英国对土耳其海峡政策的演变
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摘要
土耳其海峡问题是近代国际关系的热点问题—“东方问题”的重要组
成部分，在18世纪末至20世纪初的英国对外政策中占有重要地位。出于
维持“欧洲均势”的需要，也出于确保英国通向东方之路畅通的考虑，英
国从18世纪末至19世纪30、40年代，逐渐形成了对土耳其海峡的传统政
策。它有两个显著特征：第一，坚持奥斯曼土耳其帝国对黑海两海峡的主
权，当土耳其处于和平时期，海峡对外国战舰关闭；第二，维持土耳其的
独立和领土完整，以此保证和加强士耳其对海峡的主权。这一政策是英国
扼制欧洲其他大国、主要是扼制俄国在中近东地区扩张的产物。
19世纪后半叶，由于欧洲资本主义国家政治经济发展的不平衡，德国
统一后迅速崛起成为欧洲强国，欧洲同盟体系发生了显著变化，大英帝国
的霸权地位在世界范围内受到挑战。在新形势下，英国完全坚持传统政策
已不可能，也不再符合帝国的整体利益。1875年近东危机以后至1915年
英法俄签订海峡协定，英国从维持土耳其领土完整到参与对土耳其的瓜分，
从坚持海峡关闭政策到同意按俄国意愿安排海峡和君士坦丁堡的命运，传
统的海峡政策发生了有意义的变化。然而，英国维护其帝国利益的实质却
没有改变。
英国的海峡政策不是孤立的，它的形成和演变，反映了列强在中近东
地区的争夺与勾结，体现了大国外交的两个主要特征：“均势原则”和“补
偿原则”。正是欧洲大国维持中近东“均势”的需要，才使行将衰亡的土耳
其又苟延残喘地生存了100余年；也正是在不能完全维持土耳其独立和领
土完整的情况下，列强又纷纷追逐补偿。英国的海峡外交不仅从属于英国
对外政策的总战略，而且与列强在中近东地区的角逐及纷繁的国际问题交
织在一起。
本文重点阐述土耳其海峡在英国中近东战略中的地位和作用；分析英
国对土耳其海峡政策的演变及演变原因；揭示英国海峡政策与其“欧洲均
势”政策、帝国防御政策及外交总战略之间的内在关系。
This dissertation is focusing on the British policy toward the Turkish Straits
to provide an explanation of the policy origins and changes which occurred; an
analysis of why they occurred and how they related to the defense of British India;
the balance of Power in Europe; and other foreign policy issues.
The Straits question was mainly an Anglo-Russian problem created by the
conflict between Russia抯 desire to secure a Black Sea exit into the Mediterranean
and Britain抯 desire to protect her Mediterranean communications to India. The
British Straits?policy, formed in the 1840抯, included two important points. First,
Britain maintained that the preservation of the Ottoman Empire was key to
checking ffuther Russian expansion; second, the Ottoman Empire held
sovereignty of the straits of Bosphonis and Dardanelles, and closed the two
Straits to foreign warships while the Porte was at peace. After the 1 870s, Britain抯
hegemony in the world was challenged by the other European powers, not only
by Germany which was growing rapidly, but also by France and Russia which
were appearing more avarice to expand than before. In order to prevent an
alliance that would hurt the British Empire抯 interests, Britain came to realize that
the traditional Strait policy would need to be modified. However, the Convention
of Strait among Britain, France and Russia hadn抰 been signed until the First
World War broke out.
Another point, which must be emphasized by way of background, is that the
Straits question during the period of this study was an integral part of a larger
European problem: 搕he Eastern Question? Concessions to modify contro! of the
Straits to the advantage of one power would require teffitorial compensations to
other powers, so as to maintain the European equilibrium and the Balance of
power in the Near East. This was fortunate for British foreign policy. In the
nineteenth century it probably served to insure retention of Ottoman control over
the Straits, and in the twentieth century it enabled the British to use concession on
the Straits?question to obtain more vital foreign policy objectives in Central Asia
and Asia Minor relating to the defense of India.
