本文研究蘇聯民族證同之演進與民族主義之興起，造成一九九一年蘇聯解體與十五個新國家建立。
本文首先反思民族主義理論與蘇聯學，並說明一九一七年十月革命前俄羅斯帝國之民族概況。接著檢視帝國崩潰，及布爾什維克以蘇維埃形式重建的過程。在奪回帝俄時期大部份領土後，統治者被迫面對複雜的族群議晴。筆者檢討了馬克思主義者對民族問題之主張與現實之間的互動。
1957年的經濟改革，因採行領土原則而導致有民族主義意味的地方主義。因為沒有市場，改革破壞了體系之凝聚與中央權力之維持。布里茲涅夫和本土菁英達成妥協，使之得以在現代化進程中坐大。本土在調適重新中央化之衝擊時，腐敗、「影子經濟」、和「民族利益」隨之而生。戈巴契夫的改革有以下三項：市場化使指令經濟崩潰；開放消除了馬列主義的地位，重寫蘇聯歷史摧毀了史達林暨其打造的制度之合法性；民主化削蝕了所有權威，政治中央尤甚。戈巴契夫之改革使得不滿與怨恨得以爆發。共黨數十載之統治摧毀此一多民族國家的公民社會，故最可能的合作基礎是民族團結。因此，民族認同成為政治動員的主要利器。
結論中提出蘇聯民族主義的發展模式。民族主義成為蘇聯解體之先決條件。其特點乃由上而下地製造民族，使之持續地在國家發動的轉型中形塑、創造。民族證同深植於民族對其過往的理解上，而其成長乃莫斯科政策所致。

This dissertation deals with the evolution of national identification and the rise of nationalism in the Soviet Union. The result was the disintegration of the Soviet Union and the establishment of 15 new successor states in 1991.
This dissertation begins with some reflections on the theories of nationalism and Sovietology, and an account of the national components of the Russian Empire before October Revolution in 1917. The collapse of the Russian Empire and its eventual restoration under Bolshevik’s rule in the form of the Soviet Union are examined. Having recaptured most of the territory of the Empire they inherited, the Communist rulers were forced to face the complicated task of ethnic issues. I examine the interactionary between Marxist’s theories on the management of ethnic and national problems and the reality the rulers had to face.
It was the decentralizing economic reform of 1957, which adopted the territorial principle and led to pro-nationalist localism. In the absence of market, this affected the system’s cohesion and the maintenance of central power. In Brezhnev’s era, a compromise was made with indigenous elites. They were able to consolidate their control and put down roots in the process of modernization. Thus, corruption, the ‘shadow economy’, and ‘national interests’ arose as indigenous elites modifying the impact of the recentralized system. Gorbachev’s reforms included three things: Marketization led to the collapse of the command economy; glasnost eliminated the privileged position of Marxism-Leninism within a few years and the rewriting of Soviet history destroyed the legitimacy of Stalin and the institution he built; democratization undermined all forms of authority, especially that of the political center. Gorbachev’s reforms caused grievance and resentments break out. Many decades of communist rule had destroyed civil society in the multinational state implied that the cooperation was most likely to be achieved by means of nation solidarity. Nationalist identity then became the principal vehicle of political mobilization.
In conclusion, this author proposes a developmental model of nationalism in Soviet years. The role of nationalism was a precondition for the disintegration of the Soviet Union, which changed the direction of political agenda. The rise of Soviet nationalism could be characterized as a top-down case. They were constantly being shaped and constructed by the state-initiated transformation. This dissertation has demonstrated that nation identifications were deeply embedded in those nations’ understanding of their past, and their growth by and large were the results of Moscow’s policies.

第一章 導論
第一節 研究背景與目的
第二節 文獻回顧
第三節 研究議題與研究途徑
第四節 研究方法
第五節 論文架構
第二章 民族問題之形成
第一節 多民族國家俄羅斯之形成
第二節 革命的爆發
第三章 民族政策
第一節 民族問題的理論與實際
第二節 二次大戰前的民族政策
第三節 後史達林時代經濟、社會之發展與民族政策
第四章 民族主義運動與蘇聯解體
第一節 戈巴契夫的改革
第二節 民族主義運動之發展
第三節 八月政變及蘇聯解體
第五章 民族主義之深度分析
第一節 民族認同
第二節 民族主義的想像
第三節 語言與民族主義
第六章 結論
參考書目
附錄
一、八一九政變後各共和國之發展
二、內戰時地圖
三、寫實主義之海報
四、電影「小薇拉」海報
五、卡拉巴赫山區地圖
六、車諾比爾核災幅射圖
七、獨立國協地圖與旗幟
八、十五個獨立的加盟共和國之基本資料
九、蘇聯族群分佈圖（根據1989年人口普查繪製）
十、俄羅斯帝國�蘇聯大事紀

