前　　言

在許多發(fā)展中國家，大多數(shù)最貧困的人群生活在農(nóng)村地區(qū)，并以務(wù)農(nóng)來維持生計(jì)。在這些國家的農(nóng)業(yè)領(lǐng)域進(jìn)行投資，可以提供顯著的發(fā)展和消除貧困的機(jī)會(huì)。因此，在發(fā)展中國家和地區(qū)的政策制定者的議題中，農(nóng)業(yè)投資與減貧是一個(gè)普遍性的話題。

不可否認(rèn)，在全球的外商投資中，對(duì)農(nóng)業(yè)領(lǐng)域的投資不到各行業(yè)總投資的百分之一。大多數(shù)農(nóng)業(yè)國際投資的流向是發(fā)展中國家。此外，一些人認(rèn)為，針對(duì)發(fā)展中國家的農(nóng)業(yè)領(lǐng)域的外商投資將會(huì)增加，推動(dòng)這一趨勢(shì)的力量包括新興經(jīng)濟(jì)體不斷增長(zhǎng)的糧食和肉類消費(fèi)需求，生物燃料使用的增長(zhǎng)，實(shí)現(xiàn)能源安全的努力，其他國家對(duì)自然資源的消耗（尤其是土地和水資源），浮動(dòng)的食品價(jià)格以及農(nóng)產(chǎn)品投機(jī)。

作為一個(gè)致力于消除貧困的組織，樂施會(huì)關(guān)注那些依賴農(nóng)業(yè)為生的人們的生活狀況與生計(jì)水平，并特別關(guān)注投資對(duì)此帶來的潛在變革性影響。通過我們的合作伙伴的努力，我們已經(jīng)看到，外來投資能夠?qū)�農(nóng)業(yè)發(fā)展與減貧發(fā)揮積極作用，并且為貧困的農(nóng)民和當(dāng)?shù)厣鐓^(qū)帶來一系列好處，包括收入增加、技術(shù)轉(zhuǎn)讓、生產(chǎn)力提高、市場(chǎng)準(zhǔn)入權(quán)利和就業(yè)機(jī)會(huì)的增加。然而，經(jīng)驗(yàn)也證明了這樣的投資裹挾著風(fēng)險(xiǎn)，包括強(qiáng)制拆遷、奪取當(dāng)?shù)厣鐓^(qū)的土地、加劇基于土地和水資源的沖突、扭曲常規(guī)的土地所有權(quán)制度、加劇當(dāng)?shù)刂卫韱栴}的復(fù)雜程度、縮小以小農(nóng)為本的農(nóng)業(yè)政策制定空間，以及迫使市場(chǎng)趨向于追逐集中式一體化的農(nóng)業(yè)企業(yè)的利益和交易。

為了更好地了解農(nóng)業(yè)領(lǐng)域的外來投資對(duì)貧困的影響，2012年，香港樂施會(huì)決定與其他樂施會(huì)分支機(jī)構(gòu)和駐地辦公室通力協(xié)作，支持一系列針對(duì)在許多亞非發(fā)展中國家的投資的研究。本書包括該系列的兩個(gè)關(guān)于贊比亞的研究報(bào)告，贊比亞有超過一半的人口以農(nóng)業(yè)為生。

在本書的第一部分，倫敦大學(xué)亞非學(xué)院的Jessica Chu博士對(duì)贊比亞的農(nóng)業(yè)外來直接投資的主要趨勢(shì)和政策進(jìn)行了概述。在第二部分，孟買大學(xué)的Aparajita Biswas教授以印度在贊比亞的農(nóng)業(yè)投資為重點(diǎn)，研究了其性質(zhì)和可持續(xù)性。研究過程中，兩位作者都進(jìn)行了廣泛的文獻(xiàn)綜述、利益相關(guān)者分析和權(quán)力分析。他們還進(jìn)行了實(shí)地考察，在非洲研究專家，如北京大學(xué)的劉海方教授和賈瓦哈拉爾·尼赫魯大學(xué)的Ajay Dubey教授，以及來自印度、南非、英國和贊比亞的樂施會(huì)工作人員的支持下，采訪了廣泛的利益相關(guān)者，包括政府官員、投資公司、學(xué)者和非政府組織。 

