引言
Introduction

中華民國自從九○年代之後，在內部及外部都遭遇了許多的挑戰。在內部的挑戰之中，最明顯的可能就是由菁英主導，想要將中華民國轉變為一個新台灣主體的訴求。台灣最終的獨立（亦即一個重新定義甚至取代中華民國的台灣主權的形成）是這些政治菁英的目標。最關鍵的外部挑戰則為長久以來中華人民共和國的威脅，以及全球化所帶來的複雜影響，這些影響可能會使中華人民共和國危險的吸引力大增。這些挑戰或多或少地影響了中華民國南海戰略的強度及方向。
Since the 1990s the Republic of China (ROC, or Taiwan) has underwent many challenges both internally and externally. The most obvious internal challenge results possibly from a growing elite-led demand to transform the ROC into a new Taiwan identity. The ultimate independence of Taiwan – that is, the shape and formation of Taiwanese sovereignty that redefines or even replaces the ROC sovereignty – is the goal of these political elites. The most critical external challenges are the long-lasting threat of the People’s Republic of China (PRC, or mainland China) and the intrigued influence of globalization that may have intensified the treacherous attraction of the emerging PRC. These challenges have more or less influenced the magnitude and direction of the ROC’s South China Sea strategy.

在一九九五年中華人民共和國與菲律賓美濟礁事件發生之後，南海爭議的緊張程度就逐漸降低了。之後，各爭端國之間只有零星言詞上的糾紛發生。然而，中華民國擔憂的是，在這平靜的海面之下有一股小小的暗流。這股暗流包括了兩個因素：第一，中華民國已經被所有有關南海的一軌會議或談判摒除在外；第二，在亞洲金融危機的數年之後，大部分的爭端國（特別是馬來西亞和越南）據傳開始購入先進武器，此舉可能會使軍事的影響力回到南海區域。因此，具有重要戰略意義的南海不能自中華民國的國家戰略地圖上消失，而且仍然值得政府與學界多加注意。
After the 1995 Mischief Reef Incident between the PRC and the Philippines, the tension over the South China Sea dispute has eased up gradually. Only few verbal quarrels took place among some of the claimants after then. Nonetheless, beneath the seemingly tranquil sea lies a minor dark tide that worries the ROC. This dark tide consists of two factors: first, the ROC has been excluded from all Track-I meetings and negotiations regarding the South China Sea sovereignty dispute; second, with several years’ recovery from the Asian financial crisis, most claimants – Malaysia and Vietnam in particular –reportedly begin to procure more advanced weapons, which could bring the South China Sea area back to the military influence. As a result, the South China Sea with great strategic significance can not be left out of the ROC’s national strategic map, and it still deserves more governmental and academic attention.

為了避免分析上的複雜性，本文僅將藉由檢視當代全球化對於中華民國國家主權的影響（亦即從全球化而不從傳統政治、經濟、領土的角度）來觀察中華民國的南海戰略。本文僅將有限度地觸及希望重新定義主權的內部挑戰與來自中華人民共和國的威脅等其他威脅。
To avoid the complexity of analysis, this essay will focus simply on the ROC’s South China Sea strategy by discerning the impact of contemporary globalization on the ROC’s national sovereignty – that is, from an angle of globalization instead of the traditional political, economic or military one. Only a limited discussion about the pressure from within to re-identify sovereignty and the threat and competition from the PRC – two other challenges that also have influence on the ROC’s South China Sea strategy – will be presented in this essay.

