彝族聚居区农户生计调查与应对研究——以四川省喜德县EJ村为例

脱贫攻坚是全面建成小康社会最艰巨的任务,彝族聚居区农户受其特殊地理区位、文化场域、社会结构等因素的影响,生存状况、生活条件、发展前景备受关注,然而政府与社会投入多但效果不佳。如何改善该地区生计境遇,提高农户可持续生计能力,成为至关重要的问题。本文以国家扶贫工作重点县喜德EJ村为调研对象,从农户生计的客观环境入手,通过系统地分析农户生产、生活、消费等基本活动以求反映农户生计状况;以生计资本为切入点探析农户生计困境及影响因素,在此基础上,提出了思想为根、设施为先、产业为要、教育为本、金融为核、政策为基"六位一体"的生计策略,初步勾勒了彝区脱贫奔康可行的生计模式。     

风险与机会对生态脆弱区农户多维贫困的影响——基于形成型指标的结构方程模型

生态脆弱区农户面临着更为严重的风险冲击和机会缺失,可持续发展能力不足,成为新阶段脱贫攻坚的重中之重。本文将风险、脆弱性、可持续生计等框架纳入统一的分析框架,基于形成型指标方法构建结构方程模型,探讨农户面临的风险和能够获得的发展机会对其生计资本及多维贫困的影响。研究结果表明,农户遭遇风险对其除自然资本以外的生计资本均有显著的负向影响,并且会显著加剧他们的多维贫困程度;农户能够获得的发展机会对其除自然资本以外的生计资本有显著的正向影响,并且会显著改善他们的多维贫困状态。     

新冠疫情背景下不同生计类型农户生计恢复力评价及影响因素研究

目的 疫情的冲击为农户的生计发展带来了诸多风险,了解当前农户生计现状及相关影响因素,对于提升农户生活质量,促进乡村振兴具有重要意义。方法 文章基于陕西省杨凌区及其周边农户调研数据,将主客观恢复力结合,构建了缓冲能力、自组织能力、学习能力和心理感知4个维度的农户生计恢复力评价体系,运用综合指数法和障碍度诊断模型,测度新冠疫情冲击下不同生计类型农户生计恢复力现状并识别其影响因素。结果 （1）新冠疫情冲击下农户生计恢复力水平整体偏低,从高到低依次为综合生计型、兼业主导型、务农主导型、务工主导型,各维度水平均偏低且分布呈现一定差异;（2）主观恢复力指标对各类型农户生计恢复力影响较大,主观恢复力对农户总体生计恢复力的影响不容忽视;（3）不同生计类型农户障碍因子差异较小,技能培训参与程度、个人风险认知感受、个人风险认知能力、家庭存款、社会网络支持度等对农户生计恢复力产生影响。结论 不同生计类型农户生计恢复力及影响因素存在差异,基于此,可为不同生计类型农户提出差异化的生计恢复力提升建议。     

贫困山区不同生计策略类型脱贫农户生计风险识别与评估

[目的]尽管2020年后我国已经全面脱贫,但脱贫农户仍然面临自然、市场、政策等多重生计风险冲击,非常容易再次掉入贫困陷阱。识别与评估贫困山区不同生计策略类型脱贫农户生计风险,为政府更好地制定相关政策,巩固脱贫成果提供实证依据,具有必要性和现实意义。[方法]文章以武陵山连片特困地区的768户脱贫农户调查问卷为样本数据,运用ESI为综合评价指数,识别与评估不同生计策略类型脱贫农户的生计风险。[结果]（1）样本区农业兼业型脱贫农户的户主平均年龄最大、家庭规模最小、劳动力数量最少、受教育程度相对最低;非农业兼业型脱贫农户的家庭规模最大;纯农型脱贫农户的家庭劳动力数量最多,且劳动力受教育程度相对最高。（2）不同生计策略类型脱贫的生计风险总值依次是纯农型>农业兼业型>非农业兼业型>非农业型,呈现出兼业程度越高,生计风险越小的特征;纯农型是所有类型脱贫农户中最脆弱的群体,生计风险和返贫风险都最大。[结论]当地政府一方面应积极帮助脱贫农户增强非农生计的能力;另一方面应完善农业生产配套设施,营造良好的外部基础设施环境,引导脱贫农户寻求适合自身资源的产业发展方式,提高其兼业水平和兼业质量...     