我們希望本書提出的分析和建議能夠促進(jìn)對(duì)關(guān)于農(nóng)業(yè)外來投資是不是贊比亞等發(fā)展中國家消除貧困和經(jīng)濟(jì)發(fā)展的動(dòng)力的深入思考和討論，并促成有力的政策改善和持續(xù)行動(dòng)，使這些投資成為使人們擺脫貧困的有效動(dòng)力。

樂施會(huì)感謝所有為在贊比亞的研究貢獻(xiàn)專業(yè)知識(shí)的合作伙伴和工作人員。我們特別感謝劉海方教授的支持，是她使這本書的中英文版得以在中國出版。

梅家永

項(xiàng)目和研究經(jīng)理

樂施會(huì)，北京

2016年12月

FOREWORD

In many developing countries, the majority of the poorest people live in rural areas, and depend on agriculture for their livelihoods. In this regard, investment in the agricultural sector of these countries can present significant opportunities for development and poverty eradication. As such, it is a common element in the discussions and discourse of policy makers in the developing world.

Admittedly, the global foreign investment which goes to the sector of agriculture is less than one percent of the total investment in all sectors. Most of this international investment in agriculture, however, is going to developing countries. Additionally, some contend that such foreign investment in developing countries’ agricultural sector will increase, with the forces driving that trend including a growing demand for food and meat from emerging economies, increases in bio-fuel initiatives, efforts to meet energy security needs, depletion of natural resources (especially land and water) in other countries, volatile food prices, and agricultural commodity speculation.

As an organisation dedicated to combating poverty, Oxfam Hong Kong is particularly concerned about the potentially transformative impacts of investment on the lives and livelihoods of people tied to and dependent upon the agricultural sector. Through the work of our partner organisations, we have seen that foreign investment could play a positive role in agricultural development and poverty reduction and bring a range of benefits to poor farmers and local communities, including earnings increases, technology transfer, higher productivity, market access and job creation. However, experience has also shown that such investment carries the risk of forced evictions, depriving local communities of their land, increasing conflicts over land and water, distorting customary land tenure systems, compounding local governance issues, reducing the policy space for peasant-oriented agricultural policies and distorting markets towards increasingly concentrated agribusiness interests and trade.

To better understand the poverty impacts of foreign investment in agriculture, Oxfam Hong Kong decided to support a series of research on the investment in a number of developing countries both in Asia and Africa in 2012, in collaboration with other Oxfam affiliates and country teams. This book contains the two research reports of the series about Zambia, where its agricultural sector provides livelihoods to more than half of the population.

In the first part of the book, Dr. Jessica Chu of the School of Oriental and African Studies of the University of London provides an overview of the key trends and policies in the agricultural foreign direct investment in Zambia. In the second part, Professor Aparajita Biswas of the University of Mumbai focuses on the Indian agricultural investment in Zambia and examines its nature and sustainability. To undertake the research, both authors conducted extensive literature review, stakeholders mapping and power analysis. They also made field visits, interviewing a wide range of stakeholders including government officials, investing companies, academics and NGOs, with the support of Africa’s experts such as Professor Haifang Liu of the Peking University, and Professor Ajay Dubey of the Jawaharlal Nehru University, as well as Oxfam staff from India, South Africa, the United Kingdom and Zambia.

We hope that the analysis and recommendations presented here will foster thoughtful debate and discussion about the role of agricultural foreign investment as a vehicle for poverty eradication and economic development in developing countries, especially in Zambia, and also lead to strong policies and sustained actions which make the investment an effective force in lifting people out of poverty and deprivation.