本文下一節將探討全球化與中華民國主權的關係。討論的重點將是全球化與主權的關連性，以及全球化下中華民國主權觀的演變。緊接著，本文將指出南海對中華民國的重要性、檢視南海情勢最近的發展、探索中華民國對此一區域政策與戰略的變與不變。本文最後一節將對中華民國政府提出一些政策建議。這些建議包括了在南海加強與其他爭端國的合作安全、擴大二軌及其他相關活動的參與、推展學術合作與交流、發展觀光業、慎思中華民國主權的轉變對其南海主權的影響、建立更具能力的海空軍力以在必要時可以防衛南海（如果現實主義所描述的環境再度發生的話）並彰顯中華民國在該地區的地位等等。
The following section will examine the relationships between globalization and the ROC’s national sovereignty. Specifically, the main points of discussion will be the linkage between globalization and sovereignty, as well as changes in the ROC’s sovereignty under globalization. What follows will be the section aimed at identifying the significance of the South China Sea for the ROC, scrutinizing the recent development of the South China Sea dispute since the Mischief Reef Incident, and exploring the change and continuity in the policy and strategy of the ROC toward this area. The last section of this essay will provide some policy implications and suggestions for the ROC government. The policy implications for the ROC government include effort to enhance cooperative security with the other claimants of the South China Sea, expansion of participation in the Track Two and related activities, promotion of academic research and exchange, development of tourism, deliberation on the consequences of transforming ROC sovereignty on its claim over the South China Sea, as well as the establishment of more capable naval and air forces to defend the territories in the South China Sea – just in case a realist scenario in this area is to take place again – and underscore the ROC’s status in
this area.

全球化與中華民國國家主權
Globalization and ROC’s National Sovereignty

全球化與主權的關連性
Linkage between Globalization and Sovereignty

全球化對於國際關係的很多面向都有深遠的影響。全球化下的經濟效應（互賴、自由化、企業治理等）進一步地使國際關係複雜化，而國家和非國家行為者在其中主動或被動地互動，藉以應付各式各樣關於個人福祉、民族國家生存與發展、全球和平與繁榮等議題。更進一步言，全球化那「使個人、公司或民族國家比以往更遠、更快、更深、更便宜地到達全世界的一種不可遏抑的市場、民族國家和技術整合」幾乎在全世界都促進了西方的自由市場資本主義。1 在經濟領域裡，全球化是關於生活及生存方式的轉型；在政治上，它是指地方控制權在某種程度上的喪失。2
Globalization has a deep impact on many dimensions of international relations. Its economic consequences – interdependence, liberalization, corporate governance, etc. – have further complicated modern international relations where states and non-state actors interact either spontaneously or passively to deal with a variety of issues concerning individual welfare, national survival and development, as well as global peace and prosperity. More specifically, its “inexorable integration of markets, nation-states, and technologies… enabling individuals, corporations and nation-states to reach around the world farther, faster, deeper and cheaper than ever before” promotes western free-market capitalism to nearly all over the world.1 In the realm of economics, globalization
is about the transformation “of livelihoods and modes of existence; in politics, a loss in the degree of control exercised locally… ”2

隨著全球化的擴散，主權國家的政治權利或多或少受到了侵害。國家經濟體和世界其他經濟體若有較強的關係，則做為國際關係基本行為者之一的民族國家在表現與發展上可能會受到影響。有時候，此種關係將導致民族國家體系的崩解，最後導致人類社會的不穩定。3此外，隨全球化而來的民族國家的轉型和重建（也就是國家去固著化和國家再固著化）將會影響民族國家及它們本身對於領土和內部資源的絕對控制權，所以在未來，世界政治可能會變得比較具有變動性。4
With the spread of globalization, the politic al rights of sovereign states are more or less infringed. The stronger association of national economies and other different economic units in the world may influence the performance and development of the nation-states as one of the basic actors in international relations. Sometimes such a strong association will bring the collapse of the nation-state systems, thereby causing unstable situations for the mankind.3 Moreover, the transformation and reconstitution of nation-states – i.e., de-territorialization and re-territorialization – in the wake of overwhelming globalization will influence nation-states and their absolute control over their territories and domestic resources, so it is likely that world politics will become more volatile in the future.4

