時期,第七編戰後中國(一)》,台北:國民黨黨史會,1981年。
    12. 秦孝儀主編,《中華民國重要史料初編—對日抗戰時期,第七編戰後中國(四)》,台北:國民黨黨史會,1985年。
    13. 臺灣省文獻委員會,《臺灣省通志(卷3)政事志外事篇(第3冊)》,南投:國史館臺灣文獻館,1971年。
    14. 蔡盛琦、陳世局編,《胡宗南先生日記(上)》,台北:國史館,2015年。
    15. 《人民日報》,1951年。
    16. 《大公報(香港)》,1951年。
    17. 《工商晚報》,1951年。
    18. 《臺灣民聲日報》,1952年。
    (二) 專書
    1. 卡蘿爾.卡特(Carolle J.Carter),《延安使命(1944-1947)美軍觀察組延安963天》,陳發兵譯,北京:世界知識出版社,2004年。
    2. 司徒雷登(John Leighton Stuart),《司徒雷登日記:美國調停國共爭持期間前後》,陳禮頒譯,合肥:黃山書社出版社,2009年。
    3. 白修德(Theodore Harold White),《追尋歷史:一個記者和他的20世紀》,石雨晴、柯育辰譯,北京:中信出版社,2017年。
    4. 伊.卡恩(Ely Jacques Kahn Jr),《毛澤東的勝利與美國外交官的悲劇》,徐隨林、劉潤生編譯,北京:群眾出版社,1990年。
    5. 李君山,《中國駐印軍:緬北反攻與戰時盟軍合作》,台北:政大出版社,2021年。
    6. 彼得.帕爾菲奧諾維奇.弗拉基米羅夫(Peter Vladimirov),《延安日記》,余瑞先等譯,北京:東方出版社,2004年。
    7. 林孝庭,《台海‧冷戰‧蔣介石:解密檔案中消失的台灣史1948-1988》,台北:聯經出版公司,2015年。
    8. 林孝庭,《意外的國度:蔣介石、美國、與近代台灣的形塑》,黃中憲譯,新北:遠足文化,2015年。
    9. 金先宏,《影響白宮對華政策的「中國通」:一個前外交官的采訪手記》,北京:時事出版社,2003年。
    10. 凌青,《從延安到聯合國:凌青外交生涯》,福州:福建人民出版社,2008年。
    11. 張淑雅,《韓戰救臺灣?解讀美國對臺政策》,台北:衛城文化,2011年。
    12. 陶文釗,《中美關係史: 1911-1950》,重慶:重慶出版社,1993年。
    13. 費正清(John King Fairbank),《費正清中國回憶錄》,閆亞婷、熊文霞譯,北京:中信出版社,2017年。
    14. 費正清(John King Fairbank)、費維愷(Albert Feuerwerker)編,《劍橋中華民國史1912-1949 (下卷)》,劉敬坤譯,北京:中國社會科學出版社,2006年。
    15. 馮客(Frank Dikötter),《解放的悲劇:中國革命史1945-1957》,蕭葉譯,台北:聯經出版公司,2018年。
    16. 黃華,《親歷與見聞-黃華回憶錄》,北京:世界知識出版社,2007年。
    17. 鄒讜,《美國在中國的失敗,1941—1950》,王寧、周先進譯,上海:上海人民出版社,2012年。
    18. 熊向暉,《我的情報與外交生涯》,北京:中信出版社,2019年。
    19. 齊錫生,《劍拔弩張的盟友:太平洋戰爭期間的中美軍事合作關係(1941-1945)》,台北:聯經出版公司,2011年。
    20. 藍欽(Karl L. Rankin),《藍欽使華回憶錄》,譯者不詳,台北:徵信新聞報,1964 年。
    (三) 論文
    1. 張淑雅,〈藍欽大使與一九五○年代的美國對臺政策)〉,《歐美研究》,28:1期(1998),頁193-262。
    2. 張淑雅,〈韓戰期間美國對台軍援初探〉,載於《中華民國建國八十年學術討論集》(第二冊),頁471-476,臺北市:近代中國出版社,1991。
    3. 黃剛,〈美國駐在北台灣各使領館處建制之初探(1868-2016)〉,《臺北文獻》,第186期(2013),頁103-137。
    4. 楊丹,《抗戰後期中共與美國關係研究-以美軍觀察組為視角》,碩士論文,遼寧師範大學, 2011年。
    5. 嚴海建,〈1946-1948年北平學潮:國民政府中央與地方處置的歧異〉,《民國檔案》,6期(2008),頁104-110。
    (四) 數位資料庫與網路資料
    1. 美國國家安全檔案解密檔線上資料庫(Digital National Security Archive),https://nsarchive.gwu.edu/digital-national-security-archive。
    2. 馬歇爾使團,1945-1947年(Archives Unbound: General George C. Marshall's Mission to China, 1945-1947),https://www.gale.com/intl/c/general-george-c-marshalls-mission-to-china-1945-1947。
    3. 人民日報圖文數據庫(1946-2020), http://data.people.com.cn/rmrb/20201130/1?code=1。
    4. 香港舊報紙 (Old Hongkong Newspaper),https://mmis.hkpl.gov.hk/zh/old-hk-collection
    5. 國立公共資訊圖書館—數位典藏服務網,https://das.nlpi.edu.tw/cgi-bin/gs32/gsweb.cgi/login?o=dwebmge&cache=1622285697675
    6. 日本戰犯罪行審判史料編譯,http://202.96.31.117/zzzx/wqhg/wqhg2016/zl/index_11.htm
    7. China: The Roots of Madness (1967),https://www.youtube.com/watch?v=NV81D_D66Q4.
    8. Richard D. McKinzie,"Oral History Interview with O. Edmund Clubb " https://www.trumanlibrary.gov/library/oral-histories/clubb#84.