Oxfam Hong Kong thanks all partners and staff who contributed their expertise to the research in Zambia. We also extend very special thanks to the support of Professor Haifang Liu, who made possible the publication of the book in China and also in both English and Chinese.

Kevin May

Programme and Research Manager

Oxfam Hong Kong, Beijing

December 2016

導(dǎo)言　四國學(xué)者在贊比亞實(shí)驗(yàn)非洲中心主義的調(diào)查研究

2006年初《中國對(duì)非政策白皮書》的發(fā)表、當(dāng)年11月中非峰會(huì)以空前的規(guī)格和熱情氛圍隆重舉行，讓中非關(guān)系瞬間成為當(dāng)代國際關(guān)系中最為熱門的話題。然而隨著中非合作在各個(gè)領(lǐng)域的風(fēng)生水起，種種明顯帶有偏見、臆測(cè)成分的說法開始甚囂塵上，比如有關(guān)中國公司利用雙邊良好政治關(guān)系在非洲進(jìn)行大規(guī)模圈地的說法。與此同時(shí)，隨著印度緊跟中國，大量增加了在非洲的合作實(shí)踐，關(guān)于印度的圈地傳言在國際輿論界也增加起來，只是遠(yuǎn)沒有針對(duì)中國的那么劇烈。

向來以扶危救困、匡扶社會(huì)公平正義為己任的香港樂施會(huì)，在此前后也開始關(guān)注中非關(guān)系的話題，而且秉承從民眾中來的傳統(tǒng)，積極在社會(huì)大眾層面探討中非關(guān)系的影響，并且以“發(fā)現(xiàn)優(yōu)秀實(shí)踐案例并積極推廣”為弧旳。這與北大非洲研究中心所秉承的堅(jiān)持客觀研究并積極進(jìn)入一線以尋找可以用于啟發(fā)、引導(dǎo)的正能量來逐漸克服中非關(guān)系中的粗糙性的宗旨不謀而合。2012年，筆者開始了第一次與香港樂施會(huì)在非洲問題上的合作，第一個(gè)任務(wù)是與學(xué)生一起，翻譯出版了在贊比亞的樂施會(huì)支持的調(diào)研報(bào)告《贊比亞農(nóng)業(yè)發(fā)展及其對(duì)小農(nóng)生計(jì)的影響》（社會(huì)科學(xué)文獻(xiàn)出版社，2013）。借由報(bào)告中翔實(shí)的關(guān)于贊比亞農(nóng)業(yè)管理框架的分析，很多即將或者已經(jīng)開啟了在贊比亞投資的中國企業(yè)獲益，它們反饋說，這本書非常及時(shí)地為它們的決策提供了指南。中國援助贊比亞農(nóng)業(yè)示范中心的包主任也發(fā)來信件，誠懇地肯定我們的工作并且認(rèn)為報(bào)告有利于他們思考下一步示范中心的走向。

受到鼓舞，加上考慮到贊比亞吸引的包括中國投資者在內(nèi)的各國投資者已經(jīng)數(shù)目可觀，由梅家永協(xié)調(diào)的來自樂施會(huì)國際聯(lián)會(huì)多個(gè)成員的同事和北大的團(tuán)隊(duì)開始探討把贊比亞作為非洲國家的一個(gè)典型案例，詳細(xì)研究中國農(nóng)業(yè)合作者與以往合作者的異同之處，特別是從非洲人受益的這個(gè)角度，從而回應(yīng)國際上有關(guān)中國在非洲大量“圈地”等的輿論，試圖通過實(shí)證性的研究，來證實(shí)或者證偽這些論調(diào)。經(jīng)過多輪方法論研討和周密的文案準(zhǔn)備工作，由梅家永先生、我和研究生宛如組成的調(diào)研小組于2013年8月末出發(fā)去贊比亞。之前，家永通過樂施會(huì)國際聯(lián)會(huì)其他成員已經(jīng)協(xié)商組成了南非調(diào)研小組、印度調(diào)研小組和英國小組，此時(shí)也都分別到達(dá)。整個(gè)“多國部隊(duì)”的組成既有來自各國的多年從事非洲研究的同行，也有樂施會(huì)國際聯(lián)會(huì)成員駐這些國家的代表。更難得的是，樂施會(huì)在贊比亞的團(tuán)隊(duì)提供了辦公室，聯(lián)系了贊比亞方面的種種機(jī)構(gòu)供我們采訪調(diào)研。