灾害冲击、社区韧性与城乡居民发展信心——基于云南民族地区调查的实证分析

民族地区是自然灾害多发易发区,在切实提升治理效能、确保全面脱贫的历史关键阶段,关注灾害冲击的社会心理后果及其应对具有重要的现实意义。本文从风险社会的理论视阈出发,基于云南少数民族地区综合社会调查数据,对自然灾害冲击、社区韧性与城乡居民发展信心的关系进行了实证探讨。研究结果显示,累积性灾害会显著削减城乡居民的发展信心,且这种影响因社区韧性水平的不同而有所差异;较强的社区韧性不仅具有减缓灾害冲击的"软垫效应",亦具有提升居民发展信心的"引擎效应"。同时,提升防灾知识和物品储备的增量、激活社区社会资本的存量,对社区复原力和社区内聚力两项韧性维度具有不同的作用路径。     

脱贫“脆弱户”的可持续生计:一个新的理论分析框架

脆弱性既是贫困的重要特征,又是返贫风险的核心根源。由于部分脱贫户受生计资本不足、自我发展能力欠缺等方面因素的影响,其脱贫后的可持续生计仍面临较大的风险,造成一定程度上的脆弱性脱贫。防范脱贫“脆弱户”返贫风险,实现其可持续生计,是巩固、拓展脱贫攻坚成果的重要内容之一。在对农户可持续生计已有分析框架进行梳理与述评的基础上,基于生计恢复力的理论视角,将可持续生计方法与恢复力理论相结合,本文构建了脱贫“脆弱户”可持续生计的“脆弱性——生计恢复力”理论分析框架。新的分析框架分析了脆弱性的多重扰动因子与脱贫“脆弱户”的脆弱性形成,阐释了脱贫脆弱性与生计恢复力二者之间的内在机理与逻辑关联。其中,缓冲能力、自组织、学习能力与自我感知是生计恢复力的重要表征。实现农户生计脆弱性向生计恢复力转变的关键路径在于生计资本的重组与优化,即要实现生计资本内部的结构式调整、外部政策对生计资本的调节、自我感知对生计资本的优化。     

旅游驱动乡村农户生计韧性的变化及提升对策研究——兼顾不同社区参与模式的比较

生计韧性理论作为人地系统和可持续发展研究的一个新视角,对推动社区、农户家庭风险的防范、可持续生计的建构等具有重要意义。本研究重点将生计脆弱性、生计恢复力理论与可持续生计理论相结合,建构生计韧性评估框架,并结合社区参与模式的差异,对旅游发展前后乡村农户的生计韧性变化进行评估和比较,据此提出乡村旅游地农户生计韧性的提升对策。结果表明：（1）旅游发展对乡村农户生计韧性的建构存在正负效应,既能有效提升农户生计抵御能力,也会显著加大生计环境的风险;（2）总体而言,旅游发展能有效地提升乡村农户的生计韧性;（3）在不同的社区参与模式下,旅游发展对乡村农户生计韧性的改善效果不同,社区参与旅游发展的程度越深,农户生计韧性水平就越高;（4）旅游发展越成熟,旅游对乡村农户生计韧性的影响就越显著。基于此,要积极加大乡村旅游地农户生计风险的评估和监测力度,大力提升乡村旅游地社区和农户的旅游参与能力和水平,全面提升社区的自治水平和强化社区机构力量,以构建共建共享共赢的利益联结机制为核心,推动乡村旅游地社区农户生计的韧性建构和持续发展。     

农民合作社参与行为能否提高农户生计韧性?——基于四川涉藏地区的样本

提高农户生计韧性是巩固拓展脱贫成果、阻断规模性返贫的必然要求。农民合作社作为现代农业经营主体,以其持续壮大的发展规模及其多样化的组织形式,对于提升农户生计能力产生着越来越重要的影响。文章基于四川涉藏地区的调研样本,采用“缓冲能力—自组织能力—学习能力”的生计恢复分析框架来测度生计韧性,运用logit、多项logit和倾向得分匹配的方法,分别检验了农户参与合作社意愿的影响因素、农民合作社参与行为对农户生计韧性提升的影响以及参与不同类型合作社对农户生计韧性提升的异质性影响等。研究结果表明,农户参与合作社行为受户主性别和年龄、家庭常住人口数、合作社类型和合作社销售渠道等因素共同影响;参与合作社行为能够有效提升农户生计韧性,且农户自发组织型合作社对农户生计韧性的提升效果优于企业组织型合作社以及政府(村党支部)组织型合作社。基于农民合作社在提升农户生计韧性中发挥着重要作用这一研究结论,文中提出必须大力培育并有序引导农民合作社的发展,加大宣传力度,激发农民参与合作社的意愿,并以政策为导向,建立合作社与农户之间的利益分享机制,以全面保障农户生计韧性持续提升。     

