【作者】 朱玉蓉；

【导师】 杨锦秀；

【作者基本信息】 四川农业大学 ， 农业经济管理， 2013， 博士

【摘要】 长期以来,我国都高度重视少数民族地区经济社会发展,先后制定出台了一系列重大政策措施,有力促进了少数民族和民族地区经济社会的发展。但由于历史、自然、社会等原因,我国民族地区社会公益事业投入不足,交通、通信、教育、科技、文化、卫生等公共服务滞后,劳动者受教育程度低,应用科技能力低。扶持民族地区发展教育事业、加强民族地区人才资源开发,提高农民素质,是在激烈的市场竞争中增强少数民族农民的就业能力和自身造血功能,活跃民族地区农村经济的重要手段和途径。按照我国民族地理区划,西南少数民族地区包括云南省、贵州省及四川省,是我国少数民族最集中的地区。近年来,“农村劳动力转移培训阳光工程”、“新型农民科技培训工程”、“农民创业培训工程”等一系列农村公共资助就业培训工程在西南少数民族地区广泛开展。农村公共资助就业培训是政府为提高农民素质,促进农村经济发展而进行的一项公共服务项目,其服务水平如何,是否充分考虑农民的利益诉求,是否实现了预期目标,是学术界和各级职能管理部门所关心的问题。基于此,本文在分析农村公共资助就业培训的形成及运行机理的基础上,对培训实施效果进行理论预期,并基于逻辑框架法构建了公共资助就业培训实施效果评估的理论模型,综合运用非参数检验法、最优尺度分析法、多层线性模型、局部线性回归匹配法等多种计量方法对培训实施效果进行了过程评估和结果评估,讨论了不同民族、省份及过程评估结果下的培训实施效果差异,并得出以下主要研究结论如下：(1)农村公共资助就业培训在多种内在、外在的因素推动下形成。现代农业发展和农民城市社会化是农村公共资助就业培训形成的动力；市场和政府的双重失灵是农村公共资助就业培训形成的根本原因；私营培训组织的主动性和有力的政府政策导向是农村公共组织就业培训形成的条件。(2)农村公共资助就业培训的供给过程中存在“柠檬市场”问题,农村公共资助就业培训过程中的信息不对称现象导致农村公共资助就业培训产品质量难以提高,并可能持续下滑,使培训无法得到实质性的实施效果,导致社会资源配置效率的下降,降低社会福利。农村公共资助就业培训是一个包含培训需求表达、决策、筹资、生产、分配、激励和监督的完整流程,培训运行的每一个或多个过程都对应着阶段性的实施效果,而这些实施效果的好坏决定着培训的最终效果。对农村公共资助就业培训实施效果的评估应该关注培训的整个流程,过程评估与结果评估相结合。(3)西南少数民族地区公共资助就业培训在培训地点和培训语言两个维度上培训供需契合度较高,但整体上存在供需不平衡,且不同省份的供需差异存在维度差别,参与过培训的农民和未参加培训的农民在培训需求上也存在一定程度的差异,培训对象错位现象严重。(4)西南少数民族地区农民参与公共资助就业培训的程度较低,不同个体特征农民参与度存在一定差异；不同培训要素构成的培训中,农民参与度特征各异。由培训供需契合度、培训考核、培训合格证书的合理颁发、当地产业发展状况等因素都对农民培训参与度有积极影响。(5)西南少数民族地区农民培训的难度较为适宜,但实用性并不理想,农民对培训知识的应用程度总体偏低。培训内容、层次及语言的契合度、农民参加培训的次数、农民参训积极性、参与度、合作社数量及村庄产业发展都对农民掌握培训知识和技能有显著的积极影响；农民对培训技能的掌握程度、培训内容的契合度、培训动机的自主性、文化程度、村庄学习氛围和产业发展都正面影响着农民对培训所学知识的转化程度。农民性别、年龄、民族、对培训预期及培训考核对培训学习效果影响不显著。(6)西南少数民族地区种养殖培训对农民现代农业适应能力的作用效果高于转移就业培训；不同要素特征的培训效果存在差异,政府直接组织模式、课堂培训对农民就业能力的提升作用分别高于政府购买模式、现场指导培训效果；“一事一训”短期种养殖培训对农民提高现代农业适应性的作用低于证书培训,但在转移就业培训提升农民城市适应性的作用中则正好相反；西南少数民族地区公共资助转移就业培训存在培训对象错位的问题,培训供需契合度及农民参与程度越高、农民培训学习效果越好的培训,提升农民就业适应能力的作用越显著。(7)西南少数民族地区种养殖培训能够较大幅度提高农民收入,但转移就业培训未能提高农民收入,反而放缓了农民收入增长的速度,且政府直接组织模式和“一事一训”短期培训的作用效果相对其他模式和方式更有效；不同供需契合度样本中,种养殖培训和转移就业培训对农民个人收入和家庭收入的影响效果差别不大；较高的农民参与度及农民培训学习效果都能促进培训实现农民增收的实施目标。本文的特色与创新之处：(1)从信息不对称角度分析了公共资助就业培训效果的理论预期效果。本文利用柠檬市场理论分析结果表明,在信息不对称且监督不力的情况下,农村公共资助就业培训市场上低质量培训产品将不断驱逐高质量培训产品,使农村公共资助就业培训产品质量出现持续下滑现象,培训无法得到实质性的实施效果,导致社会资源配置效率的下降,降低社会福利。(2)关注农民培训参与程度,建立了一个包含村庄及个体异质性的两层参与度影响因素模型。前人的研究主要通过大样本调查,采用量化的研究方法分析农民参与培训的意愿,从个人、家庭和社会经济等多方面考察了农民参与就业培训意愿的影响因素。专门针对农民就业培训参与度及其影响因素这一范畴的文献鲜有涉及,对影响因素的分析也未考虑数据分层导致的异质性问题。本文不仅对农民参与培训程度及影响因素进行了分析,并且运用多层线性模型有效避免了传统回归方法因案例同质性而导致的分析结果异常等问题。(3)论文运用多水平异质性工具变量模型,估计公共资助就业培训实施效果,提高估计结果的准确度。本文在考虑数据分层结构的基础上,运用局部线性回归匹配法估计培训对农民就业适应能力和收入的平均干预效果。这种方法从那些更接近相配者的对照中获取更多信息而降低距离更远观测权重的方式,使用潜在对照样本中的所有个体来进行匹配,减少了因不可观测的混杂因素影响而形成的估计偏差,提高的培训效果的估计的准确度。更多还原

【Abstract】 Our country has long attached great importance to the economic and social development of minority nationality regions, and has formulated a series of major policies and measures, effectively promoted the economic and social development of minority nationality and minority nationality regions. However, due to historical, natural, social and other reasons, social welfare undertakings in minority nationality regions in China is insufficient, and for the reasons of the lag of transportation, communications, education, science and technology, culture, health and other public service, the workers have less education and more application of science and technology ability is low. Supporting education in minority nationality regions, to strengthen human resource development in the minority nationality regions, improving farmers’ quality, is an important means and way to enhance employability of ethnic minority farmers and its hematopoietic function, to active rural economy in ethnic areas, faced with fierce market competition. According to national geographic regionalization in China, Yunnan, Guizhou and Sichuan province are included in southwest minority nationality regions, which is the most concentrated area of the minority nationality in China. In recent years, a series of rural publicly funded employment training projects are carried out widely in southwest minority nationality regions, which are included the "sunshine project of the training for rural labor transfer","new farmers science and technology training project","farmers’ entrepreneurship training project" and so on. Rural publicly funded employment training is a public service project for the government to increase the farmers’ quality and promote rural economic development. What concerned the academic