欧树军|国家理论的谱系——“法律与公共政策”课程大纲（2017秋）

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Thursday，September 7，2017

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清秋时分，鸟鸣婉转，阳光温和。徘徊在选课网站无从下手，不如让小编给你提供一个完美的选择，带你走进法学院另一个神秘时空——【法律与公共政策】

【法律与公共政策】课程是法律与公共政策专业方向的精品课程，欢迎各位同学前来选修。

课程简介

学分丨3学分

授课对象丨北京大学法学院2016级法理学硕士和“法律与公共政策”专业硕士

授课人丨欧树军 email:oushujun@pku.edu.cn

时间丨周四 10-12节（18：40-21：30）

地点丨三教404

助教丨胡海娜 2016级法律硕士研究生

课程描述丨研讨当代学术界对国家的性质、国家形成、国家建设、国家的职能以及国家与诸社会领域的相互关系等理论问题的基础与前沿研究，帮助学生理解塑造当代中国法律与公共政策走向的国家理论谱系。

教学方式丨文献讨论，分为两大部分：

1. 学生每周阅读指定文献，2. 课堂讨论。

欧树军

中国人民大学国际关系学院政治学系副教授

课程进度

第一周（09月14日）导论

阅读文献：Vu, Tuong. 2010. “Studying the state through state formation.” World Politics, vol. 62, no. 1, pp. 148-175.

第二周（09月21日）回归国家

阅读文献：

1.Otto Hintze, "The State in Historical Perspective," in R. Bendix et al. (eds.) State and Society (Berkeley: UC Press, 1973): 154-69.

2.Skocpol, Theda. 1985. “Bringing the State Back In: Strategies of Analysis in Current Research.” In Peter Evans, Dietrich Rueschemeyer, and Theda Skocpol, eds., Bringing the State Back In (NY: Cambridge University Press), pp. 3-37. 中译本：《找回国家》，三联书店2009.

3.Nordlinger, Eric A. 1981. “State, Society and Public Policy” in On the Autonomy of the Democratic State. Cambridge: Harvard University Press, pp. 1-41. 中译本：《民主国家的自主性》，江苏人民出版社2010.

4.Almond, Gabriel A. 1988. “The return to the state.” American Political Science Review, vol. 82, no. 3, pp. 853-874.

5.Nordlinger, Eric A., Theodore J. Lowi, Sergio Fabbrini. 1988. “The return to the state: Critiques”, American Political Science Review, vol. 82, no. 3, pp. 875-901.

第三周（09月28日）何为国家

阅读文献

1.Mann, Michael. "The Sources of Social Power: The Rise of Classes and Nation-States, 1760-1914, Vol II." (1993). Chapter 3. 中译本《社会权力的来源 第二卷 阶级和民族国家的兴起（1760-1914）》，上海世纪出版集团2015，第50-107页。

2.Nettl, J. P. 1968. “The State as a Conceptual Variable.” World Politics, vol. 20, no. 4, pp. 559-592.

3.Krasner, Stephen D. 1984. “Approaches to the State: Alternative Conceptions and Historical Dynamics.” Comparative Politics, vol. 16, no. 2, pp. 223-246.

4.Barkey, Karen. 1991. “Comparative Perspectives on the State.” Annual Review of Sociology, vol. 17, pp. 523-549.

5.Snider, Lewis W. 1987. “Identifying the Elements of State Power: Where do we Begin?” Comparative Political Studies, vol. 20, no. 3, pp. 314-356.

第四周（10月05日）国庆假期

第五周（10月12日）国家能力

阅读文献

1.Mann, Michael. 1988. “The Autonomous Power of the State: its Origins, Mechanisms and Results.” In Michael Mann, States, War, and Capitalism, Oxford: Blackwell Publishers, pp. 1-32. 中译本载《当代国家理论基础与前沿》，广东人民出版社2017，第49-79页。

2.Mann, Michael. 2006. “The sources of social power revisited: a response to criticism.” In Hall JA, Schroeder R. eds., An Anatomy of Power: The Social Theory of Michael Mann. Cambridge: Cambridge University Press, 2006, pp. 343-396.

3.Wang, Shaoguang. The Rise of the Regions:Fiscal Reform and the Decline of Central State Capacity in China, in Andrew G. Walder, ed. The Waning of the Communist State: Economic Origins of Political Decline in China and Hungary (Berkeley: University of California Press, 1995), pp. 87-113. 中文：“建立一个强有力的民主国家”，当代中国研究中心，1991.

4.Wang, Shaoguang. "Democracy and state effectiveness." Political Institutions and Development: Failed Expectations and Renewed Hopes (2007): 140.

5.Weiss, Linda. 2006. “Infrastructural power, economic transformation, and globalization.” In ibid., pp. 167-186.

