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1、华中科技大学 博士学位论文 地缘科技视角下的国家科技安全研究 姓名：赵刚 申请学位级别：博士 专业：行政管理 指导教师：徐晓林 20070604 I 摘摘 要要 本文旨在建立“地缘科技学”的基本研究体系，初步厘定其内涵和研究框架， 提醒和敦促人们对国际关系现实主义的实质结构、综合国力竞争、科技在综合国力 竞争中的核心地位、国际科技竞争和国家科技安全等问题的关注。 “地缘科技学”以 民族国家为基本单元和基本战略主体，主要研究国际体系结构中科技与国际政治和 世界经济的关系。作为对民族国家为基本单元的国际无政府状态结构性特征的自然 反应，地缘科技学反映了国际关系理论现实主义流派的价值和方法。 本文在
2、“地缘政治学”和“地缘经济学”概念和内涵的基础上，提出“地缘科 技学”的概念，阐述其内涵和方法，构建了作为地理单元的民族国家处于国际无政 府状态世界中的竞争和斗争的思维方式和行为模式。地缘科技学聚焦于科技在地缘 政治和地缘经济中的核心作用，关注科技成为第一生产力和综合国力核心要素的前 提下，科技在维护国家综合安全方面的重要地位，以及在以国家为基本单元和战略 主体的国际结构中，国家间科技竞争的现实主义方法和视角。 地缘科技学研究的切入点是科学技术与综合国力之间的关系。在地缘科技学的 体系中，民族国家作为基本的行为体和结构性单元，而在一个无政府状态的国际体 系中，民族国家间的关系就取决于各自的综合
3、国力。本文在分析综合国力的基本概 念和基本构成要素的基础上，厘定了科技在综合国力动态演变过程的地位和作用， 论述了科技与综合国力其他要素之间的关系，即在综合国力要素的动态和历史的演 变中，科技因素已经成为决定性的力量，在综合国力构成中起支配性和支撑性的功 能和作用。 在地缘科技的视野下，评价和把握科技实力以及由科技实力主导的综合国力是 国家认识自身及其所处的相对国际地位的基本问题，是国家进行大战略决策的基础。 因此，本文构建了基于科技实力的综合国力评价的理论框架，提出了综合国力评价 的指标体系，建立了综合国力评价模型。在综合国力一级指标评价的基础上，经验 分析了科技能力与综合国力其它要素之间的
4、关系，接着对创新型国家和三大发展中 国家的综合国力进行了评价，最后对中国的情况进行了深入探讨。 II 科技作为一个决定性要素，如何决定和影响一个国家，特别是大国在国际等级 体系或国际格局中的地位和作用，也即科技革命与国际格局转换的关系问题，是地 缘科技学的一个核心问题。作为综合国力的最重要和最终的决定性依据，一国在科 技革命中的领导和前沿地位往往造就该国在当时国际体系中的领导和霸权地位。这 个结论对于国家的发展思路和战略路径都有重要的启示。 在地缘科技学的时代，科技安全问题已经成为国家综合安全的重要因素。在全 球化和地缘科技的世界体系中，科技与国家安全的关系问题，即国家科技安全问题， 不仅事关
5、一国的国际地位，而且日益与一国国内的繁荣发展和人民福利相关联。国 家安全和国家科技安全问题是地缘科技学应用和政策含义的自然流露。国家科技安 全的概念是地缘科技学政策含义和对策建议的落脚点。 关键词关键词：地缘科技;国家科技安全;创新型国家 III Abstract The major purpose of this dissertation is to come up with the concept of “Geopolitics of Science and Technology” and to define its content and framework of analysis. W
6、e have a strong sense that we remind and urge people of the clear awareness of eseence of international relations, comprehensive national strength competition, the key role of science and technology in the comprehensive national strength, competitive dimension of international science and technology
7、 relations and the consciousness of national science and technology security. Geopolitics of Science and Technology studies the relationship between science and technology and international politics and world ecnomy with nation-state as the core and basic unit of analysis and strategic subject. As t
8、he natural response to the international anarchy, it represents the realist value and method in international relations. Inspired by the concepts and methods of geopolitics and geo-economics, this dissertation aims to highlight the color of national interest and realist perspective in the dimension
9、of science and technology. The basic target is to be both an analysis of the systematic conceptualization of Geopolitics of Science and Technology and a reminder of the realist and zero-sum thinking and practice still prevailing in the field of science and technology. The starting point of Geopoliti
10、cs of Science and Technology lies with the relationship between science and technology and comprehensive national strength. Because in an international anarchy, each nation-state has to be on its own and the international relations thus have to correspond with repespective comprehensive national str
11、ength of nation-states. Based on the conceptual analysis of comprehensive national strength, we define the role of science and technology in the evolution of comprehensive national strength and relationship between science and technology as one factor and other factors of comprehensive national stre
12、ngth. We try to prove that during the current evolution of comprehensive national strength, the factor of science and technology is a decisive and leading force that largely dominates the compositon of comprehensive national strength. IV In the lens of geopolitics of science and technology, the asse
13、ssment and evaluation of the strength of science and technology and the comprehensive national strength dominated by the science and technology strength is vital to for nation-sate to understand itself and its relations with the rest of the world. This evaluation is the base to make grand strategy.
14、With the awareness of this logic, this dissertation explores the theories and methods of assessing the science and technology strength and the comprehensive national strength. Indicators and models of assessing and evaluation are being developed. One key topic of Geopolitics of Science and Technolog
15、y is how the science and technology as the leading force decides and shapes the positoning of states, especially major states in the international hierarchy or structure. This issue boils down to the issue of relationship between innovaton and international power shift or change of structure in inte
16、rnational politics. The core theme in this regard by Geopolitics of Science and Technology is that it is the leadship or dominance in science and technology innovaton that resulted in the leadership or hegemony in international structure. This conclusion is of great implication to states thinking and strategy in terms of developing their science and technology as priority. In the era of Geopolitics of Science and Technology, the issue of national science and technology security has become a ke