and administrative departments is the training service level, whether fully considered to the interests of farmers, and whether to achieve the expected goal.As for this reason, based on the analysis of the formation and operation mechanism of the rural publicly funded job training, the dissertation makes the theoretical expectations of the implementation effect of training and constructs a theoretical model to assess the training implementation effect, quantitative analysis the present situation of rural publicly funded employment training in southwest minority nationality regions, at the same, the training effect of the process evaluation and outcome assessment are made, and discusses the implementation effect evaluation results of different process under training. Finally, the main research conclusions are reached as follows:(1) The rural publicly funded employment training is formed in the driving factors of many internal, external conditions. The development of modern agriculture and urbanization of farmers’ quality request is the impetus in the formation of the rural publicly funded employment training; The double failure of the market and the government is the root cause of the formation of the publicly funded employment training in rural areas; Active private training organizations and powerful government policy guidance is the conditions for the formation of the rural public organization of employment training.(2)"Lemon market" exists in the supply of publicly funded employment training process in rural areas, information asymmetry phenomenon in the process of rural public funding employment training leads to the rural publicly funded job training hard to improve product quality, and may continue to decline, so that training is unable to obtain the substantial effect, lead to a decline in the efficiency of resource allocation and social welfare reducing. The rural publicly funded employment training is an entire process, which concludes training requirement expression, decision-making, financing, production, distribution, incentives and supervision. Each one or more process in the training running corresponds to the periodic implementation effect, which determines the final effect of training. For the accessing the implementation effect of rural publicly funded employment training, the entire training process should be focused, combining the process evaluation and result evaluation.(3) The publicly funded employment training in the southwest minorities area has a high degree of training supply and demand fit on the two dimensions of the training venues and training language, but overall there is imbalance between supply and demand, and there is a dimension of difference and the difference between supply and demand between the different provinces. Involved and norr-involved farmers are also different in training needs, and the training object dislocation phenomenon is serious as well.(4) Famers’ engagement level in the publicly funded employment training is low in the southwest minorities area, and engagement differ for different individual characteristics farmer; Farmers’ engagement characteristics are varied in different elements training. These factors included fit between supply and demand of training, training assessment, training certificate issued reasonable and local industry development, have a positive effect on farmers’ training engagement.(5) The difficulty of farmer training in southwest minorities regions is relatively appropriate, while the practicality is not ideal, for farmers training knowledge application degree is low in general. The training content, structure and language of the fit, the times of farmers participated in the training, the enthusiasm of the farmers participation in training, the number of the local cooperation and the village industry development have significant positive impact for farmers to master training knowledge and skills; the elements have positive influence on the conversion degree of farmers training knowledge, which are included the farmers training skills mastery, the training content fit, the autonomy of the farmers’training motivation, education, village learning environment and industrial development. While, farmers’gender, age, ethnicity, training expectations and training assessment have no significant effect on the training learning effect.