6.Soifer, Hellel, and Matthias vom Hau. 2008. “Unpacking the Strength of the State: The Utility of State Infrastructural Power.” Studies in Comparative International Development, vol. 43, pp. 219-230. And Soifer, Hellel. 2008. “State Infraturctural Power: Approaches to Conceptualization and Measurement.” Studies in Comparative International Development, vol. 43, pp. 231-251.

7.Besley, Timothy, and Torsten Persson. 2009. “The Origins of State Capacity: Property Rights, Taxation, and Politics.” American Economic Review, vol. 99, no. 4, pp. 1218-1244.

8.Hanson, Jonathan K., and Rachel Sigman. "Leviathan's latent dimensions: measuring state capacity for comparative political research." (2013).

第六周（10月19日）国家形成

阅读文献

1.Anderson, Perry. Lineages of the Absolutist State, London: Verso (1974), Part 1 Chapters 1, Part 2, Chapters 1, and conclusion, pp. 15-42, 195-221, 397-427; 中译本：《绝对主义国家的系谱》，上海人民出版社2016，第3-23页。

2.Tilly, Charles. 1992. Coercion, Capital, and European States, AD 990-1992 (Cambridge, MA.: Blackwell Publishers), Chapters 1 and 3, pp. 1-37, 67-95. 中译本：《强制、资本与欧洲国家》，上海人民出版社2007，第1-41、74-105页。

3.Fukuyama, Francis. The origins of political order: From prehuman times to the French Revolution. Farrar, Straus and Giroux, 2011. Chapter 5, pp. 80-96. 中译本：《政治秩序的起源：从前人类时代到法国大革命》，第80-90页。

4.Arrighi, Giovanni. 2005. “States, markets and capitalism, East and West.” In Max Miller, ed., Worlds of Capitalism. Routledge, pp. 109-145.

Modelski, George. 1978. “The Long Cycle of Global Politics and the Nation-State.” Comparative Studies in Society and History, vol. 20, no. 2, pp. 214-235.

5.E.L. Jones. 1987. The European Miracle. New York: Cambridge University Press, Chapters 5, 6, and 7, pp. 85-149. 中译本：《欧洲奇迹：欧亚史中的环境、经济和地缘政治》（第三版），华夏出版社2010。

第七周（10月26日）

国家建设: 西方经验

阅读文献

1.Poggi, Gianfranco. 1978. The Development of the Modern State: A Sociological Introduction. Stanford: Stanford University Press, pp. 86-149.

2.Bernard S. Silberman, Cages of Reason: The Rise of the Rational State in France, Japan, the United States, and Great Britain, Chicago: The University of Chicago Press (1993), Chapters 1, 2, 3, and Conclusion，pp. 1-84, 411-425.

3.Ertman, Thomas. Birth of the Leviathan. (Cambridge: CUP, 1997): Chapters 1 and 2, pp. 1-89.

4.Knudsen, Tim, and Bo Rothstein. 1994. “State building in Scandinavia.” Comparative Politics, vol. 26, no.2, pp. 203-220.

5.King, Desmond, and Robert C. Lieberman. 2009. “Ironies of State Building: A Comparative Perspective on the American State.” World Politics, vol. 61, no. 3, pp. 547-88.

阅读文献

第八周（11月02日）国家建设: 非西方经验

阅读文献

1.Robert Jackson, Carl Rosberg. 1982. “Why Africa’s Weak States Persist: The Empirical and the Juridical in Statehood.” World Politics, vol. 35, no. 1, pp. 1-24.

2.Lisa Anderson. 1987. “The state in the middle East and north Africa.” Comparative Politics, vol. 19, no. 1, pp. 1-18.

3.Joel S. Migdal. 1988. Strong Societies and Weak States: State-Society Relations and State Capabilities in the Third World. Princeton: Princeton University Press, Part One and Chapter 8, pp. 1-41, 259-277. 中译本：《强社会与弱国家：第三世界的国家社会关系及国家能力》，江苏人民出版社2009.

4.Guillermo O'Donnell, "The Browning of Latin America," New Perspectives Quarterly, Fall 1993, Vol. 10 Issue 4: 50-53.

5.Loveman, Mara. 2005. “The modern state and the primitive accumulation of symbolic power.” American Journal of Sociology, vol. 110, no. 6, pp. 1651-1683.

第九周（11月09日）国家的限度

阅读文献

1.North, Douglass. 1981. Structure and Change in Economic History. New York: Norton, Chapters 3 and 4. 中译本：《经济史中的结构与变迁》，上海人民出版社1994.

2.Robert Bates, Markets and States in Tropical Africa: The Political Basis of Agricultural Policies, Berkeley: University of California Press (1981), Introduction, Chapters 1, 5, 6, and 7, and conclusions, pp. 1-29, 81-132. 中译本：《热带非洲的市场与国家:农业政策的政治基础》，吉林出版集团2011.

