【作者】 郭延军；

【导师】 杨鲁慧；

【作者基本信息】 山东大学 ， 国际政治， 2007， 博士

【摘要】 自20世纪后半期以来，随着人类活动范围的扩展与工业化进程的迅猛发展，环境恶化已成为一项全球性问题，日益威胁到人类生存的生态基础。环境安全这一概念逐渐被各国学者和政策制定者所接受。环境安全研究也从最初的边缘化状态发展为国际安全研究的重要分支。从国际政治研究的角度看，当前环境安全研究主要分为四类范畴：一是环境问题的安全化研究；二是环境安全与冲突的相关性研究；三是生态主义视角的研究；四是环境促进合作(和平)的研究。本文的研究属于第四类范畴。众所周知，目前东北亚地区的安全合作面临很多困难，这主要是由于该地区现存的由区域外国家主导安全架构以及地区主要国家间的安全困境所致。如何避开或克服这些障碍，推动东北亚地区安全合作与地区主义的发展，是学者与政治家面临的一项重要课题。东北亚地区地缘接近，而且面临着共同的环境难题，随着地区经济一体化的加深，环境领域的相互依赖及其带来的国家间关系的紧张甚至冲突，都将愈加明显。从环境的意义上，东北亚已经成为一个“命运共同体”。本文的研究旨在从东北亚环境安全入手，探讨地区环境安全合作能否成为克服安全困境、增强国家间互信、促进地区合作与和平的有效手段与途径。本研究以地区主义与环境合作的互动关系为理论线索，将东北亚的环境安全问题纳入东亚整体的地区主义的发展进程之中予以考量。一方面，地区主义的兴起与发展为地区环境安全合作提供了理论基础与实践平台，成为环境合作的重要支撑力量；另一方面，地区环境安全领域的合作又成为东北亚地区合作的推动力量。在这种互动关系的基础上，本文进一步提出了“地区环境安全复合体”的分析框架。引入这一分析框架的主要目的是确立本文的研究思路与研究重点，即以“地区环境安全复合体”为起点，通过环境安全的制度化合作，促进地区社会的形成与发展，从而促进东北亚地区主义合作进程。为了使研究更为规范化与系统化，在本文的写作中，采用了综合性的研究方法，主要包括结构功能分析法(Structural-Functionalism Analysis)和建构主义的研究方法(Constructivism Approach)。运用上述研究方法，本文对东北亚的环境安全进行了初步研究。研究的重点在于探讨环境安全合作能否成为改善东北亚国家关系、促进地区合作的积极因素与推动力量。据此，本文结构安排如下：导论部分，对选题的原因及意义、当前国内外研究现状进行了详细的述评。近年来，环境安全研究发展迅速，产生了一大批优秀的研究成果。这些研究成果的主要贡献在于：它们丰富和发展了国家安全观，拓展了安全的研究领域。环境安全研究的迅速发展，不但从理论上突破了传统的以军事安全为主导的国家安全观，而且对国家的安全政策与安全实践产生了重要影响。它使国家认识到，安全不仅是来自外部的，军事或武力的威胁，而且可以是源于内部的，非军事的生态威胁；安全的维护不再是一种完全“零和”的逻辑，而更应该具有一种“共同安全”意识，通过国际合作实现环境安全。但是，从近年来国内外的研究现状来看，对于环境与冲突的研究较为关注，尤其是把环境问题与军事问题与武力干涉联系起来，这不但无益于环境问题的解决，而且为某些国家以环境问题为借口干涉别国内政提供了可能，还有可能加剧安全领域的零和逻辑。在全球化相互依赖的今天，各国的命运是共同的，安全只有通过合作而非对抗才能实现。对于环境安全的研究也是如此，我们应该更多地关注环境安全合作能否成为维持与创建和平的途径。这一方面的系统化研究还相当欠缺，尤其是有关东北亚地区的环境安全研究，国内尚处于探索和起步阶段，缺乏从规范与实证相结合的学术角度进行的系统化研究。这与东北亚地区环境安全的现状是不相符的。该领域的研究亟待加强。基于以上考虑，本文尝试从地区主义与环境合作的互动视角对东北亚环境安全进行研究，力图证明通过加强东北亚地区环境安全这一功能性领域的合作，促进国家间的共同认知和国际环境规制的构建，逐渐培养起地区国家间合作的习惯，进而推动该地区的安全合作与地区主义进程。第一章基于拟定的研究方法与思路，首先对环境安全的基本概念、内涵以及有关环境安全化问题的争论进行了界定与梳理。其次探讨了环境安全在当代国际关系中的地位及其对国际关系的影响，重点讨论了环境安全对国家安全观念以及国际安全实践的影响，并分析了国际环境外交的兴起、发展以及面临的问题。第二章从地区主义的理论视角对东北亚地区的环境安全进行了分析与论述。重点探讨了地区主义与环境合作的互动关系，引入“地区环境安全复合体”的分析框架，并进一步分析了以地区主义为理论支撑，“地区环境安全复合体”对地区安全合作的意义。第三章主要论述了东北亚地区的环境安全合作的现状、动力、各国对外环境政策及其差异，尽管东北亚地区的环境合作已经在多层次、多领域内展开，并且成效显著。但总的来说，东北亚的环境合作还具有很大的潜力，尤其是如果各国可以将环境问题上升到国际安全的高度，东北亚的环境安全状况会有更大的改变，环境安全合作的层次也将进一步提高。文章从安全角度、经济角度和社会角度几个方面分析了东北亚环境安全合作的多重动力。目前东北亚环境合作面临的困境，主要表现为各国对外环境政策与目标各不相同，影响到地区环境合作的成效。第四章从环境安全的视角重新审视了东北亚的地区合作，重点论述了环境安全合作对于促进东北亚地区合作的现实功能与路径选择。首先阐明了处于权力结构变动之中的东北亚地区的安全困境及其成因。文章认为，要促进东北亚安全的积极变化，必须实现地区权力的分享、地区制度的创设以及共同规范与认同的形成。而要实现以上几个目标，环境安全领域的合作能够起到积极的作用。东北亚地区可以被视为一个“环境安全复合体”，以此为基础，将东北亚的环境安全议程纳入东亚整体的地区主义合作进程之中，通过环境领域的制度化合作，促进国家间的互信，缓解安全困境，推动地区安全与和平进程，从而为实现地区共同体目标奠定基础。结论部分对全文内容与主要观点做出总结的基础上，进一步提出中国应明确其地区主义战略中的环境安全政策，努力推动东北亚地区环境安全合作，为中国和平崛起创造良好的外部环境。更多还原

【Abstract】 Since the last half of 20^th century, due to the expansion of human’s activity and the development of industrialization, environmental degradation becomes a global issue, which threatens the ecological basis of human’s survival. Scholars and policy makers have accepted the concept of environmental security gradually. The study on environmental security has also become an important branch of international security studies.From the perspective of international politics, contemporary environmental security studies can be divided into four categories: the first is the study on environmental securitization; the second is the study on the relationship between environmental security and conflict; the third is the ecological angle of view; the fourth is on environmental peacemaking. This