成部分，在18世纪末至20世纪初的英国对外政策中占有重要地位。出于
维持“欧洲均势”的需要，也出于确保英国通向东方之路畅通的考虑，英
国从18世纪末至19世纪30、40年代，逐渐形成了对土耳其海峡的传统政
策。它有两个显著特征：第一，坚持奥斯曼土耳其帝国对黑海两海峡的主
权，当土耳其处于和平时期，海峡对外国战舰关闭；第二，维持土耳其的
独立和领土完整，以此保证和加强士耳其对海峡的主权。这一政策是英国
扼制欧洲其他大国、主要是扼制俄国在中近东地区扩张的产物。
19世纪后半叶，由于欧洲资本主义国家政治经济发展的不平衡，德国
统一后迅速崛起成为欧洲强国，欧洲同盟体系发生了显著变化，大英帝国
的霸权地位在世界范围内受到挑战。在新形势下，英国完全坚持传统政策
已不可能，也不再符合帝国的整体利益。1875年近东危机以后至1915年
英法俄签订海峡协定，英国从维持土耳其领土完整到参与对土耳其的瓜分，
从坚持海峡关闭政策到同意按俄国意愿安排海峡和君士坦丁堡的命运，传
统的海峡政策发生了有意义的变化。然而，英国维护其帝国利益的实质却
没有改变。
英国的海峡政策不是孤立的，它的形成和演变，反映了列强在中近东
地区的争夺与勾结，体现了大国外交的两个主要特征：“均势原则”和“补
偿原则”。正是欧洲大国维持中近东“均势”的需要，才使行将衰亡的土耳
其又苟延残喘地生存了100余年；也正是在不能完全维持土耳其独立和领
土完整的情况下，列强又纷纷追逐补偿。英国的海峡外交不仅从属于英国
对外政策的总战略，而且与列强在中近东地区的角逐及纷繁的国际问题交
织在一起。
本文重点阐述土耳其海峡在英国中近东战略中的地位和作用；分析英
国对土耳其海峡政策的演变及演变原因；揭示英国海峡政策与其“欧洲均
势”政策、帝国防御政策及外交总战略之间的内在关系。
This dissertation is focusing on the British policy toward the Turkish Straits
to provide an explanation of the policy origins and changes which occurred; an
analysis of why they occurred and how they related to the defense of British India;
the balance of Power in Europe; and other foreign policy issues.
The Straits question was mainly an Anglo-Russian problem created by the
conflict between Russia抯 desire to secure a Black Sea exit into the Mediterranean
and Britain抯 desire to protect her Mediterranean communications to India. The
British Straits?policy, formed in the 1840抯, included two important points. First,
Britain maintained that the preservation of the Ottoman Empire was key to
checking ffuther Russian expansion; second, the Ottoman Empire held
sovereignty of the straits of Bosphonis and Dardanelles, and closed the two
Straits to foreign warships while the Porte was at peace. After the 1 870s, Britain抯
hegemony in the world was challenged by the other European powers, not only
by Germany which was growing rapidly, but also by France and Russia which
were appearing more avarice to expand than before. In order to prevent an
alliance that would hurt the British Empire抯 interests, Britain came to realize that
the traditional Strait policy would need to be modified. However, the Convention
of Strait among Britain, France and Russia hadn抰 been signed until the First
World War broke out.
Another point, which must be emphasized by way of background, is that the
Straits question during the period of this study was an integral part of a larger
European problem: 搕he Eastern Question? Concessions to modify contro! of the
Straits to the advantage of one power would require teffitorial compensations to
other powers, so as to maintain the European equilibrium and the Balance of
power in the Near East. This was fortunate for British foreign policy. In the
nineteenth century it probably served to insure retention of Ottoman control over
the Straits, and in the twentieth century it enabled the British to use concession on
the Straits?question to obtain more vital foreign policy objectives in Central Asia
and Asia Minor relating to the defense of India.
