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美国奥巴马政府南海地缘战略研究
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摘要
美国作为南海地区最具实力的区域外大国,对于南海地区形势有着不可忽视的影响力。从地缘战略视角来看,美国一直将维持在南海地区海权优势、确保对这一边缘地带的掌控以及在该地区防范欧亚大陆强国崛起作为终极目标。冷战结束后,美国在南海周边始终保持着大规模的军事存在,并注重同东盟国家在各领域的合作。虽然对中国崛起心存疑虑,但对于南海争端,美国并不愿过多插手。直到奥巴马上台执政后,美国开始对南海地区采取全面介入的战略方针,从而引发各方关注。面对上述背景,本文所要回答的是:奥巴马南海地缘战略是怎样形成的?其战略决策所处的国际环境如何?其南海地缘战略目标的具体内容是什么?以及奥巴马政府究竟以何种路径实现其战略目标?
     在论文的导论部分,主要阐述论文选题的缘起及其现实和理论意义。并通过对核心概念进行界定,理顺南海、南海周边国家与南海地区的关系;建立地缘政治、战略、地缘战略之间的联系。同时,在对国内外已有研究成果梳理的基础上,分析现有研究有待突破之处。最后,阐明本论文主要使用的研究方法、具体创新点以及因研究过程中面临的困难而产生的不足。
     论文第一章主要分析奥巴马政府南海地缘战略的理论基础和历史参照。本文认为,奥巴马南海地缘战略并不是凭空产生,而是存在特定的理论与历史渊源。因此,本章所重点阐述的是地缘政治理论对美国南海地缘战略的影响以及奥巴马政府对冷战后美国南海地缘战略传统的继承。本文首先从美国地缘政治思想出发,论述了以马汉、斯皮克曼以及布热津斯基等人的地缘政治思想对于美国南海地缘战略的宏观指导作用,而后通过分析描述冷战后美国南海地缘战略的历史演变,透析其为奥巴马政府所提供的战略启示。
     论文第二章主要分析奥巴马南海地缘战略的国际环境,也就是其南海地缘战略的现实参照体系。本研究认为,对奥马政府南海地缘战略所处国际环境的分析是研究其战略目标和战略布局的基础。本文从层次分析法出发,重点分析奥巴马政府的亚太战略调整、南海地区权力转移与南海争端的激化以及其他区域外大国介入对奥巴马南海地缘战略的影响。具体而言,奥巴马政府的南海地缘战略涵盖在其亚太战略的框架之下。因此,美国亚太战略的调整对其南海地缘战略不可避免的产生导向作用。同时,南海地区内部中国崛起明确了奥巴马南海地缘战略的目标方向,而南海争端的加剧又为美国介入南海地区提供了有利条件。此外,区域外其他大国的介入不但使南海问题复杂化,而且改变了南海的地缘政治格局,这也成为奥巴马政府在制定南海地缘战略目标和战略实施过程中的重要参考要素。
     论文第三章主要研究奥巴马政府南海地缘战略的战略目标与战略基础。本研究将美国的南海地缘战略目标划分为:实现美国在南海地区的国家利益,牵制和平衡中国崛起,塑造对美国有利的南海地缘战略环境。而其战略实施的基础则在于:首先,美国拥有世界上最为卓越的军事实力,占据着极具战略价值的军事基地,并在南海地区及周边依然保持了强大的军事存在和威慑力。其次,美国位于世界经济结构的顶端,拥有无可比拟的技术优势,并在同南海周边国家长久的经贸往来中维持了巨大的贸易份额。此外,美国通过在南海周边地区建立严密的同盟和准同盟体系,发展安全合作关系,参与南海地区多边合作机制等手段,保持了对南海周边国家以及地区事务巨大的政治和安全影响力。
     论文第四章着重分析奥巴马政府南海地缘战略的实施路径。在此章节,本研究将奥巴马政府南海地缘战略的实施路径分为政治、安全以及经济三方面。在政治方面,奥巴马政府通过积极参与东盟主导的地区合作机制,介入并干涉南海问题以及进一步密切同南海周边国家的政治合作关系等手段,提升美国对该地区事务影响力。同时,制衡中国并扩大政治联盟。在安全方面,美国继续加大对南海地区的军力投入,强化在该地区的军事部署,并密切与南海周边国家及其他区域外大国的安全合作关系,意图从整体上维持美国对南海地区的军事掌控并威慑中国。在经济方面,美国除保持同东盟整体性经贸关系之外,又着力加强同南海周边国家的双边经济合作,并积极拉拢这些国家加入到美国主导的跨太平洋伙伴关系协定中来。美国的目的,一方面,是为扩大出口,提高经济增长以及缓解国内就业压力;另一方面,是以此为手段实现美国对南海地区的经济主导。
     论文第五章的主要内容是对奥巴马政府南海地缘战略进行战略评估并在此基础上提出中国的应对策略。本研究认为,奥巴马政府的南海地缘战略整体上实现了其战略预期,对于美国挽回战略颓势起到了积极作用。就整体效果而言,美国通过在南海地区有效的战略推进,在增强美国对地区合作机制的主导,密切同盟友伙伴国家的关系,确保美国的前沿军事存在以及在安全上的影响力以及缓解美国国内的经济困境等方面收效良好。最重要的是,使中国面临了相当程度的战略困境。需要指出的是,奥巴马政府的南海地缘战略依然无法摆脱中国、东盟、南海地区其他区域外大国及美国国内政治经济等因素的限制。而未来,奥巴马政府仍会克服这些因素的影响,将其战略继续向前推进。而中国所要做的就是针对其战略提出有效的应对之策,并在南海地区形成能够发挥自身优势的长效地缘战略。
     结论部分是对本文主要观点所进行的归纳总结以及对中美关系的展望。
