古巴导弹危机的影响

五、古巴导弹危机的影响

古巴导弹危机对美苏关系的影响是深刻且多方面的,其中最为重要的或许就是使美苏两国领导人都认识到核战争是绝对要避免的。这场危机表明,“少量核武器就极具破坏力的事实所导致的恐惧心理,比起核武器的数量对比要重要得多”。[85]肯尼迪在危机过后说的这句话应该道出了两人当时的共同心理:“从双方都拥有核能力,双方都想保护自己的社会这一意义上来说,我和赫鲁晓夫先生是处境相同的。”在他看来,一个各国彼此以核武器相威胁的世界不仅是“无理性的”,而且是“不能容忍和不可思议的”,整个人类在防止核战争方面有着共同的利益。[86]赫鲁晓夫对此也深有同感,认为他与肯尼迪在防止军事冲突的问题上,“找到了共同立场和共同的语言”。[87]

1963年6月10日,肯尼迪在美利坚大学发表讲话,要求美国人重新审视他们的冷战观念,重新审视对苏联的态度,寻求改善双边关系。这篇讲话为美苏关系的未来发展确定了基调。他强调,在核时代爆发战争是不可想象的,在制止军备竞赛方面美苏有着共同的深切的利益;“如果我们现在不能结束我们所有的一切分歧,那么,我们至少能够协力使世界在分歧之中保持安全。因为,归根结蒂,我们最基本的共同纽带是,我们全都生活在这个小小的星球之上”。他宣布,美国将不再进行大气层核试验,并谋求缓和与苏联的关系。[88]

惊心动魄的危机同样使赫鲁晓夫清醒地认识到核对抗的危险。他在1962年12月向最高苏维埃会议所作的报告中指出:在核时代,必须显示出“更加清醒的头脑和消除国家间不和的各种障碍的更大愿望”,同时应该加强国际关系中理智的准则,呼吁有关大国排除就永久停止核试验达成协议的最后障碍。赫鲁晓夫还将肯尼迪在美利坚大学发表的讲话称为自富兰克林·罗斯福以来“美国总统所发表的最好的一篇演说”。[89]

古巴导弹危机使肯尼迪、赫鲁晓夫相互有了更进一步的认识和了解。肯尼迪在危机中的克制、谨慎给赫鲁晓夫留下了深刻的印象,并赢得了他的尊重。危机结束后,赫鲁晓夫对美苏关系发展的前景和肯尼迪的态度有了明显改变,希望以谈判取代对抗,并在制止核军备竞赛方面共同做出努力。1962年12月初,赫鲁晓夫致信肯尼迪,希望他能够连任,这样他们就能为“和平共处”创造更好的条件。在肯尼迪看来,赫鲁晓夫是一位理智的、有思想的领导人,能够正确地认识本国的利益和全人类的利益。1963年6月20日,美国和苏联达成谅解备忘录,决定在华盛顿和莫斯科之间建立“热线”,这样两国领导人在遇到紧急情况时可以进行直接磋商,防止因意外、误解、错误估计而导致一场核战争。经过激烈的讨价还价,1963年8月初,双方终于签署了《部分禁止核试验条约》,禁止在大气层、外层空间和水下进行核试验。条约的目的是为“尽速达成一项在严格国际监督下的全面彻底裁军协议”,制止军备竞赛和消除刺激生产和试验包括核武器在内的各种武器的因素;“谋求永远不继续一切核武器试验爆炸”,并“希望使人类环境不再被放射性物质污染”。[90]

尽管部分核禁试条约并未禁止地下核试验,以便两国进一步发展核武器,但这是自1945年核武器出现以来,美苏在限制核军备竞赛方面迈出的具有实质性意义的重要一步,同时还为日后双方在该领域进一步谈判并达成协议奠定了基础,因而得到了国际社会的广泛支持和欢迎,认为条约的签署有利于缓和国际关系。肯尼迪曾表示希望访问莫斯科,并进一步扩大两国合作的领域,包括联合登月、加强贸易关系、共同削减军备等。在经历了激烈的对抗之后,肯尼迪、赫鲁晓夫的确为两国关系的缓和、开启双边关系发展的新阶段带来了希望。因而,不少学者将这一事件视为“冷战的转折点”。[91]