研究非洲的各國同行，本來就有格外的共同的“非洲情結(jié)”，將非洲的減貧和可持續(xù)發(fā)展作為衡量的標(biāo)準(zhǔn)，是不言自明的共識(shí)。這是典型的非洲中心（Afro-centrism）的視角，即無論哪個(gè)國家來合作，都不要自說自話、自我宣傳，而是從長(zhǎng)時(shí)段的非洲發(fā)展的歷史縱深來看非洲的特殊性，理解其結(jié)構(gòu)性制約、當(dāng)下的需要和面臨的挑戰(zhàn)；從方法論上，我們希望通過將縱向的非洲發(fā)展和橫向的各國以援助、貿(mào)易和投資方式與非洲合作的種種實(shí)踐作為時(shí)代大背景，將受到爭(zhēng)議的包括中國在內(nèi)的新興經(jīng)濟(jì)體的對(duì)非合作放置在這個(gè)大背景上來分析其成敗得失，既給予更開闊視角的理解，同時(shí)力圖客觀公允地進(jìn)行分析，用更加開放的眼光看待在新興經(jīng)濟(jì)體的帶動(dòng)下新一輪對(duì)非合作的國際競(jìng)爭(zhēng)與熱潮。

兩個(gè)多星期的時(shí)間里，十幾個(gè)人共同住在一個(gè)小客棧，每天早飯時(shí)間交流各自前一天的發(fā)現(xiàn)心得，然后各自去調(diào)研自己國家的農(nóng)業(yè)投資者；部分時(shí)間是大部隊(duì)集體去贊比亞發(fā)展署等部門訪談，大家就在車上繼續(xù)交流。跟這么多同行一起做實(shí)地調(diào)查，這在我近二十年的非洲研究中尚屬首次，收獲大，發(fā)現(xiàn)多，且因?yàn)橐�與其他團(tuán)隊(duì)不斷交流調(diào)研方法在實(shí)操層面的可行性，探討出來可能的新路徑，非要進(jìn)行“深入肌理”的交流切磋不可——對(duì)于大多數(shù)習(xí)慣于孤獨(dú)個(gè)體式工作方式的研究者來說絕對(duì)是一次打破常規(guī)的新鮮經(jīng)歷。相信對(duì)每一個(gè)隊(duì)員，這次考察從方法論和工作方式上的創(chuàng)新都是前所未有的；此后是否還有幸因?yàn)槊芳矣缼ьI(lǐng)的樂施會(huì)團(tuán)隊(duì)的創(chuàng)新精神而促成、凝聚成類似的團(tuán)隊(duì)進(jìn)行集體調(diào)研還未可知。我相信，這次經(jīng)歷會(huì)讓我們中的每個(gè)人都會(huì)在若干年的時(shí)光里慢慢品味那個(gè)開著金合歡和藍(lán)櫻花的院落，那晚風(fēng)中的散步，那一個(gè)又一個(gè)正式和非正式的工作坊，那些工作坊里面說出來和沒說出來的許許多多設(shè)想和嘗試。

