The evolving concept of lebensraum in political geography
HOU Lulu1,, LIU Yungang2,*,
1. School of Geography and Planning, Guangdong Provincial Key Laboratory of Urbanization and Geo-simulation, Sun Yat-sen University, Guangzhou 510275, China
2. School of Geography, Southern China Normal University, Guangzhou 510631, China
National Natural Science Foundation of China, No. 41571130 and 41271165;
Lebensraum is a core concept that Friedrich Ratzel created while he first founded political geography. In 1901, based on the study of anthropogeography, Ratzel came up with two analytical frameworks of spatial politics, "lebensraum" and "national organism," and the word lebensraum has attracted much attention since then. Haushofer, Ratzel's student and a used-to-be soldier devoted to national interests, contributed to the use of lebensraum in geopolitics and military science. Along with the rising popularity of geopolitics, lebensraum was developed into a geopolitical concept to explain the evolution of country system, which served as a theoretical support for Fascism. In the first half of the 20th century, German geographers played a leading role in lebensraum research. With the end of World War II, neither lebensraum nor geopolitics escaped from condemnation. Treating lebensraum as a weapon speaking for fascist states, Anglophone geographers tried to keep away from it, leading to its abandonment in the West. Due to the different language and a relatively independent academic community from the West, some Japanese geographers took up the study of lebensraum from a regional planning perspective since the 1960s. With political geography back into humanism view since the late 1980s, lebensraum liberated from the darkroom of German geopolitics, and there have been increasingly more geographers aware of the enormous theoretical value behind the concept. Through a brief review of the development process of lebensraum, this article aims to reveal the status and role of lebensraum in understanding the analytical framework of political geography, the relationship between human and land, space governance, and decision making of human agency.
拉采尔的Lebensraum概念在动荡的20世纪发展变化,但其实关于其概念发展演化的讨论并不多见。究其原因：一是文献有限,相关文献大都集中在二战前,以德文、日文、英文为主,中国学者较少接触;二是受政治地理学术圈大环境的影响,新政治地理学兴起后,诸多传统研究迫于历史压力纷纷改弦更张。20世纪90年代开始,Lebensraum才逐渐回到欧美地理学者的研究视野,并形成了一系列新成果。2018年,由英国牛津大学地理与环境学院、瑞典索德顿大学波罗的海与东欧研究中心共同主持的专辑“Lebensraum and its discontents”发表,标志着Lebensraum概念的学术回归(Klinke et al, 2018)。本文在此背景下,对经典文献进行再次解读,深入认识Lebensraum概念的起源、发展历程,为中国政治地理学研究的开展及理论化提供参考。
此外,拉采尔对人的迁移十分关注。他认为移民等因素会促进新的生存空间的产生,此过程包括空间变异、边界模糊侵蚀、孤岛/飞地形成3个阶段(Ratzel, 2018)。他的迁移研究多以中立的、描述性的方式开展,在许多论述中甚至表现出对“种族纯化”的谴责,他认为“纯的种族”和“混合种族”并没有明确的价值判断,很多被边缘化的人群是值得保护和保留的(Klinke et al, 2018)。这种对民族多样性的评价显示出拉采尔先于时代的人道主义思考。