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Temperley, H. and Penson, L., Foundations of British Foreign Policy: From Pitt (1792) to Salisbury (1902) (London, 1938)
王铁崖、王绳祖选译：《1898-1914年的欧洲国际关系》(世界史资料丛刊·近代史部分)，商务印书馆，1983年版。
王铁崖选译：《1914-1918年第一次世界大战》(世界史资料丛刊·近代史部分)，商务印书馆，1982年版。
刘克华选译：《1870-1914年的英国》(世界史资料丛刊·近代史部分)，商务印书馆，1987年版。
辜燮高等选译：《1689-1815年的英国》(世界史资料丛刊·近代史部分)(下册)，商务印书馆，1997年版。
Asquith,H.,Memories and Reflection (London,1928)
Buchanan, G., My mission to Russia, and Other Diplomatic Memoirs (Boston,1922)
Buckle, G. E., (ed.), The Letters of Queen Victoria, Series 2, Vol. Ⅱ(London,1926)
Cecil, Lady G., Life of Robert of Marquis of Salisbury, Vol. Ⅱ，Ⅲ，Ⅳ(London,1921)
Grey, E., Twenty-five Years 1892-1916 (New York, 1925)
Monypenny, W. F. and Buckle, G., The Life of Benjanmin Disraeli, Earl of Beaconsfield, Vol. Ⅵ(London, 1929)
Sazonov, S., Fateful years, 1909-1916 (London, 1928)
Anderson, M. S., Britain's Discovery of Russia(London, 1958)
Anderson, M. S., The eastern question, 1774—1923(London, 1966)
Bagis. A. L., Britain and The Struggle for the Integrity of the Ottoman Empire(Istanbul, 1984)
Bartlett, C. J., Defense and diplomacy, Britain and the Great powers, 1815-1914(Manchester, 1993)
Benains, E. A., Butler, J. And Carrington, C. E, (eds) The Cambridge History o the British Empire Vol.Ⅲ(Cambridge, 1959)
Busch, B. C., Britain and the Persian Gulf, 1894-1914(Berkeley, 1967)
Chamberlain, M. E., 'Pax Britannica'? British Foreign Policy, 1789-1914(London, 1988)
Churchill, R. P., Anglo-Russian Convention of 1907 (New York, 1939, 1972)
Dilks, D., (ed.) Retreat from power: Studies in Britain's foreign policy of the Twentieth century, 1906-1939 (London, 1981)
Fay, S. B., The Origins of The World War(Macmillan, 1928)
French, D., British strategy and war aims: 1914-1916 (London, 1986)
Gleason, J. H. The Genesis of Russophobia in Great Britain, A study of the Interaction Policy and Opinion (Cambridge, 1950)
Gooch, G. P., Before the War(London, 1938)
Gottlieb, W. W., Studies in Secret Diplomacy during the First World War (London, 1957)
Graves, P.P., The question of the Straits (London, 1931)
Greaves, R. L., Persia and the Defence of India 1884-1892: A Study in the
Foreign Policy of the Marquis of Salisbury (London, 1959)
Grenville, J.A.S., Lord Salisbury and foreign policy: the close of the Nineteenth Century (London, 1964)
Habberton, W., Anglo-Russian relations Concerning Afghanistan, 1837-1907(Illinois, 1937)
Headlam-Morley. J., Studies in diplomatic history (London, 1930)
Heller, J., British Policy towards the Ottoman Empire 1908-14 (London, 1983)
Hinsley, F. H., (ed.) British Foreign Policy under Sir Edward Grey (Cambridge, 1977)
Hoskins, H. L., British Routes to India (New York, 1966)
Howard, C. H. D., Splendid Isolation, A study of ideas concerning Britain's International position and foreign policy during the later years of the third Marquis of Salisbury (New York, 1967)
Howard, H.N., The Partition of Turkey, A Diplomatic History 1913-1923, (Norman, 1931)
Hyam, R, Britain's imperial century, 1815-1914 (Cambridge, 1993 )
Ingram, E., In Defence of British India, Great Britain in the Middle East, 1775-1842 (Frank 1984)
Jelavich, B., The Ottoman Empire, The Great Powers and the Straits Questions, 1870-1887 (Bloomington, 1973)
Kazemzadeh, F., Russia and Britain in Persia, 1864-1914(New Haven, 1968)
Kedourie, E., England and The Middle East, The Destruction of the Ottoman Empire, 1914-1921 (London, 1987)
Kennedy, P., The Rise and fall of British Naval mastery (London, 1976)
Kennedy, P., The Rise of the Anglo-German antagonism 1860-1914 (London,1980)