同時，全球化導致了跨國組織的增加與技術的傳遞。全球化的擴散幫助創造了一個全球意識或是一個想像中的全球社群，而這種意識或社群似乎能取代傳統的民族國家體系，轉變與重組國家主權。5 在這個社群之內，民族國家可以行使主權的範圍變小了。正如凱塞納所言，「全球化和外侵的國際規範不是新的現象。當代環境的某些部分是獨特的––非政府的跨國組織數目成長迅速、國際組織地位更重要、沒有網路空間的話網路犯罪就不能存在。這些發展確實挑戰了國家的控制權〔亦即主權〕。」6
Globalization at the same time brings about the increasing number of supranational organizations and further dissemination of technology. The spread of globalization helps create a globality or an imagined global community that seems able to substitute the traditional nation-state system and transform and reconstitute national sovereignty. 5 In this community the scope in which nation-states can exert their sovereignty is being shrinking. As Stephen D. Krasner argues, “[g]lobalization and intrusive international norms are not new phenomena. Some aspects of the contemporary environment are unique – the number of transnational non-governmental organizations has grown dramatically, international organizations are more prominent, cyber crime could not exist without cyber space. These developments do challenge state control [i.e., sovereignty].”6

在這些發展之中，經濟整合很明顯地可能對於國家主權有著最嚴重的影響。最為人熟知的例子包括了世界貿易組織的建立。主權在全球化的潮流之下已經變成「具有資本主義特徵的特殊政治形式，而且因此使得國際經濟活動可以建立自己的獨特領域」。7 所以，主權的界定應該超越傳統對於領土主權的認知。也就是說，主權應該是多面向的。國家放棄它們部分的主權以求得雙邊或多邊的合作，並藉此保衛及運用它們剩餘的主權。再者，除了經濟議題之外，還有很多其他議題是民族國家在全球化中所不能單獨應付的。這些議題包括了諸如環境保護、致命疾病之預防和來自跨國公司的挑戰等。在多數的例子中，國際組織與建制依國家的意願而建立以集體管理這些議題，因此減損了國家的絕對控制權。8 此點更凸顯了全球化和國家主權的密不可分的關連性。
Among these developments it is evident that economic integration may have a most serious impact on national sovereignty. The most well-known examples could include the establishment of the World Trade Organization (WTO). Sovereignty in the trend of globalization has become “a specific political form which is distinctive of capitalism and consequentially has enabled the constitution of a distinct sphere of international economic activity.”7 Accordingly, the definition of sovereignty should move beyond the traditional understanding of the territorial nature of sovereignty. That is, sovereignty should be multidimensional. States give up part of their sovereignty to cooperate either bilaterally or multilaterally to defend and exert their remaining sovereignty. In addition, there are many issues other than economic ones that the nation-states fail to handle well single-handedly in globalization. They are, for instance, environmental protection, the prevention of deadly diseases and the challenge from
multinational corporations. In most cases, international organizations and regimes are established of states’ own free will to manage these issues collectively, thus reducing the absolute control of states.8 This further highlights the inseparable linkage between globalization and national sovereignty.

全球化下的中華民國主權
ROC’s National Sovereignty under Globalization

某些內部因素促使中華民國主權本質開始轉變。其中一個因素就是持續發展的民主化。中華民國的民主化肇始於一九八零年代末期，它當時鼓勵了小部分的反對派菁英要求國家主權的重建與否認中華民國政府對於其主權及於中國大陸的聲明。值得一提的另一個因素則是政治人物的支持。歷史已經顯示了李登輝第二任總統任期的後半是提倡「台灣主體」和「特殊國與國關係」這些刻意將台灣自傳統「中國」概念分離出來的時期。因此，在中華民國有些人感到需要追求「中華民國在台灣」或甚至「台灣共和國」的新角色，而傳統上國家主權及於整個中國大陸的說法也被挑戰。
Certain internal factors trigger the changes in the nature of the ROC’s sovereignty. One of the factors is ongoing democratization. The ROC’s democratization began in the late 1980s. It encouraged a minority of opposition elites to call for the reconstitution of national sovereignty and to deny the ROC government’s claim that its sovereignty covered the Chinese mainland. Another factor worth mentioning is the support of political figures. History has shown that the second half of Lee Teng-hui’s presidency is a period of promoting the “Taiwan identity” and the “special state-to-state relationship” that deliberately distinguish Taiwan from the traditional concept of “China.” Consequently, some people in the ROC feel the necessity of pursuing a new role of “the ROC on Taiwan” or even “the Republic of Taiwan,” and the original notion of national sovereignty over the whole Chinese mainland is contested.

