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NAVAL POSTGRADUATE SCHOOL MONTEREY, CALIFORNIA THESIS SINO-RUSSIAN RELATIONS IN THE TWENTY-FIRST CENTURY: PROSPECTS AND ISSUES by Daniel W. Harkins September 2010 Thesis Advisor: Alice L. Miller Second Reader: Mark Chakwin Approved for public release; distribution is unlimited THIS PAGE INTENTIONALLY LEFT BLANK REPORT DOCUMENTATION PAGE Form Approved OMB No. 0704-0188 Public reporting burden for this collection of information is estimated to average 1 hour per response, including the time for reviewing instruction, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to Washington headquarters Services, Directorate for Information Operations and Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302, and to the Office of Management and Budget, Paperwork Reduction Project (0704-0188) Washington DC 20503. 1. AGENCY USE ONLY (Leave blank) 2. REPORT DATE 3. REPORT TYPE AND DATES COVERED September 2010 Master’s Thesis 4. TITLE AND SUBTITLE: 5. FUNDING NUMBERS Sino-Russian Relations in the Twenty-First Century: Prospects and Issues 6. AUTHOR(S) Daniel W. Harkins 7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES) 8. PERFORMING ORGANIZATION Naval Postgraduate School REPORT NUMBER Monterey, CA 93943-5000 9. SPONSORING /MONITORING AGENCY NAME(S) AND ADDRESS(ES) 10. SPONSORING/MONITORING N/A AGENCY REPORT NUMBER 11. SUPPLEMENTARY NOTES The views expressed in this thesis are those of the author and do not reflect the official policy or position of the Department of Defense or the U.S. Government. IRB Protocol number ________________. 12a. DISTRIBUTION / AVAILABILITY STATEMENT 12b. DISTRIBUTION CODE Approve for public release; distribution is unlimited 13. ABSTRACT (maximum 200 words) This thesis analyzes major aspects of Sino-Russian relations during the first decade of the twenty-first century. It has two main objectives. First, it provides a more detailed understanding of Sino-Russian relations as they pertain to the dynamics affecting the relationship in the Russian Far East (RFE), the formation and evolution of the Shanghai Cooperation Organization (SCO), and Sino-Russian trends and dynamics regarding arms sales. This endeavor is accomplished by a detailed historical analysis of the background and developments over the past decade as they relate to each subject area. In addition, relevant examples or cases have been provided to amplify the analytical value in each area. This historical analysis will assist with constructing the second, more important objective of this research: To identify the general themes and trends that permeate each aspect of Sino-Russian interactions analyzed in order to decipher the substance of the relationship, and how it is maintained, under the current state of affairs. Identifying these will allow for a more cogent projection of short- and long-term prospects for Sino-Russian relations as they move forward in the twenty-first century. 14. SUBJECT TERMS 15. NUMBER OF Russia, China, Strategic Partnership, Sino-Russian Relations, Arms Sales, Shanghai Cooperation PAGES Organization, Russian Far East, People’s Liberation Army. Military-Technical Cooperation. 111 16. PRICE CODE 17. SECURITY 18. SECURITY 19. SECURITY 20. LIMITATION OF CLASSIFICATION OF CLASSIFICATION OF THIS CLASSIFICATION OF ABSTRACT REPORT PAGE ABSTRACT Unclassified Unclassified Unclassified UU NSN 7540-01-280-5500 Standard Form 298 (Rev. 2-89) Prescribed by ANSI Std. 239-18 i THIS PAGE INTENTIONALLY LEFT BLANK ii Approved for public release; distribution is unlimited SINO-RUSSIAN RELATIONS IN THE TWENTY FIRST CENTURY: PROSPECTS AND ISSUES Daniel W. Harkins Lieutenant, United States Navy B.S., West Chester University, 2000 Submitted in partial fulfillment of the requirements for the degree of MASTER OF ARTS IN SECURITY STUDIES (FAR EAST, SOUTHEAST ASIA, PACIFIC) from the NAVAL POSTGRADUATE SCHOOL September 2010 Author: Daniel W. Harkins Approved by: Alice L. Miller Thesis Advisor Mark Chakwin Second Reader Harold A. Trinkunas, PhD Chairman, Department National Security Affairs iii THIS PAGE INTENTIONALLY LEFT BLANK iv ABSTRACT This thesis analyzes major aspects of Sino-Russian relations during the first decade of the twenty-first century. It has two main objectives. First, it provides a more detailed understanding of Sino-Russian relations as they pertain to the dynamics affecting the relationship in the Russian Far East (RFE), the formation and evolution of the Shanghai Cooperation Organization (SCO), and Sino-Russian trends and dynamics regarding arms sales. This endeavor is accomplished by a detailed historical analysis of the background and developments over the past decade