【作者】 陈静；

【导师】 丁任重；

【作者基本信息】 西南财经大学 ， 区域经济学， 2013， 博士

【摘要】 对口援助工作,从建国伊始到如今经历了几十年的发展历程,已经形成了相当庞大的的规模、基本完整的格局和多种多样的实施方式。对口援助对灾区人民生产生活重建、对落后地区发展经济、对整个国家安定团结的政治局面都起到了重要作用。没有对口援助,就难以实现各民族共同繁荣富裕,直致和谐社会的形成。正是由于对口援助,才有了财政、产业、教育、医疗、科技、人才等政策对落后地区的倾斜和扶持,才充分体现社会主义不可替代的优越性,才能阐释中国共产党的强大执政能力且经久不衰的原因,才能表达中华民族互助友爱团结一心的优良品质。但是作为一项重要的国家中观政策而言,对口援助仍然有很多需要进一步加强和改进的方案,同时也更需要探索出一条通过援助加快受援地区经济、社会全面发展的有效途径。同时,随着市场经济的逐渐深入,对口援助已经不能只依靠通过中央政府颁布政策的方式被动的接受援助,要建立起援助双方不依赖于政治动员也能够长期存在的合作关系。对口援助的研究已经不乏先例,但是对于对口援助研究的理论框架尚未建立。对口援助政策是中国区域发展政策的的重要组成部分,对口援助作为发展区域经济、缩减区域差距、协调区域关系和促进社会进步起着重要推动作用,对口援助也是邓小平同志提出的“先富带动后富”理论的不可或缺的重要组成部分。本研究对建立政策研究框架、解释区域政策内涵以及正确理解党和国家的经济发展理论的前瞻性和阐释社会主义制度的优越性有一定的理论意义。明确对口援助政策效果即援助带给双方区域经济的贡献,有助于援助双方形成可持续发展的长效体系,若使对口援助持续发挥作用,必须推进对口援助制度化、法律化进程。同时援助也为将来援助结束后落后区域依然能够长期、稳定的发展打下坚实的基础。本研究对建立长效合作体系、推进制度化、法律化进程以及构建自我发展能力有一定的现实意义。本文共分为八个章节。第一章是导论部分,论述了本文的研究背景、研究目的、研究意义、研究内容和研究范围,确定了行文的研究方法、研究思路和技术路线,并对可能的创新之处和存在的局限进行了简单介绍。第二章是基于研究内容的文献综述。主要内容包括对国外与援助相关文献的简要概述、对国内与对口援助相关文献的较为细致的梳理以及对国内外文献的简要评论。通过文献综述,发现已有研究存在的主要不足之处在于：其一,对口援助的定义比较陈旧,缺乏与时俱进的考量,为后续研究造成了障碍；其二,对口援助的现实依据和基础没有认识到最本质的内容,缺乏对生产资料所有制这一因素的深度挖掘；其三,对口援助的阶段划分缺乏标志性的事件,难免有阶段性不清晰、重点不突出之嫌；其四,对口援助的分类标准不清晰、不统一,导致类型概括的不尽全面的问题；其五,对口援助运行机制不完善,没有很好的说明援助在启动、实施、协调各方关系以及援助后期跟踪等各个阶段不同的机制；其六,对口援助的绩效考核大多使用定性分析而未能运用定量分析,得出的结论未免偏颇和缺乏说服力；其七,对口援助的新变化没有在其面临的经济、社会发展的新形势和新要求的宏观背景下考察,缺乏全局性；其八,对口援助的存在问题探讨太着眼于细节,缺乏宏观把握。因此,本文将尝试对以上研究的不足之处做进一步的探讨。第三章是理论分析框架,主要内容包括对对口援助相关理论的简要介绍和对口援助模式和运行的论述。对口援助相关理论包含马克思劳动地域分工和协作理论、区域优势理论、区域要素流动理论、区域经济合作理论、区域均衡与非均衡发展理论。本文分别从上述五个方面来追溯对口援助研究的理论渊源。对口援助模式研究包括对口援助的概念界定、以及动力机制、推进机制、协调机制、保障机制是如何在援助中发挥作用的论述。对口援助运行研究包括对口援助的特点、基础和目标的论述。相关理论、模式和运行构成了研究的理论分析框架。第四章是对口援助的历程和演进,本章对建国以来对口援助的历程、对口援助的类型和对口援助演进的规律做出归纳和总结。在对口援助历程的回顾的基础上,还将其划分为为初始、探索和深化三个阶段,并总结了阶段性特征。按照援助援助方类别、规律性、有偿性、领域性等不同的划分方法将对口援助分门别类的阐述其不同的任务和特征。通过对历程和类型的分析,得出对口援助的演进的规律,即合作性增强、激励性增大、领域更广以及范围更准。对口援助的历程和演进的研究为后续章节的研究提供了基础。第五章是对口援助的绩效评价。通过对新疆、西藏两个受援方以及援助方总体的绩效评价,得出一系列结论。对于新疆来讲,财政援助作用巨大、产业援助成效显著、民生援助效果渐缓、智力援助具备潜力；对于西藏的来讲,财政援助不可或缺、产业援助效果甚微、民生援助作用较大、智力援助潜力充沛。援助方有收益也有损失,其中收益主要包含政治收益、经济收益和社会收益。损失主要在于经济损失、合作中的摩擦以及协调成本等。最后得出的结论如下：一是对口援助政策的实施仍然十分必要；二是受援方在长期持续发展中需要建立自我发展能力,三是援助方需要强有力的激励机制才使援助得以持续开展。第六章是国外经验的借鉴。本章对国外对本国落后地区的援助措施的阐述,以及对中国可以借鉴的经验进行总结。可以借鉴援助经验的国家很多,有美国、俄罗斯、英国、法国、日本、德国和巴西等,这些国家在发展区域经济,促进地区间均衡发展以及政府的援助政策等方面都有可以参考的内容。第七章是对口援助在新时期的转型。在新的历史阶段,国内国外的经济形势都发生了很大的变化,国内的的经济体制增长由计划经济转向为市场经济；经济开放度由封闭经济转向为开放经济；经济实力迈上了很大台阶；发展理念由只追求数量的增长转向为可持续发展、绿色经济、循环经济以及低碳经济的发展理念。基于宏观经济形势发生的变化,对口援助也有新的要求,援助不再仅仅追求经济发展指标的提升,而是更注重政治稳定和民族团结等社会文明程度的增加；不再单纯考虑短期利益,更多考虑长期可持续发展和环境保护得到的利益；不仅可以动员国内的援助力量,也可以吸引国外资金支持援助。在面临这些新要求的基础上,对口援助也发生了积极的转型,援助的目标由单一的经济目标向改善民生、增强发展潜力、增加社会文明程度等转变；援助的主体由中央政府向以中央政府为主、以地方政府、企业集团和非政府组织为辅的格局转变；援助的内容由最初的财政援助、人才援助、教育援助逐渐发展壮大,形成了包含基础设施建设、医疗卫生服务、技术人才援助、干部援助、教育援助、开展企业经济技术合作、建设工业园区等涉及民生、智力、产业等多领域的援助体系；援助的过程由短期帮扶向长期合作转型。第八章是对口援助存在的问题与政策建议。对口援助存在的主要问题是,缺乏科学规划、协调机构、制度体系、保障机制以及长效合作等,在分别对这些问题阐述的基础上,提出了解决这些问题的政策建议。最后,对未来的研究做出展望,希望能在受援方区域瞄准、援助方收益评价、援助方式再创新等方面进行深入的研究。本文研究的重点章节是第三章、第五章和第七章。本文形成的主要观点是,第一,对口援助的阶段性划分属于“深化”阶段,“深化”阶段与“探索”阶段相比,援助向纵深方向发展,实施更有针对性的援助；第二,对口援助发展的方向是区域合作,因此,产业援助是区域间实现长期合作的较好方式；第三,在新的历史阶段,对口援助的目标、主体、内容和过程向多元化和长期化转型；第四,对口援助要向制度化、法律化的方向迈进。更多还原

【Abstract】 One-to-one aid experienced decades of development from the founding of the PRC to now. It has formed a large scale, a basic integrity of pattern and great diversity of ways. One-to-one aid takes an important role for reconstructing the people’s production and life in disaster areas, developing the economic in backward area, and maintaining political stability and unity throughout the country. Without one-to-one aid, it would be difficult to achieve the common prosperity of all nationalities and realize the harmonious society. It is because of the one-to-one aid, there could be many policies tilt and support to backward area, such as