巴西的法治道路与现代国家构建问题  

Brazil’s Road to the Rule of Law and the Problems of Modern State Building

作　　者：谭道明[1,2] Tan Daoming

机构地区：[1]中国社会科学院拉丁美洲研究所 [2]中国社会科学院阿根廷研究中心

出　　处：《拉丁美洲研究》2021年第5期20-37,154,155,共20页Journal of Latin American Studies

摘　　要：巴西法治道路存在明显的秩序短板,这与其现代国家构建问题有关。从法治的秩序维度考察,巴西独立以来的法治道路与英国等西方主要国家先"治民"、后"治官"最后才"治王"的路径正好相反。在"治王"方面,巴西的皇帝、将军和总统在不同时期构成巴西法治建设的最大障碍,驯服"王者"并不容易。近40年来,通过国会两次成功弹劾,巴西总统的权力已经得到极大限制。在"治官"方面,"洗车行动"开创了一个法检警协同合作的反腐败新模式,法治反腐取得重要成就。但是,巴西法治建设在"治民"方面长期表现不佳。巴西法治道路中存在的问题可以从现代国家构建视角得到一定解释。结合自马克斯·韦伯以来中外学者的研究成果,现代国家构建可以分为国家合法性、国家自主性和国家能力三个层次。通过考察巴西的现代国家构建,可以发现它的国家合法性问题基本得到解决,但国家自主性不足、国家能力软弱,且在短期内无法有效解决。可以说,巴西法治的秩序短板实质上是国家能力的短板。Brazil’s construction of the rule of law has obvious short plank of order,which relates to the problems of building a modern state.From the dimensions of the order of rule of law,Brazil’s rule of law since the date of its independence is just on the opposite way to major western countries,not like England that first experienced“the ordinary being governed”,then“officials being governed”and finally“kings being governed”.In different periods,emperors,generals and presidents of Brazil were the toughest obstacles to the rule of law in Brazil,and taming“kings”wasn’t an easy task.In recent years,presidents’power has been checked by two successful impeachments initiated by the Congress.“Operation Car Wash”has achieved great success in the dimension of“officials being governed”with the creation of a new anti-corruption model of cooperation among judges,procurators and the police.However,Brazil’s construction of rule of law doesn’t perform well in the aspect of“the ordinary being governed”.These problems in Brazil’s rule of law can be partly explained from the perspective of modern state building.Considering the researches at home and abroad since Max Weber,the construction of modern state can be divided into three elements:state legitimacy,state autonomy,and state capacity.State legitimacy of Brazil is fundamentally resolved,its state autonomy is insufficient,and its state capacity is quite weak.It can be argued that the short plank in the order of rule of law in Brazil is essentially the short one of state capacity.

关 键 词：巴西 法治道路 法治秩序 现代国家构建 国家自主性 国家能力 

分 类 号：D973[政治法律—法学]