dissertation belongs to the last category. As we know, the present security cooperation in Northeast Asia faces many difficulties. The main reason is that the existing security framework and the dilemmas among the major powers of this region. How to avoid or overcome these obstacles and promote regional security cooperation is an important task putting in front of scholars and policy makers.Northeast Asian countries are confronted with common environmental problems. With the urge of regional economic regionalization wave, the interdependence within the environmental field may lead to the tension and conflict among countries. In the sense of environment, Northeast Asia has become a "Fortune Community". Beginning from Northeast Asian environmental security, this dissertation attempts to analyze the possibilities through regional environmental security cooperation to ease security dilemmas, to build up mutual trust between countries and to be an effective way to improve regional cooperation and peace.The dissertation takes the interactive relationship between regionalism and environmental cooperation as a theoretical clue. On the one hand, regionalism provides theoretical basis for regional environmental cooperation; and on the other, regional environmental cooperation is the driving force of regionalism. Based on this, the author brings forward the framework of "Regional Environmental Security Complex", which also includes the amity and the enmity in the sense of environmental security. The main purpose to introduce this analysis framework into the dissertation lies in that Northeast Asian countries are able to cooperate within various levels and enhance the amity by engaging in environmental institutional cooperation, therefore it’s useful to reconstruct mutual trust and push the regional cooperation into forward. In order to ensure this study more standard and systematic, the dissertation adopts comprehensive methodologies, which include Structural-Functionalism Analysis and Constructivism Approach.The structure of this dissertation includes six parts:The introduction brings forth the argumentation, and reviews of the present research evolution of environmental security.In recent years, environmental security research has been developing very fast; a large amount of literature has been emerged. The main contribution of these achievements lies in: they not only enrich and develop the concept of national security, but broaden the security research field. Rapid development of environmental security research breaks through traditional national security concept which is dominated by military security theoretically, and produces important influence on national security policy and practice. Security is not only from external or military threat, but also originates from internal or non-military issues. Security maintenance is not an absolute "Zero Sum" logic, but it should have a sense of "Common Security" to realize environmental security by international cooperation.Otherwise, within the present research, scholars pay much attention to the relationship between environment degradation and conflict, especially put the environmental issues and military intervening together. This is not benefit for the solution of environmental issues, but will provide an excuse for some countries’ intervening others’ domestic politics.In today’s