Kent, M., (ed.) The Great Powers and the end of the Ottoman Empire(London, 1984)
Kemer, R. J., International Economics and Diplomacy in the Near East, A Study of British Commercial Policy in the Levant, 1834-1853 (1969)
Kirby, M. W., The decline of British Economic Power Since 1870 (London,1871)
Longer, W. L., European alliances and alignments (New York, 1962)
Longer, W. L., The diplomacy of Imperialism 1890-1902(New York, 1968)
Langer, W. L.,The France-Russian Alliance, 1890-94(Camberadge,1929)
Langhome, R., The Collapse of the Concert of Europe (London, 1981)
Lee, D. E., Great Britain and the Cyprus Convention Policy of 1878 (Cambridge, 1934)
Lieven, D., Russian and the origins of the First World War (London, 1983)
Lowe, C. J., Salisbury and the Mediterranean, 1886-1896 (London, 1963)
Macfie, A. L, The Straits Question, 1908-1936 (London, 1993)
Mansergh, N., The Coming of The first World War, a Study in the European Balance, 1878-1914 (London, 1947)
Marriott, J. A. R., The Eastern Question: A Historical Study in European Diplomacy (Oxford, 1917)
Marder, A. J., The Anatomy of British Sea Power, A History of British Naval Policy in the Pre-Dreadnought Era, 1880-1905(London, 1969)
Mattel, G., Imperial diplomacy: Rosebery and the failure of foreign policy (Kingston, Ont, 1986)
Medlicott, W. N., The Congress of Berlin and After, a diplomatic history of the Near Eastern Settlement, 1878-1880 (London, 1938)
Monger, G., The end of Isolation, British foreign policy 1900-1907 (London, 1963)
Neilson, K., Britain and the Last Tsar (Oxford, 1995)
Neilson, K., Strategy and supply: the Anglo-Russian alliance 1914-1917 (London, 1984)
Platt, D.C.M., Finance, Trade, and Politics in British Foreign Policy, 1815-1914 (Oxford, 1968)
Phillipson, C. and Buxton, N., The question of the Bosphorus and Dardanelles (London, 1917)
Puryear, V.J., England, Russia and the Straits Question, 1844-1856 (Berkeley, 1931)
Puryear,V.J., International Economics and Diplomacy in the Near East (1969) Rich, N, Great Power Diplomacy, 1814-1914 (New York, 1992)
Rothwell, V. H, British war aims and peace diplomacy 1914-1918 (Oxford, 1971)
Saul, S. B, Studies in British Overseas Trade, 1870-1914 (Liverpool, 1960) Seton-Watson, R, W, Britain in Europe, 1789-1914 (Cambridge, 1945)
Shaw, S. J. And Shaw, E. L., History of the Ottoman Empire and Modern Turkey (Cambridge, 1977)
Shotwell, J. T. and Francis Deak, Turkey at the Straits (New York, 1941)
Smith, C. J, The Russian Struggle for Power, 1914-17 (New York, 1956)
Smith, C. L., The Embassy of Sir William White at Constantinople, 1886-1891(Oxford, 1957)
Snyder, G. H., Alliance Politics (Ithaca and London, 1997)
Stener, Z., Britain and the Origins of the first World(London, 1977)
Stener, Z., Diplomacy and World Power, Studies in British foreign Policy, 1890-1950(Cambridge, 1996)
Stevenson, D., The First World War and International Politics(Oxford, 1988)
Stieve, F., Isvolsky and The World War (1926)
Swain, J. E., The struggle for the Control of the Mediterranean Prior to 1848, A Study in Anglo-French Relations(New York, 1933)
Taylor, A. J. P., The struggle for Mastery in Europe, 1848-1918(Oxford, 1954)
Temperley, H., England and The Near East, The Crimea (Longmans, 1964)
Trumpener, U., Germany and the Ottoman Empire, 1914-1918 (Princeton,1968)
Ward, A. W. and Gooch, G. P., The Cambridge History of British foreign Policy,1783-1919 (Cambridge, 1923)
Webster, C., The Foreign Policy ofPalmerston, 1830-1841 (London, 1951)
Wilson, K. M., Empire and Continent: Studies in British Foreign policy from the 1880s to the First World War(London, 1987)
