An Uncertain Relationship: The United States, Taiwan and the Taiwan Relations Act Author(s): Steven M. Goldstein and Randall Schriver Reviewed work(s): Source: The China Quarterly, No. 165, Taiwan in the 20th Century (Mar., 2001), pp. 147-172 Published by: Cambridge University Press on behalf of the School of Oriental and African Studies Stable URL: http://www.jstor.org/stable/3451110 . Accessed: 27/12/2011 04:12 Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at . http://www.jstor.org/page/info/about/policies/terms.jsp JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms of scholarship. For more information about JSTOR, please contact [email protected]. Cambridge University Press and School of Oriental and African Studies are collaborating with JSTOR to digitize, preserve and extend access to The China Quarterly. http://www.jstor.org An Uncertain Relationship:The United States, Taiwan and the Taiwan Relations Act* Steven M. Goldstein and Randall Schriver The UnitedStateshas separatemutualsecuritytreatieswith Japanandthe Republic of Korea which provide for stationingAmericanforces and have establishedproceduresfor close co-operation.These alliancesconstitutethe keystone of the Americansecurityposition in East Asia and, possibly, the triggerfor futureinvolvementin the area. Yet since the early 1990s these formalallianceshave been overshadowed by a relationshipbased not on a treaty,but ratheron an act of Congress - the Taiwan Relations Act (TRA) of 1979. This domestic legislation provides neither for the stationingof Americantroops on Taiwan nor for military co-ordination.Nevertheless,it figured prominently when, in March 1996, the Clintonadministrationsoughtto deter the People's Republicof China (PRC) from disruptingTaiwan'spresidentialelectionsby dispatchingthe largestnaval force to be deployedin the regionsince the VietnamWar.These events focusedattentionon this normalizationof relalegislationpassed afterthe Carteradministration's tions with the PRC. At that time, there was considerableCongressional self-congratulation regardingits legislationof a foreign policy commitment and its centralrole in enforcingthat commitment. Nevertheless,afterwards,the impactof the TRA has been a matterof debate. Some regard it as a virtual treaty while others depict it as providing for little more than what was already present in existing legislationor the Constitution.Some praiseit as a key to the securityof Taiwanover the past20 yearswhile otherssee its progressiveweakening. This discussionjoins the debatethroughan analysisof the originsof the act; its evolutionarycourse since 1979; and the differingimpactswhich it has had on the PRC/Taiwanpolicy of the United States. The TaiwanRelationsAct: Origins,Ambiguitiesand Opportunities The TRA:assuringTaiwan'ssecurity?The originsof the TRA were in the legislationsubmittedby the Carteradministration (S.245) intendedto maintain"commercial,culturaland other relationswith the people on Taiwanon an unofficialbasis."'This was technicallegislationconcerned largelywith maintainingthe statusof "thepeopleon Taiwan"as a foreign state underAmericanlaw and providingfor the creationof a non-profit * The authorswish to thankMarthaJohnsonand Nada Tomisovafor their research assistance.Specialthanksto NancyHearstof theFairbankCenterat HarvardUniversitywho providedher usualperceptiveeditorialandcriticalinput. 1. For a text of this bill see United States Congress,Senate, Committeeon Foreign Relations, Taiwan: Hearings Before the Committee on Foreign Relations (hereafter Taiwan: Hearings),96thCongress,5,6,7,8,21and22 February1979(Washington,D.C.:Government PrintingOffice, 1979), pp. 3-10. ? The ChinaQuarterly,2001 148 The ChinaQuarterly institution,the American Institute in Taiwan, to representAmerican interests. Congressionalaction beyond this legislationwas inevitable,however. The mannerin which normalizationhad takenplace (therewas virtually no consultationwith Congressdespitethe demandsof powerfulmembers, such as SenatorRobertDole, that the Senate be consulted before the administration madeany changesto the treatywith Taiwan)as well as its substance(the terminationof the treatyandthe failureto securea pledge for a peaceful resolutionfrom Beijing) assuredthat a broad coalition would emerge in supportof adding a securitycomponentto the legislation. It was also a diverse coalition driven by motives rangingfrom pro-Taiwan,anti-communistsentiments,to supportfor normalizationbut with concerns over the impact of the treaty terminationon American credibility,to anger over the mannerin which the decision had been made.2Indeed, one authorhas suggested that Congressionaldetermination to draft its own legislationhad more to do with the mannerin which normalizationwas carriedout than with its substance.3 President Carter warned that he would reserve the right to veto legislation contraryto normalization.Administrationspokespeopleargued that language assuring Taiwan's security was unnecessary.The United Stateshad made its interestin "peacefulresolution"clear:use of forcewoulddamagePRCeconomicties with the West,Beijinglackedthe capacityto invade the island and Taiwan would maintainits defensive capabilitiesbecause of Americanarms sales.4 Congresswas not impressed.The leadingresponsewas a proposedjoint resolutionintroducedby EdwardKennedyandAlanCranstonin the Senate andLesterWolff in the House.SenatorKennedyarguedthatthe sponsors hopedthata "legislativepackage"wouldemergewhichwouldprovidefor "substantivecontinuityin the vital securitysphere... on unofficialterms" in the same manneras administration legislationprovidedfor such conticulturalandotherrelations."Suchcontinuity,he was nuityin "commercial, confident,could be achieved in a mannerthat was "consistentwith" normalization;did not establishofficial relationswith Taiwan;required Congressionalparticipation;and did not commit the United States "to The goal was to "dono specificactionsunderhypotheticalcircumstances." more nor less thanour existing securitycommitments."5 2. Robert G. Sutter, The China Quandary: Domestic Determinants of U.S. Policy, 1972-1982 (Boulder:WestviewPress, 1983), pp 5-7. 3. Victoria Marie Kraft, The U.S. Constitution and Foreign Policy: Terminating the TaiwanTreaty(New York:GreenwoodPress, 1991), pp. 150-51. 4. This paragraphis based on the testimonyof the administration's lead witnesses at Committee Congressionalhearings.See UnitedStatesCongress,Houseof Representatives, onForeignAffairs,Subcommittee on AsianandPacificAffairs,Implementation of theTaiwan Relations Act: Issues and Concerns (hereafter Implementation of the Taiwan Relations Act), 96th Congress,First Session, 14 and 15 February1979 (Washington,D.C.: Government PrintingOffice, 1979), pp. 11-61. 5. Lester L. Wolff and David Simon (eds.), Legislative History of the Taiwan Relations Act: An Analytic Compilation with Documents on Subsequent Developments (Jamaica, NY: AmericanAssociationfor Chinese Studies, 1982), pp. 1-2. See also Alan Cranston's statement,ibid. pp. 3-4. The TaiwanRelationsAct This proposal,with its contradictory goals of preservingbotha security commitmentto Taiwan and normalizedrelationswith Beijing, set the parametersof subsequentlegislation.The solutionto the contradictionlay in the wording of the commitmentin article five of the 1954 Mutual Defense Treaty: Each Partyrecognizesthat an armedattackin the WesternPacificArea directed of eachof the Partieswouldbe dangerousto its own peaceand againstthe territories with safetyanddeclaresthatit wouldact to meetthe commondangerin accordance its constitutional processes.6 Undoubtedly many members of Congress were surprised to find that this treaty was - like most others to which the United States was a party - not an automatic commitment. This language would be the most important element in achieving Kennedy's goals as well as the presidential acceptance. The final wording of the TRA recast much of this language in a lengthy and convoluted form. "... peaceandstabilityin the [WesternPacific]areaarein the political,security, and economicinterestsof the United States, and are mattersof international concern"; * "any effort to determinethe futureof Taiwanby other than peacefulmeans, includingby boycottsor embargoes[wouldbe considered]a threatto the peace andsecurityof theWesternPacificareaandof graveconcernto theUnitedStates"; * theUnitedStateswould"maintain thecapacityto resistanyresortto forceor other formsof coercionthatwouldjeopardizethe security,or the social or economic system,of the peopleof Taiwan";and * the Presidentwas to "informthe Congresspromptlyof any threatto the security or the socialor economicsystemof the peopleon Taiwanandany dangerto the interestsof the UnitedStatesarisingtherefrom," while "the Presidentand the withconstitutional Congressshalldetermine,in accordance processes,appropriate actionby the UnitedStatesin responseto any suchdanger."7 * What was omitted was the earlier language which identified an attack on Taiwan as a danger to the "peace and security" of the United States. An attemptto preservethis sense by substitutingthe phrase"to the security interestsof' for "of grave concernto" narrowlyfailed.8 The sentimentto keep the language ambiguouswas driven by very different concerns which included the fear of entrapmentby Taiwan in a cross-straitconfrontation;the importanceof normalization;a sense that in the event of a crisis, Americaninterestshad to be considered 6. "Textof mutualdefensetreatybetweentheUnitedStatesof Americaandthe Republic of China," in United States Congress, Senate, Oversight of the Taiwan Relations Act: Hearings Before the Committee on Foreign Relations (hereafter Oversight), 96th Congress, FirstSession, 15 November1979 (Washington,D.C.: GovernmentPrintingOffice, 1980), p. 137. 7. Wolff and Simon, Legislative History of the Taiwan Relations Act, pp. 288-89. 