financial, industrial, medical, education, science and technology, talent, etc. It could really demonstrate the irreplaceable superiority of socialism. It could explain the reason why the CPC’s governance capability is so powerful and enduring. It could show some commendable traits of the Chinese nation, such as fraternity and unity.However, as an important national macroeconomic policy, one-to-one aid still has lots of things to further strengthen and improve. It needs to explore an effective way to speed up the development of the aid recipient regions’economic and society. As the further development of the market economy, one-to-one aid can no longer depend on the central government’s policy to accept the aid passively. It is necessary to build up a long-term cooperation relationship between both aid and aided sides without political mobilization.There are already some successful cases that study on one-to-one aid, but the theoretical framework of it has not yet been established. One-to-one aid policy is one of an important part of the China’s regional development policies. It plays a great role in developing regional economic, reducing regional disparities, coordinating regional relationships and promoting social progress. One-to-one aid policy is also an indispensable and important part of the "the rich leads the poor" theory proposed by Comrade Deng Xiaoping. There are certain theoretical advantages of this study, which has established the policy framework, explained the connotation of the regional policy, understood the foresight of the party and the state’s developing theory, and expounded the superiority of the socialist system.It helps to build up a long-term system of sustainable development by clarifying the contribution to both sides by one-to-one aid policy. We must promote the process of the policy’s systematism and legislation to make it work more efficient. The policy also lays a solid foundation for the backward areas to keep its development continues and stable after the end of aid. This paper would have some practical significance in building up a long-term cooperation system, promoting the process of systematism and legislation, and establishing the self-developing ability.This paper is divided into eight chapters. The first chapter is the introduction. It discusses the research background, purpose, significance, research content and scope of the study. It determines the research methods, mentality and the technical route. It also makes a brief introduction to the possible innovation and limitation.The second chapter is literature review. The main contents include brief overview of the relevant foreign literatures on aid policy. It also combs the domestic literatures that are relevant to one-to-one aid meticulously. Besides, it makes a brief comment on these domestic and foreign literatures. By this means, the study has found some disadvantages as follows:Firstly, the definition of one-to-one aid is old-fashioned. The lack of consideration of keeping pace with the times makes obstacle for follow-up study. Secondly, the realistic basis and foundation of one-to-one aid fails to recognize the most essential content. It lacks the deep excavation on the factors that the ownership of the means of production. Thirdly, there is no landmark event in one-to-one aid stages dividing; this makes the stages unclear and unfocused. Fourthly, the classification criteria of one-to-one aid are not clear and uniform, which leads to an incomplete type summary. Fifthly, the operating mechanism is imperfect. There is no good explanation on the different mechanism in different stages, such as initiating, implementing, coordinating all relationships and the latter tracking. Sixthly, the performance evaluation