【作者】 何通艳；

【导师】 朱明熙；

【作者基本信息】 西南财经大学 ， 税收学， 2013， 博士

【摘要】 以整村推进参与式反贫困项目为代表,参与式反贫困实践在我国己初具规模,参与理念也逐渐成为扶贫领域的主流思想。但从反贫困项目的具体实施情况来看,还存在诸多不尽人意的地方。贫困人群参与不足(或无积极性,或无参与机会),扶贫主体走过场、搞形象工程,扶富不扶贫等有悖参与式扶贫要义的现象层出不穷。如何解决这一系列参与困境,目前的研究还比较粗浅。从财政角度来看,尽管扶贫资源不断多元化,但财政资金仍然是我国最重要的扶贫资源,在扶贫资金总额中占据着绝对的主导地位。同时,我国大部分地区的扶贫工作仍主要依赖于政府部门,各级政府部门工作人员在其中发挥着举足轻重的作用。因此,政府部门工作人员在参与式扶贫中发挥何种角色,以及如何处理政府部门与基础群众之间的关系,使其利于参与式反贫困的推进,成为了绕不开的话题。本文将以藏区为研究对象,从政治、经济、地理、文化、宗教、制度角度出发,探析不同扶贫项目下参与主体的特征及参与的影响因素,积极构建适应藏区具体情况的参与式反贫困方式,以提高财政扶贫效率。论文由六章内容组成,每章的具体结构及内容安排如下：第一章、导论。导论部分主要由以下部分构成：1.论文的研究意义。2.国内外的文献综述。3.论文的结构安排和内容介绍。4.研究方法。5.对数据来源的介绍。6.预期研究的创新与不足。第二章、参与式反贫困理论的一般分析。第一节,重点介绍了“参与式反贫困”提出的理论背景。从经济学、新制度经济学、公共管理学、政治学多学科的理论入手,分析了藏区推行参与式反贫困模式的必要性和可行性。同时,从经济学、社会学角度论证了基层群众,尤其是贫困人口,在选择参与还是不参与,能否实质性参与等问题上所面临的系列困境。第二节,解读“参与式反贫困”的内涵,梳理了国内外对“参与”、“参与式反贫困”的定义,并提出了自己的定义方式。第三节,重点分析参与式反贫困的构成要素。引入约翰.克莱顿.托马斯等学者的分析方法,将公共政策参与要素划分为参与主体、参与环节、参与方式三个组成部分,作为分析参与式反贫困的分析工具和对象,认为每个要素都需要经过精心确定和选择,才能发挥出“参与”的最佳效果。第四节,分析了藏区参与式反贫困中,参与要素应该具备的特点。第三章、藏区反贫困的历史演化。第一节,从民族文化特征、行政区划、地理环境和自然资源、市场经济条件等方面,立体式地展现了西藏自治区及四省藏区作为一个完整、统一的研究对象的合理性和必要性。第二节,以西藏自治区为典型代表,回顾了西藏、四川藏区、青海藏区、甘肃藏区、云南藏区各区自解放以来的反贫困历程。其中,重点介绍了西藏自治区的反贫困历程,将其划分为1978年以前、1978-1993年、1994-2000年、2001-2012年四个阶段,并对其他藏区做了总括性介绍。第三节,对藏区反贫困的总体性特征进行归纳、总结。第四节,多角度分析了藏区完善参与式反贫困的重要性。第四章、藏区参与式反贫困的现状分析——以F县为考察重点。该章是论文的重点之一,首先介绍了研究的重点考察对象——F县的扶贫概况,论证将其作为考察整个藏区反贫困窗口的合理性。第二节,笔者选取了藏区极具代表性的几个扶贫项目,并根据这些项目在F县的具体实施情况,从参与视角对其进行了解析。首先,介绍了“异地育人”项目。介绍了异地育人项目背景,采用实证分析方法分析了该项目的实施效果,并根据藏区特殊的地缘性特征、扶贫项目本身的特征,指出了项目实施过程中引入参与机制的重要性,并就参与的重要主体以及参与的关键环节进行了深入探讨。其次,深入分析了该地区的“社会低保”项目。从社会学、政治学、经济学等多维学科视角,阐释了过度参与同样无法得到满意的参与效果。认为,对极端贫困人口的利益保障,需充分发挥政府的能动性,对参与主体进行必要隔离或引导议题讨论方向。再次,分析了当地的农牧民住房改建项目,重点分析了贫困人口在该项目参与过程中,获益较少的深层次原因。最后,介绍了当地的产业扶贫状况。在高度肯定藏区产业扶贫成就的同时,分析了当前面临的瓶颈问题,并指出,政府应该在这些方面发挥更大的能动性。第三节,对藏区参与式反贫困进行了整体性的评价。第四节,在项目分析基础上,继续深化了对参与要素的认识。第五章、藏区参与式反贫困的影响因素分析。该章从地理环境、社会文化、政府行政机制、地方政府财力方面,探讨了影响藏区参与式反贫困模式建立的因素。这些影响因素中不乏正面因素和负面因素,它们将对藏区参与式反贫困带来促进效应或阻碍作用,因而也将成为完善藏区参与式反贫困措施的重点关注对象。第六章、完善藏区参与式反贫困的思考。第一节,提出了完善藏区参与式反贫困的指导原则。第二节,从5个方面提出了完善藏区参与式反贫困的可行路径,包括提高反贫困信息的透明度；降低各方的参与成本,提高其参与积极性；提倡“从群众中来,到群众中去”的工作路线和理念；提高参与各方的参与意识和能力。第三节,从制度建设方面,探讨如何完善藏区的参与式反贫困。首先,改革教育体制,增强公民文化教育；其次,完善地方政府绩效考核机制,以增强其反贫困项目的适应性。(1)通过制度规范,促使基层工作人员主动“走出去”；(2)完善政府部门的考核标准以及考核时间。考核标准的设立宜采用“自下而上”和“自上而下”相结合的方式。在考核时间的选择上,应对藏区制定一个3-5年的规划期,降低考核频率。再次,完善转移支付制度。除了强调提高一般性转移支付比例外,还强调继续完善最基层的转移支付制度,以提高资金流向的均匀性和透明度。第四节,探讨了完善藏区参与式反贫困的技术手段。笔者在现有扶贫考核指标上,继续完善了贫困家庭瞄准指标,以及有助于提高项目质量的考核指标。本文经过较为系统、深入的分析,对藏区参与式反贫困有了更为深刻的认识,认为在以下方面有了一定的突破：1.多学科视野认识藏区的参与式反贫困。为了从理论方面更深入地探讨反贫困工作中存在的“扶富不扶贫”现象,笔者不仅多角度论证了参与式反贫困的必要性和可行性,还引入社会资本理论以及成本-收益理论,诠释了贫困人口难以在公共决策中获得理想收益的原因,并通过实证证明了这一点。同时,从藏区的地缘、人文、习俗出发,解释了藏区参与式反贫困中,贫困人口处于劣势地位的深层次原因并得出结论,必须重视政府部门等权威力量在参与过程中的协调、组织作用,强调政府部门需正确选择参与要素,必要时可借助一定的技术手段,将非贫困人口隔离出去,为贫困人口的参与创造一个隔离圈,从而提高贫困人口的发言权和政策影响力。2.深入认识参与主体的内部分化。基层群众、贫困人口的内部结构、内部利益分化,在现有参与式反贫困研究中得到的关注还很少,这也是目前对参与式反贫困讨论的简单化、单一化,讨论方式固定化的具体表现。要找到参与式反贫困中,参与热情不够、监督机制乏力等现象的解决办法,有必要关注这个庞大群体的特征,尤其是其内部存在的结构性。笔者从扶贫项目自身特征出发,诠释参与主体的内部结构性和内部利益分化特点,认为该现象主要源于扶贫项目自身的特点,即同一个项目对不同公众造成的影响不同。笔者在托马斯的“相关公众”基础上,继续将其细分为“正相关公众”和“负相关公众”、“强相关公众”和“弱相关公众”。指出,根据项目影响范围和作用力方向,参与群体可被细化为不同的相关公众群体,不同群体对特定项目的关注程度具有差异性,这将为选择合适的监督主体提供思路和参考,以解决监督乏力等现象。3.探讨微、宏观民主在参与式反贫困中的契合点。笔者着重探讨了宏观代议制民主与基层直接民主状态下,权力在各参与主体间的合理配置。笔者认为,基层民众在项目参与中的实质性决策权得以落实的前提,即降低政府部门分享权力的成本,而改变用以考核政府部门业绩的考核指标的形成方式,将成为降低这种成本的关键之一。通过“自下而上”和“自上而下”相结合的方式制定考核标准,更为有效。另外,在考核时间方面,无论从考核时间长度还是考核频率来看,藏区都需要一个更为灵活、富有弹性的时间。4.完善提高扶贫质量的指标。笔者根据原有的扶贫考核指标,增设了两项指标。(1)增设“家庭有效劳动力比率”指标,以提高对藏区贫困家庭的瞄准精度。认为,该比率如果落入区间[0,0.5],家庭的负担就较高。比率值越接近于0的家庭,就越是政府需要关注的对象。同时,以“5%最低收入家庭收支平衡比”作为考察贫困家庭生活状态的指标,该指标大于等于1为宜。(2)优化扶贫项目质量的考核指标。如,在技术培训考核标准中,增设“田野式农业技术培训次数/农业技术培训总次数”、“订单式培训次数/培训的总次数”两项技能培训考核指标。更多还原