8. Yufan Hao, Dilemma and Decision: An Organizational Perspective on American Policy Making(Berkeley:Instituteof East Asian Studies,Universityof California,1987), pp. 167-68 and Congressional Record-Senate, 8 March 1971, p. 4316. 149 150 The ChinaQuarterly in relationto the relationshipswith Japanand South Korea;and a worry that too open a commitmentto Taiwan would enhance the "imperial presidency."9 Indicationsin the legislativehistory of what might happenif Taiwan were attackedare vague. Althoughone influentialDemocratarguedthat the bill left "no room for doubtthatit is the official policy to oppose ... [a] militaryattack,"his colleagueswere not sure.1oThe reportaccompanying the Houseversiondeclaredthatthe legislationsimply"makesclear thatthereshouldbe a promptresponseby the UnitedStates,"but did not attemptto specify what the particularcircumstancesor responsemight be." The Senatereportwent further,acknowledgingthattheremight be "a decision to do nothing."12 The othersecuritycomponentgraftedon to the administration's legislation related to the sale of "defensive arms." Congress responded scepticallyto the executivepledge made at the time of normalizationto continuesales of defensive weaponsto Taiwan.13A legislativebasis for such sales was seen as a complementto the securityclauses.14Thus,the TRA stipulatedthat Taiwanwould be provided: ... suchdefensearticlesanddefenseservicesin suchquantityas maybe necessary to maintaina sufficientself-defensecapability... [and that] the Presidentand thenatureandquantityof suchdefensearticlesandservices Congressshalldetermine based solely upon theirjudgmentof the needs of Taiwan,in accordancewith of Taiwan'sdefenseneeds shall proceduresestablishedby law. Suchdetermination includereviewby UnitedStatesmilitaryauthorities in connectionwithrecommendations to the Presidentandthe Congress.15 Amendmentsto forbid the Presidentfrom consideringthe views of Beijing in deciding future sales to Taiwan and to specify, by name, weaponsto be sold to Taiwanfailed.'6 Two issues - the definitionof "defensiveweapons"and the mannerin which such weaponswould be procured- were resolvedusing the Arms ExportControlAct which was includedin the TRA by the referenceto sales "accordingto proceduresestablishedby law.""7This was intended to maintaincontinuityin the processby whichthe ROCpurchasedarms.'8 However,it also weakenedCongressionalinfluenceby puttingit in the passivepositionof approvingor rejectingarmssales proposalsput before 9. Hao, Dilemma and Decision, p. 135. 10. Wolff and Simon, Legislative History of the Taiwan Relations Act, p. 22. 11. Ibid.p. 17. 12. Ibid.pp. 141-42. 13. Hao, Dilemmaand Decision,pp. 139-140. 14. Fora convenientsummaryof Congressionalstatementscorroborating thesepoints,see Wolff and Simon, Legislative History of the Taiwan Relations Act, pp. 92-103 and 117-149. 15. "TaiwanRelationsAct,"in ibid. p. 289. 16. Ibid.pp. 93, 95, 97 and 100. 17. Ibid.pp. 102, 124, 125, 133 and 135-38. 18. Ibid.pp. 118-19. The TaiwanRelationsAct it.19 Robert Dole's amendmentrequiringthe Presidentnot simply to reportarms sales to Taiwanbut also to report"... the statusof all such requestsfor armsfrom the Taipei authorities"also failed.20 The TRA:assertingcongressionalprerogative.In 1979 Congresswas legislating the TRA in the shadow of the VietnamWar. There was a lingering determinationto assert Congress's prerogativevis-a-vis an "imperialpresidency."Moreover,as the legislativeprocessprogressed,a sense of pride of ownershipin the act also developed. One member declared that the TRA was "our own creation ... This is Congress OtherssuggestedthatCongressnow assertingitself in foreign affairs."21 had special responsibilityfor the island.22 Thus one mighthave expectedCongressto establishstrongprovisions requiringconsultation.SenatorJosephBiden had arguedthatthe purpose of the legislation was not to assure Taiwan but to assure presidential consultationwith Congress.23 However,therewas no guidanceregarding the natureof consultationnor of sanctionson a presidentwho refused.24 Oversightwas relatedto consultation.Expressionsof its importancewere ubiquitousin the debates.25However, the act containsmodest wording whereby the presidentwould report on the implementationof the act during its first three years and inform Congress of any agreementto which the AmericanInstitutein Taiwanwas a party. The contrastbetween legislation on consultationand oversight and the fierce rhetoricof debate is consistentwith the argumentsof those who stress the limitations on Congressionalactivism on any issue relating to foreign policy. Specifically, they point to Congress's lack of information,the weakness of the oversight mechanismas well as the heavy weight of historicalprecedent,constitutionalprerogativeand legislationwhich favourspresidentialpower. In additionthey also point to Congress's institutionalunwillingnessto take responsibilityfor an area that entails great risks but brings little benefit for members concerned with their constituents' needs. Congress, it has been argued,even in the post-Vietnamera, has madestrongrhetoricalcommitments, but providedfew substantivemechanismsfor implementationor 19. Hao,Dilemmaand Decision,pp. 194-95, andRichardBush, "Helpingthe Republic of China defend itself," in Ramon H. Myers (ed.), A Unique Relationship: The United States and the Republic of China Under the Taiwan Relations Act (Stanford:The Hoover Institution Press, 1989), pp. 79-118. 20. Congressional Record-Senate, 7 March 1979, pp. 4099-4100. 21. Washington Post, 9 March 1979. Hao, Dilemma and Decision, makes a similar point. 22. Forexample,JohnDanforthsuggestedthatsincethe administration hadprojectedthe America'sresponsibilitytowardsTaiwan,it was "nowon our appearanceof "abrogating" shouldersin Congressto assumethis responsibility." SenateForeignRelationsCommittee, Taiwan: Hearings, pp. 416-17 and 427. 23. Ibid.pp. 383-85. 24. Thisis a centralthesisof Bush'ssuperb"HelpingtheRepublicof Chinadefenditself," pp. 79-118. 25. Cited in Hao, Dilemma and Decision, p. 193. 151 152 The ChinaQuarterly follow-up.26Still, the natureof the TRA can not be explainedsimply as institutionalshirking.It also resulted from the political circumstances surroundingthe act. The TRA was the work of an ambivalentand divided Congressthat could realisticallyreach overwhelmingagreementon the importanceof doing something to respond to an affront to its institutionalpride. Membersof the DemocraticParty,then in the majority,were generally sympatheticto normalization.Some chose to view the TRA as a commitment to defendTaiwan.However,the legislationwas primarilyan effort to save face on the consultationissue and present the impressionof continuedAmericancommitment. Congress and the presidentwere pursuingparallel strategies.27The president,realizingthat it would be politically impossible to sever all relationswith Taiwan,chose to use unilateralstatementsto preservea semblanceof a continuedcommitmentto Taiwan.Congresswent further, creatingthe TRA which maintainedenoughof a commitmentto Taiwan to satisfy concerns regardingthe abandonmentof an "old ally," but remainedgeneralenoughto securewide Congressionalsupport,avoid a veto and not provokeBeijing.The TRA thus did not simplyrepresentan exampleof Congressionalshirking.Like the president,Congresssought to straddlethe politicallyunacceptableeither/orchoice thatwas the only definitive solution to PRC demands. In short, the ambiguity in the Americanrelationshipwith Taiwan,whichmanyin Congresswouldlater condemn,was an integralpartof the TRA's politicallogic andthe key to its passage with bipartisansupport. Nevertheless,the discrepancybetweenthis intentand the wordsof the TRA remained.The act was an assertionof Congressionalprerogative which grew out of an inter-branchconflict. Should such conflict reemerge,the act wouldbe a naturalchoice for reassertingthatprerogative. However ambiguous,its languagecould still justify a securityrelationship with Taiwanand a majorCongressionalrole in managingit. This solution to improved relations with the PRC could easily become a problemin securingfurtherimprovement. The TaiwanRelationsAct, 1979-1994: An UncertainMandate 1979-82: Congressionalactivismor executivedominance?Or both? Soon afterthe passageof the TRA a Senatereportassertedthatthe Carter administrationwas adheringto the legislation it had submitted,rather 26. Barbara Hinckley, Less than Meets the Eye: Foreign Policy Making and the Myth of the AssertiveCongress(Chicago:The Universityof ChicagoPress, 1994), p. ix. See also Stephen R. Weissman, A Culture of Deference: Congress's Failure of Leadership in Foreign Policy (New York:Basic Books, 1995). 