国家、基层精英、农民互动视角下的日本近世农村社会治理

在日本近世的农村社会治理中,幕藩国家凭借强大的武力完成了对村落的型塑,并通过完备的制度体系和在地权力、文书传达实现了对农民的制度约束和对农村社会的权力渗透。以"村役人"和"大庄屋"等为代表的"身份的中间层",全面执掌农村基层事务,解决了兵农分离所带来的治理困境,将幕藩权力相对化,成为具有独立性的在地权力。农民面对幕藩国家权力和村役人、大庄屋的在地权力,其对基层事务的主体性并没有被彻底压制,而是广泛参与基层事务,并对幕藩国家的掠夺展开了持久抗争,对在地权力和幕藩国家权力形成了反向制约。由此,日本近世的农村社会治理既不是村落单方面的"自治",也不是幕藩国家单方面的"他律",而是形成了幕藩国家、在地权力、农民三者并立的"抗衡共生型三元主体治理",显示了日本近世农村社会的特性。     

乡村振兴不是乡村过度产业化

正在农业方面,长期以来,人们习惯于将现代农业和资本进入农业的规模经营看作是农业发展的唯一途径,而基于中国人多地少的国情,小农农业仍是农业生产的主要方式,且为农民家庭生活提供了生计保障。在现实中,由行政手段和资本主导下的"去小农化"过程将小农生产方式视为"落后生产方式的残余"予以清除,而自上而下和自下而上的农业资本化动力正在加剧农村社     

Reforestation and smallholder livelihoods in the humid tropics

Smallholder livelihoods and the restoration of tropical forests are intimately intertwined. To address the question of how reforestation affects livelihoods and how they in turn affect reforestation, a meta-synthesis was undertaken of 339 scientific publications identified from a systematic literature search. This study is focused on smallholders in the humid tropics, and uses the Sustainable Livelihoods Framework, which was developed by the UK Department for International Development as the framework for analysis. The links between reforestation and livelihoods are found to be diverse and highly interconnected. Reforestation is only one of a smallholder’s activities and typically forms part of a mosaic of land uses across a landscape. Therefore, reforestation should be designed, managed and evaluated under the perspective of a diverse livelihood portfolio, and not as a single activity isolated from other portfolio components, especially under current landscape approaches. It is important for reforestation to be a complementary rather than a competitive livelihood activity. Reforestation has great potential to address poverty, and to increase smallholder socio-ecological resilience and local social equity. However, reforestation outcomes are often suboptimal. Assessing smallholder capacity and the surrounding environment prior to reforestation, and addressing limiting local capacities and conditions in a timely manner, may enhance the likelihood of optimal benefits.     

Pathways for impact: scientists' different perspectives on agricultural innovation

This paper takes the viewpoint of a social scientist and looks at agricultural scientists' pathways for science impact. Awareness of these pathways is increasingly becoming part and parcel of the professionalism of the agricultural scientist, now that the pressure is on to mobilize smallholders and their productive resources for (global) food security and for reducing persistent rural poverty. Significant new thinking about pathways is emerging and it is useful to present some of this, even if it is not cut-and-dried. This new thinking focuses on innovation, not as the end-of-pipe outcome of development and transfer (or ‘delivery’) of results of research to ‘ultimate users’, but as a process of technical and institutional change at farm and higher system levels that impacts on productivity, sustainability and poverty reduction.

This paper will review technology supply push; farmer-driven innovation; market-propelled or induced innovation based on the agricultural treadmill; participatory technology development; and innovation systems. The pathways reviewed all have their merits; the paper will assess them from the perspective of improving smallholder productivity and livelihoods.

This paper concludes that many agricultural scientists have not developed their thinking about how the fruits of their work can help make the world a better place. This is a flaw in their professionalism. Curriculum development, training, promotion criteria, standards used in refereeing journal articles and research funding could benefit from taking on board understanding of pathways of science-for-impact.     

