【作者】 彭玲；

【导师】 王国杰；

【作者基本信息】 陕西师范大学 ， 世界史， 2012， 博士

【摘要】 普遍存在于世界范围内的影子经济现象在全球化、信息化的当今社会出现了不断增长的趋势。尤其是在以俄罗斯为代表的转型国家,影子经济规模的扩大和所造成的影响使得国家转型更为艰难和复杂。从历史角度对俄罗斯转型期影子经济现象的记录和研究不仅是对经济史学的补充,更是解读俄罗斯转型问题的必要组成部分。对该课题的研究有助于我们客观认识、把握俄罗斯转型这一历史进程,吸取历史经验教训,对我国经济发展予以有意义的借鉴。影子经济作为合法经济的对立面而存在,具体表现为社会成员通过破坏正式制度或非正式制度,及逃避制度实施机构监管来满足个人或集团一己之利,给国家和社会造成离散作用的经济活动和现象。交易成本高低是经济主体选择“地下,,或“地上”活动的衡量准则。制度作为社会的游戏规则,构建了人类社会活动的激励结构,并以此减少活动中的不确定性,有效降低了交易成本,确定和限制了人们的选择集合,是影子经济产生的决定性因素。而非正式制度(指风俗习惯、价值观、意识等)中的文化因素为制度的变迁提供了环境-路径,也使得影子经济演化有了内在的连续性线索,为阐释存在于相同制度模式中,而背负着不同历史文化背景的影子经济所表现出的不同形式和特点提供了理论依据。俄罗斯所承载的历史文化背景使得转型期间影子经济的产生原因、特点和表现形式有别于西方国家。俄罗斯影子经济的存在和发展有其历史根源和转型过程中的现实诱因。历史根源为：苏联时期影子经济已然存在,计划经济体制的缺陷是其产生的主要原因。但是,随着苏联的解体,影子经济并没有因为计划经济体制的塌陷而随之消失。因为制度所造就的规则和思维范式具有继承性,并不会因新制度的产生立即与原制度割裂。所以,计划经济模式下产生的国家垄断、所培养的现代经理人以及国家财政对国有经济成分的各种补贴在俄罗斯转型期依旧存在,为新时期影子经济发展提供了可能。转型中的现实诱因为：一、大规模的私有化、超前的自由化、价格双规制以及高税收和货币紧缩政策的实施为影子经济的快速发展创造了契机。二、法制的缺失使影子经济发展缺少了约制。三,国家管理职能弱化是影子经济增长的重要原因。四、寡头和腐败与影子经济相促相生。五、民族道德文化的破坏和极端发展为影子经济的“合理”性提供了的思想意识。总之,俄罗斯转型承载着苏联时期计划经济体制所遗留的历史问题,在转型过程中政府又迅速退出了原先控制的重要领域,政府职能日渐弱化,在休克疗法的指导下,推行大规模私有化,经济自由化,放开价格的同时,却没有建立起与之相应的市场竞争机制和法律规范。使得该时期的经济行为处于制度的真空中。历史根源和转型中现实因素的综合作用使这个时期的影子经济在规模上激增。腐败和寡头经济在法制缺失的时空中相结合,肆意占有国家财产,破坏政治经济秩序,成为俄罗斯转型期影子经济的突出特点和重要组成部分。俄罗斯影子经济中的“国家因素”是俄罗斯影子经济不同于西方国家影子经济的主要表现之一。俄罗斯这次以丧失公众利益为代价的向市场经济的转型,使大众失去了原有的社会保障,居民生活水平降低,导致社会家庭结构不稳定性加剧,社会贫富两极化发展。社会边缘群体的存在和扩大为影子经济的泛滥提供了充足的劳动力和“合法,,的社会意识。从苏联时期到俄罗斯转型时期,影子经济的增速、规模和影响都有了极大的变化。苏联时期的影子经济基本局限于经济领域,对正式经济起到了润滑和补充的作用。影子经济在苏联后期的发展趋势加快。到俄罗斯转型时期,影子经济已经渗透到俄罗斯政治、经济、社会生活等诸多领域。在经济领域,它以各种方式逃避国家和社会的监督,破坏国家经济秩序,危害经济主体安全,扰乱国家宏观经济发展规划。在政治领域,影子经济与腐败相互促生,弱化了国家公共管理职能,打乱了正常的国家政治秩序。在社会生活领域,影子经济加深了社会贫富两极分化,社会治安问题严峻,对社会稳定造成严重危害。如果说影子经济给国家社会造成的经济损失可以弥补的话,影子经济所附带的精神道德和价值观的沦丧未必能够在短期内得到修复。作为一种与正规经济相对立的非正常的经济活动和社会现象,影子经济己经成为俄罗斯棘手的社会问题。影子经济问题处理得当与否,将直接关系到俄罗斯经济的复苏、转型的成败、社会的稳定和国家在国际上的影响力。因此,如何打击、规范和引导影子经济,将其控制在合理的范围之内,建立健康的国内市场和投资环境己成为俄罗斯政府改革需要参考的重点和经济发展战略的重要任务。在普京总统执政后,针对影子经济复杂的结构和再生能力强等特点,制定并实施了一系列治理措施。第一,加强国家行政权力,使国家政治经济建设,打击寡头、腐败,治理影子经济保持行动上的一致性。打击媒体寡头,改造媒体市场,重新掌握政府对舆论的主导权,恢复媒体继立法、司法和行政权力之后的国家“第四权力”的作用。第二,加强国家对经济的调控,整顿市场经济秩序,改善企业经营环境。第三,提高国民收入,完善社会保障。第四,加强法律法治的建设。第五,规范行业道德。第六,加强国际协作。以上部分行动的实施有力打击了危害最严重的那部分影子经济,而一些措施的制定和实施对预防影子经济再生则具有防微杜渐的作用。通过对俄罗斯影子经济发展、表现形式、特点及影响和治理的论述我们可以证明,俄罗斯影子经济与制度紧密关联。而历史文化积淀和传承的专制主义、契约观念的缺失和产权不明晰则是俄罗斯影子经济不同于其他市场经济体制国家影子经济的内在根源。影子经济的本质决定了它将长期存在,如何在转型期将影子经济限制在最小范围之内,俄罗斯在这一历史时期的客观现实、教训和治理影子经济的举措对有相似国情国家的经济建设具有现实的借鉴意义。更多还原

【Abstract】 The shadow economy, which is prevalent around the world, presents a growing trend in the modern society of globalization and informatization. Especially in the transitional countries represented by Russia, the scale expansion of the shadow economy and its impact make the transition more complicated and harder. To historically record and research the shadow economy phenomenon in Russia’s transitional era is not only a complement to economic historiography, but also a necessary component to interpret Russia’s transition issue. The study of the topic helps us to have an objective view of and know well the historical process of Russia’s transition, and draw lessons from the history to benefit our country’s economic development.The shadow economy exists as the opposite side of the official economy. It shows in detail that members of society feather their own (an individual’s or a group’s) nest by undermining formal or informal systems and evading the supervision of the enforcement body, which led to dispersed economic activities and phenomena for a country and society. The transaction cost is the measurement criterion for the economic entity to choose "underground" or "overground" economic activities. As the game rule of the society, systems build incentive structures of human social activities to reduce the uncertainty of the activities and the transaction cost, and ascertain