27. In his Dilemma and Decision, Yufan Hao makes the relationshipbetween the two branchesthe central thesis of his study. This discussion has benefitedfrom his analysis. The TaiwanRelationsAct thanto that which had become law.28This seems to have been the case especially with regardto arms sales where there was minimalconsultation.29When RonaldReaganwas elected presidentin 1980, this issue quicklycame to a head. Duringthe campaignReaganhad used the TRA to legitimize his criticism of the Carter administrationand his own pro-Taiwanrhetoric.The act, he maintained,was the "law of the land" and he pledgedto "enforceit."30With Reagan'selection, it seemed that the TRA would realize the intentionsof its more conservativeCongressionalsupporters. However,in January1982, despiteCongressionalcomplaintsregarding lack of consultation,Taiwan'srequestfor an advancedfighterplane was denied.31In August 1982, the United States and the PRC announceda joint communiqueon the subject of arms sales to Taiwan. In it the Americanside stated that it does not seek to carry out a long-termpolicy of arms sales to Taiwan, that its arms sales to Taiwan will not exceed, either in qualitativeor in quantitativeterms, the level of those supplied in recent years since the establishment of diplomatic relationsbetween the United States and China, and that it intends to reduce gradually its sales of arms to Taiwan, leading over a period of time to a final resolution. In so stating the United States acknowledges China's consistent position regarding the thorough settlement of this issue.32 The Congressionalresponsewas bipartisanoutrage.33Once again Congress had played a secondaryrole in an executive decision touchingon the TRA. Still Congress- more accuratelythe Senate- was neitherinattentive nor deferentialto the executive.Most of the originaldraftersof the TRA were still in office. The determinationto protect Congressionalprerogativesremained.The fact the Senatehad a Republicanmajoritywhen the 1982 communiqu6was announcedcertainly moderatedreaction. However, the tone of the hearings on the communiqu6was set by Democrat John Glenn who charged that the administrationhad "discarded"the frameworkof the TRA by agreeing to wording that suggesteda phasingout of arms sales and set levels for their quantity. Most of all, the Senate was angeredby the fact that PRC pressurehad clearlyinfluencedAmericanpolicy towardsTaiwan- despitethe intentof the TRA.34 28. Congressional Record-Senate, 1 July 1980, p. 18208. 29. RobertSutter,"TheTaiwanRelationsAct and the UnitedStatesChinapolicy,"in Myers, A Unique Relationship, pp. 61-62. 30. The New York Times, 26 August 1980. 31. Washington Post, 13 January 1982. 32. Wolff and Simon, Legislative History of the Taiwan Relations Act, pp. 312-13. 33. The New York Times, 18 August 1972 and Wolff and Simon, Legislative History of the Taiwan Relations Act, pp. 326-29. 34. UnitedStatesCongress,Senate,Committeeon ForeignAffairs,U.S.Policy Towards Chinaand Taiwan,97th Congress,Second Session, 17 August 1982 (Washington,D.C.: GovernmentPrintingOffice, 1982), pp. 1-5. 153 154 The ChinaQuarterly In response,the Reaganadministration"clarified"certainelementsin the communiqu6,suggestingthatarmssales couldbe increasedin a crisis; thatthe futurelevel of armssales wouldbe adjustedfor inflation;thatthe transferof defencetechnologywas not includedin calculatingsales; that Taiwan had been given assurances (the "six assurances")regarding American policy; and that weapons systems would be replaced by modem - not outdated- technology.35 Another Senatorialinterventiontook note of this apparentshift in policy, but focused on procedure.In early autumn 1982, the Senate Subcommitteeon Separationof Powers conducteda study that assessed the compatibilityof the communiqu6with the TRA froma Constitutional perspective.This study proceededfrom the assumptionthat if the communiqu6was not consistentwith the TRA, then this would present"a primafacie case of failureby the Presidentto execute faithfullythe laws of the UnitedStates"- presumablyan impeachableoffence. It concluded that although the "apparent meaning" of U.S. statements was "inconsistentwith the policy set forth in the Taiwan Relations Act," subsequent "statements and actions by the administration"were "generallyconsistentwith the act."36 These early developmentsdemonstratedthe vulnerabilityof the solution to normalization.The PRC was becomingimpatientwith the very limiteddistancethatWashingtonhadputbetweenitself andTaiwan.And, once again, in seeking to preservethe earliermomentum,the executive was exploringways to increase that distance. However, the TRA was makingthis difficult.The 1982 interventionssuggestedthatthe act could providelegal authorityfor a Congresswhich, guided by partisanand/or policy differences,soughtto limit presidentialattemptsto improverelations with the mainland. 1983 to 1994: Congressionalpassivity and the roots of change. The fact thatany furtherdevelopmentof the potentialcontradictionsin United States policy towards the PRC did not develop at this time was due largelyto Americanpoliticsandthe environmentin Asia. At home,China policy had entereda period of bipartisanship.Sino-Americanrelations were in a honeymoonphase, and cross-straitrelationswere moving in a positive direction as economic, cultural and even political relations slowly developed. In this context the TRA seemed very unimportant. The most obvious indicatorof this is statistical.Fromthe 98th Congress (1983-84) until the 101st Congress (1989-90), the TRA was 35. Thesix assuranceswerethattheUnitedStates"pledged(1) notto set a dateforending armssalesto Taiwan,(2) notto holdpriorconsultationwithBeijingon armssales to Taiwan, (3) not to play any mediatoryrole betweenBeijing andTaipei,(4) not to alterits position regardingTaiwan'ssovereignty,and(6) not to exertpressureon Taipeito enternegotiations with Beijing." Hao, Dilemma and Decision, pp. 276-78. 36. United States Congress. Senate, Committeeon the Judiciary,Subcommitteeon Separation of Powers, Taiwan Communique and Separation of Powers (Washington, D.C.: GovernmentPrintingOffice, 1983), pp. 5-6 and 18. The TaiwanRelationsAct mentionedonly five times in legislationor resolutionsintroducedin either house.37 Only two of these were relatedto securityissues and only one to a specific issue: to requirethat the Secretaryof State submitannual reportson the implementationof the TRA.This failedamendmentwas an atypicalact of Congressionalactivism.38Overall,memberswere largely passive, merelyinsertinginto the recordpost-factoreportsof armssales to the island.39 Action on Taiwanwas restrictedlargelyto the usual diet of advocacy legislation(such as thatTaiwannot be expelledfromthe Asian Development Bank); proposalsto enhance economic relations;and statements in praise of Taiwan'seconomic progress.4Congressionalattentionwas also focused on domestic developmentsin Taiwan. Before the lifting of martiallaw in 1987, Congressionalliberals had criticized authoritarianrule on Taiwan.Thereafter,they praiseddemocratizationon the island.41 The June 1989 events at Tiananmenand PresidentGeorge Bush's responsewere the catalystsfor a new roundof activismon the Taiwan issue duringthe 101st(1989-90) and 102nd(1991-92) congresses.Hopes for change of the PRC's authoritariansystem had been dashed. The economic prosperityand democratizationof Taiwan provided a new rationalefor those in Congresswho promotedU.S.-Taiwanrelationsas well as for those Democratswho saw Bush's policies as fodder for partisanpolitics.42 Still, unlike duringthe 1979-82 period, the legislative mandatecontainedwithinthe TRA itself playeda relativelyminorrole. Referencesto it were largely absent in floor debates (a mere 24 references) and completelyabsentin proposedlegislation(excludingresolutions)during 37. These tabulationsare drawn from THOMAS,the Libraryof Congress's online referenceservicefor Congressionaldocuments. 38. HouseAmendment307, 99th Congress,and CongressionalRecord-Senate,11 July 1985, pp. 18583-87. 39. Therewas a joint resolutionproposedto prohibitthe sale of avionicskits to the PRC unlessadvancedaircraftwere sold to Taiwan.It died in committee.HouseJointResolution 592, 99th Congress.For examplesof the arms sales reportssee, CongressionalRecordSenate, 18 July 1983, pp. 19681 and ibid. 19 February1985, pp. 2513-14. 40. House ConcurrentResolution 120, 98th Congress;Senate Resolution 137, 98th Congress,House Resolution5563, 100thCongress;and CongressionalRecord-Senate,1 May 1984, p. 10487. 41. CompareSenateConcurrentResolution38 and House ConcurrentResolution344, 98th Congress,as well as SenateConcurrentResolutions70, 121 and House Concurrent Resolution49, 99th Congresswith CongressionalRecord-Senate,30 September1986, p. 27429 and Congressional Record-House, 3 October 1986, pp. 28673-4. 42. See for example,CongressionalRecord,28 July 1989,p. E2728, ibid. 19 September 1989, p. E3089, House ConcurrentResolution 233, 101st Congress, Congressional Record-Senate,26 March1990,p. S3161,ibid.20 May 1991,pp.S6154-55 andibid.19May 1992,pp.S6891-92. Foranexcellentoutlineof actionstakenby Congressfrom1989to 1999 see Yann-hueiSong, "Theseconddecadeof the TaiwanRelationsAct: U.S. Congressional involvement in the implementationof the law," paper preparedfor the International Conferenceon UnitedStates-TaiwanRelations:20 Yearsafterthe TaiwanRelationsAct, Taipei,Taiwan,9-10 April1999.Thediscussionwhichfollowshasbenefitedmuchfromthis comprehensivepaper. 155 156 The ChinaQuarterly the 101st and 102ndcongresses(1989-92).43There were few assertions of a right to share the policy-makingprerogativewith the executive or attemptsto oversee its actions.44 During the 1992 campaignBill Clinton harshlycriticized President Bush's Chinapolicy. Whenhe took office, Clintondecidedto respondto Congressionaldemandsto link MFN with an improvementof the human rightssituationin the PRC. However,growingpressurefrom the Senate to enhancethe relationshipwith Taiwanfurthercomplicatedthe situation. As one State Departmentofficial put it: "How can we get Congressoff our backs?"45The answerwas a review of Taiwanpolicy which some in Congresssaw as an opportunityto strengthenthe TRA andUnitedStates' relationswith Taiwan. This activism was furtherstimulatedby two events. The first was a stopoverin Hawaii by PresidentLee Teng-huiduring which the State Departmentgrantedpermissionfor an overnightstay if he did not leave the airport.Lee refused,spendingthe eveningon the plane.Congresswas outragedand, with the forthcomingTaiwanpolicy review in mind, there was a flourish of proposed legislation regardingvisits by Taiwanese officials.46The secondwas the announcementof the resultsof the Clinton administration'sTaiwan policy review which, in the eyes of many in Congress,unjustifiablylimited relationswith Taiwan.47 There was a sharp reaction in the Senate to these events. Senator Charles Robb, chair of the Senate Subcommitteeon East Asian and Pacific Affairs, remindedadministrationwitnesses that the management of relations with Taiwan was a shared "responsibilitybetween the Congressand the executivebranch... Congressis by law more actively involved in the conductof relationswith Taiwanthanothercountriesin the world."48 This assertion,madeby a Democrat,suggesteda reawakening of legislativeprerogative. Confrontationin the TaiwanStrait and TRARedux:1993-2000 A changedcontext.In 1993 "unofficial"representativesfrom the PRC and Taiwanmet in Singapore.By early 1995 it seemed that improved 43. Examplesof the relativelyinnocuousreferencescan be foundin House Concurrent Resolution210, 102ndCongress,FirstSessionandHouseConcurrent Resolution193, 102nd Congress,FirstSession.The statisticsare derivedfromthe searchenginein THOMAS. 