冯娇^{1, 3,},
陈勇¹,
周立华^{1, 2},
侯彩霞^{1, 3},
王睿⁴
1.中国科学院西北生态环境资源研究院沙漠与沙漠化重点实验室 兰州 730000
2.中国科学院科技战略咨询研究院 北京 100190
3.中国科学院大学 北京 100049
4.西华师范大学国土资源学院 南充 637009
基金项目: 中国科学院寒区旱区环境与工程研究所科技成果转化引导基金项目Y555L11001

详细信息

作者简介:冯娇, 主要研究方向为生态经济与区域可持续发展。E-mail:fengjiao100@163.com

中图分类号:F320

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收稿日期:2018-03-27
录用日期:2018-05-29
刊出日期:2018-11-01

Analysis of vulnerability of poor farmers using sustainable livelihood analysis framework: A case of Pingshang Village in Min County, Gansu Province

FENG Jiao^{1, 3,},
CHEN Yong¹,
ZHOU Lihua^{1, 2},
HOU Caixia^{1, 3},
WANG Rui⁴
1. Key Laboratory of Desert and Desertification, Northwest Institute of Eco-Environment and Resources, Chinese Academy of Sciences, Lanzhou 730000, China
2. Institute of Science and Development, Chinese Academy of Sciences, Beijing 100190, China
3. University of Chinese Academy of Sciences, Beijing 100049, China
4. School of Land and Resources, China West Normal University, Nanchong 637009, China
Funds: the Science and Technology Achievements Transformation Fund Project of the Cold and Arid Regions Environmental and Engineering Research Institute, Chinese Academy of SciencesY555L11001



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摘要
摘要:随着“能力”、“风险”等概念在贫困研究领域的应用，脆弱性以前瞻性的视角成为目前贫困研究的热点。基于可持续生计的脆弱性研究可以有效识别贫困农户中的脆弱群体，指导农村扶贫政策的制定和调整。本文以风险-生计资本-适应能力为界面构建贫困农户的脆弱性评价指标，运用综合指数法重点分析收入、受教育水平、户主年龄及生计资本等因素对农户生计和脆弱性的影响，为扶贫政策制定和相关扶贫研究提供参考。结果表明：1）研究区农户的社会资本和人力资本较高，而自然资本和物质资本偏少，生活水平较低；2）农户的自然灾害风险指标值和经济活动风险指标值相比其他风险指标值较高；3）适应能力普遍较低，且很多应对风险的适应性举措并没有发挥出实际效果；4）农户脆弱性与收入水平、受教育水平负相关，中青年户主型农户的脆弱性最低，老年户主型农户脆弱性最高，资本搭配合理型农户遭受风险的影响小、适应能力强、脆弱程度低。总之，研究区一半的农户遭受着高风险的冲击，生计资本严重缺乏，适应能力低下，脆弱程度很高。因此，贫困地区特别是自然条件恶劣的西北部贫困区，未来扶贫政策的制定应该加强对脆弱群体的识别，把脆弱群体作为前瞻性反贫和减贫的重点研究对象。
Abstract:Traditional researches have focused on the definition, measurement, root causes and reduction strategies of poverty. With the application of concepts such as "ability" and "risk" in the field of poverty research, vulnerability has become a hotspot of poverty research because of its forward-looking perspective. In the face of unfavorable external shocks, poor people generally have high vulnerability. The vulnerability of poverty research can predict the future of poverty, improve the efficiency of poverty reduction and take into account the risk of future shocks and ability to cope with risk. The vulnerability research based on livelihood capital can effectively be used to identify vulnerable groups and guide the formulation and adjustment of rural poverty alleviation policies. Studies of vulnerability to poverty are mainly aimed at the meaning and the measurement of poverty. Domestic literatures combined with actual situation have mostly drawn lessons on foreign to empirical tests with relevant survey data. Taking Pingshang Village in Minxian County as the research area, this paper constructed an evaluation index of vulnerability of poor households from three aspects-risk, livelihood capital and adaptability. We used household index data to analyze the key factors that affect the vulnerability of poor farmers based on the comprehensive index method and according to the divisions of sustainable livelihood framework of livelihood capital. The aim of the study was to provide references for effectively distinguishing vulnerable groups of poor farmers, and establishing and adjusting the policy of rural poverty alleviation. The results showed that:1) social and human capitals of Pingshang Village farmers were high and natural and material capitals low. 2) The farmers' natural disaster and economic activity risk indexes were high. 3) Adaptability was generally low and many adaptive measures to deal with the risk had no practical effect. 4) The vulnerability of farmers was negatively correlated with income and education levels. The vulnerability of young and middle-aged households was lowest, and households headed by the elderly were the most vulnerable. Risk and adaptability were closely related with capital status of farmers. If capital was reasonable, impact of risk was generally small, adaptability strong and fragility low. Half of rural households in the study area suffered high-risk shocks, severe lack of livelihood capital, low adaptive capacity and high levels of vulnerability. Based on the conclusions and actual situations in the study area, suggestions were put forward to reduce vulnerability of poor farmers. This included developing characteristic industries, changing traditional modes, expanding labor markets, improving network systems and establishing mutual help platforms. In order to identify vulnerability of disadvantaged groups at micro-scale, poverty alleviation policies needed to strengthen identification of vulnerable groups. The establishment of poverty vulnerability assessment indicators still needed further inspection and adjustment. Risk management, poverty forecasting and anti-poverty were key research priorities.

