财政转移支付与全球民族分离主义运动的发展——基于新政治经济学的理论及实证研究述评  

Fiscal Transfers and Separatism:A Review of Theoretical and Empirical Research of New Political Economy

作　　者：谢宇航 Xie Yuhang

机构地区：[1]西南交通大学公共管理学院,成都610031

出　　处：《区域国别学刊》2023年第6期30-47,153,154,共20页COUNTRY AND AREA STUDIES

基　　金：四川省社科规划一般项目“巴基斯坦财政制度与多民族国家治理经验教训研究”(项目编号:SC22B036)的阶段性成果。

摘　　要：目前,全球范围广泛存在着民族分离主义运动,财政转移支付是各国为维护国家统一采用的重要政策工具。本文评述了三个探讨民族分离主义运动的经典政治经济学理论模型,这些理论模型均认为民族地区分离与否是其成员基于自身利益计算的理性选择,财政转移支付作为一种经济利益,可改变民族地区成员或精英的实际行为决策。其中,AS模型认为,民族地区的离心倾向主要来自少数民族成员对全国统一政策的异质性偏好,因此,可采用基于偏好的转移支付来弥补其承受的异质性成本;D-L-O-W模型在AS模型基础上增加了对地区间收入差异的考量,指出具有偏好异质性的少数民族富裕地区是最具离心倾向的地区,因此,可限制基于收入的转移支付有利于维护国家统一;T-A模型认为,民族政治精英将分离作为一种策略工具以增进自身的政治利益,因此,转移支付在于安抚这些地区的政治领导人。此外,民族距离、其他地区的政治态度以及中央政府承诺的政治可信度等,是现有研究中认为会影响财政转移支付实际政策效果的重要结构性因素。未来可以通过强化因果识别以及纳入转移支付的资源诅咒效应等来进一步深化财政转移支付与民族分离主义运动关系的研究。Currently,there is a widespread presence of ethnic separatist movements globally,and fiscal transfer payments are an important policy tool adopted by countries to maintain national unity.This article reviews three classic political economic theory models that explore ethnic separatist movements.These theoretical models all argue that the decision of whether or not an ethnic region separates is a rational choice made by its members based on their own interests.Fiscal transfer payments are seen as an economic incentive that can influence the actual behavior choices of ethnic region members or elites.Among these models,the AS model suggests that the centrifugal tendencies in ethnic regions mainly arise from the heterogeneous preferences of minority ethnic members regarding national unity policies.Therefore,preference-based transfer payments can be used to offset the heterogeneous costs they bear.The D-L-O-W model builds on the AS model by considering regional income disparities and posits that affluent minority ethnic regions with preference heterogeneity are the most inclined towards separation.Hence,restricting income-based transfer payments is advantageous for maintaining national unity.The T-A model,on the other hand,views ethnic political elites as using separation as a strategic tool to advance their own political interests,and transfer payments serve to appease these regional political leaders.Additionally,factors such as ethnic distance,the political attitudes of other regions,and the political credibility of commitments made by the central government are considered important structural factors that can affect the actual policy outcomes of fiscal transfer payments in existing research.In the future,further research can deepen our understanding of the relationship between fiscal transfer payments and ethnic separatist movements by strengthening causal identification and incorporating concepts like the resource curse effect related to transfer payments.

关 键 词：财政转移支付 民族分离主义运动 经济利益 

分 类 号：D815[政治法律—国际关系]