【Abstract】 Promoting Whole village to participate poverty alleviation as the representative project, anti-poverty Practice in China has begun to be taken shape. The idea of participatory is also becoming the mainstream thinking in the anti-poverty area. However, from the situation of the concrete implementation of the Poverty Reduction Project, we can find that there are still many other undesirable places. The phenomenon of lack of participation in the poor (or no enthusiasm, or without the participation opportunities) or the poverty alleviation be fraud or making image projects are emerging in endlessly. How to solve the participation predicament, there isn’t a desirable answer in the current study. At present, most of china’s poverty alleviation depends on the government departments, financial funds is the most important resource in this process. Therefore, what role the staff of government departments will play, and how to deal with the relationship between government departments and the masses are both inevitable topics. In this paper, Tibetan areas will be designed the object of the study, to analysis the main characteristics and influencing factors in different poverty alleviation projects, from the perspective of the political, economic, geographic, cultural, religious and institutional, then try to find the specific participatory anti-poverty manner which is suitable for Tibetan areas.The paper consists of eight chapters content, the specific structure and content of each chapter is organized as follows:Chapter Ⅰ,Introduction.The introductory part is mainly composed of the following components:The literature review both at home and abroad;the structure and content of the paper;the methods;the data sources;expected research innovation and insufficient.Chapter Ⅱ,The general analysis of participatory poverty theory.The first section,introduced the theoretical foundation of’participatory poverty’ and analysed the necessity and the feasibility of the implementation of participatory anti-poverty model, as well as the plight of the poor faced. The second section is to interpret the concept of participatory poverty, about the definition of ’participation’ and ’participatory anti-poverty’ The third section is focusing on the analysis of participatory antipoverty elements and to find the effective participation elements. The fourth section is analyzing the characteristics of the participation elements which is should be in the Tibetan participatory poverty.ChapterIII,History evolution of the poverty in Tibetan areas.In the first sectiori,showing the rationality and necessity for Tibetan areas of the Tibet Autonomous Region and the four provinces as a whole and unified object, from the characteristics of the national culture, administrative divisions, geographical environment and natural resources, market economy conditions.In the second section, reviewing the anti-poverty course of Tibet and Tibetan areas in Sichuan, Tibetan areas of Qinghai, Gansu and Yunnan. The Tibet Autonomous Region is as a typical representative which is divided into four stages of pre-1978;1978-1993;1994-2000;2001-2012.In the third section,summarizing the general characteristics of anti-poverty in Tibetan areas.In the fourth section, analyzing the necessity of participatory poverty in Tibetan areas.ChapterIV, Analysing The present situation of the participatory poverty in Tibetan areas-focusing on F County.In the first section, introducing F County—the researching object.Then, I have selected several highly representative projects and reinterpret them from the perspective of participatory.There are four stories, including’Educating people in different places’project, low social security project, housing