【作者】 张曦；

【导师】 陈赤平；

【作者基本信息】 湘潭大学 ， 政治经济学， 2013， 博士

【摘要】 贫困是一个不断演化的概念，正视贫困并采取积极有效的举措降低贫困发生率，减缓贫困程度，是理所当然而势在必行之事。不论是从外在表现还是内在原因来看，贫困都具有多维度特征，往往涉及到政治、经济、文化、教育等多个层面。事实上，贫困状态不仅外在表现为收入与消费水平的低下，更是一种内在的能力缺位现象。因此，从贫困根源入手考虑扶贫问题，重在对贫困者能力的培养。就现状而言，我国贫困所呈现出的连片特困局势已经引起了越来越多的关注，以往的扶贫模式已不再适应这一新形势。考虑及此，参与式扶贫模式的提出与实施有其必然性与必要性。然而，尽管参与式扶贫模式响应了当前主流的贫困与反贫困观点，其具体实践效果却不尽如人意，存在扶贫资金使用效率低下、扶贫瞄准精度较差、贫困者参与程度欠佳等亟待解决的现实问题。对连片特困地区参与式扶贫模式运行绩效进行评价，探讨其存在的问题，并提出行之有效的解决方式，是本论文研究的基本出发点。为此，基于DEA基本理论与方法，我们确立了两个相互联系的指标体系，其一是贫困的多维度测度指标体系，其二是参与式扶贫绩效评价指标体系，两者具有DEA评价模型相同框架，都可以用以测评反贫困绩效。贫困多维度测度指标体系涵盖经济发展、医疗卫生、人口素质、居住环境多个维度，采用DEA方法确定指标权重，以DEA输出效率指标值反映贫困状态，在多准则意义下测度对象所处的福利状态。参与式扶贫绩效评价指标体系则借助标准的DEA输入-输出框架，通过对参与式扶贫模式广度与强度的量化，测评其对贫困发生率与贫困程度的影响，从而完成具体扶贫举措的相对有效性评价。两个指标体系的区别是明显的，前者借助贫困测度以间接方式评价扶贫举措有效性，而后者则直接评价扶贫举措的反贫困效果。以DEA理论与方法探讨贫困问题，在贫困测度基础上考察参与式扶贫绩效评价，这是本文研究的主要特色。进一步地，我们利用所构建的贫困测度指标体系评价了贵州省88个县域单位的贫困状态，并指出处于连片特困区域的66个县域单位的贫困聚类现象。在贫困测度基础上，我们借助DEA-Logistic回归模型考察了经济增长、县域单位行政属性、自治县属性、城镇化进程等因素对贵州省县域单位贫困状况的影响，以一种间接的方式评价了代表性连片特困地区参与式扶贫模式的运行绩效。实证分析结果表明：城镇化水平可显著解释参与式扶贫绩效。最后，考虑到连片特困地区的贫困特征及参与式扶贫绩效实证分析结果，我们提出了若干政策建议，以提升参与式扶贫绩效，减缓连片特困地区贫困程度，降低其贫困发生率。主要包括：加强扶贫资金项目管理，优化目标绩效考评指标体系；加强片区之间的协同与合作；因地制宜开展参与式扶贫开发项目；强化连片特困地区基础设施建设；重视连片特困地区人力资源开发；加快城乡一体化进程，等等。概言之，我们构建了一个参与式扶贫绩效评价的概念性分析框架，全方位地运用DEA理论与方法进行绩效评价，并将之应用于连片特困地区贫困问题研究，认为确有必要采用参与式扶贫模式进行扶贫开发，但在其具体实施过程中也暴露出针对性不够、过度典型化、贫困者被绑架等具体问题，针对这些问题，提出了若干政策建议。本文的创新也体现在这几个方面。更多还原

【Abstract】 Poverty is a constantly evolving concept. Following the view of relativepoverty, poverty is inevitable phenomenon that could happen in any stage of socialdevelopment with any social system. So it is necessary and imperative for us to faceup this problem and take positive and effective measures to alleviate the incidence ofpoverty and the extent of poverty.No matter whether it is viewed from outward manifestation or internal causes,poverty is multidimensional which is often related to politics, economy, culture,education and other aspects. In fact, poverty is not only the outward manifestation ofthe low level of income and consumption, but deprivation of intrinsic ability.Therefore, starting from the ultimated causes, the key to solve the problem ofpoverty is to cultivate the ability of the poor. Our country, being what it is, hasformed special situation in continuous destitute areas. The previous mode of povertyalleviation is not suitable for the new situation. Considering all of this, it’s inevitableand necessary to propose and implement participatory poverty alleviation mode.However, despite the participatory poverty reduction mode in response to theview of current mainstream about poverty and anti-poverty, the effect in specificpractice is not satisfactory. There are some urgent realistic issues to be solved, suchas low fund-utility efficiency, poor poverty alleviation aiming accuracy, poorparticipation of the poor and so on. It is the fundamental starting point of this thesisto evaluate the operational performance of participatory poverty reduction mode incontinuous destitute areas, to explore its problems and then propose effectivesolutions.Therefore, based on the basic theory and method of the DEA, we establish twointerrelated index system, one of which is a multi-dimensional poverty measurementindex system, and the second is a participatory poverty reduction performanceevaluation index system. They have the same frame of DEA evaluation model, andboth of them can be used to measure anti-poverty performance. Multi-dimensionalpoverty measurement index system covers multiple dimensions, such asdevelopment of economic, health care, the quality of the population, livingenvironment. And at the same time, we employ the DEA method to determine theweight and to reflect the state of poverty by DEA output efficiency indicators, aiming to measure the welfare state of the object in multiple criterions. By means ofstandard the DEA input-output framework in which the breadth and strength of theparticipatory poverty reduction mode are quantified, participatory poverty reductionperformance evaluation index system can measure its impacts on the incidence ofpoverty and the extent of poverty and then complete the relative efficiencyevaluation of specific poverty alleviation measures. The difference is obviousbetween the two index systems. The former indirectly evaluates the efficiency ofpoverty alleviation measures by measuring poverty, while the later directly evaluatethe anti-poverty efficiency of poverty alleviation measures.Furthermore, taking advantage of the established poverty measurement indexsystem, we evaluate the states of poverty in88county units of Guizhou provinceand point out the poor clustering phenomenon existed in66county units in thecontiguous poor areas. Based on the consequence, we examine these causes whichlead to poverty in county units of Guizhou province such as the economic growth,the attribute of county administrative unit and autonomous county, urbanizationprocess and other factors.And then we evaluate representative continuous destituteareas through participatory poverty reduction mode operational performance in anindirect way. The empirical results show that the level of urbanization cansignificantly explain the participatory poverty reduction performance.Finally, taking the characteristics of poverty in continuous destitute areas andthe conclusion from the empirical analysis into account, we propose a number ofpolicy recommendations to enhance the participatory poverty reduction performance,to alleviate the extent of poverty and the incidence of poverty in continuous destituteareas, It mainly involves strengthening the poverty alleviation fund management,optimizing the evaluation index system of objective performance, strengthening thecoordination and cooperation between the areas, carrying out participatory povertyalleviation projects according to local conditions, strengthening the destitute areas ofinfrastructure construction, paying more attention to human resource development incontinuous destitute areas, and speeding up the process of urbanization, and so on.更多还原