自1991年蘇聯解體之後，哈薩克斯坦也成為了獨立共和國，並且針對舊蘇聯體制進行了制度轉型，如今哈薩克斯坦雖擁有民主形式的制度，卻成為了一個威權總統制國家──上、下議會皆被執政黨與親政權政黨所把持，使立法權形同總統個人統治的延伸。經過制度轉型重塑的哈薩克斯坦遺留著前蘇聯治理的模式與恩從網絡的非正式運作。本文的研究目的為：
1.定義新宗族主義特色的政治制度及其政治結構如何運作。
2.探討前蘇聯時期哈薩克斯坦的制度遺緒，以及蘇維埃政策在政治、文化與經濟上對哈薩克斯坦造成之影響。
3.分析獨立後之哈薩克斯坦的政治制度，憲法的制定及總統制的確立與國內的正式制度如何運作。
4.論述哈薩克斯坦如何藉由恩從關係的操作平衡權力結構內的菁英競爭，及其恩從結構中三個主要行為者之定位：總統家族、技術官僚及經濟寡頭。
　　本文認為哈薩克斯坦在歷經政治轉型之後逐漸走向具新宗族主義特色的超級總統制國家，具備正式制度與非正式的恩從操作特色。然而，隨著面臨權力更迭的關鍵時刻，總統將決定哈薩克斯坦民主轉型的下一步將走向改革或繼承性質。

Since the collapse of the Soviet Union, Kazakhstan became an independent state. However, due to weak state capacity, the political transition of Kazakhstan is characterized by the passive institutional design. Kazakhstan has become an authoritarian regime.  Actors of transition transform Soviet system partially. Even though Kazakhstan possesses formal institution, such as constitution, electoral system and political parties, the state is indeed in control by the president and its patron-client network. The purposes of the thesis are to defining the characteristics of neopatrimonial regime; to analyze how pre-Soviet and Soviet legacies of Kazakhstan affect its political transition; to analyze the presidential system, constitution of Kazakhstan, and to discuss three key actors of patronal system in Kazakhstan -- president, oligarchs, technocrats. Now Kazakhstan is facing its critical juncture, only the president has the power to determine the next step of political transition in Kazakhstan.

第一章　緒論1
　　第一節　研究動機與目的1
　　第二節　研究途徑及方法4
　　第三節　文獻檢視10
　　第四節　研究架構與章節安排22
　　第五節　研究範圍與限制24
第二章　新宗族主義之政治制度特色25
　　第一節　消極制度設計26
　　第二節  以恩從關係運作之權力結構29
第三章　哈薩克斯坦傳統與蘇聯時期之制度遺緒35
　　第一節　前蘇聯時期哈薩克斯坦之社會制度35
　　第二節　蘇維埃政策對哈薩克斯坦之影響45
第四章　哈薩克斯坦獨立後之正式制度52
　　第一節　哈薩克斯坦憲政制度的建立52
　　第二節　哈薩克斯坦選舉制度55
　　第三節　哈薩克斯坦之政黨政治57
第五章　哈薩克斯坦政權鞏固之操作及新宗族主義特色64
　　第一節　哈薩克斯坦政治制度中的非正式操作64
　　第二節　總統家族與菁英之恩從關係69
第六章　結論81
參考資料86
 

圖目錄

圖 1：研究架構圖22
圖 2：十九世紀中亞地區地圖36
圖 3：哈薩克汗國社會結構圖38
圖 4：哈薩克斯坦玉茲分布圖40
圖 5：俄羅斯帝國進入中亞地區之後的行政劃分圖42
圖 6：蘇聯時期中亞地區國界地圖46


　　　　　　　 表目錄

表 1：哈薩克斯坦玉茲組成分布表39

中文資料
書籍
王沛(2006)，中亞五國概況，新疆：人民出版社。
王治來（2010），中亞史，北京：人民出版社。
包毅(2015)，中亞國家的政治轉型，北京:社會科學文獻出版社。
胡振華(2006)，中亞五國志，北京：中央民族大學出版社
趙長慶(2007)，列國志-哈薩克斯坦，北京:社會科學文獻出版社。
劉國勝，程靜(2015)，中亞五國憲法制度概論，北京：知識產權出版社。

