【作者】 成卓；

【导师】 赵曦；

【作者基本信息】 西南财经大学 ， 区域经济学， 2009， 博士

【摘要】 在席卷全球的知识经济浪潮推动和经济区域化、多元化趋势日益凸显的国际环境中,人类跨入了崭新的21世纪。然而,作为全世界广泛关注的“3P”问题(poverty(贫困)、population(人口)、pollution(污染))之一的贫困问题,依然犹如“幽灵”般笼罩和游荡在人类社会发展的整个进程里,挥之不去。据联合国统计,2006年全世界仍有8.54亿人长期遭受贫困和营养不良之苦,有超过10亿的极端贫困人口每天生活费用不足1美元,世界各地还有11亿多城乡居民喝不上清洁的饮用水,更有26亿人连基本的卫生设施都没有。此外,联合国开发计划署发表的《2006年人类发展报告》显示,全球贫富国家人类发展差距依然在扩大,在人类发展属于低水平的31个国家里,撒哈拉以南的非洲国家就占28个,而人类发展指数排名第1的挪威比排名最后的尼日尔人均富裕程度高40倍,人均预期寿命要高一倍,更惊人的是贫富个人间的收入差距,全球最富裕的500个人的收入,超过了最贫穷的4.16亿人的总收入。即使在同一国内贫富差距也相当巨大,在美国最富裕的20%的人口人类发展指数与世界最高的挪威一样,而最穷的20%的人口人类发展指数只相当于排名第50位的古巴。贫困作为一种无声的危机,严重阻碍着世界各国经济、社会的发展,更是导致当前区域发展失衡、地区冲突不断、恐怖主义蔓延和生态环境恶化等问题的重要根源之一。因此,面对如此严峻的形势,反贫困治理便成为国际社会、非政府组织以及世界各国政府和人民共同关注的一个焦点。中国作为世界反贫困治理的重要实践者与开拓者,自新中国成立之初就一直致力于彻底消灭贫困的努力。尤其是1978年改革开放以来,中国更是实施了真正意义上的、大规模的、全面的反贫困治理。以1978年12月召开的中国共产党第十一届三中全会和1979年通过的《中共中央关于加强农业发展若干问题的决定》为起始标志,中国农村反贫困治理步入了一个崭新的历史阶段,大致经历了制度性变革推动下的大规模缓解贫困阶段(1978—1985)、经济高速增长时期区域性扶贫开发阶段(1986—1993)、政府主导型的八七扶贫攻坚阶段(1994—2000)以及全面建设小康社会时期的农村反贫困新阶段(2001—至今)这样四个阶段,期间通过中央政府的强大主导、社会各界的倾力支持以及贫困地区人民的艰苦努力,中国农村反贫困治理取得了辉煌的成就,走出了一条极具中国特色的反贫困之路,形成了一整套“综合开发、全面治理”的卓有成效的反贫困战略模式,农村贫困人口总数占世界贫困人口的比例由1978年的1/4降至目前的1/20,贫困发生率也由1978年的30.7%奇迹般地下降到2007年的1.6%。就2007年来看,中国农村贫困人口的数量较2006年减少了1378万,其中人均纯收入低于785元的绝对贫困人口从2148万减少到1479万,人均纯收入在786元—1067元的低收入人口从3550万减少到2841万。中国已经成为全球唯一提前实现联合国千年发展目标中贫困人口减半目标的国家。然而,在取得巨大成就的同时,我们不能忽视目前中国仍有4000多万数量庞大且脱贫难度较高的农村贫困人口,他们的形成往往基于恶劣的自然环境、薄弱的基础设施、低下的自身素质、落后的生产方式、传统的社会资本、不足的资金投入以及不尽完善的扶贫制度、扶贫机制和社会保障等因素的制约和阻碍,导致贫困人口呈现出数量依然较多、分布相对集中、贫困程度较为深重等严峻的发展态势。同时,新时期中国农村贫困人口还出现了一些新的变化特点,如西部地区相对贫困发生率较高、贫困人口边缘化分布趋势显著、老人、妇女、儿童贫困发生率较高以及人口文化素质与贫困发生率成反比等特点。如果任由这一趋势恶化,则在一定程度上将很不利于中国政治局势的稳定、经济水平的提升、和谐社会的构建、资源环境的保护以及可持续发展的实现。因此面对如此严峻形势,我们必须尽快因地制宜、实事求是地为中国农村贫困人口的脱贫与持续发展找寻一条可行之路。本文从促进中国农村贫困人口发展这一视角入手,基于发展经济学的定义对农村贫困人口的发展概念进行了界定,指出中国农村贫困人口的发展应当包括三个层次,一是促进贫困人口脱贫,即满足贫困人口最基本的生存需求；二是鼓励贫困人口生产,即为贫困人口实现基本生产需要的满足创造条件；三是促进贫困人口发展,即加强对贫困人口自我发展能力的培育,巩固脱贫成果,推动其走上持续发展的致富之路。在明确了中国农村贫困人口发展内涵的前提下,本文系统分析和论述了中国农村贫困人口发展的严峻态势及特点,分析了贫困人口形成的原因及贫困人口过多可能造成的不利影响,并基于贫困地区在地域分布上显著的生态脆弱性、资源富集性、民族性、老区性、边境性等特征,将中国农村贫困地区的功能定位确定为五个,即：中国重要的生态脆弱区、中国宝贵的战略资源储备区、中国原生态文化的发源区、中国革命贡献区以及中国国防安全的前沿阵地。而在明确了贫困地区功能定位的基础上,本文总结了中国农村贫困人口发展的五个战略转型,强调当前必须从总体上由扶持贫困地区向扶持贫困人口转型,从模式上由开发式扶贫向发展式扶贫转型,从体制上由政策性扶贫向制度性扶贫转型,从机制上由纵向扶贫向横向扶贫转型,从目标上由救济式扶贫向能力扶贫转型。只有实现了这一系列的转型,才能真正促进贫困人口从满足基本需要能力做起,逐步培育其基本的生产能力,最终实现贫困人口自我发展能力的提升。在宏观的指导方针确立之后,本文结合基本需要理论、社会资本理论、机制设计理论等的要求,就如何进一步促进中国农村贫困人口的发展,从制度安排、机制设计、战略对策等方面进行了相关研究,并提出了一些较为独到的见解。首先,就制度安排来看,本文认为制度和治理是反贫困的关键环节,扶贫制度安排的根本目标就是要实现公平与效率的均衡,当原有制度安排阻碍或限制了经济社会前进的脚步时,制度变迁和制度创新就势在必行了。因此,针对中国农村反贫困治理进程中存在的一些制度性障碍,本文主张必须从确立法律制度、完善政策体系、规范管理制度、实施扶贫计划等四方面进行调整,从而依靠健全的、有效的制度力量指导和规范反贫困的行动；其次,就中国农村贫困人口发展的机制设计来看,本文指出扶贫机制改革的基本前提是以人为本,规制和协调政府行为是机制重建的内在要求,同时在机制设计理论指导下推进农村贫困地区实现激励相容也是机制重建的重要内容。鉴于中国农村贫困地区机制设计存在的问题,本文强调必须从建立传递机制、创新整合机制、完善参与机制以及强化监督评估等四方面进行反贫困的机制建设,进而通过合理的、高效的机制运行来推动制度建设的进一步完善；最后,就战略对策来看,本文认为应当从加强社会服务、控制人口规模、提升人口素质、开发社会资本、鼓励移民搬迁以及完善社会保障等六个方面具体落实。在阐述完善社会保障体系时,本文特别强调由于中国农村社会保障体系存在覆盖面小、结构不尽合理、保障资金筹措困难等方面的问题,因此应当从进一步完善农村最低生活保障体系建设做起,首先保证贫困人口基本生存能力的满足,然后在此基础上从农村贫困人口的养老保险、医疗保障甚至教育保障等方面逐步建立、健全农村贫困地区社会保障体系,以雄厚的社会保障实力辅助中国农村反贫困治理的实施,切实促进中国农村贫困人口的发展。总之,中国农村反贫困治理是一项综合性的、庞大的、复杂的系统工程,现阶段从宏观上确立农村贫困人口发展的制度安排、机制设计以及与之相应的具体的中国农村贫困人口发展的战略对策,全面、彻底、高效地推动贫困人口永久地告别贫困走上富裕之路,不仅是构建社会主义和谐社会的重要任务,同时也是落实社会主义科学发展观的内在要求。更多还原

【Abstract】 With the knowledge-based economy sweeping across the world, the human stride into the 21st century. In this strong wave of economy regionalization, pluralism, the group have highlighted the growing trend. However, poverty as one of the "3P", that is poverty, population and pollution, is still like "ghost" hanging over and loitering in the development of human society in the whole process.Poverty as a "silent crisis" has not only been around the world to hinder economic and social development, but also led to the current imbalance in regional development, regional