interdependence world, all countries have common fortune to some extent. Security should be achieved through cooperation but confrontation. So we should pay more attention to environmental security cooperation and discuss whether it can be a way to maintain and build peace. This kind of systematic research is relatively deficient, especially on the research of Northeast Asian environmental security. This situation is not matched to this region’s environmental situation, and this kind of research should be strengthened. This dissertation, from the perspective of regionalism, attempts to analyze the possibility by strengthening environmental cooperation to improve common knowledge among countries, to construct international environmental regimes, to bring up cooperative habits, and to promote regional security cooperation and the process of regionalism.The first chapter defines the concept of environmental security and analyzes the arguments on environmental securitization. Then the author discusses the situation of environmental security research in contemporary international relations.The second chapter makes an analysis of Northeast Asian environmental cooperation from the theoretical perspective of regionalism. Based on the interactive relationship between regionalism and environmental cooperation, the author brings in "Regional Environmental Security Complex" as the framework for analysis.The third chapter mainly discusses the present situation, driving forces and the environmental policies within Northeast Asian environmental cooperation. In spite of Northeast Asian environmental cooperation has developed at multi-levels, this region’s environmental cooperation still has large potential. If regional countries promote environmental issues up to a higher position of international security, the situation of Northeast Asian environmental cooperation will be largely improved. This chapter analyzes the driving forces from the angle of security, economy and society. Despite the achievements, environmental cooperation in Northeast Asia still faces some difficulties, such as the different environmental policies and goals of regional countries; these have negative influence on regional environmental cooperation.The forth chapter makes a survey of Northeast Asian regional cooperation from the view of environmental security, mainly discusses the actual function and path-dependence of environmental security on promoting regional cooperation. By clarifying the security dilemma and its cause, the author points out that in order to promote regional security, the region must realize the sharing of power, building-up of regional institution, and the formation of common rules and identification. In order to achieve these goals, environmental security cooperation will play an active role. Northeast Asia can be treated as a "Regional Environmental Security Complex", through institutional cooperation of environmental field, to promote mutual trust, to ease security dilemmas, and to push regional security and the process of peace.By summarizing of the contents and main points of the whole dissertation, the author concludes that China should clarify the environmental security policy in its regionalism strategy to promote regional environmental security cooperation and to construct a good outer environment for China’s peaceful rise.更多还原