(6) The improving speed of farmers’adaptability for the modern agriculture increased by plant and aquaculture training is greater than the intervention effect of transfer employment training for farmers City adaptability; There is difference in different characteristics of training effect, and currently, government organization mode, classroom training,"a training about" short-term training effect to the promotion of farmers’ employment ability, respectively, higher than the government buying patterns, on-site guidance and certificate training effect; There exists a problem of training object dislocation in the publicly funded transfer employment training in southwest minorities area, and the higher the level of training supply and demand fit and peasants to participate in the training and the sounder the effect of farmer learn in training, the more significant role played in improving farmers’ employment adaptation ability.(7) Training to enhance the treatment effect of the participants to the total household income is less than the treatment effect of not participating in the training and have a negative impact on the growth of non-farm income of farm families; In southwest minorities area, non-farm employment training effects on farmers’ income is less effective than training in planting and breeding, and the effect of direct government organizational model and "of a training" short-term training is more effective compared to other mode and manner; In different supply and demand fit samples, the effect on farmers’ income and household income is not very different between the types of planting and breeding training with transfer employment training; The higher farmers participation and training learning effect can promote achieving the target of increasing the farmers’ income through training.The characteristic and innovation of this dissertation:(1) Analysis the theory expected effect of effect of the publicly funded employment training from asymmetric information angle. The analysis results of this dissertation using the theory of lemon market show that, in the case of asymmetric information and lack of supervision, the low quality of training products will continue to drive high quality products in the rural publicly funded employment training market, which makes the quality of rural publicly funded employment training products falling phenomenon appear, training cannot get substantial effect, led to a decline in social resource allocation efficiency, reduce the social welfare.(2) Pay close attention to farmers’ participation in training, and set up a model concluded village and individual heterogeneity in the two layers of participation influence factors. The previous research mainly analysis farmers’ willingness to participate in the training through a large sample survey using quantitative research methods, inspecting the influence factors of the will of peasants to participate in employment training from individual, family and social economic aspects. Rarely involved with the category of literature which is specifically for the peasant employment training participation and influence factors, also did not consider the problem of heterogeneity led by data hierarchy with the analysis of the influence factors. This dissertation not only analyzes the farmers’participate in the training and influence factors, and also employs the multi-layer linear model which can effectively avoid the heterogeneity result due to the case homogeneity in traditional regression method.(3)The dissertation implants a multi-level heterogeneity instrumental variable model to estimate the implementation results of publicly funded employment training, and to improve the accuracy of estimated results. Based on considering the hierarchical data structure, this dissertation uses local linear regression method to estimate the average intervention effect of training for farmers’ employment adaptability and income. This method obtain more information from the control of those closer to reduce the distance farther observation weights, using all the potential individual reference samples for a match, to reduce the estimation bias formed from unobservable confounding factors, and to improve the accuracy of the training effect estimation.更多还原