3.Levi, Margaret. 2002. “The State of the Study of the State.” In Ira Katznelson and Helen Milner, eds., Political Science: The State of the Discipline. New York: Norton and the American Political Science Association.

4.Robert Rotberg, ed. When States Fail: Causes and Consequences. Princeton: Princeton University Press, 2004: 1-44.

5.Cameron G. Thies, “State Building, Interstate and Intrastate Rivalry: A Study of Post-Colonial Developing Country Extractive Efforts, 1975-2000,” International Studies Quarterly, Vol. 48, No.1 (March 2004), pp. 53-72.

第十周（11月16日）权威、组织与宪法

阅读文献

1.Huntington, Samuel. Political Order in Changing Societies. New Haven: Yale University Press, 1968, Chapter 1-2. 中译本：《变动社会的政治秩序》，上海译文出版社1989.

2.Hansen, Mogens. "The mixed constitution versus the separation of powers: monarchical and aristocratic aspects of modern democracy." History of political thought 31.3 (2010): 509-531. 中译本：《选主批判：对当代西方民主的反思》，北京大学出版社2014.

3.Gailmard, S. 2017. Building a New Imperial State: The Strategic Foundations of Separation of Powers in America.

4.Tsebelis, George. 1995. Decision Making in Political Systems: Veto Players in Presidentialism, Parliamentarism, Multicameralism and Multipartyism. British Journal of Political Science, 25, 289-325.

5.Slater, Dan. Ordering Power: Contentious Politics and Authoritarian Leviathans in Southeast Asia. New York: Cambridge University Press, 2010: 1-54.

第十一周（11月23日）认同、忠诚与整合

阅读文献

1.Eugen Weber, Peasants into Frenchmen: The Modernization of Rural France, 1870-1914. Stanford, CA: Stanford University Press, 1976. Chapters 12-20.

2.Mann, Michael. The dark side of democracy: explaining ethnic cleansing. Cambridge University Press, 2005. Chapter 3, pp. 55-69. 中译本：《民主的阴暗面：解释种族清洗》，中央编译出版社2015.

4.Crawford Young, “The Post-Colonial State” in Donald Rothchild, and N. Chazan, eds. The Precarious Balance: State and Society in Africa. Boulder: Westview, 1988: 25-66.

5.Chandra, Kanchan. 2006. “What is Ethnicity and Does It Matter?” Annual Review of Political Science No, 9: 397-424.

6.Habyarimana, James, Macartan Humphreys, Daniel Posner and Jeremy Weinstein 2007. “Why Does Ethnic Diversity Undermine Public Goods Provision.” American Political Science Review 101 (4): 709-725.

G M T

第十二周（11月30日）

国家与社会变迁

阅读文献

1.Huntington, Samuel. Political Order in Changing Societies. New Haven: Yale University Press, 1968, Chapter 6-7. 中译本：《变动社会的政治秩序》，上海译文出版社1989.

2.Skocpol, Theda. 1979. States and Social Revolutions: A Comparative Analysis of France, Russia, and China (New York: Cambridge University Press), Chapters 1, 4, and Conclusion, pp. 3-43, 161-173, 285-293. 中译本：《国家与社会革命》，上海人民出版社2007.

3.Wimmer, Andreas, and Brian Min. 2006. “From Empire to Nation-State: Explaining Wars in the Modern World, 1816-2001.” American Sociological Review, vol. 71, no. 6, pp. 867-897.

4.Riley, Dylan T., and Manali Desai. 2007. “The passive revolutionary route to the modern world: Italy and Indian in comparative perspective.” Comparative Studies in Society and History, vol. 49, no. 4, pp. 815-847.

5.O'Donnell, Guillermo. 1993. “On the state, democratization and some conceptual problems: A Latin American view with glances at some postcommunist countries.” World Development, Volume 21, Issue 8, pp. 1355-1369.

6.Hamm, Patrick, Lawrence King, and David Stuckler. 2012. “Mass privatization, state capacity, and economic growth in post-communist countries.” American Sociological Review, vol. 77, no. 2, pp. 295-324.

第十三周（12月07日）

国家与经济发展

阅读文献

1.Karl Polanyi, The Great Transformation: The Political and Economic Origins of Our Time, Boston: Beacon Press (1944), Chapters 4-6, pp. 35-80. 中译本：《大转型：我们时代的政治经济起源》，浙江人民出版社2007.

2.Alexander Gerschenkron, “Economic Backwardness in Historical Perspective,” in Economic Backwardness in Historical Perspective: A Book of Esays, Cambridge, MA.: The Belknap Press of Harvard University Press (1962), pp. 5-30. 中译本：《经济落后的历史透视》，商务印书馆2009.

3.Evans, Peter. 1989. “Predatory, Developmental, and Other Apparatuses: A Comparative Political Economy Perspective on the Third World State.” Sociological Forum, vol. 4, no. 4, pp. 561-587.

