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*本文系国家哲学社会科学研究规划基金项目（98BSS005 美国的冷战战略与巴统会、中国委员会 1945—1994年）的中间研究成果。
1、 [1]Report by the NSC on control of exports to the Soviet Union and Eastern Europe ,17 December 1947;Foreign Relations of the United States (FRUS),1948,Vol.4 . p.512.
2、 Pubic Law(PL),11 February 1949, United States Statutes at Large ,81 st Congress ,1 st sess,1949,63:7-9.
3、1953年1月，美国贸易管制清单内有禁运物资285种，限量出口物资253种。巴统管制清单内有禁运物资（不包括原子能物资）253种，限量出口物资92种，交换情报监管物资102种。中国委员会的管制清单内有禁运物资295种。其中，25种属于巴统限量出口物资，63种属于巴统交换情报监管物资，207种属于巴统根本不管制的物资。
4、NSC104 ,U.S. Policies and Programs in The Economic Field Which May Affect The War Potential Of The Soviet Bloc, February 12,1951, FRUS,1951,Vol.1. pp.1023—1035. IR Report NO.5447R ,Vulnerability of the Soviet Bloc To Existing And Tightened Western Economic Controls ,January 20,1951.Vol.1.p.1036. Memorandum by the Assistant Secretary of State for Economic Affairs(Thorp) to the Assistant Chief of the Policy Reports Staff of the Executive Secretary ,February 14,1951,FRUS,1951,Vol.1.p1048.
5.NSC104/ 2,U.S.Policies and Programs in The Economic Field Which May Affect The War Potential Of The Soviet Bloc ,FRUS,1951,Vol. 1.pp.1059-1065.
6、Telegram From the Secretary of State to the Embassy in the United Kingdom ,August 22,1950,FRUS,1950,Vol.4.pp.174-176.
7、NSC5416,U.S. Strategy for Developing a Position of Strength in the Far East, April 10,1954,FRUS,1952-1954, Vol. 12, pp.411-412.
8 .The Telegram From the Secretary of State to the Embassy inFrance ,August27,1948,FRUS,1948, Vol. pp. 564-569.
9. First Progress Report On “U.S. Policing on Economic Defense ”,NSC152 /3,August 30, 1954, FRUS, 1952-1954, Vol. 1,p1252.
10、First Progress Report on U.S. Policing on Economic Defense ,NSC152 / 3,August 30,1954,FRUS,1952-1954.Vol.p1241.
11、Sinclair Weeks to Marshall M .Smith ,August 28, 1958, CFEP Records ,Policy Papers Series ,Box 1,Dwight D. Eisenhower Library.
12、这就是所谓“波兰差别”。美国政府在1957年8月起对波兰与对苏联集团的其他国家实行差别待遇。1958年，又同意巴统成员国可以用“例外程序”向波兰出口禁运物资。1959年，在近500，000美圆的“例外程序”出口中，有35，000美圆是给波兰的。Thirteenth Report to Congress under the Mutual Defense Assistance Control Act of 1951(Battle Act Reports), March 15, 1960,pp.33-36. Washington .D .C.
13、Battle Act Reports ,no.12, April 20 ,1959. Washington . D. C.
14、M. Mastanduno , Economic Containment :COCOM and the Politics of East-West Trade ,Cornell Univ. Pr.1992, p112.
15. Philip J. Funijiello, American—Soviet Trade in the Cold War, Univ. Of North Carolina Press ,1988, p. 125.
[15]16 Large—diameter Pipe , Department of State Paper , March 25 , 1963 , National Security Files—NATO Pipe Embargo , Box 223. Kennedy Presidential Library , Waltham , Mass.
17 .PL 87—515 ,July 1, 1962. United States Statutes at Large, 87 th Congress ,2 nd sess ,1962 , 76 :127-128.
18 .Dean Rusk to NSC, United States Economic Defense Policy , October 1962, JFKP,FG 651 .John F. Kennedy Library, Boston, Mass.
19、Luther Hodges to Kennedy ,10 July 1962. Export Control Policy , JFKP, NSF,FG651 ,John F. Kennedy Library..
20、Kennedy to Export Control Review Board (ECRB) ,16 May ,1963 ,JFKP, NSF, FG651,John F. Kennedy Library.
21、U.S. Department of State , Policy Planning Council ,U.S. Policy on Trade with the European Soviet Bloc , memorandum prepared for the President ,July 8,1963, Declassified Documents Quarterly ,1976, item 289 A, Lyndon B. Johnson Libarary ,Austin ,Texas .