As the most influential outer-regional great power, USA has conspicuous effect onthe situation of the South China Sea. From geostrategic perspective, it is Americanultimate aim to maintain the sea-power advantage in the area of South China Sea,guarantee mastery of the rimland, be on guard against rise of big powers from Eurasiaas well. In addition to large-scale military presence that America remained in this area,USA had paid serious attention to keep economic contact with ASEAN countries afterthe end of cold war. Although America was anxious that China had been rising sharply,it was still unwilling to meddle in the dispute of South China Sea overmuch untilObama comes to power, soon afterwards, USA has begun to adopt strategic guideline tointervene the South China Sea comprehensively. This thesis will study the reason whyObama alters nonintervention attitude that America has assumed previously, theinternational environment that USA situates itself in, the geopolitical strategic targetwhich America adopts and the step USA will take to fulfil other strategic objectives.
     There is an overall presentation about this paper in the introduction part whichincludes the reason why the author selects this topic as well as the practical andtheoretical significance. In the meantime, the article attempts to straighten out therelations among the South China Sea, the countries that surround South China Sea andthe South China Sea area, as well as to establish the connection by defining the coreconcepts. Based on the existing research achievements at home and abroad, the articleanalyzes the points where the present research hasn’t concluded. Eventually, illuminatethe methods that have been adopted, the innovation points that have been discoveredand the deficiency on account of difficulties during the research.
     The first chapter has analyzed the fundamental reference system of geostrategy inthe South China Sea that Obama Administration has adopted, and considered that there has been specific theoretical system and historical origin for the geostrategy instead ofhaving never been created from whole cloth, therefore, this chapter has regarded ObamaAdministration’s follow of American geopolitical theory and inheritance of Americangeopolitical strategy as key point. Making use of geopolitics thoughts of scholars suchas Mahan, Spykman, Brzezinski, etc. as macroscopic guidance for Obama’s geostrategyto the South China Sea, which has proceeded from American geopolitics ideology,subsequently, it is reasonable, by means of analyzing historical evolvement of USA’sgeostrategy of the South China Sea, to dialyze strategic enlightenment which has beenprovided for Obama Administration.