44. ThefactthatPresidentGeorgeBush'sdecision,announcedin September1992,to end the nearlydecade-oldstalemateon the issue of advancedfighteraircraftby selling F-16s to Taiwan (an apparentviolation of the 1982 communique)was made largely without involvementclearlyillustratesthis.Fordetaileddiscussionof thisdecision,see Congressional Patrick Tyler, A Great Wall: Six Presidents and China: An Investigative History (New York: PublicAffairs, 1999),pp. 376-79. 45. Jim Mann, About Face: A History ofAmerica's Curious Relationship with China,from Nixon to Clinton(New York:AlfredA. Knopf, 1999), p. 321. 46. Fora listingof the proposedlegislationsee Song, "Theseconddecadeof the Taiwan RelationsAct,"p. 51. 47. Mann, About Face, p. 319. 48. "Hearingof theEastAsianandPacificAffairsSubcommittee," FederalNewsService, 27 September1994. The TaiwanRelationsAct relationswere a possibility.However,in May of thatyear, as a resultof Congressionalpressure,a visa was grantedto PresidentLee Teng-huito attenda class reunionin the UnitedStates.The mainlanddemonstrated its When tests. similar displeasureby stagingmilitaryexercises and missile actionswere takenin the midstof Taiwan'spresidentialelectionsin early 1996, the UnitedStatesdispatchedtwo aircraftcarriergroupsto the area. The immediatedanger of armed confrontationpassed, but cross-strait relationslurched,for the next fouryears,betweenstalematednegotiations and signs of renewedcrisis. From 1993 to 1996, Sino-Americanrelationsstumbledfrom controversy to controversy.The militaryexercises of 1996 spurredthe Clinton administrationto end the confrontationalcycle with the PRC. Over the next four years, it workedto improverelationswith a PRC leadership increasingly focused on the necessity of realizing reunificationand suspiciousthat Americansupportwas encouragingTaipei's resistance. Cross-straitrelationsbecame the principalfactor complicatingadministrationefforts to "engage"China. In the UnitedStatesdomesticpolitics were transformedby the Repubtone of the lican Congressionalvictory. The stridentanti-administration new leadershipafter 1995 set the stage for a bitterpartisaninter-branch confrontation.The conservative Republican leadershipjoined liberal humanrights advocates(many from the DemocraticParty)to createan atmospheredeeply distrustfulof Clinton initiatives.This mood gained strengthfrom, but also fed, charges that Beijing meddledin American politics, stole weapons technology, and was buildingweapons systems capableof threateningTaiwanand the United States. In sum, from 1995 to 2000 a concatenationof events, both internationaland domestic, changed the context for Washington'sTaiwan/ PRC policy. Seeking to improve relations, the Clinton administration faced PRC demandsto demonstratethat it did not encourageseparatist sentimentsin Taiwan.As the administration soughtto distanceitself from the island, a partisanCongress,sceptical of the policy of engagement, acted to "balance"the Clintonpolicy by enhancingthe Americanrelationshipwith Taiwan. In January 1996, Taiwan Turningpoint: the 1996 confrontation.49 movedto centrestage.As indicationsgrew thatBeijingwouldexpressits dissatisfactionwith the forthcomingpresidentialelection on Taiwan, therewere calls fromCongressfor Americanaction.'5On 7 February,the SenateSubcommitteeon East Asian and PacificAffairsheld hearingsto which it invited AssistantSecretaryof State WinstonLord and Deputy AssistantSecretaryof Defense KurtCampbell. 49. Ouranalysisof this eventhasbenefitedgreatlyfromconversationswithRobertRoss. See his "The 1995-1996 TaiwanStraitconfrontation: coercion,credibility,and the use of force," International Security, Vol. 25, No. 2 (Fall 2000). 50. CongressionalRecord,24 January1996, pp. 338-40 and 25 January1996, p. E88. 157 158 The ChinaQuarterly Questionersfocused on the ambiguityregardinga United States response in the event of militaryconfrontationand the administration's failure to consult Congress during the July 1995 militaryexercises.51 Administrationwitnesses respondedby using the terms of the TRA to minimizelegislative activism.WinstonLord noted that since a military could not "threat"to Taiwanhad not yet materialized,the administration make an unambiguousstatementregardingthe defence of Taiwanas the TRA requiredprecedentconsultationwith Congressonce such a threat existed.In this respect,he asserted"there'sno ambiguity,in my view, in the minds of either Taiwan or Beijing or anyone else, that we would respondin close consultationwith Congressto threatsto Taiwan."52 When, in March, the PRC announcedits first round of military exercises,Congressfocused on the issues of ambiguityand consultation. Initially,separateresolutionswere introducedin the Senate(S. Con. Res. 43) and the House (H. Con. Res. 148) invoking the TRA. As the legislative process proceeded,differencesbetween the two resolutions became evident. The House resolution,taken up first, was concernedmore with prescribinga responseto the confrontationthanestablishingthe necessityof consultation.Withreferenceto the TRA, it assertedthatthe "senseof the Congress"favouredspecificactionsby the UnitedStateswhich included: maintainingAmericanmilitarycapacityto resist any "resortto force or otherformsof coercion"thatthreatenedthe securityof Taiwan;establishing a naval presence to keep sea lanes open "in and near the Taiwan Straits";supplyingdefensive armsto Taiwan;and, "in accordancewith the Taiwan RelationsAct and the constitutionalprocess of the United States,"assistingin the island's defence against"invasion,missile attack or blockade"by the PRC.53 The languageof this final stipulationwent beyondthe languageof the TRA which was, in RepresentativeLee Hamilton'swords, intended"to give the United States maximum flexibility in dealing with Chinese threatsto Taiwan."This resolution,he argued,appeared"to push American policy furtherthanit has ever gone beforein a quarterof a century" towards a "commitmentto defend Taiwan."54The House, dissatisfied with ambiguouslanguage,was seekingto move the TRA - andAmerican policy - in the directionof a de facto mutualdefence treaty.Still, the debate that accompaniedthe passage of the resolution remained as ambiguousas the act itself regardingAmericanaction.While the House wantedactionto be takenin defenceof Taiwan,therewas no single view of what that action might be.55 51. "Hearingsof the Subcommitteeon East Asian and Pacific Affairs on Taiwan's Security,"FederalNews Service,7 February1999. 52. Ibid. 53. House ConcurrentResolution148, 104thCongress,2nd Session. 54. Congressional Record-House, 19 March 1996, p. 2343. 55. One of the sponsors,BenjaminGilman,who had arguedthat it was necessaryfor Congressto act as the presidentwouldnot, suggestedthatthe clause did not "necessarily [mean]sendingforces, it would meantryingto provideessentialmaterialand supportto The TaiwanRelationsAct In the final vote takenon 19 March,the measurepassed 369 to 14 in the House with strongbipartisansupport.When the resolutionreached the Senateit was recast.All but one of the calls for actionthatexistedin the House resolution were dropped - and that one was radically The emphasisin the Senatewas on theproceduralstipulations changed.56 of the TRA, particularlythe importanceof consultationwith Congress should an "actualthreat"develop.57The Senate vote (97-0) represented morean effortto protectinstitutionalprerogativethanto formulatepolicy prescriptions.It is likely thatthe wordsand actionsof the administration, which had less impacton the House vote, were importantfactorsin the Senate's orientation. WhenLordand Campbelltestifiedbeforethe House for a secondtime on 14 March,the Clintonadministration had alreadytakenunprecedented actions to addressthe crisis atmospherein the strait. On 7 March, a visiting Chinese official had been informedof Americanconcerns in languagedrawnfrom the TRA. When Chinesemissile firingscontinued, it was announcedthree days later that two aircraftcarrierbattle groups would be orderedto the area. The next day, 11 March, the Chinese announcedthe end of missile tests. Althougha tense atmospherewould persist through the presidentialelections of 23 March, the mainland militarythreatwas clearlypassing.51 This new environmentchangedadministration strategy.Earlier,Campbell and Lord sought to minimize the possibility of escalation due to inflammatoryrhetoricor Congressionalmeddling. On 14 March,they soughtto deterthe PRC from precipitousaction and the Congressfrom passingresolutionsthat mightreignitea crisis. Both continuedto justify not invokingthe TRA by the fact that a "threat"did not exist. But this time they quoted extensively from the TRA and its legislative history, pledging fealty to its consultationprovisions. Therewas also far less evasionregardingan Americanresponseshould a conflict breakout. Recognizingthe need to "stampout the Energizer Bunny of 'strategicambiguity'"(Lord'swords),both, althoughinsisting thatthe intentof the TRA was not to makea specificcommitment,came close to doing so. Campbellspoke of "strategicclarity"and "tactical ambiguity";that is that Washingtonwould take action, althoughthe natureof that action was open-ended.Lordwent further,notingthat the PRC had been remindedof the termsof the TRA and thatthe "message footnote continued Taiwanin the event they were being invaded."The othersponsor,GeraldSolomon,spoke moreaffirmatively,arguingthatthe U.S. "oughtto defendthemagainstthatattack."Doug Bereuter,a staunchadvocateof endingambiguity,useda phrasemorecommonin thedebate, "to assist"in the defenceof Taiwan.Ibid.pp. 2343-44 and 2347. 