政治力量结构与转型国家的“国家—资本”关系——以俄罗斯和乌克兰的国家形态演变为例  

Political Power Structure and State-Capital Relations in Transition Countries—The Evolution of State Forms in Russia and Ukraine as an Example

作　　者：聂俣诚 Nie Yucheng(Institute of Russian,Eastern European&Central Asian Studies,Chinese Academy of Social Sciences)

机构地区：[1]中国社会科学院俄罗斯东欧中亚研究所

出　　处：《世界政治研究》2023年第4期108-139,142-143,共34页World Politics Studies

基　　金：中国社会科学院青启计划资助,项目编号2024QQJH169

摘　　要：转型开始之后,俄罗斯和乌克兰相继出现了国家被新生的资本集团俘获的现象。随着转型的继续,在俄罗斯,国家挣脱资本集团的俘获,重新获得自主性,在乌克兰,国家则持续性地处于被资本集团俘获的状态。本文旨在对转型以来两国国家形态的不同演变路径提供统一因果解释,并发展出一种解释转型国家国家自主性强弱变化的理论框架。政治力量结构决定了俄罗斯和乌克兰“国家—资本”关系的形态和国家自主性的强弱。多元力量结构下,各政治势力为在政治竞争中获胜,不得不寻求资本集团的帮助,同其结成政经联盟;官僚集团、尤其是强力部门会采取机会主义策略,统治集团难以运用国家机器遏制资本集团,使资本集团能够夺得政经联盟的主导权,俘获国家。一元力量结构下,政治势力对资本集团需求减弱,统治集团也能更好掌控官僚集团,从而直接遏制资本集团或阻断经济资本向政治权力的转换,使国家摆脱资本集团俘获,获得自主性,甚至反向控制资本。本文通过对转型以来俄罗斯与乌克兰不同时期政治力量结构与国家自主性强弱和国家形态变迁的考察,验证了这一理论框架。After the beginning of the transition,Russia and Ukraine became captured states.With the continuation of the transition,in Russia,the state broke away from the capture of capitalist groups and regained autonomy,while in Ukraine,the state was continuously captured by capitalist groups.The thesis aims to provide a unifying causal explanation for the different paths of evolution of state form in the two countries and to develop a theoretical framework for explaining changes in the level of state autonomy in the transition countries.The power structure in the political field determines state-capital relations and the level of state autonomy in Russia and Ukraine.Under the pluralist power structure,political forces are forced to seek the help of capitalist groups and building political-economic alliances with them in order to win political competition;the bureaucrats,especially securocrats,will adopt the strategy of opportunism and it is difficult for the ruling group to use the state apparatus to curb the capitalist groups,which enables the capitalist groups to seize dominance of the political-economic alliance and capture the state.Under the unitary political power structure,the demand of the political forces for the capitalist groups decreases,and the ruling group is better able to control the bureaucrats,thus directly containing the capital groups or blocking the conversion of economic capital to political power,so that the state can escape from the capture of the capitalist groups and gain autonomy,or even control over capital.This paper verifies this theoretical framework by examining the power structure and the level of state autonomy and the change of state form in different periods of Russia and Ukraine since the transition.

关 键 词：国家自主性 国家俘获 国家—资本关系 政治力量结构 大转型 

分 类 号：D751.2[政治法律—政治学] D751.13[政治法律—中外政治制度]