of the one-to-one aid mostly uses qualitative analysis while quantitative analysis, the conclusion is biased and lack of persuasion. Seventhly, the new changes of one-to-one aid did not investigate under the macro background that faces economic and social development of the new situation and new requirements. Eighthly, the discussion on the problems of one-to-one aid is focused on the details too much to grasp in macro. Therefore, this paper will attempt to do further more studies on these disadvantages above.The third chapter is the framework of theoretical analysis. The main content includes brief introductions on the theory, pattern and operation of one-to-one aid. The related theories of one-to-one aid include Marx’s theory of regional division of labor and collaboration, the regional advantage theory, the regional factor flow theory, the theory of regional economic cooperation, the regional balanced and unbalanced development theory. This paper deals with a brief retrospect to the theory origin of one-to-one aid from five aspects above. The pattern of one-to-one aid includes its concept definition, and the discussion of how its dynamic mechanism, its promotion mechanism, its coordination mechanism, and its guarantee mechanism play a role. Research on the operation of one-to-one aid includes the discussion on its characteristics, foundation and objective. Relevant theories, patterns and operations constitute the framework for theoretical analysis.The fourth chapter describes the course and evolution of the one-to-one aid. This chapter makes the induction and the summary to its course, types and law of evolution. Based on the retrospection of its evolution, the paper divides the course into three stages:ignorance, exploration and deepen stage, and also summarizes the stage characteristics. There are several division methods according to the difference of the donor’s category, regularity, profitableness or areas. This paper explains different tasks and characteristics of one-to-one aid classified by these methods. Through the analysis of the course and the types, the law of its evolution is summarized below:Enhanced cooperation, incentive increases, as well as a wider range and more accurate field. The study on the course and evolution of one-to-one aid provides a basis for research in subsequent chapters.The fifth chapter is the performance evaluation of one-to-one aid. It draws so me conclusions according to the general performance evaluation of the two recipie nts as Xinjiang, Tibet and the donors. As for Xinjiang, the financial assistance take s a huge role, the industry aid shows significant effectiveness, the people’s liveliho od aid effectiveness gradually slowed, and the intelligence assistance have the pote ntial. As for Tibet, the financial aid is indispensable, the industry aid shows little ef fectiveness, the people’s livelihood aid takes great role, and the intelligence assista nee potential is very abundant. The assistant donors have benefits as well as losses. The benefits mainly include political benefits, economic benefits and social benefi ts. The losses mainly include economic losses, frictions in cooperation and cost co ordination etc. Finally, the conclusions are as follows:one is the implementation o f one-to-one aid policy is still very necessary; two is the recipient needs to build th e capacity for self-development in the long-term sustainable development; three is the donors need strong incentives to make the aid ongoing.The sixth chapter is the reference to the experiences of other countries. This chapter describes the backward areas of foreign countries assistance measures on their own, and summarizes the experience that China can learn from. There are many