56. This was the call to supplydefensivearmsto Taiwanwhichbecamein the Senatea call for the presidentto "re-examinethe natureandquantityof defensivearmsandservices that may be necessaryto enableTaiwanto maintainself-defensecapability."See Senate Amendment3562, CongressionalRecord,26 March1996, p. S2622. 57. Ibid. 58. See Tyler,A GreatWall,pp. 32-36. 159 160 The ChinaQuarterly is clear.A resortto force with respectto Taiwanwould directlyinvolve Americannationalinterestsand would carrygrave risks.""59 Lord's invocation of "Americannationalinterests"was similarto languagerejected in 1979 and was the strongeststatementby any administrationto date. The administrationclearly "pre-empted... Congressionalaction"in March1996.6 However,its statementson strategicambiguitywere based less on the administration'sdesire eitherto suit policy to Congressional preferencesor to signala changein Taiwanpolicy thanto send a message of deterrenceto Beijing. When policy changed to one of enhanced engagement,it would returnto a position of strategicambiguity.61In Congressthe commitmentto end strategicambiguityremained,particularly within the Republicanmajorityin the House of Representatives where the rhetoricof the "Republicanrevolution"was most critical of administration policy. The straitconfrontationwas a turningpoint in the Clintonadministration's policy towardsthe PRC. Congresshad been placatedand China deterred;but these successes were costly. The security aspects of the TRA had been given unprecedentedpublic exposure and credibility because of the dispatchof the carriergroups.The role of the Congress was highlighted and the president's opponents there now had an improvedinstrumentwith whichto intervene.It wouldnot be long before they did so. The occasion was the renewalof Sino-Americansummitry. In October1997 PresidentJiangZeminvisitedthe U.S. andin June 1998, PresidentClinton made a return visit to China. As the Washington summitneared,generalresolutionswere introducedin Congresscalling upon the president "to make clear" to Jiang the commitment to the security of Taiwan mandatedby the TRA and the expectation that cross-straitdifferenceswould be resolved peacefully. More pointedly, the House passed legislation by a vote of 301-116 calling for Defense Departmentstudies regardingthe provision of anti-ballistic missile systems to Taiwanand Taiwan'spossible inclusionin a theatrewide system- an obviousattemptto complicaterapprochement with the PRC.62 The response to the June summit was more focused because the presidentmadea publiceffortto distancethe UnitedStatesfromTaiwan. When he articulatedthe "threenoes," Congress was mobilized.63For 59. "HouseInternational on AsiaandPacificHearing RelationsCommittee,Subcommittee re: MilitaryStabilityin the TaiwanStraits,"FederalNews Service, 14 March1996. 60. Congressional Quarterly Weekly Review, 23 March 1996. 61. Indeed,by late Marchtherewere reportsin the press thatthe executive-legislative consensuswas comingapart.WashingtonPost, 20 March1996. 62. For examplesof the resolutions,see "HouseResolution225" (9 September1997), "HouseResolution252" (29 September1997), "HouseConcurrentResolution178" (28 October1997), and"SenateConcurrent Resolution57" (27 October1997).The legislation on ballisticmissile systemswas HouseResolution2386. It was sent to the Senate,whereit died. 63. No supportfor Taiwanindependence,no supportfor "twoChinas"or one Chinaand one Taiwan,andno supportforTaiwan'smembershipin anyinternational bodythatrequires statusof statehood. The TaiwanRelationsAct Clinton's opponents this was a glaring example of an appeasement policy, while supportersexpresseduneasinessover an apparentnarrowing of the options for resolutionof cross-straitdifferences.6This situation was exacerbatedby yet anotheraccusationof a failureto consult.Priorto the president'svisit, rumourshad circulatedthathe plannedsome action - perhapsa fourthcommunique- that would adverselyaffect Taiwan's interests.As membersof the administration were called beforeCongress to testify beforethe visit, they were askedrepeatedlyif therewould be a change in policy relatedto Taiwan.Both at the cabinetlevel and at the staff level, administrationrepresentativesassured Congress that there would be no such change. Enter the Pentagon. In February 1999 Congress received two reports from the Departmentof Defense that had been mandatedin 1998. In one, the Pentagon submitted a feasibility study for the "architecture" of a missile defence for Taiwan.In the second, a report regardingthe militarybalance in the Taiwan Strait,the Pentagonestimated that a steady growth in PRC capabilities(especially increased missile deploymenton the coast opposite Taiwan) would soon pose a serious threatto the island. These reportsreachedCongressjust as the administration decision regardingarmssales to Taiwanin the following yearenteredits finalstagesandthe 20th anniversaryof the passageof the TRA approached.65 The tack that the Congressionalleadershiptook after 1999 in respect to "balancing"the administration'sTaiwan/PRCpolicy was shapedby these circumstances.Congressionalfocus shifted to arms sales as a leverage point for enhancingits influenceand, by doing so, the president's critics gaineda valuable,albeit tacit, ally. By 1999, the Pentagon was ready to play a more assertiverole in shapingTaiwanpolicy. This stance was, in part, a result of Congressional"pull."Reports on the militarybalance had been mandatedby legislation and the subsequent focus on armssales increasedpressurefromCongressfor informationand advice. These demandswould not be ignoredas the ongoing appropriations process placed a premiumon good legislativerelations. However,therewas also bureaucratic"push."By the mid-1990sthere was increasingconcernin the Pentagonregardingthe growthof Chinese military power.66Many felt that the nature of the relationshipwith Taiwan needed reorientationin orderto strengthenAmerica's strategic position. Congressionalactivism would serve this goal even as it increasedthe prominenceof the Departmentof Defense in an arms sales 64. For example, compare the statementof SenatorCraig Thomas (Congressional Record, p. S7916) and Lee Hamilton (Congressional Record, p. H58888). 65. Departmentof Defense, "Thesecuritysituationin the TaiwanStrait,"26 February 1999 and"Reportto Congresson theatermissile defensearchitecture optionsfor the AsiaPacificregions."Accordingto ChinaNewsAgency,29 April1999,thelatterreportwasmade availableto Congressin a classifiedformin February1999. 66. Jim Manndiscussesthis in his AboutFace, pp. 332-33. 161 162 The ChinaQuarterly processpreviouslydominatedby the Departmentof State and the White House. Before the confrontationof 1996 there had been a robust relationship with Taiwancentredaroundthe foreign militarysales programme. Since 1988, Taiwan had consistently ranked as America's second or third largest arms customer in dollar terms, and the single largest customerin Asia, well ahead of treaty allies Japan,South Korea and Australia.Taiwan's purchaseshad covered a wide spectrumincluding air defence systems, frigates, ship-to-shipmissiles, tanks and armed helicopters. Politicalconsiderationssignificantlyshapedthe natureof these sales. Taiwan'sofficialsoften soughtarmsas a symbolicindicatorof American support,attachingless significance to the ability of their military to absorbdiverseweaponssystemsor to integratetheminto a single defence strategy.The UnitedStates,seekingto avoidprovokingthe PRC, sharply restrictedany dealings with Taiwanthat might suggest steps towardsa renewedmilitaryalliance.The Americanside strictlylimitedwhat could be sold. For example, a narrow definition of "defensive"had been maintainedby all administrations,excludingcertaindefensive weapons (submarines,for example) with possible offensive uses. Items such as sharedearly warningsystemsthat might involve interactionbetweenthe Taiwanand Americanmilitarieswere also excluded. Moreover,the UnitedStatesgovernmentplacedlimitationson the rank and purpose of visits of U.S. officials to Taiwan. American military had to be on missionsrelatedto the foreignmilitarysales representatives programmeand be an 0-6 (Colonel or Navy Captain)or below. For civilian counterpartsin the Defense Department,the upperlimit was the GS-15 rank, with the result that officials responsiblefor formulating securitypolicy for the Asia-Pacificregion could not visit Taiwan.Additionally, it was a matterof U.S. policy to limit the exchangesbetween military professionalsresponsible for operationalmatters in order to assurethe PRC that the TRA was not a functionalalliance.This policy includedprofessionalseminardiscussionsor joint militaryexercises and training.One result of this was that while the TRA tasked the U.S. militarywith maintaining"the capacityto resist any resort to force or coercion"in the areaandthe Commander-in-Chief of U.S. PacificForces had an operationalplan for a Taiwan Straitcontingency,it was a plan basedon little knowledgeof Taiwandefenceplanningand no significant pre-crisisinteractionbetweenthe two militaries. The events of 1995-96 caused some in the Pentagonto rethinkthe relationship.Beijing, it seemed, had the will, and was developing the militaryability,to use militaryforce to secureits aims