as they relate to each subject area. In addition, relevant examples or cases have been provided to amplify the analytical value in each area. This historical analysis will assist with constructing the second, more important objective of this research: To identify the general themes and trends that permeate each aspect of Sino-Russian interactions analyzed in order to decipher the substance of the relationship, and how it is maintained, under the current state of affairs. Identifying these will allow for a more cogent projection of short- and long-term prospects for Sino-Russian relations as they move forward in the twenty-first century. v THIS PAGE INTENTIONALLY LEFT BLANK vi TABLE OF CONTENTS I. INTRODUCTION........................................................................................................1 A. RECENT HISTORICAL BACKGROUND..................................................1 B. IMPORTANCE................................................................................................3 C. MAJOR ASPECTS OF ANALYSIS ..............................................................5 II. THE RUSSIAN FAR EAST........................................................................................9 A. BACKGROUND ..............................................................................................9 B. SINO-RUSSIAN INTERACTIONS.............................................................14 1. 2000–2004............................................................................................16 2. 2005–2009............................................................................................20 C. TRENDS AND ISSUES.................................................................................24 III. THE SHANGHAI COOPERATION ORGANIZATION......................................27 A. BACKGROUND ............................................................................................27 B. SINO-RUSSIAN INTERACTIONS.............................................................33 1. 2001–2004............................................................................................35 2. 2005–2009............................................................................................42 C. TRENDS AND ISSUES.................................................................................51 IV. SINO-RUSSIAN ARMS SALES ..............................................................................53 A. BACKGROUND ............................................................................................53 B. SINO-RUSSIAN INTERACTIONS.............................................................64 1. 2000–2004............................................................................................64 2. 2005–2009............................................................................................70 C. TRENDS AND ISSUES.................................................................................74 V. CONCLUSION ..........................................................................................................79 A. SUMMARY ....................................................................................................79 B. SHORT- AND MEDIUM-TERM PROSPECTS ........................................81 C. LONG-TERM PROSPECTS........................................................................82 BIBLIOGRAPHY..................................................................................................................87 INITIAL DISTRIBUTION LIST .........................................................................................97 vii THIS PAGE INTENTIONALLY LEFT BLANK viii LIST OF ABBREVIATIONS AND ACRONYMS ASEAN Association of Southeast Asian Nations CCP Chinese Communist Party CIA Central Intelligence Agency CIS Commonwealth of Independent States CNPC China National Petroleum Corporation CPSU Communist Party of the Soviet Union CSTO Collective Security Treaty Organization ESPO Eastern Siberia–Pacific Ocean oil pipeline EU European Union GDP Gross Domestic Product GMD Guomindang GWOT Global War on Terror MOD Ministry of Defense MTC Military-Technical Cooperation MOU Memorandum of Understanding NATO North Atlantic Treaty Organization PLA People’s Liberation Army PRC People’s Republic of China RATS Regional Anti-Terrorist Structure RF Russian Federation RFE Russian Far East RFES Russian Far East and Siberia SAM Surface-to-Air Missile SCO Shanghai Cooperation Organization SRV Socialist Republic of Vietnam USSR Union of Soviet Socialist Republics VEB Vnesheconomobank WWII World War Two ix THIS PAGE INTENTIONALLY LEFT BLANK x ACKNOWLEDGMENTS I would like to express my deepest gratitude