一、中文部分
（一）書籍
Appignanesi, Richard，1996，後現代主義，黃訓慶（譯）。臺北縣新店市：立緒文化。
B.B. 馬夫羅金，1991，俄羅斯統一國家的形成，余大鈞（譯）。北京：商務印書館。
Bocock, Robert，1994，文化霸權，田心喻（譯）。臺北市：遠流。
Easton, Stewart C.，1979，西洋近世史（一）（二），李邁先（譯）。臺北市：幼獅。
Light, Jr., Donald and Suzanne Keller，1991，社會學（上冊），林譯男（譯）。台北：巨流。
S•恩德斯•溫布什，1993，「蘇聯的穆斯林邊疆地區」，刊於 羅伯特•康奎斯特（Robert Conquest）編，最後的帝國──民族問題與蘇聯的前途，劉靖北 等（譯）。上海：華東師範大學出版社。
丁學良，1994，共產主義後與中國。香港：牛津大學出版社。
大衛•克里斯托（David Crystal），2000，英語帝國，鄭佳美（譯）。臺北市：貓頭鷹。
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中共中央馬克思恩格斯列寧斯大林著作編譯局，1984-1990，列寧全集第1－60卷。北京：人民出版社，第二版。
中共中央馬克思恩格斯列寧斯大林著作編譯局，1972，馬克思恩格斯選集第1－4卷。北京：人民出版社。
中共中央馬克思恩格斯列寧斯大林著作編譯局，1956-1985，馬克思恩格斯全集第1－50卷。北京：人民出版社。
中共中央馬克思恩格斯列寧斯大林著作編譯局，1979，斯大林選集第1－2卷。北京：人民出版社。
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中共中央黨校科學社會主義教研室《社會主義思想史編寫組》編，1984，社會主義思想史（上冊）（下冊），北京：中共中央黨校出版社。
尹慶耀，1994，蘇維埃帝國的消亡。臺北市：五南。
尹慶耀，1995，獨立國協研究 ── 以俄羅斯為中心。臺北市：幼獅。
尤•阿•布拉諾夫，1999，被篡改的列寧遺囑，張志強，趙志鵬（譯）。北京：新華出版社。
戈巴契夫，2001，俄羅斯的教訓，譚天（譯）。臺北市：貓頭鷹。
戈爾巴喬夫（M. Gorbachev）（等），1994，未來的社會主義，中央編譯局國際發展與合作研究所編譯。北京：中央編譯出版社。
王躍生，1997，新制度主義。臺北：揚智。
加代爾斯（N. Gardels），1998，「民族精神再興：論民族主義之善與惡」，刊於 劉軍寧 等（編），直接民主與間接民主。北京：生活•讀書•新知三聯書店。
列夫•托洛斯基（Lev Davidovich Trotsky），1991，不斷革命論，林驤華、伊陽明、范毓民（譯）。臺北市：時報。
安東尼•吉登斯（Anthony Giddens），1998，現代性與自我認同，趙旭東、方文（譯）。北京：生活•讀書•新知三聯書店。
安德烈耶娃，1996，「我不能放棄原則」，刊於 李振城，蘇聯興亡的沈思。北京：改革出版社。
朱諶，1995，近代西洋民族主義思想。臺北市：幼獅文化事業公司。
江宜樺，1998，自由主義、民族主義與國家認同。臺北市：揚智。
米歇•傅柯（Michel Foucault），1998，知識的考掘，王德威（譯）。臺北市：麥田。
米哈伊爾•戈爾巴喬夫，1994，「未來世界與社會主義」，刊於 戈爾巴喬夫、勃蘭特 等著，未來的社會主義，中央編譯局國際發展與合作研究所（編譯）。北京：中央編譯出版社。
艾瑞克•霍布斯邦（Eric Hobsbawm），1997，革命的年代：1789－1848，王章輝（譯）。臺北市：麥田。
艾瑞克•霍布斯邦（Eric Hobsbawm），1998，盜匪：從羅賓漢到水滸英雄，鄭明萱（譯）。臺北市：麥田。
艾德蒙•李區（Edmund Leach），1994，李維史陀，黃道琳（譯）。臺北市：桂冠。
休•塞頓－沃森，1993，「俄羅斯民族主義的歷史透視」，刊於 羅伯特•康奎斯特（編），最後的帝國──民族問題與蘇聯的前途，劉靖兆、劉振前 等（譯）。上海：華東師範大學出版社。
吳乃德，1993，「省籍意識、政治支持和國家認同──臺灣族群政治理論的初探」，刊於 張茂桂 等（著），族群關係與國家認同。臺北市：業強。
吳玉山，1995，共產世界的變遷──四個共黨政權的比較。臺北市：東大。
吳玉山，1996，遠離社會主義；中國大陸、蘇聯和波蘭的經濟轉型。臺北市：正中。