and limit human choice set. So the system is the decisive factor for the shadow economy to turn up. However, the cultural factors in informal systems (referring to customs, values and awareness, etc.) provide environments and routes for systems’transition, and interior continuous clues for the shadow economy’s transition. The cultural factors also provide theoretical bases for the shadow economy’s different forms and features, which exists in the same system pattern, but in different cultural backgrounds.The historical and cultural background of Russia makes the emerging causes, features and manifestation of the shadow economy in Russia’s transitional era be different from western countries. Russia’s shadow economy’s existence and development have its own historical root and realistic incentives in the transitional process. The historical root is the shadow economy’s having existed in Soviet times and the flaws of the planned economic system are the main causes of its emerging. However, when the Soviet Union ended, the shadow economy didn’t disappear because of the collapse of the planned economic system. Rules and thought patterns produced by systems are successive, and won’t dissever from an old system when a new system arises. The national monopoly, modern handlers and various kinds of subsidies to the state-owned economic sector from the state finance emerged in the planned economy pattern and remained in Russia’s transitional era, which made the development of the shadow economy possible in the new period. There are five realistic incentives. Firstly, the large-scale privatization, precocious liberalization, the double-track price system and the implement of high taxation and tight money policy all created an opportunity for the shadow economy’s rapid development. Secondly, the failure of law system made the shadow economy’s development lack constraints. Thirdly, the weakening of the state’s management function is also an important cause. Fourthly, oligopoly and corruption and the shadow economy promoted mutually. Fifth, the destruction and extreme development of the national morals and culture supplied rationality of the shadow economy with ideology. All in all, Russia bore the weight of the historical problems left over by the planned economic system in Soviet times, and the state’s management function weakened day by day when the government rapidly retreated from the significant fields which it had controlled originally. With the guidance of shock therapy, the government carried out large-scale privatization, liberalization of the economy and decontrolling prices without establishing corresponding market competition mechanism and legal norms, which the economy in this era exist in the institutional vacuum. The comprehensive effect of the historical root and realistic factors makes the shadow economy increase sharply in this period. Corruption and oligopoly combines in the space-time vacuum without legal systems to wantonly occupy state property and destroy political and economical orders. This is the outstanding feature and important component of the shadow economy in Russia’s transitional era. The "state factor" of Russia’s shadow economy is one of its main manifestations why it’s different from western countries’shadow economy. Russia’s transition to the market-oriented economy at the cost of the public interest’s loss made the masses lose their original social security, residents’ living standard lower, the instability of the social family structure aggravate, and the social wealth polarization grow up. The existence and expansion of the social marginal population provide abundant labor force and "legal" social awareness to the overflow of the shadow economy.From Soviet times to Russia’s transitional