全球化的潮流更是轉變了中華民國的主權本質。無疑地，中華民國做為最終的政治權威在境內有絕對的力量使用武力而不受其他國家約束，但做為一個國際社群活躍的成員之一，中華民國不能免於全球化的影響。
The wave of globalization further transforms the nature of the ROC’s national sovereignty. It is undeniable that the ROC as the ultimate political authority has absolute power to use force within its boundaries and can not be subject to any other state or authority, but the ROC as an active member of international community can not escape from the impact of globalization.

如前述，主權的概念隨著全球化的潮流而轉變。主導西伐利亞式國際關係的領土主權觀不再能夠解釋當代世界複雜互賴與互動，而國家去固著化和國家再固著化致使對於主權的再檢驗，以更能反映出逐漸消失的國界、逐漸減少的國家控制與息息相關程度的增加等現實。中華民國的主權國家地位雖然很難獲得舉世的承認，但其按照全球化的發展，權宜利用此種適時且劇烈的轉變來發展有助於打破外交孤立的新主權概念。除了在理論與實踐上普遍被接受的經濟主權之外，中華民國正從領土主權的鬥爭中掙脫，藉由呼籲從領土主權之外的某些主權面向來考慮，試圖參與國際社會和同國際社會合作。譬如，為了避免領土主權的問題，中華民國成功地分別以「台澎金馬個別關稅領域」和「中華台北」為名，加入世界貿易組織及亞太經合。
As noted earlier, the concept of sovereignty has been transforming in the wave of globalization. Territory-based sovereignty that dominated Westphalian international relations can no longer account for complex interdependence and interactions among states in the modern world, and de-territorialization and re-territorialization have called forth a reexamination of sovereignty to better reflect the reality of gradually missing national boundaries, decreased state control and increased interconnectedness. Despite the great difficulty in obtaining world-wide recognition of the sovereign state status, the ROC in accordance with the development of globalization expediently takes advantage of such a timely and dramatic change to evolve new concepts of sovereignty that is of
help to break through the diplomatic isolation. In addition to economic sovereignty that has been generally accepted in both theory and practice, the ROC is moving out of the territorial nature of sovereignty struggle and attempting to join and collaborate with the international community by appealing to consideration of some aspects of sovereignty other than territorial sovereignty. To avoid the question of territorial sovereignty, for instance, the ROC successfully participated in the WTO and the Asia Pacific Economic Cooperation (APEC) under the names of “the Separate Customs Territory of Taiwan, Penghu, Kinmen and Matsu” and “Chinese Taipei,” respectively.

中華民國的另一項嘗試則是參與世界衛生組織。如中華民國外交部所稱，「沒有其他政府在我們的衛生體系或資源上執行控制權」。9 是故，中華民國主張衛生議題是跨國界的、是全體人類全球化的關切，進而要求國際社群將「中國」領土主權與台灣做為兩千三百萬人的「衛生實體」分開考慮，支持在台澎金馬人民加入該組織的願望。
Another attempt is being made on the ROC’s participation in the World Health Organization (WHO). As claimed by the ROC Ministry of Foreign Affairs (MOFA), “[n]o other government exerts control over our health system or resources.”9 Therefore, contending that the health issue is a transnational and globalized concern of all humanity, the ROC urges the international community to prop the desire of people on the territory of Taiwan, Penghu, Kinmen and Matsu for admission to the WHO by de-linking territorial sovereignty of “China” and Taiwan as a “health entity” of 23 million people.