李英明，1999，中國：向鄧後時代轉折。臺北市；生智。
李振城，1996，蘇聯興亡的沈思。北京：改革出版社。
李維史陀（Claude Levi-Strauss），1992，廣闊的視野，肖聿（譯）。臺北市：桂冠。
李邁先，1969，俄國史（上卷）（下卷）。臺北市：國立編譯館。
孟樊，2001，後現代的認同政治。臺北市：揚智。
彼得•科斯洛夫斯基，1999，後現代文化──技術發展的社會文化後果，毛怡紅（譯）。北京：中央編譯出版社。
邵宗海、楊逢泰、洪泉湖（編），1995，族群問題與族群關係。臺北市：幼獅。
姜新立，1994，「民族主義理論概念與類型模式」，刊於 劉青峰（編），民族主義與中國現代化。香港：中文大學出版社。
姚海，1995，俄羅斯文化之路。臺北市：淑馨出版社。
威爾海姆•賴希（Wilhelm Reich），1990，法西斯主義群眾心理學，張峰（譯）。重慶：重慶出版社。
段昌國，1991，保守與進取：十九世紀俄國思想與政治變動之關係。臺北市：大安出版社。
段昌國，1994，俄國史。臺北市：大安出版社。
柏林（Isaiah Berlin），1987，俄國思想家，彭淮棟（譯）。臺北市：聯經
亞歷山大•本尼格森，1993，「蘇聯少數民族民族主義歷史綜觀」，刊於 羅伯特•康奎斯特（編），最後的帝國──民族問題與蘇聯的前途，劉靖兆、劉振前 等（譯）。上海：華東師範大學出版社。
亞蘭•伍德（Alan Wood），2001，俄國革命的源起，黃煜文（譯）。臺北市：麥田。
香港嶺南學院翻譯系文化�社會研究譯叢編委會，1998，解殖與民族主義。香港：牛津大學出版社。
徐迅，1998，民族主義。北京：中國社會科學出版社。
班納迪克•安德森，1999，想像的共同體：民族主義的起源與散布，吳叡人（譯）。臺北市：時報文化，1999。
格•阿•阿爾巴托夫，1998，蘇聯政治內幕：知情者的見證，徐葵、張達楠 等（譯）。北京：新華出版社。
泰爾朋（Göran Therborn），1990，政權的意識形態與意識形態的政權，陳璋津（譯）。臺北市：遠流。
海德利克•史密斯 （Hedrick Smith），1992，民主風暴──蛻變中的俄羅斯，臺灣中華書局編譯組（譯）。臺北市：臺灣中華書局。
馬克•斯坦伯格（Mark D. Steinberg），弗拉基米爾•赫魯斯塔廖夫（Vladimir M. Khrustalev），1998，羅曼諾夫王朝覆滅，張蓓（譯）。北京：新華出版社。
涂爾幹（Emile Durkhein），1992，宗教生活的基本形式，芮傳明、趙學元（譯）。臺北市：桂冠。
張天榮、肖冬連、王年一（主編），1992，中國改革大辭典。北京：中國國際廣播出版社。
莫里斯（Charles Morris），1989，指號、語言和行為，羅蘭、周易（譯）。上海：上海人民出版社。
郭少棠，1996，西方的巨變，1800－1980。臺北市：書林。
麥克里蘭（J.S. McClelland），2000，西洋政治思想史，彭淮棟（譯）。臺北市：商業周刊。
喬伊絲•艾坡比（Joyce Appleby）、琳•亨特（Lynn Hunt）、瑪格麗特•傑考（Margaret Jacob），1996，歷史的真相，薛絢（譯）。臺北市：正中。
斯科克波（Theda Skocpol），1998，國家與社會革命，劉北成（譯）。臺北市：桂冠。
曾枝盛，1990，阿爾杜塞。臺北市：遠流。
湯林森（John Tomlinson），1994，文化帝國主義，馮建三（譯）。臺北市：時報。
華勒斯坦（Immanuel Wallerstein），1998，「族群身份的建構──種族主義、國族主義、族裔身份」，黃燕坤（譯），刊於 香港嶺南學院翻譯系文化�社會研究譯叢編委會（編），解殖與民族主義。香港：牛津大學出版社。
黃仁宇，1991，資本主義與廿一世紀。臺北市：聯經。
溪內謙，1993，蘇維埃七十年──現代社會主義反思，柯文軍（譯）。臺北市：臺灣商務。
藍瑛 主編，1992，社會主義政治學說史（上編）。上海：上海人民出版社。
葉書宗、張盛發，1991，錘子與鐮刀──蘇維埃文化和蘇維埃人。臺北市：淑馨。
齊向 等（編著），1995，蘇聯解體內幕。吉林：吉林人民出版社。
潘德榮，1999，詮釋學導論。臺北市：五南。
熱希達，1990，怎樣研究蘇聯，殷海光（譯）。臺北市：桂冠。
羅蘭•巴特（Roland Barthes），1997，批評與真實，溫晉儀（譯）。臺北市：桂冠。