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图1研究区农户的风险(a)、生计资本(b)和适应能力(c)评价指标值
Figure1.Value of each evaluation index (index category) of risk (a), livelihood capital (b) and the ability to adaptation (c) of farmer household in the study area


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图2研究区不同收入水平农户的生计资本指标值(a)和脆弱性指标值(b)
Figure2.Values of livelihood capital indexes (a) and vulnerability indexes (b) of farmers with different income levels in the study area


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图3研究区不同受教育水平农户的生计资本指标值(a)和脆弱性指标值(b)
Figure3.Values of livelihood capital indexes (a) and vulnerability indexes (b) of farmers with different educational levels in the study area


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图4研究区不同年龄段户主农户的生计资本指标值(a)和脆弱性指标值(b)
Figure4.Values of livelihood capital indexes (a) and vulnerability indexes (b) of households of different ages in the study area


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图5研究区不同生计资本缺乏型农户的生计资本指标值(a)和脆弱性指标值(b)
Figure5.Values of livelihood capital indexes (a) and vulnerability indexes (b) of households with different livelihood capital types in the study area


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表1贫困农户脆弱性评价指标、权重及说明
Table1.The vulnerability assessment indicators, weights, and assignment of poor farmers

类别Category	指标与权重(W)Index and weight	赋值说明及计算Assignment and calculate
风险(R) Risks		R=R1×WR1+R2×${W_{{R_2}}}$+R3×WR3+R4×WR4+R5×WR5
	人力风险R1 (${W_{{R_1}}}$=0.145 5) Human sources risk	身患残疾、重病和3岁以下儿童及80岁以上老人数量占比。 Proportion of disabled, seriously ill, children under 3 and olds over 80 years old
	自然灾害风险R2 (${W_{{R_2}}}$=0.237 7) Natural disaster risk	“家庭是否遭受到自然灾害或受到环境污染的影响”, “是”为1, “否”为0。 Whether it is affected by natural disasters or environmental pollution, “Yes” is assigned 1, and “No” is assigned 0.
	经济活动风险R3 (${W_{{R_3}}}$=0.258 8) Economic activity risk	外出务工机会的多少来衡量, 分为很多、比较多、一般、较少和没有, 分别赋值0、0.25、0.50、0.75和1.00。 Opportunity for migrant workers: a great many = 0, many = 0.25, general = 0.50, few = 0.75, no =1.00
	市场风险R4 (${W_{{R_4}}}$=0.180 8) Market risk	农业收入占总收入比重。 Proportion of agricultural income of total income
	突发事件R5(${W_{{R_5}}}$=0.177 6) Emergencies	家庭近两年面临的较大事件和困难, 用农户在所列选项中勾选的数量表示。 Number of major events and difficulties faced by families in recent two years
生计资本(L) Livelihood capital		L=N+H+P+F+S
自然资本(N) Natural capital		N=N1×WN1+N2×WN2+N3×WN3
	耕地面积N1(${W_{{N_1}}}$=0.065 8) Cultivated land area	农户所拥有的土地资源。 Land resources owned by farmers
	林地面积N2(${W_{{N_2}}}$=0.063 2) Woodland area	农户所拥有的林地资源。 Forest land resources owned by farmers
	药材种植面积N3 (${W_{{N_3}}}$=0.063 9) Herb medicine area	农户药材种植面积。 Farmers’ herb medicine planting area
人力资本(H) Human capital		H=H1×WH1+H2×WH2+H3×WH3
	家庭整体劳动能力H1 (${W_{{H_1}}}$=0.067 1) Overall working capacity of the family	分为非劳动力(0~9岁儿童、75岁以上老人和残疾人、重病者)、半劳动力(10~16岁、60~75岁成员)和全劳动力, 分别赋值为0、0.5和1.0, 然后加总求和。 Non-labor, semi-labor, and full labor are assigned 0, 0.5, and 1.0, and then sum up.
	成年劳动力受教育水平H2 (${W_{{H_2}}}$=0.065 7) Adult labor education level	分为文盲、小学、初中、高中或中专、大专及以上5类, 分别赋值0、0.25、0.50、0.75和1.00, 然后将所得值加总。 Illiteracy, primary school, junior high school, senior high school and college or university are assigned 0, 0.25, 0.50, 0.75 and 1.00, and then sum up.
	家庭中是否有至少1个健康男性成年劳动力H3(${W_{{H_3}}}$=0.072 3) Healthy male adult labor	“是”赋值为1, “否”赋值为0。 “Yes” is assigned 1, and “No” is assigned 0.
物质资本(P) Physical capital		P=P1×WP1+P2×WP2+P3×WP3