期刊論文
于春苓(2002)，「評19世紀俄國中亞政策」，北方論叢，第1期，頁67-71。
王維芳(2009)，「哈薩克斯坦獨立後的政治制度」，遠景基金會季刊，第10卷，第4期，頁37-81。
坤波拉提(2012)，哈薩克汗國推舉可汗傳統初探，新疆大學學報(哲學、人文科學版)，第40卷，第6期，頁61-64。
孟君(2014)，「19世紀末俄國的中亞政策」，西伯利亞研究，第41卷，第4期，頁71-75。
彼得•豪爾(Peter A.Hall)、羅斯瑪莉•泰勒(Rosemary C.R.Taylor)、何俊智譯(2003)，「政治科學與三個新制度主義」，經濟社會體制比較，第5期，頁20-29。
張來儀（2003），「1917年後的哈薩克斯坦伊斯蘭教」，華南師範大學學報(社會科學版)，第1期，頁76-82,144。
郭忠華(2003)，「新制度主義關於制度變遷研究的三大范式」，天津社會科學，第4期，頁82-86。
黃宗昊(2010)，「歷史制度論的方法立場與理論建構」，問題與研究，第49卷，第3期，頁149。
楊國良(2008)，「政治學中的新制度主義理論探析」，高等函授學報(哲學社會科學版)，第21卷，第10期，頁16-18。
楊雷(2011)，「論哈薩克斯坦三玉茲的關係」，俄羅斯中亞東歐研究，第1期，頁71-75。
賈國棟(2013)，「哈薩克斯坦政治轉型中存在的問題」，前沿，第8期，總第334期，頁38-39。
蔡相廷（2010），「歷史制度主義的興起與研究取向–政治學研究途徑的探討」，臺北市立教育大學學報，第41卷，第2期，頁39-76。
龍舒甲(1999)，「哈薩克斯坦獨立後的政治發展-兼論第二次總統大選」，問題與研究，第38卷，第6期，頁23-48。
戴婧妮(2011)，「哈薩克族經濟史研究」，中央民族大學碩士論文。

英文資料
書籍
Collins, Kathleen (2006), Clan Politics and Regime Transition in Central Asia, Cambridge: Cambridge University Press.
Cummings, Sally N. (2005),  Kazakhstan: Power and Elite, London: I. b. Tauris & Co Ltd.
Glenn, John (1999), The Soviet Legacy in Central Asia , New York: Palgrave.
Hiro, Dilip (2009), Inside Central Asia: A Political and Cultural History of Uzbekistan, Turkmenistan, Kazakhstan, Kyrgyzstan, Tajikistan, Turkey, and Iran, New York and London: Overlook Duchworth.
Isaacs, Rico (2011),  Party System Formation in Kazakhstan: Between Formal and Informal Politics, London: Routledge.
Kassymova, Dida、Kundakbayeva, Zhanat、Markus, Ustina (2012),  Historical Dictionary of Kazakhstan, UK: Scarecrow Press.
Ledeneva, Alena V. (2006),  How Russia Really Works: The Informal Practices That Shaped Post-Soviet Politics and Business, New York: Cornell University Press.
Luong, Pauline Jones(2002),  Institutional Change and Political Continuity in Post-Soviet Central Asia: Power, Perceptions, and Pacts, Cambridge, UK, and New York: Cambridge University Press.
N.Cummings, Sally (2005),  Kazakhstan: Power and the Elite, New York: I. B. Tauris & Co Ltd.
North, Douglass C. (1990),  Institutions, Institutional Changes, and Economic Performance, Cambridge: Cambridge University Press.
Way, Lucan (2009), State Power and Autocratic Stability in The Politics of Transition in Central Asia and the Caucasus: Enduring Legacies and Emerging Challenges, ed. Amanda E Wooden, Christoph H. Stefes,Oxon: Routledge.
Y. Omelicheva, Mariya(2015),  Democracy in Central Asia: Competing Perspectives and Alternative Strategies, Kentucky: The University Press of Kentucky.