era, the speeding, scale and influence of the shadow economy all had changed a lot. In Soviet times, the shadow economy was mainly confined to the economic field, lubricating and replenishing the official economy. In the later Soviet times, the shadow economy developed at a more fast pace. In Russia’s transitional era, the shadow economy had permeated Russia’s many fields like politics, economy and social life, etc. In the economic field, it evaded the supervision of the state and society in various ways, destroyed the national program of macro-economy development, harassed the rational allocation of social resources and broke the national economic order. In the political field, the shadow economy and corruption promoted mutually to weaken the public management function of the state and harass the normally political order. In the field of social life, the pervasive activities of the shadow economy had been normalized to deteriorate social morality, increase law-breaking cases and break the normal order of social life. Even if the economic losses caused by the shadow economy can recover, the incidental decay of morals and values can’t recover in the short run. As an abnormal economic activity and social phenomenon opposite to the official economy, the shadow economy had become a knotty social problem in Russia. Whether the shadow economy is dealt with properly directly relates to Russia’s economic resurgence, the success of the transition, the social stability and the national influence in the world. So, how to crack down on, regulate, guide the shadow economy and control it within moderate bounds, and how to establish a healthy domestic market and investment environment have become the emphasis needed to refer to in Russia’s government reform and an important task of the strategy of economic development.Since President Putin held power, aiming at the complex structure and the features like its strong regeneration capacity of the shadow economy, he had drafted and implemented a series of measures. Firstly, strengthen the state administration, and make cracking down on oligopoly and corruption and governing the shadow economy maintain the consistence on the action. Secondly, crack down on media oligarchs, reform the media market, grasp anew the government’s control of the public opinion, and regain media’s "Fourth Power" effect after the powers legislation, judiciary and administration. Thirdly, strengthen the state’s economic regulation and control, reorganize the order of the market economy and improve enterprises’ business environment. Fourthly, reinforce legislation and rule of law. Fifthly, increase national revenue and improve social security. Sixthly, standardize professional ethics. Seventhly, enhance international cooperation. Through unremitting efforts, Russia has been gradually stepping on the road to normal development. Some actions’implement powerfully cracked down on the most harmful part of the shadow economy, while some others nipped its expansion in the bud.Through the expounding of the development, manifestation, features and governance, we can demonstrate that Russia’s shadow economy connects with its regime closely. Russia’s shadow economy is different from the shadow economy in other countries implementing market economy. The intrinsic causes are absolutism, the lack of contract ideology and not clear property rights inherited from Russian history and culture.The essence of the shadow economy determines its longstanding existence. How to confine the shadow economy to a minimum scope, Russia’s objective reality, lessons and measures to govern the shadow economy in the transitional era can be used for reference in the economic construction of those countries with similar national conditions.更多还原