The fragmented politics of sugarcane contract farming in Uganda

In the last decade, contract farming has regained momentum among policymakers and global development agencies as a tool to promote inclusive rural development and responsible investments. Integrating smallholders within global, regional and national agricultural value chains, we are told, represents the sine qua non for alleviating rural poverty. In Uganda, under the label of out-grower schemes, contract farming is currently undergoing massive expansion, driven especially by the boom in sugarcane cultivation. Drawing from three case studies of sugarcane contract farming in Uganda, the paper re-politicizes the debate around contract farming by looking at the power relations within which these schemes are embedded. We argue, what is seen in Uganda's expansion is a political dynamic derived both from the major dislocations and dispossessions required to establish the plantation estate and its work force, as well as from the effort to bring many smallholders using unimproved methods on land with sometimes unclear tenure arrangements into contracted arrangements for supplying sugarcane. The result has been highly contentious politics around sugar's expansion, where struggles over land dispossession merge with those around exploitative wage labour, around the loss and transformation of livelihoods, and around debt, power inequalities and environmental harm, a matrix in which state violence and co-optation are ever-present.     

Is Oil Palm Expansion a Challenge to Agroecology? Smallholders Practising Industrial Farming in Mexico

Agroecology has become a powerful alternative paradigm for rural development. In contrast to conventional approaches, this paradigm shifts the emphasis from technology and markets to local knowledge, social justice and food sovereignty, to overcome rural poverty and environmental degradation. However, the spread of this approach faces several obstacles. This paper deals with one of these obstacles: the ‘preference’ of smallholders for industrial farming. We specifically analyse the widespread uptake up of oil palm by smallholders in Chiapas. Contrary to agro‐ecological assumptions, oil palm proved favourable to smallholders in Chiapas because of historical and contemporary state–peasant relations and the advantageous economic circumstances within the oil palm sector. Based on this research, we identify four challenges for agroecology: (i) the existence of contradictory interests within the peasantry as a result of social differentiation; (ii) the role of the state in making conventional development models relatively favourable to smallholders; (iii) the prevalence of modernization ideologies in many rural areas; and (iv) the need for this paradigm to acknowledge smallholders' agency also when engaged in industrial farming. These challenges need to be tackled for agroecology to offer viable alternatives in a context of agro‐industrialization.     

Food first! Theorising assets and actors in agroforestry: risk evaders,opportunity seekers and ‘the food imperative’ in sub-Saharan Africa

Despite widely recognised and well-established benefits, it is difficult to adopt the multifunctional activity of agroforestry into the landscape and lifeworld of small-scale agriculture, if poverty, itself a main reason for adopting agroforestry, stands in its way. Based on participant observations and interviews with small-scale farmers in western Kenya, we explore and theorise agroforestry adoption as a process of socio-ecological and socio-technological change. Proceeding from sustainability science and a modified livelihoods approach we use grounded theory in ‘narrative walks’ to analyse adoption and non-adoption of agroforestry in a setting where farmers continuously interpret, adjust to and invest in their environment. Given the diversity and complexity of such livelihoods, the analysis is structured around reproductive and productive chains, strategies and practices defined by uncertainty and risk, and conflicting interests. Findings indicate that food secure farmers may act as entrepreneurially inclined ‘opportunity seekers’ and venture into agroforestry, whereas the ‘food imperative’(alongside the ‘health imperative’) makes it more difficult for agroforestry to take root among the ‘poorest of the poor’ who act as ‘risk evaders’. Hence, agroforestry adoption must be understood within an integrated human–environment frame recognising the socio-ecological relations of technology adoption and the wider political aspects and power structures of food security.     

Community resilience,policy corridors and the policy challenge

This article discusses the complex interlinkages between community resilience and the policy challenge, linked especially to the notion of state-led policy corridors and who should be in charge of the ‘global resilience transition’. State policies affect every community within a nation state either directly or indirectly, and pathways of change are channelled into specific ‘corridors’ which can have both malign and benign repercussions for community resilience. While the most effective policies are usually tailored specifically at the needs of particular communities and dependent on appropriate timing of policy implementation, state policies also often lead to a reduction of community resilience. The increasing embeddedness of most communities into the global capitalist system also makes it difficult to raise resilience and trade-offs become inevitable. In many communities (often in the global South) policies may have to focus on preventing further loss of resilience at community level, while in others (often in the developed world) the focus may have to be on the rediscovery of strongly resilient pathways. A new contract between the state and communities may have to be established, as new forms of institutionalisation, regulation and spatialisation become significant in the uneven development of spaces of resilience where the rediscovery of strong resilience has to become an inherently moral process. Building strong community resilience is often an endogenous process linked to local customs that, at times, may operate, change and influence decision-making outside of the state policy realm, although community-level actors cannot always be left alone to guide their own resilience pathways without interference from the state. Some external regulation of resilience transitions may be needed and in most cases the state has to play at least some role in guiding and influencing the transition towards strong community resilience – i.e. resilience is not ‘made’ and does not emerge out of a vacuum, but it is transferred through complex processes of policy and other exchanges between communities and wider society.     

