民族问题与苏联解体

【作者】 潘广辉；

【导师】 冯绍雷；

【作者基本信息】 华东师范大学 ， 科社与国际共运， 2004， 博士

【摘要】 苏联解体，是20世纪人类历史发展进程中最重大的事件之一，苏联的兴亡一直是世界各国理论界和学术界极为关注的课题，尤其是对于造成苏联解体的原因，至今仍然是学术界讨论的热门话题。长期以来，欧美学术界有关学者纷纷著书立说，对苏联解体进行研究和探讨，提出他们的看法与思考，而从民族问题视角对苏联解体原因进行的挖掘，则是欧美学术界探究苏联解体的一个重要路径。本论文对欧美学界从民族问题视角对苏联解体原因进行探讨的主要观点进行了介绍与评析。 论文首先从总的方面介绍了欧美学界对苏联民族政策问题与苏联解体的关联性的探讨，循着历史发展的脉络，在探寻了沙俄帝国的民族政策及其后果的基础上，对苏联从立国之初到解体的民族问题的形成、发展和演变作了纵向的铺陈。本文认为，建立在对外扩张基础之上并长期推行民族压迫政策的沙皇俄国，既培育了根深蒂固的大俄罗斯沙文主义，又导致了其境内的民族矛盾异常尖锐。在这样的“母体”中脱胎而出的苏维埃联盟，承接了较为沉重的民族问题遗产。虽然说，从列宁到戈尔巴乔夫，苏联的民族政策较之于沙俄政府已经有了本质的区别，民族关系已大大得以缓和。但整个苏联时期的民族政策还是存在着较多的错误和失误，尤其是在苏联后期民族矛盾愈演愈烈的情势下，苏联领导人并没有制定出有效解决民族问题的政策和措施，从而使得民族问题一发而不可收拾，最终促成了苏联的解体。 在总体论述的基础上，论文从民族自我意识的增强、联邦制的变形、民族经济利益的冲突、人口迁移政策、俄罗斯联邦及波罗的海国家在联盟解体中的作用等角度，介绍和评析了欧美学术界在民族问题与苏联解体的关联性问题上的观点与看法。 “民族自我意识的增强与苏联解体”阐释了民族自我意识的形成与发展、民族精英与民族自我意识的发展、宗教问题和民族文化问题与苏联解体间的关系。“联邦制的变形与苏联解体”剖析了联邦制的形成及其演变、联邦制与加盟共和国的法律地位在导致苏联解体中的作用。“民族经济利益冲突与苏联解体”分别对集权式管理模式及其后果、联盟与加盟共和国的经济利益冲突以及经济改革的失误及其影响和苏联解体间的关系进行了研究。“人口迁移政策与苏联解体”分析了20世纪30-50年代的民族迁移行动、民族聚居区内俄罗斯人与少数民族的关系以及“驱逐事件”对苏联民族关系恶化所产生的影响。“俄罗斯联邦与苏联解体”考察了俄罗斯联邦的民族回归主义、俄罗斯人的“悲情”意识、俄罗斯人与波罗的海国家的独立运动以及俄罗斯人对联盟的态度与苏联解体间的关系。“外部因素和民族问题的激化与苏联解体”分别论述了苏东关系的演变对苏联民族问题的影响、阿富汗战争的震荡、东西方关系的缓和、西方国家的和平演变以及民族分离主义浪潮的冲击等使民族问题演化为民族分离的国际背景对苏联解体产生的影响。 本文认为，上述内容可被视为苏联民族问题最重要的问题领域，尽管任何一个单独的因素都不足以对苏联解体构成足够强大的推动力，但这些因素结合在一起所产生的合力，就足以动摇和摧毁苏联赖以存在的根基。民族自我意识的增强导致的是日趋严重的认同危机;联邦制的建立及其发展演变中的扭曲和变形为联盟的解体和加盟共和国的离弃提供了法律基础和法理依据;集权式的经济管理模式造成联盟和加盟共和国的经济利益冲突，经济发展的迟缓影响了各民族人民生活水平的提高，使得联盟得以.存在的物质基础遭到极大侵蚀;人口迁移政策的受害者虽然只涉及二十几个少数民族，但却可以被看作苏联在处理民族关系时手法简单、粗暴的写照，受害者的不满和抗争既是苏联社会的一个不安定因素，也是后来民族危机星火燎原的火种;作为联盟主体民族的俄罗斯联邦，在联盟面对解体危险时，先是姑息、支持、甚至纵容一些加盟共和国的分离主义行为，随后其自身的民族本位主义意识亦急剧膨胀，独立倾向愈趋强烈，大大加剧了联盟的解体进程;而波罗的海国家的独立运动，则打开了联盟解体的第一道缺口，其所产生的“多米诺”效应最后汇集成一股遍及全联盟的独立浪潮。如果说上述因素构成了促成苏联民族危机加剧进而导致苏联解体的各种内在原因的话，那么，苏东关系的演变、阿富汗战争、东西方关系的缓和、西方国家的和平演变，以及全球化背景下民族分离主义浪潮等外在因素的冲击，则形成了苏联解体适宜的国际环境，成为导致苏联解体的外在原因。总之，如果说民族问题大大推动和促成了苏联的解体，那么这个进程正是在各种历史的和现实的、内在的和外在的因素的合力下发生、发展和完成的。 欧美学术界从不同的领域、不同的层次、不同的学科，运用不同的分析方法从民族问题视角对苏联演变的原因进行的探讨，虽然因国家利益、价值观念及历史文化的差异，许多观点和结论都不一定符合客观的历史事实，如过于渲染列宁的民族关系理论和政策的负面影响，过于强调苏联民族问题与苏联社会制度的关联，这实际上也是一种具有意识形态偏见的“原罪说”，但是，欧美学术界对民族问题与苏联解体的相关性的研究也反映出比较客观的?更多还原