     In the second chapter, the article has studied international environment forObama’s geostrategy of the South China Sea, which is to say, the realistic referencesystem for the geostrategy, based on the research, this thesis has considered analysis forinternational environment in which Obama Administration’s geostrategy of the SouthChina Sea has suited as the basis of research on strategic target and strategic layout.Therefore, grounding on the analytic hierarchy process, Obama Administration’sadjustment for Asia-Pacific strategy, Power shift of the South China Sea, Theintensification of dispute of the South China Sea, and the interference of otherouter-district great powers which make influence on Obama's geostrategy for the SouthChina Sea have been analyzed emphatically. To be specific, Obama Administration’sgeostrategy of the South China Sea is included in Asia-Pacific strategy, which signifiesthat there is inevitable guiding role for the adjustment of Asia-Pacific strategy togeostrategy for the South China Sea, in the meantime, as part of the South China Sea,the rise of China has been targeted by Obama Administration’s geostrategy of the SouthChina Sea, nevertheless, aggravation of the dispute of the South China Sea has suppliedadvantageous condition for America to interfere the South China Sea. The interventionof other outer-district countries not only aggravates issue of the South China Sea butalso alters geopolitics pattern of the South China Sea, which have been most significantfactors for Obama Administration who are enacting geostrategy target for the SouthChina Sea.
     Paying attention to Obama Administration’s strategic target and strategicfoundation of geostrategy of the South China Sea, the third chapter has divided intothree parts: containing and balancing the rise of China, achieving national interests of USA in the South China Sea, making beneficial geostrategy environment of the SouthChina Sea for America. It is analyzed that, being based on which, some majorelement—most powerful military that American has owned, strategic military baseswhich have been occupied and strong military presence and deterrence that hasmaintained in the South China Sea, have been studied. As followed behind, occupyingthe top of the world economic structure, America has unparalleled technologicalsuperiority and maintain the tremendous trade share in the economic exchanges with theneighboring countries surrounding the South China Sea.Because of the construction oftight system of formal and quasi allies, development of security relationship, meanwhile,the positive participation in multilateral cooperation mechanisms in the region of theSouth China Sea, America has formed great impacts to the neighboring countries and inthe region, in both political and security aspects.
     The main content of the fourth chapter is to analyze geostrategic track that ObamaAdministration has implemented in the South China Sea, divided into three parts:politics, security and economy. Referring to politics, by making active involvement inregional cooperation mechanism that has been oriented by ASEAN, intervening in theSouth China Sea issues and tightening political cooperation relationship with countriesaround the South China Sea, Obama Administration has not only elevate Americaninfluence in this region, but also contained China, with the political union broadened.Speaking of security, America has been increasing input in security of the South ChinaSea, including intensifying military deployment in the area of South China Sea,supplying military assistance for ally and launching military exercise with themregularly, in addition, USA has participated positively in security interaction withcountries outside the region, such as Japan, India and Australia, which has intended tostrengthen military control as well as to deter China. When it comes to economy, USAhas focused on bilateral economic dealings with countries at the rim of the South ChinaSea, in the meantime, roped actively in this countries to access the Trans-PacificPartnership Agreement that has been dominated by USA, in order to realize profits forUSA, increase export and employment and achieve to rule the economy in the SouthChina Sea as well.
     The primary content of the fifth part is to conduct strategic assessment for ObamaAdministration’s geostrategy in the South China Sea, based on this, to put forward coping strategy of China. Referring to strategic assessment, the research suggests that,Obama’s geostrategy of South China Sea has accomplished anticipated effect as a wholefor the strategy has played a positive role to redeem strategic decline for USA. In termsof the overall effect, USA has achieved the strategic goals in enhancing force in regionalcooperation mechanisms and establishing affinity with allies, insuring its frontiermilitary presence and influence in security terms, and of course, playing positive role inrelieving economic predicament in America. Specifically, China has been put in astrategic dilemma significantly owing to Obama’s geostrategy of South China SeaItshould be noted that, though, the Obama Administration’s geostrategy of South ChinaSea hasn’t got rid of limit from China, ASEAN, other great powers outside the SouthChina Sea and impact of politics and economy from America. In the future, under theinfluence of the above causes, Obama Administration will continue to carry forward thestrategy, however, what the Chinese government needs to do is to put forward validstrategy in accordance with the impact that may be caused by Obama’s geostrategy andcreate long-lasting geostrategy which is convenient for China to bring its superiorityinto full play.
     The conclusion part is to summarize the central insights of the article and toprospect the Sino-USA relationship.
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