在另一方面,古巴导弹危机并未消除美苏之间的对抗和冷战。赫鲁晓夫在危机中的表现令苏联政府其他领导人颇为不满,这是导致他下台的重要原因之一。随后,苏联与美国展开了新一轮的军备竞赛,相继研制出第二代和第三代洲际导弹。在陆基导弹方面,1962年美苏分别拥有226枚和75枚,到1969年双方各有1054枚和1060枚,1972年苏联则达到了1530枚,而美国仍为1054枚。同样重要的是,苏联新部署的导弹属于第三代,不仅打击半径大,而且打击的精确度也较前有了较大提高。1963年苏联拥有战略核弹头400枚,1969年达到1250枚。尽管数量只是美国的1/3,但其爆炸当量却超过了美国。到1972年,苏联潜射弹道导弹为560枚,为美国的85%;远程轰炸机140架,为美国的40%。苏联的战略核力量已经从原来的劣势转为与美国保持大体均势。[92]同时,苏联还大大加强了常规力量的建设,特别是海军的远洋作战能力有了明显提高。1962年至1972年间,苏联共建造了910艘舰艇,包括大型航空母舰,并装备了性能先进的“逆火”式轰炸机。

虽然东西方对抗这一冷战基本格局并没有发生改变,但美苏两国都采取了一系列措施来管理相互之间的关系,防止类似的严重对抗再度重演,努力减少发生核冲突的可能性。双方的军备竞赛和对抗又持续了近30年,但两国都再也没有让局势危险到彼此有可能直接使用核武器或使用武力的地步,从而使美苏关系从激烈对抗转入一个相对缓和的时期。曾长期出任苏联驻美大使的阿纳托利·多勃雷宁认为,古巴导弹危机“是冷战中最富有戏剧性的事件”,“这场危机将两个大国最大限度地拖到核战争的边缘,因此它成为人们推断两个大国的对抗究竟能达到何种程度的界石,同时也告诉我们应该采取什么样的行动来防止核战争。在此后的30年里,古巴危机期间的某些做法成为核游戏的规则和界限,同时也成为莫斯科与华盛顿之间重要的、反复无常的、危险的关系中的规则和界限”。[93]尽管这一事件已经过去半个多世纪,国际环境也发生了巨大变化,但人们依然可以从中汲取一些有益的经验教训。

(原刊于梁茂信主编:《美国史研究的传承与创新——纪念历史学家丁则民诞辰百年论文集》,北京:中国社会科学出版社,2019年)

【注释】

[1]John Newhouse,War and Peace in the Nuclear Age,New York:Alfred A.Knopf,1988,p.122;徐天新:《核武器与赫鲁晓夫的对美政策》,《北大史学》,第11期,北京:北京大学出版社,2005年,第128页。

[2]赫鲁晓夫:《裁军是巩固和平和保障各国人民友谊的途径》,《人民日报》,1960年1月16日。

[3]Michael Dobbs,One Minute to Midnight:Kenney,Khrushchev,and Castro on the Brink of Nuclear War,New York:Alfred A.Knopf,2008,p.37

[4]Christopher Premble,“Who Ever Believed in the Missile Gap:John F.Kennedy and the Politics of National Security”,Presidential Studies Quarterly,Vol.33,No.4,December 2003,p.805;Roy Licklider,“The Missile Gap Controversy”,Political Science Quarterly,Vol.85,No.4,December 1970,p.605.

[5]John Newhouse,War and Peace in the Nuclear Age,New York:Alfred A.Knopf,1988,p.122;(美)托马斯·沃尔夫:《苏联霸权与欧洲》,冷向洋译,上海:上海人民出版社,1976年,第116页。

[6]Robert Dallek,An Unfinished Life:John F.Kennedy,1917-1963,New York:Little,Brown and Company,2003,p.347.

[7]Philip Nash,“Nuclear Weapons in Kennedy's Foreign Policy”,The Historian,Vol.56,No.2,December 1994,p.286.