全球化對中華民國的衝擊並不完全是正面的。為了在全球化之下能追求政治上的生存和經濟上的發展，中華民國參與了部分國際組織，並且調整了它的政策以符合遊戲規則。舉例來說，進入世界貿易組織讓中華民國暴露於全球化的力量之下，限制了其在國內經濟事務可行使的主權。國際貿易與投資的自由化（全球化明顯的面向之一）將會無可避免地妨礙中華民國政府依照其自身利益採取單邊行動的能力。
The impact of globalization on the ROC’s national sovereignty is not always positive. To pursue political survival and economic development under globalization, the ROC participates in a limited number of international organizations and adjusts its policies to comply with the rules of the game. For example, accession to the WTO has exposed the ROC to the force of globalization and restricted the ROC’s exercise of sovereignty over domestic economic affairs. The liberalization of international trade and investment– one of the salient dimensions of globalization – will inevitably hinder the capacity of the ROC government to embark upon unilateral action in its own interest.

雖然幾乎被排除在所有以主權國家為主的國際組織內，中華民國依然遵守這些組織的規則、規範及原則以融入國際社群、增進國家利益。10 在這方面，中華民國願意主動地讓出部分主權以交換國家生存與經濟發展。九一一攻擊事件後中華民國對於對抗國際恐怖主義所做的努力就是一個好的例子。雖然中華民國不是聯合國的一員，它的反恐行動還是按照聯合國安全理事會第一三七三號決議案上面所臚列之對於聯合國會員具有法律拘束力的義務。在許多其它的場合，中華民國政府亦重申決心遵守聯合國憲章與諸如國際原子能總署和世界衛生組織等主要國際組織的精神及義務。吾人可以合理地主張，國際組織與建制對於中華民國主權的侵犯可以被視為國家間深化的互賴（全球化的另一個明顯面向）的一個結果。
Being excluded from nearly every sovereign state-based international organization, the ROC still adheres to the rules, norms and principles set by these international organizations in order to integrate into the international community and enhance national interests.10 In this regard, the ROC is willing to surrender spontaneously part of its sovereignty in exchange of national survival and economic development. A good example is the ROC’s fighting against international terrorism after the September 11 attack in 2001. Although the ROC is not a member of the United Nations (UN), it has acted in accordance with the UN Security Council Resolution Number 1373 that lists the legally
binding obligations for all members of the UN. In many other occasions, the ROC government has reiterated its resolve to abide by the UN Charter and the spirit and obligations of major intergovernmental organizations such as the International Atomic Energy Agency (IAEA) and the WHO. It is reasonable to argue that the infringement on or the intrusion of the ROC’s sovereignty by international organizations and regimes can be seen as a consequence of deepened interdependence among states – another salient dimension of globalization.

不僅主權的本質被全球化影響了，就連領土主權的範圍也被可能會全球化所間接影響。這或許正好是中華民國的例子。在一九九一年的憲法修正後，中華民國的領土主權範圍事實上侷限於台澎金馬。隨後一九九二年的憲法修正給予了台澎金馬等地的公民直接選舉總統、副總統之權。11 這些改變意味著一個「由上而下」要反映中華民國事實統治其領土的計畫。現在清楚的是，創造台灣主體可能是在李氏領導時期做出如此改變的主要驅動力量。一個合理的論斷是，藉由憲法的修訂，中華民國的主權範圍逐步地被改變，如此正好呼應台獨支持者普遍的一個論述：「台灣已經是個獨立的國家，它的名字叫做中華民國。」
Not only the nature of sovereignty but the scope of territory-based sovereignty may be indirectly influenced by the trend of globalization. This may be the case of the ROC. The ROC is not an exception. The scope of the ROC’s territorial sovereignty is in effect confined to Taiwan, Penghu, Kinmen and Matsu after the constitutional amendment in 1991. The following 1992 constitutional amendment grants the right of electing national president and vice president to the citizens of Taiwan, Penghu, Kinmen and Matsu. 11 These changes signify a “top-down” scheme to reflect the ROC’s de facto control over its territory. It is now clear that creating the Taiwanese identity could be the major driving force for these changes under the Lee leadership. A reasonable contention is that by amending the Constitution the scope of the ROC’s territorial sovereignty was altered step by step to correspond to a popular statement of those who support Taiwan independence: “Taiwan has become independent, and its name is Republic of China.”