conflicts, terrorism, the spread of environmental degradation and ecological issues. Therefore, in such a grim situation, "anti-poverty governance" has become the focus of common concern of international community, non-governmental organizations, and as well as the governments and people of all countries in the world.As a pioneer and important practitioner of anti-poverty practice, China, at the beginning of New China has been working on efforts to eliminate poverty. Especially since the reform and opening, China has in a true sense implemented large-scale, comprehensive anti-poverty governance. the Third Plenum of the Eleventh Chinese Communist Party held in December 1978 and the adoption of the "CPC Central Committee agricultural development on the strengthening of the decision of a number of issues " in 1979 being the start symbol, the anti-poverty practice management in rural China has experienced the four phases:the large-scale poverty alleviation phase driven by the institutional reform, the regional poverty alleviation and development in the fast economic development, the government-led type of the "Eight-Seven Poverty Alleviation stage" as well as the new stage of rural poverty in the period of building a moderately prosperous society, during which the rural anti-poverty governance in China has achieved spectacular results and found a very Chinese anti-poverty road through the strong lead under the central government, the throughout support of all the community and the hard work of people in poverty-stricken areas. The rate of the total number of rural poor in world’s poverty population has dropped from the 1/4 in 1978 to the current 1/20, poverty incidence miraculously from 30.7 percent in 1978 to 1.6 percent today. China has become the only country which has achieved the UN Millennium Development Goals target of halving poverty ahead of schedule.However, great achievements should not blind us the problem of more than 40 million rural poor in China who are in greater trouble of sticking off the poverty. This phenomenon has many reasons, including the poor natural environment, weal;: infrastructure, low quality of the people, the traditional social capital, lack of capital investment and an unsound social security and other factors, resulting in the large population of the poor people, more centralized distribution and more profound levels of poverty. In the new period, the rural poverty in China has also shown some new characteristics, such as the higher incidence of relative poverty in the western region, the obvious trends of marginalization of the rural poor, the elderly and children suffering deeper levels of poverty and inverse proportion between poor people and cultural qualities. Therefore, the most important task at present is to seek for a viable and stable developing means for anti-poverty as soon as possible under the principles of in line with local conditions and seeking truth from facts.From the unique perspective on promoting the development of the poor population, this dissertation gives an interpretation to the orientation of the development and points out the characteristics of the distribution of the rural poor: the typical regional distribution and centralized distribution, and therefore the orientation of the development should be adapted to these special areas. This dissertation also points out the rural poor areas should be divided into the following parts:ecological protection areas, affluent resources areas, cultural diversity areas, revolution areas as well as in the key strategic areas. According to these strategic arrangements of the regional development, we should make the reasonable policies and ideas of developing the local poverty-stricken population.On the foundation of the clear