倫敦大學(xué)亞非學(xué)院的朱倩文博士候選人原本就在贊比亞調(diào)研，她成為英國團(tuán)隊(duì)的主要調(diào)研者，而且她也愿意承擔(dān)整體上將贊比亞的團(tuán)隊(duì)調(diào)研成果寫成一個(gè)總報(bào)告的任務(wù)。中方團(tuán)隊(duì)的宛如女士（現(xiàn)在已經(jīng)畢業(yè)，在迪拜從事國際金融工作）承擔(dān)了報(bào)告的翻譯工作；印度團(tuán)隊(duì)中孟買大學(xué)的Aparajita Biswas教授和賈瓦哈拉爾·尼赫魯大學(xué)的Ajay Dubey教授共同完成了印度在贊比亞農(nóng)業(yè)投資的分報(bào)告，碩士生馬婕同學(xué)完成了該報(bào)告的中文翻譯工作。我的博士生劉均和我分別承擔(dān)了中英文報(bào)告的編輯、文字加工及校對(duì)工作。不能不提的是，香港樂施會(huì)的梅家永先生、賈麗杰女士、李夢(mèng)瑤女士和蔡睿女士先后在推動(dòng)調(diào)研小組的報(bào)告撰寫和溝通方面發(fā)揮了巨大的作用。沒有樂施會(huì)的同事，沒有他們的執(zhí)著理念和接地氣的工作方式的感召，這次調(diào)研和調(diào)研的成果，都是很難想象的。最后也要特別感謝社科文獻(xiàn)出版社高明秀女士的持續(xù)督促和對(duì)我們的寬容，讓這本書得見天日。

中國在贊比亞投資的案例，我們收錄在隨后的一本論文集里，也即將付梓，歡迎讀者繼續(xù)關(guān)注北大非洲研究中心陸續(xù)推出的農(nóng)業(yè)研究相關(guān)成果。

劉海方

北京大學(xué)非洲研究中心

2016年12月

Introduction：Four countries’ scholars trying

Afro-centric Methodology in Zambia together

The publication of the Whitepaper of China’s African Policy in January 2006, and the successful convention of the first China-Africa Summit in Beijing in November with the unprecedented scale in term of the participation and its special enthusiastic atmosphere, have stimulated the close watch to China-Africa relation since then, and it probably have become one of the most popular topics in the whole International relation arena. However, while the cooperation unfolding in more and more directions, lots of misunderstandings and misperceptions also have emerged towards China’s intentions in Africa, such as the speculations on China’s land grab in Africa. Likewise, as India also geared her diplomacy towards Africa since 2003, and myths on India’s presence in Africa also have ascended.

Oxfam Hong Kong（OHK）, with its consistent vision of empowering people to create a future that is secure, just, and free from poverty, started to pay attention to the emerging markets’ new cooperation with Africa at this point, especially China’s engagement; and what makes it different has been the “bottom-up”approach as usual to look at the positive impacts on the disadvantaged people, and to disseminate among the policy level these “good practices” collected from the grass-root level. This approach obviously is very much shared by Peking University Centre for African Studies (PKUCAS), as we also have been insisting on reflecting current China-African Relations based on our first- hand resource collected on the ground and solid objective findings with concrete inspirations and guidance on how to push China-African cooperationfurther while conquering the roughness in the beginning. The collaboration between OHK and PKUCAS started in 2012 from a small project to translate a report already commissioned by Oxfam in Zambia,namely Assessment of the Status of the Zambia’s Agriculture SectorDevelopment Framework and Its Impacts and Contribution to Improvement of Small Scale Producers’ Livelihoods. After publishing both the English and Chinese versions into a book’s form in 2014, we received lots of very positive feedbacks from different stakeholders, such as Chinese farms that are planning or have done investment in Zambia, or Mr.Bao,the Director of Chinese Agricultural Demonstration Centre in Lusaka about the utility for him to understand better the way forward of the centre. 

With all these encouragement, Oxfam colleagues, coordinated by Mr. Kevin Mei (Jiayong）, and my team decided that we should push things further by carrying on deep research on both China and other Emerging powers’involvement in African agriculture sector given the importance of it for African long-term development. Due to what we had known about Zambia’s good conditions of carrying on Agriculturaldevelopment and its attractiveness to foreign direct investment, we decided to take Zambia as a pilot country. On one hand, we all as Chinese nationals had a pressure to respond to the discourse of China’s land grad in the international media; on the other hand, we hope this empirical research could serve for a thorough understanding of the differences of players from China (and other emerging powers ) and those from traditional powers. 