	家庭住房情况P1 (${W_{{P_1}}}$=0.065 5) Family housing situation	草房、土木房、砖瓦房和混凝土, 分别赋值0、0.3、0.6和1.0; 2间以下、2~4间、5~7间、8~10间、10~15间和15间以上6类, 分别赋值为0、0.25、0.50、0.75、1.00和1.50, 然后将住房类型和对应间数加总。 The type of family housing and the number of corresponding rooms are assigned and added separately. Thatched cottage, earth-wood house, brick house and concrete house are assigned 0, 0.3, 0.6 and 1.0. Less than 2, 2 - 4, 5 - 7, 8 - 10, 10 - 15, and > 15 rooms per house are assigned 0, 0.25, 0.50, 0.75, 1.00 and 1.50.
	家庭固定资产情况P2 (${W_{{P_2}}}$=0.067 3) Family fixed assets	在所列18项固定资产中农户所拥有资产的选项数。 Number of options owned by the farmers in the 18 fixed assets listed.
	养殖情况P3 (${W_{{P_3}}}$=0.061 1) Breeding situation	鸡鸭为0.1, 猪为0.5, 羊为1.0, 驴/骡为1.5, 牲畜数量和种类相乘加总。 The number and type of livestock are assigned and multiplied together. Chicken and duck, pig, sheep and donkey/mule are assigned 0.1, 0.5, 1.0 and 1.5.
金融资本(F) Financial capital		F=F1×WF1+F2×WF2+F3×WF3
	家庭人均年收入F1 (${W_{{F_1}}}$=0.062 6) Annual household income	包括家庭经营性收入、工资性收入、财产性收入以及转移性收入等。 Including family business income, wage income, property income and transfer income.
金融资本(F) Financial capital	获得借贷的机会F2 (${W_{{F_2}}}$=0.070 3) Chance to get a loan	“亲戚能否借钱”和“家庭是否有贷款”来衡量, 前者按“不知道、能和不能”分别赋值0.5、1.0和0, 后者“是”为1, “否”为0, 然后二者求和。 Measured by whether “relatives can borrow money” and “whether the family has a loan”. For the former, “Don’t know”, “Yes” and “No” are assigned 0.5, 1.0 and 0; for the later, Yes” and “No” are assigned 1 and 0.
	家庭收入状况满意度F3 (${W_{{F_3}}}$=0.068 5) Satisfaction of family income	分为非常不满意、比较不满意、一般、比较满意和非常满意5个层次, 分别赋值0、0.25、0.50、0.75和1.00。 Divided into 5 levels of very dissatisfied, dissatisfied, general, satisfied and very satisfied and assigned 0, 0.25, 0.50, 0.75 and 1.00.
社会资本(S) Social capital		S=S1×WS1+S2×WS2+S3×WS3
	家庭人情来往支出S1(${W_{{S_1}}}$=0.068 1) Disbursement of human relations	过去一年家庭参与亲戚朋友婚丧嫁娶礼金支出, 分为0元、1~500元、500~1 000元、1 000~1 500元、1 500~2 000元以及2 000元以上6个等级, 分别赋值0、0.25、0.5、0.75、1和1.5。 The gift money expenditure is divided into 6 levels of 0, 1-500 , 500-1 000 , 1 000-1 500 , 1 500-2 000 and > 2 000 , which are assigned 0, 0.25, 0.5, 0.75, 1 and 1.5, respectively.
	与村干部的关系S2(${W_{{S_2}}}$=0.071 0) Relationship with village officials	分为很差、差、一般、较好和很好5个程度, 赋值0、0.25、0.50、0.75和1.00。 Very poor, poor, general, good and very good, assigned 0, 0.25, 0.50, 0.75 and 1.00.
	在本村的威望S3 (${W_{{S_3}}}$=0.067 8) Prestige in the village	分为几乎没有、较低、一般、较高和很高, 赋值0、0.25、0.50、0.75和1.00。 Almost no, lower, average, higher and very high, assigned 0, 0.25, 0.50, 0.75 and 1.00.
适应性(A) Adaptability		A=A1×WA1+A2×WA2+A3×WA3+A4×WA4+A5×WA5
	外出务工情况A1(${W_{{A_1}}}$=0.197 7) Out-of-town employment	务工收入占总收入比重来衡量。 The income of migrant workers accounts for the total income.
	农户参与合作社的状况A2 (${W_{{A_2}}}$=0.154 6) Farmers’ participation in cooperatives	设为二分变量, “是”为1, “否”为0。 Set to the binary variable, “Yes” is assigned 1, and “No” is assigned 0.
	农闲时间的利用方式A3(${W_{{A_3}}}$=0.236 6) The use of leisure time	分为消遣、学技术、打工挣钱、做小买卖和其他, 赋值0、0.50、0.75、0.75和0.25。 Recreation, attending technology training, working part time, doing small business and others are assigned 0, 0.50, 0.75, 0.75 and 0.25, respectively.
	参加培训情况A4(${W_{{A_4}}}$=0.171 9) Participate in training	从未参加为0, 偶尔参加为0.5, 经常参加为1。 Never participation is assigned 0, occasional participation is assigned 0.5, and often participation is assigned 1.
	对国家政策关注度A5(${W_{{A_5}}}$=0.239 2) Attention to national policy	分为毫不关注、几乎不关注、一般、偶尔关注和经常关注5个程度, 分别赋值0、0.25、0.50、0.75和1。 Divided into 5 attention degrees of never, hardly, general, occasional and often, and assigned 0, 0.25, 0.50, 0.75 and 1.00.
脆弱性(V) Vulnerability		V=R-L-A