期刊論文
Abdukadirov, Sherzod (2009), “The Failure of Presidentialism in Central Asia,”,Asian Journal of Political Science, Vol. 17, No. 3, pp.285-298.
Anja, Franke, Gawrich, Andrea and Alakbarov, Gurban (2009), “Kazakhstan and Azerbaijan as Post-Soviet Rentier States: Resource Incomes and Autocracy as a Double ‘Curse’ in Post-Soviet Regimes,” Europe-Asia Studies, Vol. 61, No. 1, pp. 109-140.
Bingol, Yilmaz (2004), “Nationalism and Democracy in Post-Communist Central Asia,” Asian Ethnicity, Vol.5, No.1, pp.43-60.
Bowyer, Anthony Clive (2008), “Parliament and Political Parties in Kazakhstan,” Silk Road Paper, pp. 4-71.
Cammack, Diana (2007),“The Logic of African Neopatrimonialism: What Role for Donors? ,”Development Policy Review, No.25, pp. 599-614.
Ceccarelli, Alessandra (2007), “Clans, Politics and Organized Crime in Central Asia,” Trends Organ Crim, Vol.10, pp.19-36.
Collins, Kathleen (2003), “The Political Role of Clans in Central Asia,” Comparative Politics, Vol. 35, No. 2, pp. 171-187.
Collins, Kathleen (2004), “The Logic of Clan Politics :Evidence from the Central Asian Trajectories,” World Politics, Vol. 56, No. 2, pp.224-261.
E. Hale, Henry (2012), “Two Decades of Post-Soviet Regime Dynamics,” Demokratizatsiya, Vol. 20 Issue 2, pp.71-77.
E. Wayne, Merry(2004), “Governance in Central Asia：National in Form, Soviet in Content,” Cambridge Review of International Affairs, Vol. 17, No. 2, pp.286-298.
Fierman, William (2006), “Language and Education in Post-Soviet Kazakhstan: Kazakh-Medium Instruction in Urban Schools,” The Russian Review, Vol. 65, No. 1, pp. 98-116.
Fortin, Jessica (2010), “A Tool to Evaluate State Capacity in Post-Communist Countries, 1989-2006,” European Journal of Political Research, NO. 49　pp.654-677.
Hierman, Brent (2010), “What use was the Election to us? Clientelism and Political Trust Amongst Ethnic Uzbek in Kyrgystan and Tajikistan,”   Nationalities Papers, Vol. 38, No. 2, pp. 245-263.
Isaacs, Rico (2008), “Managing Dissent, Limiting Risk and Consolidating Power: The Processes and Results of Constitutional Kazakhstan,”  Central Asia and the Caucasus, No. 1, Vol. 49, pp. 16-25.
Isaacs, Rico (2013), ”Nur Otan, Informal Networks and the Countering of Elite Instability in Kazakhstan: Bringing the ‘Formal’ Back In,” Europe-Asia Studies, Vol. 65, No. 6, pp.1055-1079.
Johnson, Juliet (2001), “Path Contingency in Postcommunist Transformations, ”Comparative Politics, Vol. 33, NO. 3, pp. 253-262.
Junisbai, Barbara and Junisbai, Azam at (2005), “The Democratic Choice of Kazakhstan: A case Study in Economic Liberalization, Intraelite Cleavage, and Political Opposition,” Demokratizatisiya, Vol. 7, pp. 373-392.
Karmazina, Lidia (2008), “Institutionalization of the Party System on the Republic of Kazakhstan: Past and Present,” Central Asia and the Caucasus, No. 5, Vol. 53, pp. 39-53.
Kubicek, Paul(1998), “Authoritarianism in Central Asia: Curse or Cure?,” Third World Quarterly, Vol. 19, No. 1, pp.29-43.
LaPorte, Jody and N. Lussier, Danielle (2011). “What Is the Leninist Legacy? Assessing Twenty Years of Scholarship,” Slavic Review, Vol. 70, No. 3, pp. 638-654.
Laruelle, Marlene (2012), “Discussing Neopatrimonialism and Patronal Presidentialism in the Central Asian Context,” Demokratizatisya, Vol. 20, No. 4, pp. 301-324.
Lewis, David(2012), “Understanding the Authoritarian State: Neopatrimonialism In Central Asia,” The Brown Journal of World Affairs, Vol. 19, Issue 1, pp.115-126.
Lkhamov, Alisher (2007), “Neopatrimonialism, Interest Group and Patronage Networks: The Impasses of the Governance System in Uzbekistan,” Central Asian Survey, Vol. 26, No. 1, pp.65-84.
Matveeva, Anna (2009), “Legitimizing Central Asian Authortarianism: Political Manipulation and Symbolic Power,” Europe-Asia Studies, Vol. 61, NO. 7, pp. 1095-1120.
Melville, Andrei, Stukal, Denis and Mironiuk, Mikhail (2014), “King of the Mountain, or Why Postcommuist Autocracies Have Bad Institutions,” Russian Social Science Review, Vol. 55, No. 4, pp. 16-38.
Murphy, Johnathan (2006), “Illusory Transition? Elite Reconstitution in Kazakhstan, 1989-2002,” Europe-Asia Studies, Vol. 58, No. 4, pp.523-554.
O’neil, Tam (2007), “Neopatrimonialism and Public Sector Performance and Reform,” Neopatrimonial Politics, Decentralisation and Local Government: Uganda and Malawi in 2006.
Olcott, Martha Brill (1981), “The Collectivization in Kazakhstan,” The Russian Review, Vol. 40, No. 2, pp. 122-142.
Peyrouse, Sebastien (2012), “The Kazakh Neopatrimonial Regime: Balancing Uncertainties Among the “Family”, Oligarchs and Technhocrats,” Demokratizasiya, Vol. 20, No. 4, pp. 345-370.
Pop-Eleches, Grigore and A. Tucker, Joshua (2011), “Communism’s Shadow: Postcommunism Legacies, Values, and Behavior,” Comparative Politics, Vol: 43, No. 4, pp. 379-399.
Pridham, Geoffrey (2014), “Post-Communist Democratizations and historical Legacy problems,” Central Europe, Vol. 12, No. 1 , pp. 82-98.
R. Roberts, Sean (2007), “Patron-Client Politics and Presidential Succession in Central Asia: The Examples of Kazakhstan and Uzbekstan, ” The Former Soviet Republics of Central Asia and the Contemporary Silk Road, April.
R. Roberts, Sean (2013), “Doing the Democracy Dance in Kazakhstan: Democracy Development as Cultural Encounter,” Slavic Review, Vol. 71, No. 2, pp.308-330.
Slatter, Dan and Fenner, Sofia (2011), “State Power and Staying Power: Infrastructural Mechanisms and Authoritarian Durability,” Journal of International Affairs, Vol. 65, NO.1, pp.15-26.
Tsui, Lin (2016), “Institutional Legacies and Political Transition in Central Asia,” Taiwan Journal of Democracy, Vol. 12, No. 1, pp. 93-123.
Ubaidulloev, Zubaidullo (2015), “The Russian-Soviet Legacies in Reshaping the National Territories in Central Asia: A Catastrophic Case of Tajikistan,” Journal of Eurasian Studies, Vol. 6, pp. 79-87.
書籍中論文
Erdmann, Gero and Engel, Ulf (2006), “Neopatrimonialism Revisted-Beyond a Catch-All Concept,” GIGA Research Program: Legitimacy and Efficiency of Politicl Systems.
Eric, Mcglinchey(2011), ”Chaos, Violence, Dynasty: Politics and Islam in Central Asia,” Pittsburgh, PA: University of Pittsburgh Press.