vis-a-vis Taiwan. Of greaterconsequence,when the U.S. deployed two aircraftcarrier groups,it becameimmediatelyclearthatpoorchannelsof communication and a high degree of unfamiliaritywould pose serious problems if fighting were to break out. Communicationsthat went through a small, overworkedstaff at the AmericanInstitutein Taiwan, and their equally taxed counterpartswithin the Taipei Economic and Cultural The TaiwanRelationsAct RepresentativeOffice, were inadequate.67The Departmentof Defense was, thus, ready in 1999-2000 to assume a more assertiverole in the making of decisions regardinghow the TRA should be interpretedand implemented. The president "engages"and Congress "enhances."The impact of the February1999 Departmentof Defense report on the cross-strait balanceas well as this convergenceof interestswere reflectedprimarily in two ways. The first was a more pro-activeand tacticallyastuteeffort by some membersof Congressto influencethe annualreview of U.S. arms sales to Taiwan. Citing TRA language that "the Presidentand Congressshall determinethe natureandquantityof such defensearticles and servicesbased solely upon theirjudgmentof the needs of Taiwan," HouseForeignAffairsCommitteeChairmanGilmandemandedin a letter to the presidentin March1998 thathe be briefedon the administration's decisionsbeforeTaiwanwas informedof the final outcome.The administrationrefused the request stating that it would continue to follow normalproceduresfor notifyingCongressof all proposedforeignmilitary sales. In the following year Gilmanand his staff adopteda more aggressive (and arguablymore effective) approach.They asked for and received briefingson the armsreview process.Equippedwith a betterunderstanding of the critical decision nodes in the process, the House Foreign Affairs Committeestaff closely trackedthe 1999 review process. With the help of willing collaboratorsat the Pentagon, they were able to determinewhich systems that Taiwanhad requestedwere "close calls" for release and the subject of intense inter-agencydebate. With this information,Gilmanand othermembersintervenedin the decisionswith greaterprecision. For example,in a letterto the presidentin spring 1999, Gilmanagain cited TRA language,noting that the law requiresTaiwanbe "provided defense articlesand defense services in such quantityas may be necessary for sufficientself-defensecapability."Gilmandemandedthe release of a specific system - ground-basedearly warningradar- that he knew was then the subjectof disagreementbetweenthe Pentagonandthe State Department(Pentagonsupportingrelease,Stateopposing).Gilmanthreatened to halt all armstransfersglobally if the situationwas not resolved favourably.Less than a week later, the administrationgave Taiwan conditionalapprovalto purchasesuch a system. The othermajorimpactwas reflectedin the resolutionsintroducedin both the House and Senate recognizingthe two decades of the TRA. Noting thatthe PRCarmsbuild-upnot only threatenedTaiwan'ssecurity but also "UnitedStates interestsin the Asia-Pacificregion,"they called 67. As one seniordefence official from the United Statesremarked,"we were almost withTaiwanin conflict,andwe knewfarless aboutthemthan standingshoulder-to-shoulder we knew aboutthe PRC,"while a Taiwanofficialnotedafterthe crisis thatTaipeidid not evenhavea phonebooklistingcommercialphonenumbersforindividualsattheUnitedStates PacificCommandin Hawaii. 163 164 The ChinaQuarterly uponCongressandthe presidentto exercisetheirsharedresponsibilityto receive "recommendations"from the "military authorities"and to "determinethe natureandquantityof whatTaiwan'slegitimateneeds are for its self-defense."68 On 24 March, SenatorJesse Helms submittedthe Taiwan Security EnhancementAct (TSEA) in the Senate and on 18 May Representative Tom DeLay did the same in the House.This act convertedthe hortatory, generalqualityof the earlierresolutionsinto legislativeform. It was the most ambitiousattemptto use the TRA to secureCongressionalinfluence over U.S.-Taiwanrelations. After expressingthe "sense of the Congress"that the Secretaryof Defense reserve positions for the Taiwan military at training and educationalfacilities and that the Secretaryof State take into account Taiwan's "special status"in military sales and provide "timely access to price and availability data" for defence items, it continued with stipulationsdirecting: * The possible enhancementof staff at the AmericanInstitutein Taiwan to facilitate arms exports as well as reportsby the presidentto Congress after arms talks with Taiwan that detailed what had been requestedby the island's military;the "defense needs assertedby Taiwan";and a detailed account of the fate of each request, the rationale for the decision taken and the level at which that decision was taken; * That it would "violatethe intent of Congress"as legislated in the TRA to take into account any considerationother than Taiwan's needs (i.e., the 1982 communique or "any other similar executive agreement"); * That the "Secretary of Defense in consultation, with the Secretary of State" develop "operationaltraining and exchanges for personnel between the armed forces of the United States and the armed forces of Taiwan for work in threat analysis, doctrine, force planning, operationalmethods and other areas. The plan shall provide for exchanges of officers up to and including general and flag officers in the grade of 0-10"; * That the Secretaryof Defense reporton that plan within 180 days and implement it within 30 days of such report; * That "secure direct communications"be established between the Taiwan military and the United States Pacific Command; * That the "Presidentis authorizedto make available to Taiwan at reasonablecost" a long list of itemized military systems including the Aegis system.69 Hearings on the TSEA were held in the Senate in August 1999 and in the House in September.However,the legislationthatemergedfromthe full House committee in October and passed by a vote of 341-70 on 1 February2000 had been significantlychanged.70 68. See "SenateConcurrent Resolution17"(11 March1999), CongressionalRecord,p. S2605 and"HouseConcurrent Resolution56" (17 March1999),ibid.p. H1531.Theformer was passedon 12 April1999 andthe latteron 23 March1999.The quotationsarefromthe Houseresolution. 69. "HouseResolution1838,"18 May 1999. 70. United StatesCongress.House of Representatives,Committeeon ForeignAffairs, Taiwan Security Enhancement Act, Report 106-423, 106th Congress, First Session, 28 October1999, pp. 5-6. The TaiwanRelationsAct There were two categoriesof changes. The first was the removalof sections identifying specific weapons systems "authorized"for sale to Taiwan.Instead,wordingwas added requiringannualDefense Departmentreportsto Congresson the "securitysituationin the TaiwanStrait" as well as on the U.S. ability "to respond successfully to a major contingencyin the Asia-Pacificregion where the United States interests on Taiwanareat risk."71The secondchangewas the introductionof three new paragraphsinto the findings section of the legislation which identifiedthe ambiguityin the Americancommitmentas the causefor the crises of 1995-96, and addedthat it would be ... in the nationalinterestfor the UnitedStatesto eliminateambiguityandconvey with claritycontinuedUnitedStatessupportfor Taiwan,its peopleandtheirability to maintaintheirdemocracyfree fromcoercionandtheirsocietyfree fromthe use of force againstthem.72 This language, consistent with past Congressional efforts, was also related to developments in cross-strait relations as the TSEA was being considered. In July 1999, on the eve of the second high-level meeting between mainlandand Taiwan representatives,PresidentLee Teng-hui asserted that relationswith the mainlandwere "special state-to-staterelations." Beijing angrilypostponedthe meeting and chargedLee with supporting independence.Although Lee was criticized by some supporters,Congressional focus was on the harsh PRC rhetoric. This rhetoric became sharper when, at the end of the year, Chen Shui-bian, a former independence advocate, emerged as a viable presidential candidate. Although Beijing eventuallyrefrainedfrom a repeatof 1996, its statementsbecame increasinglyhostile as the Marchelections approached.After Chen was elected, there were serious concerns regarding renewed conflict in the strait. At the same time, President Clinton's efforts to engage the PRC reacheda criticaljuncture.The two sides were negotiatingthe conditions for China's entry into the World TradeOrganization.In the autumnof 1999 a Sino-U.S.agreementwas reachedto open the mainlandto greater trade and investment. By the spring of 2000, the administration was taking the first steps towards implementing this agreement by seeking Congressional approval of permanent normal trade relations status (PNTR, previously known as most-favoured nation status) for Beijing. In the past, whenever the administration sought to improve relations with the PRC while Beijing's threat to Taiwan grew, there was renewed Congressional activism and a consequent increase in inter-branchconflict. This was the case with the TSEA as its sponsors worked to draw on their broad base of support both within Congress and without to use the act to 71. Ibid. pp. 3-4. 72. This was apparentlyat the insistenceof RepresentativeDoug Bereuter.See "U.S. RepresentativeBenjaminGilman (R-NY) holds markup:Washington,D.C.," Federal Document Clearing House Political Transcripts, 29 October 1999, p. 8. 