orientation, this dissertation has made a summary on the strategic transformation direction of the development of the rural poor in China, and emphasized the current implementation of transformation of from the supporting the poor areas to supporting the poor people in a mass, from the exploration-oriented poverty relief to development-oriented poverty relief in mode, from police-oriented poverty relief to system-oriented one in system, from the portrait poverty relief to the transverse one in mechanism, and relief-orient to ability-orient poverty alleviation. Only with the realization of these transformations, can it be done to truly promote the poor’s ability to meet their basic needs from the start, to gradually nurture their basic production capacity, and eventually to realize the promotion of the rural poor’s capacity for self-development.After establishment of the macro guidelines, combing the basic needs theory, the social capital theory, and mechanism design theory, etc., this dissertation gives an analysis to the problem of how to promote the development of China’s rural poor from the aspects of institutional arrangements, mechanisms for the design, the focus of implementation, and establishment and perfection of the social security system, and has put forward some insightful ideas.Firstly, as far as the institutional arrangements of view are concerned, this dissertation argues that anti-poverty institutions and governance is a key link for poverty relief. Aiming at a number of institutional barriers during the process of governance, we should adjust the institutions in the four aspects of establishing the legal system, improving policy system, standardizing the management system and implementing anti-poverty programs, so as to guide and regulate the anti-poverty actions relying on sound and effective system.Secondly, as far as the design of the mechanism is concerned, in view of the mechanism design problems in China’s rural poverty-stricken areas, this dissertation stresses the necessity of establishing the transformation mechanisms, innovating the integration mechanisms, improving the participating mechanism and strengthening monitoring and evaluation mechanism for the anti-poverty mechanism construction.Finally,as far as the emphases of the implementation are concerned, this dissertation argues that it should be carried out in the six aspects:strengthening social services, keeping an appropriate population size, improving the people’s quality, developing social capital, encouraging the relocation and perfecting social security, which are the top priorities at present in the concrete implementation of developing China’s rural poor population. And this dissertation emphasizes that because of the problems in China’s rural social security system of the small coverage, irrational structure, difficulties in security financing, this thesis concludes that government should further improve the rural minimum living standard security system as a start, and ensure the viability of the poor to meet their basic needs, and then on the basis of the above to gradually establish and improve the social security system in poverty-stricken areas in the aspects of the old-age insurance, medical insurance and the education security, so as to develop the rural areas with the help of a solid strength of the social security.In short, anti-poverty governance is a comprehensive, enormous, complex systems engineering. It is not only an important task of constructing a harmonious socialism society but also an inherent requirement of carrying out the scientific concept of development to take the comprehensive, thorough and efficient practical measures at this stage to promote a permanent farewell to the poverty and embark on the road to prosperity.更多还原