countries that we can learn from, such as the United States, Russia, Britain, France, Japan, Germany, Brazil and so on. We can get reference from these countries in many ways, such as the development of regional economy; promote balanced development between regions and the government’s aid policy.The seventh chapter describes the transition in the new period. In the new historical stage, the domestic and international economic situation has undergone great changes. The growth of the domestic economy changes from the planned economy to the market economy. The openness of economy changes from the closed economy to the open economy. The economy becomes strength to a great level. The concept of development turns from only the pursuit of the quantity increasing to the sustainable development, green economy, circular economy and low carbon economy. According to the changes in the macroeconomic situation, one-to-one aid also needs new requirement. Aid is no longer just the pursuit of the indicators improvement in economic developing, but pays more attention to political stability and national unity to increase the degree of civilization of a society. Aid is no longer just simply considering about short-term interests but also long-term sustainable development and the benefits of the environmental protection. Aid can not only to mobilize domestic strength but also to attract foreign capital to support assistance. Facing these new requirements, one-to-one aid has also undergone a positive transition. The target of aiding changes from a single economic objective to the improvement of people’s livelihood, the enhancement of the development potential and the increasing of the social civilization degree. The body of aiding changes from the central government to the pattern that dominated by the central government and supplemented by local governments, business groups and non-governmental organizations. The content of the aiding changes from financial aid, talent aid, education aid to a multi-field aid system. This multi-field aid system is in involved with livelihood, intelligence, industry and other fields, which includes infrastructure construction, medical and health services, technical personnel assistance, cadres’assistance, education assistance, economic and technical cooperation in enterprises and the construction of Industrial Park. The process of aiding changes from the short-term assistance to the long-term cooperation.The eighth chapter describes the issues and policy recommendations to one-to-one aid. The main issue of one-to-one aid is lack of scientific planning, coordination mechanism, institutional system, safeguard mechanism and long-term cooperation. Based on the analysis and exposition of these issues, the paper proposes policy recommendations to solving these issues. Finally, the paper makes the prospects for future research hoping to conduct in-depth research in the recipient area aiming; aid donors benefit evaluation; innovation of aid modalities.The key chapter of this study is the third chapter, the fifth chapter and the seventh chapter. The main points of this paper are formed as follows:Firstly, the stage of one-to-one aid belongs to "deepen" stage. Comparing "deepen" stage to "explore" stage, aid develops to the depth direction and becomes more targeted. Secondly, the development direction of one-to-one aid is regional cooperation; therefore, industry assistance is a good way to achieve long-term cooperation between the regions. Thirdly, in the new historical stage, the aiding target, subject, content and processes are experiencing a transition of diversification and long-term one. Fourthly, one-to-one aid is on its direction to institutionalization and legalization.更多还原