Wilson, K. M., (ed.) British foreign secretaries and foreign policy: from Crimean War to First World War(London, 1987)
Wilson, K. M., The Policy of the Entente: Essays on the Determinants of British Foreign Policy, 1904-14 (Cambridge, 1985)
王觉非主编：《近代英国史》，南京大学出版社，1997年版。
王绳祖主编：《国际关系史》第1、2、3卷。世界知识出版社，1995年版。
朱瀛泉：《近东危机与柏林会议》，南京大学出版社，1995年版。
孙成木、刘祖熙、李建主编：《俄国通史简编》，1986年版。
纳忠：《埃及近现代简史》，三联书店，1963年版。
杨灏城：《埃及近代史》，中国社会科学出版社，1985年版。
蒋孟引主编：《英国史》，中国社会科学出版社，1988年版。
(苏)波将金、赫沃斯托夫等编：《外交史》第1、2卷，三联书店，1979年版。
(美)巴巴拉·杰拉维奇：《俄国外交政策一世纪，1814-1914》，商务印书馆，1977年版。
(英)伯纳德，刘易斯：《现代土耳其的兴起》，商务印书馆，1982年版。
(苏)斯捷比利格：《英国侵略中东史》，五十年代出版社，1954年版。
Al-Magrahi, M. A., British Policy toward Egypt 1875-1885 (University of Washington, 博士论文, 1982)
Al-Subaiy, Anglo-Egyptian Relations under Lord Salisbury, 1885-1892 (Michigan State University, 博士论文, 1980)
Becker, R. D., Anglo-Russian Relation, 1898-1910 (University of Colorado, 博士论文, 1972)
Berglund, B., Russia, Great Britain, and the Straits Question, 1906-1914 (Minnesota, 1994)
Grenville, J. A, S., Goluchowski, Salisbury, and the Mediterranean Agreements, 1895-1897 (Slavonic and East European, XXXVI, 1958)
Hinseley, F.H., Bismarck, Salisbury and the Agreement of 1887 (Historical Journal, [79] 1958)
Hopkins, A. G., The Victorians and Africa: A Reconsideration of the Occupation of Egypt, 1882 (Journal of African History, [27] 1986)
Hurewitz, J.C., Britain and the Defense of India (Joumal of Asia History, [4] 1972)
Hurevitz, J. C., Russia and the Turkish Straits (World Politics, XIV 1962)
Jefferson, M. M., Lord Salisbury and the East Question, 1890-1898 (Slavonic and East European Review, XXXIX, 1960)
Johnson, P. C., Britain and the Straits Question, 1914-1920 (Florida State University,论文, 1959)
Kemer, R. J., Russia, the Straits and Constantinople, 1914-1915 (Journal of Modem History, Sep., 1929)
Langer, M., Russia, the Straits Question and the European Powers 1904-1908 (English Historical Review, [44] 1929)
Macfie, A. L., The Straits Question in the First World War, 1914-1918 (Meddle East Study, [19] 1983)
Mahajan, S., The Defence of India and the End of Isolation, A Study in the Foreign Policy of the Conservative Government, 1900-1905 (The Journal of Imperial and Commonwealth History, Jan., 1982)
Medilicott, W. N., The Mediterranean Agreements of 1887 (Slavonic Review June, 1926)
Neilson, K., "Greatly Exaggerated": The Myth of the decline of Great Britain Before 1914 (The International History Review, XIII, 1991)
Penson, L. M., The Principles and Methods of Lord Salisbury's Foreign Policy.
(Cambridge Historical Journal,[5] 1935)
Rose, L. C., Britain in the Middle East, 1914-1918: Design or Accident?(Columbia University,博士论文，1969)
Russia and the Turkish Straits (World Politics, ⅩⅣ, 1962)
Skaggs, G., Britain at The Straits: A Study of British Diplomacy toward the Turkish Straits, 1900-1923 (Georgetown University, 博士论文，1977)
Smith, C. J., Great Britain and the 1914-1915 Straits Agreement with Russia: The British Promise of November 1914 (American Historical Review, 1965)
Thomas, J. P., The Sykes-Picot Agreement of 1916 (Michigan,博士论文，1973)
Tompkins, R. C., Anglo-Russian Diplomatic Relations, 1907-1914 (The North Texas State University,博士论文，1975)
Walters, E., Lord Salisbury's Refusal to Revise and Renew the Mediterranean Agreements (The Slavonic and European Review,ⅩⅩⅨ，1950)
Weeks, D. C., The Egyptian Question in British Foreign Policy With Special Reference to 1885-1887(博士论文，1952)
Wilson, K., The Anglo-Japanese Alliance of August 1905 and the defending of India (Journal of Imperial and Commonwealth History, [1-2] 1973)
朱瀛泉：“柏林会议前夕的大国外交”，《南京大学学报》，1992年第2期。
胡祥云：“‘东方问题’形成初期英国政策的徘徊”，《国际关系学院学报》，1988年第3期。