[8]Donald Steury,Intentions and Capabilities:Estimates on Soviet Strategic Forces,1950-1983,Washington,D.C.:Center for the Study of Intelligence,Central Intelligence Agency,1996,pp.122-123;Richard Ned Lebow and Janice Gross Stein,We All Lost the Cold War,Princeton:Princeton University Press,1994,p.36.

[9]Richard Ned Lebow and Janice Gross Stein,We All Lost the Cold War,Princeton:Princeton University Press,1994,p.37.

[10]Desmond Ball,Politics and Force Levels:The Strategic Missile Program of the Kennedy Administration,Berkeley:University of California Press,1981,pp.98-99;Michael Brower,“Nuclear Strategy of the Kennedy Administration”,Bulletin of the Atomic Scientists,Vol.18,No.8,October 1962,p.34.

[11]Lawrence Freedman,The Evolution of Nuclear Strategy,New York:Palgrave Macmillan,2003,p.229.

[12]Lawrence Freedman,The Evolution of Nuclear Strategy,New York:Palgrave Macmillan,2003,pp.222-223.

[13]Lawrence Freedman,U.S.Intelligence and the Soviet Strategic Threat,Boulder:Westview Press,1977,p.99;David Holloway,The Soviet Union and the Arms Race,New Haven:Yale University Press,1983,pp.66-67.

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[15]Fred Kaplan,“JFK's First-Strike Plan”,The Atlantic Monthly,Vol.288,No.3,October 2001,p.83.

[16]Dino Brugioni,Eyeball to Eyeball:The Inside Story of the Cuban Missile Crisis,New York:Random House,1991,pp.76-77.

[17]Viktor Adamsky and Yuri Smirnov,“Moscow's Biggest Bomb:The 50-Megaton Test of October 1961”,Cold War International History Project Bulletin,No.4,Fall 1994,pp.3,20.

[18]“Nuclear Notebook:Global Nuclear Stockpiles,1945-2006”,Bulletin of the Atomic Scientists,Vol.62,No.4,July/August 2006,p.66.

[19]Michael Brower,“Nuclear Strategy of the Kennedy Administration”,Bulletin of the Atomic Scientists,Vol.18,No.8,October 1962,p.35.

[20]赫鲁晓夫:《赫鲁晓夫回忆录》,张岱云等译,北京:东方出版社,1988年,第698页。

[21]Aleksandr Fursenko and Timothy Naftali,One Hell ofa Gamble:Khrushchev,Castro,and Kennedy,1958-1964,New York:Norton,1997,pp.196-197.

[22]Anatoly Dobrynin,In Confidence:Moscow's Ambassador to America's Six Cold War Presidents,New York:Times Books,1993,p.73.

[23]James Blight,Bruce Allyn and David Welch eds.,Cuba on the Brink:Castro,the Missile Crisis,and the Soviet Collapse,New York:Pantheon Books,1993,p.207;Ernest R.May and Philip D.Zelikow eds.,The Kennedy Tapes:Inside the White House during the Cuban Missile Crisis,Cambridge:Harvard University Press,1997,p.667.

[24]Alice L.George,The Cuban Missile Crisis:The Threshold of Nuclear War,New York:Taylor and Francis,2013,p.38.

[25]McGeorge Bundy,Danger and Survival:Choices About the Bomb in the First Fifty Years,New York:Random House,1988,p.425;Roger Hilsman,The Cuban Missile Crisis:The Struggle over Policy,Westport:Praeger,1999,p.116.

[26]Raymond L.Garthoff,“Some Observations on Using the Soviet Archives”,Diplomatic History,Vol.21,No.2,Spring 1997,p.251;James Blight,Bruce Allyn and David Welch Blight eds.,Cuba on the Brink Castro,the Missile Crisis,and the Soviet Collapse,New York:Pantheon Books,1993,p.354.

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[32]Michael C.Desch,“That Deep Mud in Cuba:The Strategic Threat and U.S.Planning for a Conventional Response during the Missile Crisis”,Security Studies,Vol.1,No.2,Winter 1991,pp.327-328.