李氏這樣一個敏感的政治動作或許是被全球化進一步地鼓舞的結果。政治上的全球化使得支持和平、合作、互賴、自決及人權的國際規範被接受。安全上的全球化則致使當代安全的概念產生巨變。安全上的顧慮不再僅限於傳統對於軍事安全的瞭解。同時，全球化的現象使得國家的安全連結在一起，而合作安全也被提倡了，因為自由主義的全球化假定經濟互賴與整合對於降低衝突的可能性有正面的意義。因此，全球化有助於維持台海兩岸的穩定。12 但是，全球化這些正面的發展可能會鼓勵對於重新界定主權或者台灣獨立的支持者，這部分是因為全球化似乎在美國的保護傘之外又對台灣提供了另一個保護傘。13 如果中華民國主權的範圍因此而開始轉變時，兩岸關係是否還會維持穩定那就在未定之天了。
It is possible that such a sensitive political move made by Lee was further inspired by globalization. Globalization in politics contributes to the acceptance of international norms favoring the respect toward peace, cooperation, interdependence, self-determination and human rights. Globalization in security causes dramatic changes in the conceptualization of contemporary security. Security concerns are no longer limited to traditional understandings of military security. In the meantime, the phenomenon of globalization makes states’ security interconnected, and cooperative security is
promoted because liberal globalization assumes that economic interdependence and integration are positive forces to reduce the likelihood of conflict. Globalization is thus of help to maintain a stable situation between the both sides of the Taiwan Strait.12 Yet, these positive developments of globalization may encourage the adherents of redefined sovereignty or of Taiwan independence partly because to them globalization seems to provide Taiwan with one more protection umbrella in addition to that of the United States.13 If the scope of the ROC sovereignty is changed due to the above-mentioned analysis, it is uncertain that cross-strait relations will still remain stable.

在討論完全球化與其對中華民國主權的影響之後，本文將繼續研究是否全球化和轉變中的主權已經影響了中華民國在最近南海主權爭議發展中的角色和戰略。
Having discussed globalization and its impact on the transforming sovereignty of the ROC, this essay will move on to investigate whether globalization and transforming sovereignty have influenced the role and strategy of the ROC in the recent development of the South China Sea sovereignty dispute.

中華民國與南海主權爭議
ROC and the South China Sea Sovereignty Dispute

關於南海爭議的文獻已經有很多了。14 但是，這些文獻很少從全球化的角度去探索及檢討中華民國在如此長久的主權爭端中的立場和戰略。為了促進眾人對於此一複雜議題的瞭解，下面的各小段將著重於三個問題之上。第一，為何南海對於中華民國很重要？第二，南海主權爭議最近的發展為何？最後，在對於前述二問題做一概略回答以後，吾人要問，當全球化與轉變的主權影響力逐漸增加之時，中華民國南海戰略的變與不變有哪些？
Literature on the South China Sea dispute has been numerous.14 Nonetheless, it rarely scrutinizes and reviews the position and strategy of the ROC in this long-lasting sovereignty dispute from the angle of globalization. To enhance one’s understanding of this complex issue in which the ROC plays a key role, the following section will focus on three questions. First, why is the South China Sea important to the ROC? Second, what is the latest development of the South China Sea sovereignty dispute? Last, with the brief answers to the above-mentioned questions, what is the change and continuity in the ROC’s South China Sea strategy when the force of globalization and transforming sovereignty is increasing?