Introduction to symposium: Smallholders in communist and postcommunist societies

The primary contributions of smallholders during the communist and early postcommunist periods have been food production and labour for large farms. Those conditions are changing, however, as modern farms require less labour and food supply may be imported. For most smallholders in Central and Eastern European and former Soviet Union countries, the postcommunist neoliberal environment has not brought significant improvement, and strong arguments can be made that land grabbing, social and economic exclusion, and rural poverty are worse than regime bias during the communist period. Cooperatives, which have empowered smallholders in other parts of the world, have not been as well developed in postcommunist nations.     

Evaluating irrigation investments in Malawi: economy‐wide impacts under uncertainty and labor constraints

Irrigation expansion is critical to increase crop yields and mitigate effects from climate change in Sub‐Saharan Africa, but the low profitability has led to little irrigation investments in the region so far. Using an integrated modeling framework, we simultaneously evaluate the returns to irrigation arising from both economic and biophysical impact channels to understand what determines the profitability of irrigation in Malawi. Our results confirm that the returns to irrigation cannot cover the costs in Malawi. While labor‐intensive irrigation expansion leads to unfavorable structural change in the short‐run, the profitability hinges on low irrigated yields that fall far from expectations due to insufficient input use and crop management techniques. On the other hand, we find that the nonmonetary benefits of irrigation regarding higher food security, lower poverty, and reduced vulnerability to climate change make investments in irrigation worthwhile to improve the livelihoods of smallholders.     

经济、人口视角下的城镇化与贫困：线性与U型关系基于中国省级面板数据的实证分析

目的 城镇化是影响经济增长和贫困减缓的关键要素,对于城镇化和减贫之间关系的探究具有重要的理论和现实价值。方法 文章基于1999—2018年我国30个省（市、自治区,不包括港澳台和西藏）的面板数据,运用固定效应模型、工具变量法等,分别从人口城镇化和经济城镇化的角度出发,对城镇化和贫困之间的关系进行深入研究。结果 （1）城镇化具有显著的减贫效应,人口城镇化和经济城镇化均能有效降低农村贫困程度。（2）人口城镇化与贫困之间呈U型关系,而经济城镇化对贫困的影响是单向负相关。（3）我国城镇化减贫效应的区域差异明显,相对于东部地区来说,城镇化对于中西部地区的减贫效应更显著。结论 城镇化是减贫的重要途径,但过度的人口城镇化会加剧贫困,城镇化减贫的重点在于与人口城镇化相匹配的经济城镇化水平同步提高,方能达致减贫。所以应全面提升城镇化规划的科学性、基础设施的建设质量和经济发展水平,合理推进城镇化的减贫进程。     

Market-based grazing land transfers and customary institutions in the management of rangelands: Two case studies on the Qinghai-Tibetan Plateau

Beginning in the early 1990’s, grazing lands once held in common were contracted to individual households in the rangeland regions of China. The resulting fragmentation of rangelands has led to ecological and social problems. As China seeks to address intractable poverty and rangeland degradation, attention has turned to rental, or transfer, of contracted grazing land as a market-based approach to re-aggregating grazing land into larger units that support economies of scale. However, given that many pastoral regions still maintain community customary institutions, what the relationship between market mechanisms and local customary institutions should be in rangeland management needs further analysis. This paper applies comparative case studies of two types of relationships between market mechanisms and customary institutions: (1) market mechanisms that replace customary institutions in the case of Axi village, and (2) market mechanisms that are embedded within customary institutions in Xiareer village. This allows contrast of the impacts of differing approaches on livelihoods, livestock production, and wealth differentiation among pastoral households. We found that there is a higher level of livestock mortality, lower livestock productivity, and higher livestock production cost in Axi Village compared to Xiareer Village. In addition, household asset levels are higher and there is less income differentiation in Xiareer Village. It is concluded that embedding market mechanisms within customary institutions has had notable benefits for the herders of Xiareer Village, because it is a better fit to the coupled pastoral social-ecological system. Based on these findings, we argue that in pastoral communities where the rangeland transfer system for contracted grazing land has not yet been implemented, it is critical to reconsider China’s current policy approach to pay greater attention to the innovative management systems being developed in local regions. Instead of considering market-based approaches as oppositional to traditional institutions, options that derive from the interaction of market-based and customary institutions should be considered.