[33]Raymond L.Garthoff,Reflections on the Cuban Missile Crisis,Washington,D.C.:Brookings Institution,1987,pp.202-203;Raymond L.Garthoff,“The Meaning of the Missiles”,The Washington Quarterly,Vol.5,No.4,Autumn 1982,pp.78-79.

[34]Graham Allison and Philip Zelikow,Essence of Decision:Explaining the Cuban Missile Crisis,New York:Longman,1999,pp.339-340.

[35]Robert Divine ed.,The Cuban Missile Crisis,New York:M.Wiener Publishers,1988,p.109.

[36]Historical Division of Joint Chiefs of Staff(JCS),Chronology of JCS Decisions Concerning the Cuban Crisis,December 21,1962,DNSA,pp.11-12;Anatoli Gribkov and William Smith,Operation Anadyr:US and Soviet Generals Recount the Cuban Missile Crisis,Chicago:Edition Q,1994,pp.125-126.

[37]Ernest R.May and Philip D.Zelikow eds.,The Kennedy Tapes:Inside the White House during the Cuban Missile Crisis,Cambridge:Harvard University Press,1997,p.206.

[38]Office of the Federal Register,National Archives and Record Service,Public Papers of the United States Presidents:John F.Kennedy,1962,Washington,D.C.:United States Government Printing Office,1963,pp.808-809.

[39]Richard Betts,Nuclear Blackmail and Nuclear Balance,Washington,D.C.:Brookings Institution,1978,p.118;Scott Sagan,“Nuclear Alerts and Crisis Management”,International Security,Vol.9,No.4,Spring 1985,p.108.

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[41]Ernest R.May and Philip D.Zelikow eds.,The Kennedy Tapes:Inside the White House during the Cuban Missile Crisis,Cambridge:Harvard University Press,1997,p.87.

[42]Scott Sagan,The Limits of Safety,Princeton:Princeton University Press,1993,p.66;Norman Polmar and John Gresham,Defcon-2:Standing on the Brink of Nuclear War during the Cuban Missile Crisis,Hoboken:John Wiley & Son,2006,p.238.(https://www.daowen.com)

[43]Ronald Pope ed.,Soviet Views on the Cuban Missile Crisis,Washington,D.C.:University Press of America,1982,p.86.

[44]U.S.Department of State,Foreign Relations of the United States,1961-1963,Vol.11,Washington,D.C.:United States Government Printing Office,1996,pp.170-171.

[45]《苏联政府声明》,《人民日报》,1962年10月24日。

[46]Norman Polmar and John Gresham,Defcon-2:Standing on the Brink of Nuclear War during the Cuban Missile Crisis,Hoboken:John Wiley & Son,2006,p.182.

[47]Steven Zaloga,The Kremlin's Nuclear Sword,Washington,D.C.:Smithsonian Institution Press,2002,p.87;Norman Polmar and John Gresham,Defcon-2:Standing on the Brink of Nuclear War during the Cuban Missile Crisis,Hoboken:John Wiley & Son,2006,p.183.

[48]赫鲁晓夫:《赫鲁晓夫回忆录》,张岱云等译,北京:东方出版社,1988年,第701-702页。

[49]Alice L.George,The Cuban Missile Crisis:The Threshold of Nuclear War,New York:Taylor and Francis,2013,p.78.

[50]Aleksandor Fursenko and Timothy Naftali,Khrushchev's Cold War:The Inside Story of an American Adversary,New York:Norton,2006,p.484;Dino Brugioni,Eyeball to Eyeball:The Inside Story of the Cuban Missile Crisis,New York:Random House,1991,pp.432-433.

[51]Norman Polmar and John Gresham,Defcon-2:Standing on the Brink of Nuclear War during the Cuban Missile Crisis,Hoboken:John Wiley & Son,2006,p.152;Scott Sagan,Moving Targets:Nuclear Strategy and National Security,Princeton:Princeton University Press,1989,pp.147-148.

[52]Dino Brugioni,Eyeball to Eyeball:The Inside Story of the Cuban Missile Crisis,New York:Random House,1991,pp.463-464;Sheldon Stem,The Week the World Stood Still:Inside the Secret Cuban Missile Crisis,Stanford:Stanford University Press,2005,p.188.

