对象国国家能力与经济制裁效果

The State Capacity of Target Countries and the Effectiveness of Economic Sanctions

经济制裁效果及其影响因素是制裁研究的中心议题。既有文献对此展开了大量富有意义的探讨,但存在一个共同缺陷,即忽视对象国的能动性,默认所有对象国具有相同的国家能力。文章借鉴比较政治学、内战和经济增长文献关于国家能力的研究,提出了一个解释制裁效果差异的新观点一一对象国国家能力影响经济制裁效果。经济制裁的逻辑是发起国给对象国制造经济损失以此迫使后者做出政治让步。不过,经济压力向政治领域的传导转化受到对象国国家能力一一包括强制、汲取与分配、信息及其管控能力的影响。国家能力强者更有能力阻断经济压力传至政治领域,维持政治和社会稳定局面,也就能更好地承受住发起方压力,拒绝做出妥协退让。基于1989~2015年美国经济制裁数据的统计检验证实了这一理论假说。文章得出两个启示:一是应完整地理解经济制裁发挥作用的逻辑链条,重视对象国在制裁博奔中的能动性;二是面对不断增多的美西方经济胁迫,广大发展中国家的根本对策在于加速国家能力建设、增强国家能力。

The central topics of research on economic sanctions are their impacts and effectiveness.This article explains the effectiveness of sanctions from the perspective of the state capacity of target countries.The logic behind economic sanctions is that the sending country inflicts economic damage on the target to compel it to make political concessions.However,the conversion of economic pressure into political influence depends on the state capacity of the target.Countries with strong state capacities are more capable of preventing the conversion of economic pressure into political influence,maintaining political and social stability,and thus withstanding sanctions more effectively.Statistical tests based on U.S.economic sanctions data from 1989 to 2015 confirm this theoretical hypothesis.