美国海权研究：成因与变迁

发布时间：2018-11-23 20:43

【摘要】：本研究试图从环境因素与物质条件,以及社会文化和政治意识形态,即经济基础与上层建筑两个方面来解释美国海权思想的成因；随后从海权思想的主要实践——美国海军战略的历史变迁来揭示这一演变背后的动力因素。美国的自然地理环境使其具有从事海洋活动的先天优势,从这一角度可以肯定环境对于人类的行为造成的影响。其次,从美国海权思想诞生前后历史时期的物质生产与交换水平可以看到美国控制海洋能力的历史性增长。更重要的是,将马汉的海权论中有关环境因素的分析加以比对,可以揭示这一思想所受到的物质环境的制约。本文将引入综合国力分析以及海权与贸易关系的一份函数计算,以论证物质环境与海权及其相关理论三者之间存在的互生关系。从美国海权思想产生的意识形态基础而言,美利坚民族心理的两重性是一个十分令人感兴趣的问题。研究发现这一两重性具有深厚的宗教渊源。从孤立主义和扩张主义的两种政治意识形态来看,它们各自对美国的海权思想产生了影响；此外,当时海外意识形态传播美国则从外部渗透了这一思想的形成过程。从海权思想形成之后的实践来看,首先需要对马汉本人的海军战略的内容进行梳理,因为其实质被湮没和散布在海战史案例中而模糊不清。接下来则需要从历史观和专业两个角度对马汉的海军战略进行批判,这是历史继续进步之前必须的告别。从技术发展的角度,核时代美国海军战略的转型是对马汉理论的一次背离,而冷战末期美国海军战略的重大调整则意味着马汉在新时代条件下的回归。冷战结束导致美国海军面临的作战对象、空间和样式都发生了根本变化。在急剧变化而前,美国海军战略也必须进行重大转型,《由海向陆》是这一转型的标志。而《21世纪海上力量》的发表则意味着经过“九一一”事件的冲击之后美国海军战略的重新定位。2006年的《21世纪海上力量合作战略》则是美国面临国力衰退前景下的又一次战略调整,期待通过责任外包以减轻国力负担,同时继续维护美国的海上霸权地位。最后,2010年的海军作战构想则是在全球金融危机之后,以中国为假想敌而制定的战略构想,虽然还不成熟,但是指向却很明确。这反映美国对于自身的全球地位的一种焦虑情绪。本文的的最后将对美国海军战略演变历史背后的动因进行分析,从威胁及其认知、冲突与战争和以及技术进步的影响三个角度来解读海军战略的历史变化背后的逻辑,希望从中得到可资借鉴的结论。
[Abstract]:This study attempts to explain the causes of American maritime power thinking from the aspects of environmental factors and material conditions, as well as social culture and political ideology, that is, economic base and superstructure. Then, the dynamic factors behind the evolution are revealed from the historical changes of the naval strategy, which is the main practice of the sea power thought. The natural geographical environment of the United States gives it the inherent advantage of engaging in marine activities. From this point of view, the impact of the environment on human behavior can be confirmed. Secondly, the historical level of material production and exchange in the historical period before and after the birth of American maritime power thought can see the historical growth of American ability to control the sea. More importantly, by comparing the analysis of environmental factors in Mahan's theory of sea power, it can be revealed that this thought is restricted by the material environment. This paper will introduce the comprehensive national strength analysis and a functional calculation of the relationship between sea power and trade to demonstrate the mutual relationship between the material environment and sea power and its related theories. From the ideological basis of American maritime power thought, the dual nature of American national psychology is a very interesting issue. The study found that this duality has a deep religious origin. From the perspective of the two political ideologies of isolationism and expansionism, they have their own influence on the thought of sea power in the United States; in addition, at that time, the overseas ideology spread the formation process of this thought from the outside of the United States. From the practice after the formation of sea power thought, it is necessary to sort out the contents of Mahan's own naval strategy, because its essence is lost and scattered in the case of sea war history. Then there is a need to criticize Mahan's naval strategy from both a historical and a professional perspective, which is a necessary farewell before history continues to progress. From the point of view of technological development, the transformation of American naval strategy in the nuclear age is a departure from Mahan's theory, while the major adjustment of American naval strategy in the end of the Cold War means Mahan's return under the new era. The end of the Cold War brought about a fundamental change in the space and pattern of the US Navy's combat targets. Before the dramatic change, the United States Navy strategy must also undergo a major transformation, "from the sea to land" is the symbol of this transition. The publication of "Maritime Forces in the 21st Century" means the reorientation of the US Navy's strategy after the impact of the "September 11" incident. In 2006, the "Maritime Forces Cooperation Strategy for the 21st Century" is the prospect of the United States facing a decline in its national strength. For another strategic adjustment, We look forward to lightening the burden of national power by outsourcing our responsibilities, while continuing to maintain the maritime hegemony of the United States. Finally, the 2010 naval battle plan is a strategic idea based on China as an imaginary enemy in the wake of the global financial crisis, which is premature, but the direction is clear. This reflects a sense of anxiety about America's global standing. At the end of this paper, we will analyze the causes behind the evolution of the Navy's strategy, and interpret the logic behind the historical changes in the Navy's strategy from the perspectives of threat and cognition, conflict and war, and the impact of technological progress. I hope we can draw some conclusions from it.
【学位授予单位】：复旦大学
【学位级别】：博士
【学位授予年份】：2011
【分类号】：E712;D871.2

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