[53]Theodore Sorensen,Kennedy,New York:Harper & Row,1965,pp.713-714.

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[57]George Ball,The Past Has Another Pattern:Memoirs,New York:Norton,1982,pp.306-307.

[58]Ernest R.May and Philip D.Zelikow eds.,The Kennedy Tapes:Inside the White House during the Cuban Missile Crisis,Cambridge:Harvard University Press,1997,p.546.

[59]Robert Dallek,An Unfinished Life:John F.Kennedy,1917-1963,New York:Little,Brown and Company,2003,p.569;Arthur M.Schlesinger,Jr.,A Thousand Days:John F.Kennedy in the White House,Boston:Houghton Mifflin Company,2002,p.830.

[60]James Blight and David Welch eds.,On the Brink:Americans and Soviets Reexamine the Missile Crisis,New York:Hill and Wang,1989,p.378;Alice George,Awaiting Armageddon:How American Faced the Cuban Missile Crisis,Chapel Hill:The University of North Carolina Press,2003,pp.52-53.

[61]Robert F.Kennedy,The Thirteen Days:A Memoir of the Cuban Missile Crisis,New York:W.W.Norton,1969,p.109.

[62]D.C.瓦特编著:《国际事务概览》(1962年),上海市政协编译工作委员会译,上海:上海译文出版社,1983年,第88页。

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[64]Svetlana Savranskaya,“Tactical Nuclear Weapons in Cuba”,Cold War International History Project Bulletin,No.14/15,Winter 2003/Spring 2004,pp.388-389;James Blight,Bruce Allyn and David Welch Blight eds.,Cuba on the Brink:Castro,the Missile Crisis,and the Soviet Collapse,New York:Pantheon Books,1993,p.114.

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[67]Richard Ned Lebow and Janice Gross Stein,We All Lost the Cold War,Princeton:Princeton University Press,1994,pp.139-140;Len Scott,The Cuban Missile Crisis and the Threat of Nuclear War,London:Continuum,2007,p.71.

[68]Laurence Chang and Peter Kornbluh eds.,The Cuban Missile Crisis,1962:A National Security Archive Documents Reader,New York:The New Press,1992,p.199.

[69]William Taubman,Khrushchev:The Man and His Era,New York:Norton,2003,p.573.

[70]Aleksandr Fursenko and Timothy Naftali,One Hell of a Gamble:Khrushchev,Castro,and Kennedy,1958-1964,New York:Norton,1997,p.284.

[71]Marc Trachtenberg,History and Strategy,Princeton:Princeton University Press,1991,pp.238-239;Norman Polmar and John Gresham,Defcon-2:Standing on the Brink of Nuclear War during the Cuban Missile Crisis,Hoboken:John Wiley & Son,2006,pp.249,279;Richard Ned Lebow and Janice Gross Stein,We All Lost the Cold War,Princeton:Princeton University Press,1994,p.292.

[72]James Blight and David Welch eds.,On the Brink:Americans and Soviets Reexamine the Missile Crisis,New York:Hill and Wang,1989,pp.147,148;Scott Sagan,The Limits of Safety,Princeton:Princeton University Press,1993,pp.53-54.

[73]朱明权主编:《20世纪60年代国际关系》,上海:上海人民出版社,2001年,第313页。

[74]Sheldon Stem,The Week the World Stood Still:Inside the Secret Cuban Missile Crisis,Stanford:Stanford University Press,2005,p.105.

[75]Alice George,Awaiting Armageddon:How American Faced the Cuban Missile Crisis,Chapel Hill:The University of North Carolina Press,2003,p.41.

[76]Ernest R.May and Philip D.Zelikow eds.,The Kennedy Tapes:Inside the White House during the Cuban Missile Crisis,Cambridge:Harvard University Press,1997,p.338.

[77]Paul Harper and Joann Krieg eds.,John F.Kennedy,Westport:Greenwood Press,1988,p.62.

[78]Len Scott,The Cuban Missile Crisis and the Threat of Nuclear War,London:Continuum,2007,p.81.

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