    9. Rosemary Levenson,"Oral History Interview with John S. Service " https://www.trumanlibrary.gov/library/oral-histories/service.
    二、英文部份
    (一) 檔案、文獻與報紙
    1. Army List and Directory-October 20,1934,Washington : United States War Department, 1934.
    2. Army List and Directory-October 20,1936,Washington : United States War Department, 1936.
    3. " Barrett, David D.," Frank Dorn papers, Box 1, Folder 7, Hoover Institution Library & Archives.
    4. David Dean Barrett papers, Hoover Institution Library & Archives.
    5. " David D. Barrett", interview by Forrest Carlisle Pogue, December 17, 1959, transcript no.96, The George C. Marshall Research Library, Lexington, Virginia.
    6. Foreign Relations of the United States, 1942, China, eds. E. Ralph Perkins and G. Bernard Noble,Washington: Government Printing Office, 1956.
    7. Foreign Relations of the United States: Diplomatic Papers, 1943, China, eds. E. Ralph Perkins and G. Bernard Noble, Washington: Government Printing Office, 1957.
    8. Foreign Relations of the United States, 1944, The Far East: China, Volume VI eds. A. Fine Herbert et al., Washington: Government Printing Office, 1967.
    9. Foreign Relations of the United States, 1947, The Far East: China, Volume VII eds. A. Fine Herbert et al., Washington: Government Printing Office, 1972.
    10. Foreign Relations of the United States, 1948, The Far East: China, Volume VII eds. C. Prescotte Francis et al., Washington: Government Printing Office, 1973.
    11. Foreign Relations of the United States, 1949, The Far East: China, Volume VIII eds. C. Prescotte Francis et al., Washington: Government Printing Office, 1978.
    12. Foreign Relations of the United States, 1950, East Asia and the Pacific, Volume VI eds. H. Petersen Neal et al., Washington: Government Printing Office, 1976.
    13. Foreign Service List-January 1,1951,Washington :United States Department of State, 1951.
    14. Robert C. Strong to Fulton Freeman, "Taiwanese Military Distrust of U.S. Attachés," letter. 27 June 1950, Top Secret Subject Files, 1945-1950. China Affairs. Box 17., The National Security Archive, Washington, D.C.
    15. The Papers of George Catlett Marshall, ed. Larry I. Bland and Sharon Ritenour Stevens, Lexington: The George C. Marshall Foundation, 1981.
    16. The China Weekly Review,1945.
    (二) 英文專書與論文
    1. Ariyoshi, Koji. From Kona to Yenan: The Political Memoir of Koji Ariyoshi, Honolulu: Univ of Hawaii Pr, 2000.
    2. Barrett, David D. “Soldiers of Misfortune,” The Military Engineer, Vol. 54, No. 357 (January-February, 1962), pp. 33-36.
    3. Barrett, David D. Dixie Mission: the United States Army observer group in Yenan, 1944, Berkeley: Institute of East Asian Studies, 1970.
    4. Beal, John Robinson. Marshall in China ,New York: Doubleday, 1970.
    5. Cornebise, Alfred E. Soldier Extraordinaire:The Life and Career of Brig. Gen. Frank "Pinkie" Dorn (1901-81),Fort Leavenworth:Combat Studies Institute Press, 2019.
    6. Davies, John Paton. China Hand: An Autobiography, Philadelphia:University of Pennsylvania Press,2012.
    7. Griffith, Samuel B. The Chinese People's Liberation Army, New York:McGrawHill,1967.
    8. Hart, John N. Making of an Army "Old China Hand": A Memoir of Colonel David D. Barrett. Berkeley: Institute of East Asian Studies, 1985.
    9. Kahn, Jr, E. J. The China Hands: America's Foreign Service Officers and What Befell Them, New York:Viking Press, 1975.
    10. Pogue, Forrest C.George C. Marshall: Education of a General, 1880-1939,New York:Viking Press,1963.
    11. Romanus, Charles F., and Riley Sunderland. United States Army in World War 2, China-Burma-India Theater, Time Runs Out in CBI,Washington D.C: Center of Military History (CMH), 1999.
    12. Stilwell, Joseph W. The Stilwell Papers, Schocken Books:New York, 1972.
    13. Strong, Robert C. Where I Came From, Where I Went, and So What or: The Life of an American Diplomat, Unpublished, Beloit College Archives.
    14. Tuchman, Barbara W. Stilwell and the American Experience in China, 1911-1945 , New York.: Macmillan, 1972.
    15. Wedemeyer, Albert C. Wedemeyer Reports!, New York: Henry Holt & Company, 1958.
    16. Young , Arthur N. China and the Helping Hand, 1937-1945,Cambridge: Harvard University Press, 1963.

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