165 166 The ChinaQuarterly deter the PRC from interferingin the Taiwan elections. One targetof Congressionalefforts was the Departmentof Defense. In the Pentagon,some defence plannerswere becoming increasingly concerned regardinga PRC arms build-up accompaniedby growing anti-Americanrhetoric. This required a reconsiderationof American strategyin the area as well as a focus on Taiwan's eroding defensive edge. Statementsby Defense Departmentofficials to PRC officials that the natureand quantityof armssales to Taiwanwould be determinedby Beijing's build-upsuggestedthatthe island's defensivecapabilities(that is, the result of Taipei's choice and deploymentof Americanweapons systems)were becominga crucialelementin the Pentagon'scalculations of United States' capabilitiesin the area. Finally, as the possibility of American interventionin the area grew, so did concerns regarding deficienciesin co-ordinationwith Taiwan'smilitary. Overlapbetweenthe goals of Congressand those of the Pentagonwas demonstratedby the testimony of Departmentof Defense officials at Congressionalhearings.73While all were carefulnot to contradictadministrationpolicy openly, there were also suggestions of an inclination towardsa less restrictivedefinitionof defensiveweapons;an eagernessto play a strongerrole in the process by which Taiwannot only obtained weapons but also trainedits users and integratedthem in the island's force structureand strategy;and supportfor enhancedco-operationwith the Taiwanmilitary.74 Privateinteractionswere more complex. Internally,the Pentagondecided on a public strategyof "supportthe spirit of the act" but not its actualpassage.Manyofficialsrecognizedthatthe TSEA could be useful in promotingtheir own bureaucraticinterests.It was hoped that raising the spectreof Congressionalmeddlingmight spuran otherwisereluctant StateDepartmentandWhiteHouse into supportingthe Pentagon'sgoals. Thus, Congressionalpressurewas used by the Departmentof Defense as a sourceof leveragein inter-agencydisputes.In some cases, this led to outrightcollusionbetweenCongressand the Pentagonat the staff level. Pentagonstaff reviewed the TSEA in draft form before it was made for comment.The same Departofficially availableto the administration ment of Defense staff made recommendationsfor changes to the draft (some of which were accepted)basedon the perceivedhelp to be derived from the bill in inter-agencybattles.They continuedto "coach"Capitol Hill staff throughits hearingsand in its correspondencewith the admin- the 20th anniversaryof the TRAin 73. Thesewerethe Senatehearingscommemorating March1999 (AssistantSecretaryof Defense FranklinD. Kramertestifying)as well as the Senatehearingsin Augustandthe Househearingsin September(DeputyAssistantSecretary KurtCampbelltestifying). 74. United States Congress,Senate. Committeeon ForeignRelations,UnitedStatesTaiwan Relations: The20th Anniversary of the Taiwan RelationsAct, 106th Congress, Second Session, 25 March1999, pp. 16-28. "U.S. [sic] Jesse Helms (R-NC)holds hearingon the security of Taiwan; Washington, D.C.," Federal Document Clearing House, Inc., pp. 13-31 and "U.S. RepresentativeDoug Bereuter(R-NE) holds hearingson Taiwanand China: Washington,D.C.,"ibid., 15 September1999, pp. 25-36. The TaiwanRelationsAct istration.The Pentagonwas not shy in suggestingthe types of questions CapitolHill should be asking officials at the State Departmentand the NationalSecurityCouncilon Taiwanpolicy matters. Yet therewere limits to these sharedinterests.Identificationof specific weapons systems to be made "available"to the island were coolly received in the Pentagon.This would impinge on the prerogativesof professionalmilitaryplanners,encourageTaiwan'stendencyto use political criteriafor purchasesandfurtherpoliticizethe processin Washington. Finally,the Defense Departmentwas more constrainedthanCongressin its ability to defy the executive.The redraftingof the TSEA seemed, in part,to be an attemptto amelioratesome of these concerns. However,it was also intendedto gain the supportof those Democrats who were ready to back legislation which supportedTaiwan, but not criticizethe president.This was done by omittingthe section authorizing decisions,but specificweaponssystems(a responseto pastadministration also of doubtfulconstitutionality)while insertingthe wordingon ambiguity and the maintenanceof Americanmilitarycapability. Ironically, the attitudeof the Clinton administrationwhich judged Congressionalinterferenceas a majorobstacleto improvingU.S.-China relationsthrougha delicateperiodmay have increasedbipartisansupport. The administrationworked not only to defeat the TSEA, but also to insulate the pending considerationof arms sales from Congressional meddling."By the time of the finalvote in February2000, supportfor the to TSEAhadbecomefor manyas muchan expressionof a determination defendCongressionalprerogativeas it was of a determinationto defend Taiwan.76 However, while the administrationsnub was a crucial element in gainingbipartisansupportfor the revised TSEA, it was only marginally relatedto the timing of its introductionin the House more than three monthsafter it was reportedout of committee.More significantin this respectwas the impactof the two contradictorythemesdiscussedearlier: growing concern over the PRC's hostile response to the elections in Taiwanand the effort to secure closer economic ties with Beijing. The 75. In the Augusthearings,SenatorJosephBiden,an administration supporter,criticized this strategy.He pointedto "alackof trust"as thebasisfor the TSEA.He attemptedto gain assurancesfromadministration witnessesthatconsultationwithCongresspriorto armssales would be increased.Inter-branchrelations ("up-street-down-street relations")were as importantas cross-straitrelations.He warnedthatif they were not attendedto, the "boss" (SenatorJesseHelms)was"goingto win."See, "U.S.[sic]JesseHelms(R-NC)holdshearing on the securityof Taiwan,Washington,D.C.,"p. 19. This was a somewhatgratuitousact as Congresswas probablybeing kept abreastby Taiwanof their requests.For example,a Congressionaldelegationhadbeenbriefedwhenit visitedTaiwanin February.Washington Times,8 February2000. 76. It is thusno accidentthatwhentheypresentedthe revisedTSEAfor a finalvote both the Chairmanof the HouseForeignAffairsCommittee(BenjaminGilman)andthe ranking Democraticmember(Sam Gejdenson)emphasizedits importanceas an expressionof Congressionalresponsibility.CongressionalRecord-House,1 February2000, p. HI114.It should,however,be notedthatsomeprominentDemocratssuchas TomLantosof California opposed this legislationas unnecessaryand provocative.This, of course, was also the administrationposition. "U.S. RepresentativeBenjaminGilman (R-NY) holds markup: Washington,D.C.,"pp. 10-12. 167 168 The ChinaQuarterly role of Congressregardingthe firstthemewas consistentwithpasttrends. The TSEA was broughtto the House floor in late January2000 to deter the PRC. Its sponsorsintendedits passage, as well as the stipulations containedwithin the bill, to be, like the dispatchof the aircraftcarrier groupsfour years earlier,an unambiguoussignal of Americancommitment.77The Congressionalrole in respectto the secondthemeintroduced a new elementinto the dynamicin executive-legislativerelationsregarding Taiwan/PRCpolicy. In the past, Congress,using the TRA, had playedthe role of a spoiler in efforts to improverelationswith Beijing. Presidentialefforts to enhance engagementby accommodatingmainlandsensitivities regarding the Taiwan issue almost inevitably stimulatedCongressionalefforts to aggravatethem.In 1999-2000, even as they followed this same strategy, the president'sopponentswere timingthe legislativecourseof the TSEA to accommodate,and not frustrate,administrationefforts to gain the PRC's admissionto the WorldTradeOrganization,a matterof concern to key Republicanconstituencies.And so, in October1999, the very same leadershipthatpromotedthe TSEAdespitewarningsthatit wouldworsen relationswith the PRCtableda full-housevote as WorldTradeOrganization negotiationsreacheda delicatestage.78Similarly,the timingof the 1 February2000 vote was, in part, motivated by the need to provide "politicalcover"for representativeswho were soon to vote positivelyon PNTR. A similarconnectionis foundin the subsequentfate of the TSEAin the Senate.Despite concernregardingpossible PRC actionin the run-upto, andthen aftermathof, the Taiwanelections,the TSEA was not placedon the Senate calendarimmediatelyafter House passage. Furtheraction might unnecessarilyprovoke the PRC. However, in mid-April,as the administration was in the finalstagesof the armssales process,the TSEA was placedon the Senatecalendar.Congressionalpressurewas strongfor the inclusion of the Aegis system (a possible platformfor the island's futureparticipationin a theatremissile defenceprogramme)as a sign of supportfor Taiwanand a responseto the PRC. A letterto the president from SenatorTrent Lott - timed to coincide with the administration's final internaldeliberationson arms sales - urgedrelease of the ships to Taiwan, and cautioned that failure to make the system available to 77. Theneedto endstrategicambiguityis a recurringthemeof almostall thosewho spoke in the final debate on the TSEA. See CongressionalRecord-House,1 February2000, pp. H103-121. See WashingtonPost, 2 February2000. Afterthe elections,SenatorRobert Torrecillinotedthata purposeof the TSEAwas to "discourageBeijingfrominterferingin the elections.WashingtonPost, 27 April2000. 