22、Report of the Special Committee on the U.S. Trade with East European Countries and the Soviet Union , Department of State Bulletin , May 30 ,1966 .p 846.
23、Dean Rusk , East-West Trade Relations Act of 1966: Letter of Transmittal ,Department of State ,Bulletin ,May 30, 1966, p841.
24. Richard M .Nixon ,U.S. Foreign Policy for the 1970 S :Building for Peace ,A Report to the Congress ,February 25 ,1971, Harper & Row ,Publishers ,pp. 5-8.
25. Henry Kissinger , White House Years ,Little Brown and Company ,Boston 1979 ,p840 .
26、PL91-184 ,United States Statutes at Large ,91 st Congress 1 st sess ,1969 ,83:941-847. 1969年12月，财政部修改了根据1917年《对敌通商法》制定的对外资产管理规则，允许美国企业的海外分公司与中国进行非战略物资贸易，撤消了有关美国企业不得参与“中国产品”第三国贸易的限制条款，允许美国居民自由携带非商业用途的中国产品回国。1971年4月，尼克松总统发表声明，全面改革近20年来的对华贸易政策。1、为发展美中两国之间的直接贸易关系，制定能直接出口的非战略物资清单，确定能与中国贸易的项目；2、对来自中国大陆的个人、团体给予签证；3、缓和外汇管制，以使中国能够使用美圆；4、解除对进出中国大陆的船舶、飞机补充美国石油企业燃料的限制；5、允许美籍船舶、飞机在中国境外港口与美国之间运输中国货物，美国所有的外籍船舶、飞机可以进出中国大陆。1971年6月，美国政府修订对华贸易禁运清单，解除了47类商品的禁运管制。1972年，美国政府决定将对华贸易管制置于同苏联一样的水平。在美苏经济关系方面，1972年10月，双方签署互相给予最惠国待遇的协定，苏联重新获得了自1952年以来被美国取消了的最惠国待遇地位。1972年10月止，美国商品管制清单( Commodity Control List=CCL) 内有550种单独管制项目，至1973年5月，只有73种仍然实行单独管制。M. Mastanduno , Economic Containment : COCOM and the Politics of East-West Trade ,Cornell Univ. Pr. 1992 ,p147.加藤洋子 ：《美国的世界战略与巴统》，有信堂1992年版，第210-211页。
27. Note on the China Exception Procedures , no date , M3426/178 ,FO371/121947 ,Public Record Office .
28. Fourteenth Report to Congress under the Mutual Defense Assistance Control Act of 1951 ,December 20 ,1960 , Washington ,D.C..GPO,p4.
29. M. Mastanduno ,Economic Containment :COCOM and the Politics of East-West Trade ,Cornell Univ. Pr. 1992 ,pp.174, 175 .
30、在美国出口贸易额中，农产品所占份额如下：1972年 79% ；1973年 77% ；1974年 49%；1975年 62% ；1976年 64% ；1977年 64% ；1978年 75%。M. Mastanduno ,Economic Containment :COCOM and the Politics of East-West Trade ,Cornell Univ. Pr. 1992, p. 158.
[31] Angela Stent , From Embargo To Politik , The Political Economic Of West German—Soviet Relations , 1955—1980 , Cambridge University 1981 , p. 210.
32 . .PL 92—412 ,August 29, 1972 , United States Statutes ,92 nd Congress , 2 nd sess ,1972, 86 : 644--- 646. Export Administration Report ,Second Quarter 1974 ,U.S. Department of Commerce, 1974.
33. PL93 –500 ,October 29 ,1974 , United States Statutes ,93 nd Congress , 2 nd sess ,1974 ,88:1552 –1557.
34 .transfer by turnkey factories . 包工商将机器设计、制造、乃至建厂、人员培训等全部包下，交付后能立即开工的整套设备出口方式。
35. Defense Science Board Task Force, An Analysis of Export Control of Advanced Technology : A DOD Perspective ,Washington ,D.C. : Office of Defense Research and Engineering ,1976 ; U.S. Congress ,House ,Committee on International Trade and Commerce ,Export Licensing of Advanced Technology : A Review ,Hearings ,94 th ,Congress ,2 d sess ,March 11, 15, 24, 30, 1976. Pp. 210-212.