（二）論文
1. 中文期刊論文
Hilde, Paal，1999，「後共產主義時期捷克斯洛伐克的民族主義──一種制度觀點」，香港社會科學學報，官蕙瑜（譯），第十四期，頁101－126。
下斗米伸夫，1997，「俄國的兩次革命：1917與1991」，二十一世紀，43期，頁30－36。
于蕙清，2000，「語言、歷史與民族主義」，正修學報，13期，頁1－9。
王承宗，1996，「俄羅斯民族及其問題」，問題與研究，第35卷第8期，頁13－25。
王承宗，1988，「蘇聯共產黨第十九次黨代表會議研」，問題與研究，第27卷第12期，頁12－21。
王德偉，1998，「普加契夫與凱薩琳大帝間的弔詭」，俄語學報，第1卷，頁225－243。
王賡武，1999，「民族主義、種族性與亞太區域」，中國社會科學季刊，總第25期，頁17－30。
戈巴契夫，1990，「社會主義思想與革命性改造」，李巧石（譯），問題與研究，第29卷第7期，頁83－98。
石之瑜，1997，「新制度主義建構理性中國的成本」，問題與研究，第36卷第11期，頁1－22。
吳乃德，1997，「檳榔和拖鞋，西裝及皮鞋；台灣階級流動的族群差異及原因」，台灣社會學研究，第一期，頁137－167。
吳玉山，1997，「歐洲後共產社會的政治制度變遷」，美歐季刊，第12卷第4期，頁89－145。
吳玉山，1997，「書評“民族主義與理性”」，理論與政策，民國86年春季號，頁173－176。
吳祖田，1999，「『艾斯門』族群政治基本概念架構之比較探討」，問題與研究，第38卷第7期，頁91－101。
李巧石（譯），1998，「戈巴契夫在蘇共第十九次黨代表會議的報告摘要」，問題與研究，第27卷第12，頁71－83。
李玉珍，1991，「俄羅斯人與蘇聯當前的民族危機」，問題與研究，第30卷第7期，頁59－68。
李玉珍，1998，「俄共再起的背景及其影響」，問題與研究，第37卷第6期，頁51－62。
林精華，1999，「斯拉夫主義：俄國視野中的普希金」，俄羅斯文藝，第49卷，頁67－72。
初祥，1998，「蘇聯斯大林時期強制遷移少數民族及其後果」，世界民族，1998年第3期，頁39－43。
高元宏，1994，「民粹主義的歷史演變」，歷史月刊，98期，頁47－50。
徐梓蔓（譯），1990，「蘇聯共黨當前的民族政策──一九八九年九月廿日蘇共中全會通過」，問題與研究，第19卷第4期，頁74－87。
張麟徵，1994，「分離主義的內省與外觀」，問題與研究，第33卷第10期，頁1－21。
曹維安，2000，「俄國農制度的形成及其特點」，陝西師範大學學報（哲學社會科學版），第29卷第4期，頁163－168。
黃光國、賀允宜、周惠民、林明德、王爾敏，民國85年3月，「民粹主義的歷史回顧與現代意義」，歷史月刊，98期，頁26－46。
翟勝德，1999，「“民族”譯談」，世界民族，第16卷，頁66－79。
趙春山，1998，「論轉型階段的俄羅斯軍方角色」，東亞季刊，第29卷第3期，頁1－28。
蔡英文，1997，「認同與政治 ── 一種理論性之反省」，政治科學論叢，第8期，頁51－84。
權淑薏，1996，「十九世紀俄國的民粹主義運動」，歷史月刊，98期，頁51－54。

2. 學位論文
葉賢忠，1994，後冷戰時期族裔衝突之研究。文化大學中山學術研究所博士論文。

3. 研討會論文
劉瑞華，1998年3月，「新制度經濟學與中國經濟改革研究」，上海，中西方經濟觀與現代化研討會。

（三）報紙
戈巴契夫，「俄羅斯的改革與挑戰」。聯合報，1994年3月23日，第4版。
戈巴契夫，「新聯邦能解決民族主義」。聯合報，1994年3月2 5日，第2版。
柯薩科瓦，「俄烏同根生，兄弟鬩牆急」，劉忠勇（譯）。中央日報，1998年3月19日，第9版。

二、外文部分
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