78. In the committeediscussion,DouglasBeureuternotedthathe haddone "everything I couldto delay"theTSEAandthatpartof themotivationbehindthechangesin thelegislation was to avoidgivingthe PRCan excuseto scuttlethe WTOagreement."U.S.Representative BenjaminGilman(R-NY)holdsmarkup:Washington,D.C.,"p. 9. Newspaperaccountsnoted thatBereuterwas a representative fromNebraskawhichhadmuchto gain fromPRCentry intoWTOin termsof grainsales.However,whilethereweredivisionswithintheRepublican Party,the vote was apparentlypostponeddue to pressurefrom the businesscommunity Post, 3 October1999and2 November1999andThe expressingsimilarconcerns.Washington Washington Times, 2 February 2000. The TaiwanRelationsAct Taiwanwouldnegativelyaffectthe prospectsfor PNTRpassage.Tabling the TSEA (bolstered by such warnings) was meant to warn of the consequencesthat might flow from a refusalto sell the ships. Nevertheless, the Aegis was omittedfromthe armspackageannouncedat the end of April 2000.79 Despite angry reactionsfrom Senate majorityleader TrentLott and SenatorJesse Helms, the Republicanleadershipdecided againstan immediatevote - althoughLott noted coyly that it could be broughtup at any time.8o The most importantreasonsfor this postponementwere a disinclination furtherto incite China's leaders and signals that the newly elected leadershipin Taiwandid not favourpassageof the legislationat thattime. However, there were also reportsthat introductionof the TSEA might become a complicatingfactorin the finalstages of PNTRpassage.81The Senateput aside a majoreffortto "balance"the policy of engagementin orderto clear the way for a keystonein that same policy. This analysisof the evolutionof the TRA thus ends on a paradoxical note. On the one hand,duringthe 1990s Congressincreasinglyexercised the potentialauthorityfound in the TRA to intervenein the makingof Taiwan/PRCpolicy. On the otherhand,the TSEA, which in 1999-2000 seemed to be a dramaticculminationof that process, ended with what appearedto be a resoundingwhimper. Has the TRA, after more than 20 years of Congressionalstruggle, proven that it can do little to enhance either the commitmentof the United States to Taiwan or the influenceof Congressin securingthat commitment?Or, like other pieces of Congressionallegislation,has its significancebeen less than one might conclude from the rhetoric,yet more thanone might deducefrom the Congressionalinterventionstaken in its name? Conclusion The assertion that the post-1972 Sino-American rapprochement founderedon the events of 1989-91 is acceptedwisdom. The events at Tiananmen,it is argued, increased Beijing's concerns regardingthe corrosiveeffects of internationalcontacteven as it underminedAmerican hopes that these contacts would transformthe PRC. The demise of communismin the West over the next two yearsis saidto have weakened the relationship'sstrategicrationaleand furthersubstantiatedthe American belief thatunapologeticcommunistleadersin Beijing were defyinga trendof world democratization.The inabilityto reconstruct- or to find a substitutefor - these two bases of rapprochement is thus establishedas the root cause of the subsequentunsteadyrelationship.This analysis suggests that a thirdfactor should also be considered:the re-emergence and metamorphosisof the Taiwanissue. 79. Washington Post, 18 April 2000. 80. Ibid. and The New York Times, 28 April 2000. 81. The Washington Times, 19 April 2000 and The New York Times, 28 April 2000. 169 170 The ChinaQuarterly This issue had frustratedattemptsby PresidentsNixon and Ford to make progressin the Sino-Americanrelationshipafter 1972. By the end of the Nixon administration,Beijing was insisting that a severing of militaryanddiplomaticrelationswith Taiwanwas the essentialprecondition for any furtherprogressin the relationship.However, neither the Nixon nor the Ford administrationcould meet this demand.Although establishingdiplomaticrelations with the PRC had domestic political support,so did the commitmentto Taiwan.Moreover,in the wake of the failurein Vietnam,PresidentsNixon and Fordwere determinedto avoid actionsthat would cast doubton Americancredibility. Both presidentswere thus trappedin a cross-straitconundrum.While it was clearthatpoliticalrealitywas such thatany furtherprogressin the relationshipwith the PRC requiredthat the statusquo in relationswith Taiwanbe maintained,it was equallyclearthata changein thatstatusquo was the necessary prerequisitefor Beijing's agreementto any further progress. As argued in this article, the process of normalizingrelations with Chinain 1979 was in form an attemptto eliminatethat conundrum,but in substance an effort to work within it. President Carter and the Congressionaldraftersof the TRA sought to arriveat a formulafor a minimal commitmentto Taiwan that would meet both the administration's domesticpoliticalrequirements andthe conditionsset by the PRC.82 Normalizationhad not resolvedthe conundrum;it evadedit. The PRC leadershipremaineddissatisfiedwith continuingAmericanarmssales and the treaty-likewordingof the TRA. Many membersof Congress,mostly Republicansbut also Democrats,were displeased with the nature of supportexpressed for Taiwan and narrowlymissed inserting stronger language.The bases of normalizationwere thus extremelyfragile and would crackunderthe cumulativestressesof 21 years. The TRA bearsmuch of the responsibilityfor these stresses.This was an intenselypoliticaland ambiguouspiece of legislationshapedin form conflictand in substanceby the balancebetweenthe two by inter-branch branchesas well as that within Congress.The centralfindingis that the TRA has, over the past 21 years,takenon differentcolourationsdepending on the natureof these factors.83To arguethat it is the equivalentof a treatyor that it has assuredthe securityof Taiwansince its passageis to ignore this dependentand variablequality. Similarly,to argue that United States's actions since 1979 have representeda retreatfrom its originalcommitmentsis to miss entirelythe ambiguityof those commitments. This final argumenthas an additionalshortcoming.It seeks to assess the impactof the TRA by deductionsdrawnfrom actions or statements - in otherwords from what was done. Thereis, of course, anotherway 82. YufanHao'scentralthesisconcernsthis divisionof labourbetweenthe executiveand the legislative.However,our view of the resultis somewhatmorepessimisticthanhis. See Decision and Dilemma. 83. This dependentqualitywas a centralargumentof Kraft,The U.S. Constitutionand Foreign Policy: Terminating the Taiwan Treaty. The TaiwanRelationsAct of judgingthatimpact;fromthe perspectiveof whatwas not done.Action by Congress,particularlyin foreign affairs,is most frequentlyrestrictive ratherthandirective.While it can rarelymandatea specificactionby the executive, Congresscan set permissiveboundaries.How effective those boundarieswill be, of course,varies by issue and, most importantly,by the legislativebasis for Congressionalaction.84 It is here that the true significanceof the TRA can be found. The resurfacingof the Taiwanissue in Sino-Americanrelationshas been the result of the confluenceof domestic and internationalfactors. The reemergenceof the cross-straitconundrumas the specificdilemmanarrowing Americanoptions in resolvingthe Taiwanissue has been the direct result of Congressionalaction motivated by the complex mixture of partisanpolitics, institutionalpride and ideologicaldifferencesdescribed above. By 2000 the cumulativeeffect of these actions was to raise the level of supportfor Taiwanto the point thatit representedthe statusquo in the Americanpositionthathadto be maintainedas betterrelationswith the PRC were explored.Yet, as was the case earlier,it is changein this status quo that Beijing is demandingas a conditionof betterrelations. Here is the significanceof the TRA for Americanpolicy. Since 1996 it has emergedas a powerfullegislativeinstrumentfor the settingof foreign policy boundariesby Congress. To some degree,the act's effectivenessis the resultof its very nature. Unlike the usualdiet of Congressionalactionon foreignaffairs,it is "the law of the land."Such a statushas permittedmembersof Congressto declareit as the "legal standard"againstwhich to judge Taiwanpolicy; has led at least one Congressionalcommitteeto suggest that a president might be held constitutionallyaccountablefor not upholdingit; and can providethe legitimacyfor the efforts of sympatheticindividualsin the defence bureaucracyto justify supportfor Congress'sefforts. However, perhapsmost important,as is often the case in American politics, rhetoric, when presented often enough and loudly enough, becomesreality.Since 1996, the TRA has figuredprominentlyin United StatesPRC/Taiwanpolicy. Althoughit did not providethe legal basis for the dispatchof naval forces to the area,its legitimacywas enhancedby the actionsof both Congressand the executive at thattime. In the years that followed, Congresswidely cited the legislationas the basis for its own actions and, more generally,as an obligationof the United States. The resultof this has been to socializea new generationof Congressional membersin the elementsthatoriginallylay at the heartof the legislation: Congress'sprerogativesandits specialrelationshipwith Taiwan.Finally, since 1996, the provisionsof the act have contributedto the enhancement alliancethathas of Congressionalinfluencethroughthe tacitbureaucratic been formed with the defence establishmentand the informalnetworks and consultativeprocedureswhich have resulted.The cumulativeeffect 84. This is a commonthemeraisedby those who have studiedthe role of Congressin foreignaffairs. 171 172 The ChinaQuarterly of all these factorshas been to give credibilityto the rhetoricof the TRA and to the influenceof Congressin definingits terms. Of course, as this discussion has shown, dependenceon exogenous variablesthat have contributedto the greaterinfluenceof the TRA can also weaken it. It remains, at its core, an ambiguousdocumentwith serious operationalflaws. This is certainlyindicatedby the mannerin which political cross-currentsrelatedto the PNTR influencedthe TSEA in 1999-2000. Futurechanges in the political and generationalcomposition of Congressas well as the WhiteHouse, the natureof inter-branch relationsand perceivedAmericanprioritiesin Asia are the more fundamentalfactorsthat will shape the futurerole of the TRA. Congressdid indeed create a "uniquerelationship"in 1979, but it has also been an uncertainone.
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