After many rounds of discussions of methodologies within and without, our team, composed by Kevin, me myself and my MA student Wan Ru, started our field journey to Zambia in September of 2013. Thanks to Kevin’s Oxfam colleagues based in different countries, scholars from India, UK, South Africa also arrived to join us. And Oxfam country team in Zambia had been kindly arranging our accommodations, meetings with relevant organizations, etc. Africanists coming from different countries normally feel close as we all share an “Africa Complex” which may not be understood by experts of other geo-areas. To take poverty alleviation and sustainable development as benchmark is easily a common ground for us and it always goes without saying. This is an obvious Afro-centrism and we agreed among our team members that instead of looking at any particular country’s intervention in Zambia’s agriculture which might end up in trapping ourselves in boasting this or that country’s modality, we would like to look in depth at a group of countries in comparative perspective, and at Zambia’s own long-term development to understand its structural problems, its own needs as well as the challenges ahead. Methodologically, this is to provide both a horizontal axis of African own development and a vertical axis of external involvements to understand the three-dimensioned space that Chinese and other emerging players are entering. With this panorama picture we will be able to reach a reasonable evaluation of these new players’ approach as well as their contribution, and also a balanced understanding on the new international competition on Africa stimulated by new Emerging markets. 

In two weeks’ time, members of this “multinational force” lived together in a cozy guesthouse in beautiful Lusaka, using breakfast time to recap the previous day’s job and discuss and provoke one another. After this gathering together time, we would take our wheels again to visit more farms from our respective four countries. Otherwise, we would all join Oxfam colleagues to visit stakeholders of Zambia, such as Zambia Development Agency; then it would be time for us to share beautiful scenery as well as the time of chatting together. Personally, I never ever had experience like this to conduct field work with a group of colleagues in Africa, and neither thereafter. It is so unique not only because of the collective but also separate investigation experience, but also the way we carried the job together in a shared temporal as well as geographic space, and methodologically we developed this common approach which requested dialogue “as deep as skin texture” among us and constant reflections on possibilities or impossibilities. For any scholar used to the normal “individually solitary approach”, this made a very different experience, which might be not possible if it was not supported by Oxfam with staff members locating different parts of the world and its members helped to identify a group of international colleagues to work together, which was so innovative in term of methods and manners of working. It is also hard to imagine the possibility without Kevin, as coordinator of all different staff members of Oxfam bringing people from four countries and worked so harmoniously and complementarily for two weeks. I also believe for certain that in future all of us would always remember the yard of the guesthouse brimming with fragrance of blue jacaranda and silk trees, together with the beautiful memories of those many formal and informal workshops we had inside and spoken and unspoken ideas and imaginations for African development purpose……

Jessica Chu, candidate of SOAS, London University,back to the time of this research kindly took the job to write the general report on behalf of all the team members; Ms. Wan Ru, helped to translate the English version into Chinese. Prof. Aparajitao Biswas and her colleague Prof. Ajay Dubey from India offered the country case report based on field work carried, and Ms. Ma Jie helped with this part to be translated into Chinese. I, assisted by Mr. Liu Jun, took the liberty to compile the two great reports into one book’s form with all the editing, proof-reading and refining work. I have to properly mention some great names that have contributed to the publication of this book finally, Ms.Jia Lijie, Ms. Li Mengyao, Ms.Cai Rui, Kevin from OHK. Without all of your generous help, this is not possible, and specifically, it is your idealist working manner that has constantly pushed us forward to work for people on the ground. Last but not the least, Ms.Gao Mingxiu, from the Social Sciences Academic Press, has been so encouraging and so tolerant to our delay and finally make this book come out.

We decide that we put our findings on China’s investment in Zambia in another book that we are editing and hopefully it will also come out soon. Thank you in advance for your critical feedback.

Liu Haifang