4.Doner, Richard F., Bryan K. Ritchie, and Dan Slater. 2005. “Systemic vulnerability and the origins of developmental states: Northeast and Southeast Asia in comparative perspective.” International Organization, vol. 59, Spring, pp. 327-361.

5.Malik, Adeel, and Bassem Awadallah. 2013. “The Economics of the Arab Spring.” World Development, vol. 45, pp. 296-313.

第十四周（12月14日）政治思潮与政策变迁

阅读文献

1.Karl Polanyi, The Great Transformation: The Political and Economic Origins of Our Time, Boston: Beacon Press (1944), Chapters 7-10, 12-13, pp. 81-135, 141-170. 中译本：《大转型：我们时代的政治经济起源》，浙江人民出版社2007.

2.Hall, Peter. 1993. “Policy paradigms, social learning, and the state: The case of economic policy making in Britain.” Comparative Politics, vol. 25, no. 3, pp. 275-296.

3.Blyth, Mark. 2013. “Paradigms and Paradox: The Politics of Economic Ideas in Two Moments of Crisis.” Governance, vol. 26, no. 2, pp. 197-215.

4.Amable, Bruno. 2011. “Morals and politics in the ideology of neo-liberalism.” Socio-Economic Review, vol. 9, pp. 3-30.

5.Baumgartner, Frank R. 2013. “Ideas and Policy Change.” Governance, vol. 26, no. 2, pp. 239-258.

第十五周（12月21日）全球化的挑战

阅读文献

1.Shaw, Martin. 1997. “The State of Globalization: Towards a Theory of State Transformation," Review of International Political Economy 4(3): 497-513.

2.Weiss, Linda. 1997. “Globalization and the Myth of the Powerless State.” New Left Review 225: 3-27.

3.Held, David and Anthony McGrew. 2000. “The Great Globalization Debate: An Introduction.” Pp. 3-27 in The Global Transformations Reader, edited by David Held and Anthony McGrew: Oxford: Polity.

4.McMichael, Philip. 1996. “Globalization: Myths and Realities.” Rural Sociology 61(1): 25-55.

5.Cerny, Philip G. 1997. “Paradoxes of the Competition State: The Dynamics of Political Globalization,” 32:2 Government and Opposition 249-274.

第十六周（12月28日）总结：国家的未来

阅读文献

1.Michael Mann, “Nation-States in Europe and Other Continents: Diversifying, Developing, Not Dying,” Daedalus, Summer 1993, pp. 115-140.

2.Susan Strange, "The Defective State," Daedalus 124 (Spring 1995), 56.

3.Peter Evans, “The Eclipse of the State? Reflections on Stateness in an Era of Globalization,” World Politics, vol. 50 (October 1997), pp. 62-87.

4.Panitch, Leo. 2000. “The New Imperial State.” New Left Review 2: 5-20

5."What Future for the State?". Daedalus, Spring 1995 -- entire issue.

师姐感言

首先我要对欧老师一学期的悉心教导表示感谢，在这门课上我收获了很多。

在法律与公共政策这门课上，不仅在老师的引导下阅读了大量文献，在课堂上详细地学习了包括公共政策的制定过程、价值导向、政策执行等等，还贯通整个学期的时间完成了期末的研究报告，最终为这门课程画下了圆满的句号。在这个过程中，除去知识的吸收，更为重要的是在阅读、写作和报告的过程中一步一步的思考以及与老师、同学的交流，整个思考——质疑——推翻——再思考的过程，使得这门课的意义已经超过了其本身。

回顾一学期的学习，最为深刻的感悟在于理解了一项公共政策制定的背后，要考虑的诸多要素。我的期末报告《德国难民政策研究》尽力搜集资料去回答了以下问题：难民政策背后有哪些利益相关方，默克尔为什么会采取宽松型的难民政策（涉及到其个人信仰、执政理念、德国经济社会状况等等诸多方面），未来德国难民政策可能的政策走向，以及这些可能的政策会带来怎样的后果……在多方面的分析比较之后，才得出了最终的政策建议，即德国应该走向紧缩型的难民政策，并采取同化政策为前提的多元文化政策来保证社会的稳定。在确定政策建议之后，再对政策的可行性、被采纳的可能性等等予以阐述，最终形成完整的报告。虽然报告本身还有很多幼稚和不足之处，但在报告的整个撰写过程中，确实体会到了一个公共政策从提起到诞生的全部过程，感受到了其背后的一系列复杂要素和博弈。可以说让我对我们专业的认识更深了一步。

最后再次感谢欧老师的教导，以及一起努力奋斗了一学期的各位同班同学。

——兰云柯

欢迎各位感兴趣的小伙伴加入我们，一起探索国家背后的秘密

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