官方資料
“Republic of Kazakhstan Legislative Election of 15 January 2012” <http://psephos.adam-carr.net/countries/k/kazakhstan/kazakhstan2012.txt>, (Last visited:6/3/2016)

網路資料
中文
Gorst, Isabel，譯者：何黎 (2011)，「哈薩克斯坦反對黨告誡顧問布萊爾」，<http://www.ftchinese.com/story/001041637>，最後瀏覽日期：2016/10/05
英文
“Kazakh leader gains crushing election victory ,“ BBC News,  <http://www.bbc.com/news/world-asia-32471428>, (Last visited:6/3/2016 ).
“Kazakhstan”, Freedom House, (Last visited: 6/3/2016).
<https://freedomhouse.org/report/freedom-world/2015/kazakhstan>
Kathy Lally(2012),“Observers criticize Kazakhstan election,”Washington Post , <https://www.washingtonpost.com/world/europe/observers-criticize-kazakhstan-election/2012/01/16/gIQAHLl22P_story.html>, (Last visited:4/10/2016).
Raushan Nurshayeva & Dimitry Solovyov (2015), “Kazakhstan president Nursultan Nazarbayev wins re-election with 97.7 percent of vote,”  ABC News,  <http://www.abc.net.au/news/2015-04-27/kazakhstan-president-wins-nursultan-nazarbayev-re-election-97pc/6425952>, (Last visited:9/5/2016).