【Abstract】 The breakup of the Soviet Union is one of the most significant events in human history in the 20th century. The rise and fall of the Soviet Union has always been a subject of great concern to theorists and scholars alike in various countries and in particular what had caused its disintegration still remains a hot topic for debate in academic circles up to now. For many years scholars from Europe and America have been writing on and probing into the collapse of U.S.S.R.and addressing this issue from the perspective of the ethnic question is only one important approach for European and American academic circles in this regard. The present article provides an introduction to and analysis of the major viewpoints of European and American scholars in approaching how the Soviet Union broke up in light of the ethnic question.To begin with, the article outlines the research done by European and American scholars on the relevance of the Soviet Union’s policy towards nationalities to its disintegration. Based on a review of the tsarist Russia’s policy towards nationalities and its consequences, the paper examines the formation and evolution of the policy of the Soviet Union towards nationalities from its founding to its collapse. This paper holds that by pursuing a long-standing policy of external expansion and national oppression, tsarist Russia had not only fostered a deep-rooted Russia chauvinism but also brought about fierce national contraditions within its borders. Born out of such a "parent body", the Soviet Union had inherited a heavy ethnic legacy. Despite the fact that from Lenin to Gorbachev there had been foundamental differences between the Soviet Union’s policy towards nationalities and that of tsarist Russia and its national relations had been greatly relaxed. However, in the entire period of the Soviet Union there had existed a relatively great number of mistakes with relation to its policy towards nationalities, and particularly towards the end of the Soviet Union when the national contradictions were becoming increasingly violent, Soviet leaders failed to come up with effective policies and measures to solve the ethnic problems. This triggered the full-scale eruption of national conflicts and eventually led to the collapse of the Soviet Union.Based on an overall analysis, the article presents and analyzes the points of view in the academia in Europe and America from the perspectives of enhanced national self-consciousness, distorted federalism, confrontations of national economic interests, migration policy as well as the roles of the Russian Federation and Baltic States in the disintegration of the Union.The chapter, entitled "Enhanced national self-conscousness and the collapse of the Soviet Union", expounds the formation and evolution of national self-consciousness, national elite and the development of national self-consciousness, the relevance of religious issues and issues of national culture to the collapse of the Soviet Union. The chapter on "Distorted federalism and the collapse of the Soviet Union" analyzes how the federal system came into being and evolved, the roles the federal system and the legal status of the Soviet Union’s former republics in the disintegration of the Soviet Union. The chapter of " The clashes of economic interests between different nationalities and the collapse of the Soviet Union" researches into the centralized modes of management and its consequences, the relations of clashes of economic interests between the Union and its former republics and the mistakes in economic reforms and their effects with the collapse of the Soviet Union. The chapter, titled "Dislocation policy of population and the collapse of the Soviet Union" offers an analysis of how the national dislocation in the period from 1930s to 1950s, the relations between Russians and ethnic minorities in the concentrated areas of nationality as well as the incident of "deportation" relate to the worsening national relations in the Soviet Union. The chapter with the title of "The Russian Federation and the更多还原