首先,人是地理环境的产物,人与空间相互作用。人在地球上的存在和生长,是人类像其他生物一样适应环境的结果。拉采尔认为“每一个宗族、部落乃至国家都有2个层面的内涵——人及其领土空间,……人的政治行为是受地理环境的影响而做出适应的”(Semple et al, 1911)。人类的一切行为活动和社会发展都受环境制约,这种制约体现在4个方面,即生理上的制约、心理上的影响、物产丰歉盈缺对民族经济社会发展的决定作用,以及对人类迁移和分布的决定性影响(Ratzel, 1989)。
其次,民族国家是人类有机体运转的基本单元。拉采尔将国家与自然界中的生物种群类比,认为国家是附着在地球上的一种(生物)有机体,是“地表有确定组织的人类集团所占据的政治地域”(Semple et al, 1911),国家特征深受为其提供生存环境的领土及区位的影响,国家有机体的生存和发展需要一定的空间。
第三,国家有机体处于不断生长的过程中。国家有机体与其他生物一样也具有幼年、青年、壮年、老年等不同发展阶段。国家的生长在空间上有3种表现：一是国家的边界,其变化是多个国家相互竞争形成的几何空间,是人类社会不断发展的表现(Klinke et al, 2018);二是领土的稳定性,反映国家所处的发展阶段,发展水平越高的国家领土稳定性越强(Ratzel, 2018);三是空间的生长,国家生长的同时,民族集体不断寻求边界的外移与空间的扩大(Ratzel, 1901)。
拉采尔从人地关系出发,提出国家有机体的概念来解释人类有机体政治行为的空间规律,强调国家发展和政策制定中地理空间要素的重要性。他首次将抽象的国家概念与具象的地理空间相结合,使得地理要素在政治学、社会学领域中受到了空前的重视。虽然今天看来拉采尔的国家有机体理论似乎有一定的社会达尔文主义倾向,但Murphy(2018)通过对其著作《政治地理学》和拉采尔论文的研读发现,拉采尔的研究一直努力避免这种倾向。同时,拉采尔在对待民族主义与军国主义方面表现出难得的进步性,他驳斥了张伯伦(Houston Stewart Chamberlain)和戈比诺(Arthur de Gobineau)的生物种族主义(Smith, 1980),他反对种族纯化,认为移民是使社会群体更具竞争力的过程(Ratzel, 2018)。
20世纪上半叶是生存空间研究大发展时期,也是地缘政治学派改造并歪曲生存空间的关键时期。拉采尔的理论不仅在德国引起了巨大关注,也被其学生带到了其他国家。1911年,他的学生森普尔(Ellen Churchill Semple)在美国出版了《地理环境之影响：以拉采尔人类地理学为基础》一书,系统介绍了拉采尔人文地理研究中的主要成果,包括空间概念、边界、国家的迁移和成长,国家空间发展中海陆间的过渡以及水资源、山地和平原等在国家空间发展中的作用(Semple et al, 1911)。
现有的政治地理话语体系中,生存空间始终难以摆脱消极视角,即把民族和国家作为有机实体的还原主义、鼓吹帝国主义扩张、霸权统治、种族清洗等,甚至于这个概念的德语属性都十分容易唤起人们的负面情绪(Klinke et al, 2018)。因而,生存空间常被用以描述具有侵略性的国家政策与行动,如国外媒体对中国钓鱼岛政策的报道③(③ Lebensraum and China, Asia Sentinel, 2012-09-20, http://www.asiasentinel.com/politics/lebensraum-and-china/。)。通过回顾1919—1939年期间,德国对拉采尔生存空间与空间动力学的接纳与反响过程,Murphy(2018)发现,拉采尔对地理环境作用于人类能动性的决定性影响是十分谨慎的,拉采尔并不是空间/环境决定论者,但这种特质在魏玛和纳粹时代的动荡中被有意识地抹除了,政治斗争的紧张化曲意简化了拉氏生存空间的复杂性。
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ABSTRACT Rudolf Kjellén was an important politicalscientist during the first half of this century. He is perhaps the most influential Scandinavianpolitical scientist ever. Together with the political geographer Fredrich Ratzel, Kjellén wasthe founder of the German geopolitical school. All his major works were translated into German, butthey were, to my knowledge, never translated into English. They were important sources of inspirationfor the leading geopolitical theorist and military general, Karl Haushofer. 1 By the time of his visit toSweden in 1935, Haushofer was about to publish the 25th German edition of Kjellén'sDieGrossm01chte[The Great Powers]. 2 The idea that states were not fixed juridicial entities but dynamic organisms competing on theinternational scene, was something that appealed to Haushofer. He was to fuse this thought withRatzel's concept of Lebensraum,that was later to reachHitler.