36．1984年，又增加以下5种技术：化学技术、核技术、暗码解读技术、能源系统技术和能源材料技术。 M .Mastanduno ,Economic Containment :COCOM and the Politics of East-West Trade ,Cornell Univ. Pr. 1992 .pp.213-314.
37 . PL 95—52 ,June 22, 1977 ,United States Statutes 95 th Congress , 1 st sess ,1977 ,91:235—248 .
38. PL 96—72 ,September 29 ,1979 ,United States Statutes ,96 th Congress ,1 st sess ,1979 ,93:503—536 .1979年《出口管制法》还提出要“与美国缔结防务条约的非巴统成员国国家合作，加强对技术转让的管制。1979年3月，美国商业部CCL内有143种禁运项目。
39. National Security Decision Directive 75 , Los Angeles Times ,March 16, 1983 ,p 1.
40. New York Times , January 25 ,1989 . p. A1. Washington Post , January 26, 1989 , p. A22. Export Control News ,April 30 ,1989 , 6-8 ; June 30,1989 ,4-6 .
41. Statement of William Perry , U.S.Embargo of Food and Technology to the Soviet Union ;M. Mastanduno ,Economic Containment ,COCOM and Politics of East-West Trade ,pp.224-226.
42．M. Mastanduno ,Economic Containment :COCOM and Politics of East-West Trade ,p.233.
43. M. Mastanduno , Economic Containment :COCOM and Politics of East-West Trade ,pp. 279-281.
44. PL 99—64 ,July 12 ,1985 , United States Code ,Congressional and Administrative News ,99 th Congress , 1 st sess ,1985 , 1: 120-162.
45. “Technology Transfer Controls: The Great CoCom Debate “, Business Eastern Europe ,November 3 ,1978, pp. 345—347 .
46. Statement of Frank Well , Department of Commerce , U. S. Export Control Policy and the Extension of the Export Administration Act ,p.40.
47．最典型的事例有二。1980年，美国政府宣布对苏联实行制裁以后，美国出口商被迫放弃了承接的价值各为30000万美圆的钢铁厂和铝厂工程。法国和西德出口商乘机延揽过来。
48.. Philip J. Funijiello , American –Soviet Trade in the Cold War , Univ. of North Carolina Press ,1988 ,pp.206-207. 1979年3月，巴统禁运清单共有105种物品。M. Mastanduno , Economic Containment :COCOM and the Politics of East-West Trade ,p.160.
49. Caspar Weinberger ,The Technology Transfer Program , A Report to the 98 th Congress ,2d session ,Washington .D.C.: U.S. Department of Defense ,February 1984 .pp.11-12.
50.. M. Mastanduno ,Economic Containment : COCOM and the Politics of East-West Trade ,Cornell Univ. Pr. 1992.pp. 269-270; 275-276.
51.. PL99—64 ,July 12, 1985 ,United States Code :Congressional and Administrative News , 99 th Congress , 1 st ,1985, 1: 120—162 .
52. .PL 99—64 ,July 12,1985, United States Code; Congressional and Administrative News, 99 th, Congress ,1 st , 1985, 1: 120—162.
53. .GAO, Export Licensing : Commerce –Defense Review of Applications to Certain Free World Nations , Washington D.C. ,September 1986 , p.10.
54. M. Mastanduno , Economic Containment : COCOM and the Politics of East-West Trade , Cornell Univ. Pr. 1992. PP. 292-294.
55. 加藤洋子 ：《美国的世界战略与巴统》，有信堂1992年版，第5页。
56. M. Mastanduno , Economic Containment : COCOM and the Politics of East—West Trade ,Cornell Univ. Pr. ,1992, pp. 297-299.
57. M. Mastanduno ,Economic Containment : COCOM and the Politics of East—West Trade ,Cornell Univ. Pr. 1992, pp. 301,308.
58. M. Mastanduno, Economic Containment : COCOM and the Politics of East—West Trade ,Cornell Univ. Pr.. 1992,p. 332.
59. Export Control News , 4, June 30, 1990, pp. 2-3.
60． Export Control News, 5, August 25, 1991. M.Mastanduno, Economic Containment : COCOM and the Politics of East—West Trade ,pp. 333—335. ; 加藤洋子：《美国的世界战略与巴统》，有信堂1992年版，第274、284页。日本在1991年11月实施对“核心清单”项目的管制时，另外增加11种化学武器制造设备，并扩大对运载系统项目的管制。
61. M. Mastanduno ,Economic Containment : COCOM and the Politics of East—West Trade ,Cornell Univ. Pr. 1992, p. 327.
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