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表2研究区不同类型农户特征
Table2.The characteristics of different types of farmers in the study area

特征 Characteristic	农户类型 Farmer’s type	户数(户) Households number	划分依据均值 Mean of division basis	人均年收入 Per capita annual income (￥)
收入Income	低Low (≤3 000 ￥)	95	2 167.24	2 167.24
	中等Medium (3 000~5 000 ￥)	52	3 791.49	3 791.49
	高High (> 5 000 ￥)	11	7 267.53	7 267.53
受教育1) Education level1)	低Low (≤0.5)	49	0.35	2 842.12
	中等Medium (0.5~1.75)	92	1.12	2 860.34
	高High (> 1.75)	17	2.31	4 972.55
户主年龄Age of head of household	青年型Youth (≤30)	19	25.95	4 063.82
	中青年型Young and middle-aged (30~45)	56	39.18	2 907.88
	中年型Middle-aged (45~65)	71	54.59	2 591.04
	老年型Old age (> 65)	12	70.92	3 114.29
生计资产Livelihood capital	自然资本缺乏型Lack of natural capital	90	0.027 2	3 017.39
	人力资本缺乏型Lack of human capital	83	0.103 4	2 821.09
	物质资本缺乏型Lack of physical capital	80	0.040 1	2 801.81
	金融资本缺乏型Lack of financial capital	81	0.082 1	2 732.61
	社会资本缺乏型Lack of social capital	78	0.106 2	3 025.05
	多种资本缺乏型Multiple capital deficiency	48	—	2 916.45
	资本搭配合理型Reasonable capital collocation	12	—	5 160.65
??1)分级标准值见表 1。1) The standard value is showed in the table 1.

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