alterations and agriculture industrialization. From them, we can see that if the participation is not effective, the poor can benefit little or even nothing. At last, based on the analysis to recognize the elements of participatory go on.Chapter V, The influential factors in the Tibetan areas’ participatory anti-poverty. To discuss the impact factors that affect the instruction of the participatory anti-poverty mode in Tibetan areas,from the geographical environment,social culture,government administrative mechanism and the financial strength of the local government.In which there are many positive factors as well as a lot of negative factors.They both can affect the participatory anti-poverty positively or negatively.Thus, they are must be concerned in the process of structure the participatory mode.ChapterVI, Perfecting participatory antipoverty Construction in Tibetan areas. The first section,introducing the principles of perfecting the Tibetan areas participatory poverty.The second section, putting forward the feasible path to perfect the Tibetan participatory poverty from five aspects.The third section,discussing how to perfect the participatory poverty of Tibetan areas from the aspects of system construction.The fourth section, discussing the technology to improve the Tibetan participatory poverty.In this paper, through systematic and deeply analysis, there is a more profound understanding about participatory anti-poverty in the Tibetan areas and there is maybe some breakthroughs in the following areas:Firstly, Recognizing the participatory anti-poverty in Tibetan areas from multidisciplinary visions,In order to more deeply explore the phenomenon of the ’helping rich not poverty’ in the anti-poverty work,the author not only have demonstrated the necessity and feasibility of participatory poverty, also introduced the theory of social capital theory and the cost-benefit, to explain why it’s difficult to get ideal income in the public decision-making for the poor. The conclusion is that we must attach importance to the function of the government in the process of participatory. The government department should choose the right elements, so as to improve the poor voice and policy influence.Secondly, deeping the elements of participation. The author from the poverty alleviation projects, to interpret the main internal structural and internal interests differentiation characteristics. Meanwhile, on the basis of the ’relevant public’in Thomas, the author continues to subdivide it into’positive public’and’negative public’;’strong public’and’weak public’,which can be used to find the most suitable participator s, especially the overseers.Thirdly, Discussing the micro and macro democracy in participatory poverty. The author emphatically discusses how the rational allocation of power could achieve between each participators in background of the macro representative democracy and direct democracy at the grass-roots level state concurrence.The author thinks that, reducing the cost of government departments to share power is the premise of making sure that the grassroots could get the substantive decision rights in participating.Meanwhile, changing the method of the formation of the evaluation of government performance evaluation indexes will become one of the keys to reduce the cost. Through the combination of ’bottom-up’ and ’top-down’ approach for evaluation standard is more effective in Tibetan areas.Fourthly, Adding the quality indicators for improving the efficiency of participatory anti-poverty. The author added the indicators which can help target the poor family and the quality of the project.更多还原