经济转型中的国家行为研究

【作者】 葛传红；

【导师】 郭定平；

【作者基本信息】 复旦大学 ， 政治学理论， 2010， 博士

【摘要】 “金砖国家”是指巴西、俄罗斯、印度和中国这四个新兴的市场经济国家,它们也是正处于经济转型中的大国。本文选取这四国作为研究对象,主要的考虑是这四个国家都是某种意义上的“巨型国家”。因为,小国的成功故事往往容易被人们视为一种偶然现象,或者一种地方性知识。反之,如果一个大国获得了成功,则人们很难将其视之为偶然或幸运,而是认为其中必有深刻的必然性逻辑的存在。所以,对它们的比较研究便是一个非常重要和意义重大的课题。然而,近些年来,在新自由主义教条的指引下,学者们倾向于过分夸大市场机制的作用,这样便导致大部分的经济转型研究主要是围绕着“经济行为”来展开,而有意地忽视了经济转型中的“国家行为”。因此,本文尝试运用近些年来颇为流行的“新国家主义”理论视角审视“金砖四国”的经济转型历程。一方面希望借此回顾来考察其经济转型过程中的国家行为逻辑,另一方面期盼能在此回顾的基础上去探究国家性质的转型。因此,在国家自主性逻辑的指引下,本文对“金砖四国”的经济转型过程进行全面的剖析,主要分为两个部分：一是分析国家的回应问题,即国家在经济困境、内外压力面前的适应性问题；二是分析国家的演变问题,即国家在经济转型过程中的自我调试行为。通过这两个方面的分析研究,本文认为国家的回应与国家的演变构成了一个连续不断的自然循环过程。在这个周而复始的过程中,国家的自主性程度可以得到不断加强,而当国家的自主性程度达到某一个临界点时,那么这个国家便可以称之为“自主性国家”。本文区别了“自主性国家”与“国家自主性”这两个既有联系而又不同的概念：认为“国家自主性”是从国家属性着眼的一个概念,而“自主性国家”则是从国家职能的角度着眼的一个概念。本文认为,“自主性国家”这个概念意味着在市场经济的条件下,国家既不应该被看作是某个特定阶级的利益工具,也不应该把它看做是实现某一种特定意识形态的工具。相反,它乃是一种全民性国家,其核心关注点在于实现社会整体的长远利益。本文认为,随着经济改革的持续推进,“金砖四国”国家自主性的内涵已经发生了革命性的变化——国家开始以合作的心态来引导社会经济的发展,并开始向着“自主性国家”的目标前进。更多还原

【Abstract】 "BRICs" refer to four emerging market economies of Brazil, Russia, India and China which are also great powers undergoing economic transition. The main consideration of selecting these four countries as study object is that they are all "giant states" in some sense. Because the success story of small countries is often easily seen as an occasional occurrence, or a kind of local knowledge. Conversely, if a large country has been successful, then it is difficult to be regarded as chance or luck, but deemed to be that there must exist a deep necessity of logic. Therefore, the comparative study on them is a very important and significant issue.However, in recently years, under the direction of neo-liberalism doctrine, most scholars tend to magnify the function of market mechanism. As a result, voluminous researches on economic transition mainly circle around the so-called "economic behavior", and deliberately ignored the "state behavior" in the process of economic transition. Therefore, this reseach tries to review the course of BRICs’economic transition from the perspective of "neo-statism" which is popular in recent years. On the one hand, the author hopes to examine the logic of state behavior in the process of economic transition relying on this review. On the other hand, the author also hopes to expore the transition of state’s character on the basis of this review.Therefore, this paper conducts a comprehensive analysis on the process of these four countries’economic transition under the guidance of the logic of state autonomy. This paper is divided into two parts:Firstly, to analyze the responce of the state, namely the state’s adaptability on the face of economic difficulties and pressure both inside and outside. Secondly, to analyze the evolution of the state, namely the state’s self-adjustment in the process of economic transition. Through the analysis from these two aspects, this paper argues that the state’s response and evolution constitutes a continuous natural cycle. In the course of this cycle, the degree of the state’s autonomy can be continuously strengthened. When the degree reaches a certain critical point, then this country can be called an“autonomous state.”This paper differentiates "autonomous state" and "state autonomy" which are linked and different concepts. This paper argues that "state autonomy" is a concept oriented by the state’s character, and "autonomous state" is a concept oriented by the state’s function. This paper argues that the concept of "autonomous state" means that state should neither be seen as a tool for a particular class interests, nor should it be seen as a tool for a particular ideology. Instead, it’s a universal state whose core concern is to achieve long-term interests of society as a whole.This paper argues that with persistent pushing forward of economic reform, the connotation of BRICs’autonomy has changed greatly——state has started to lead social and economic development with a co-operative attitude, and started to march toward the goal of "autonomous state".更多还原