中德合作 German China Cooperation

中德合作German China Cooperation 扶贫监测评价体系简介 Poverty Monitoring & Evaluation 中德合作江西项目办 Jiangxi PADO

扶贫监测评价体系简介Introduction of Poverty M&E 一、开发背景 Background 二、体系简介 M & E 三、体系的特点及创新 Features and innovation

一、开发背景 Background （一）扶贫开发的评价 Evaluation on Poverty Reduction （二）扶贫开发评价的不足 Limitations of the evaluation （三）扶贫开发监测评价的现状 Ongoing M&E

（一）扶贫开发的评价Evaluation on Poverty Reduction 1、贫困人口的大幅减少； Sharp reduction of poor population; 2、贫困地区人民群众生产、生活水平的大幅提高； Much better production and living conditions in poor areas; 3、贫困地区的基础设施得到了改善； Improved infrastructure in poor areas; 4、贫困地区经济快速发展。 Rapid economic growth in poor areas.

（二）扶贫开发评价的不足Limitations of Evaluation 1、具体扶贫政策、措施的有效性； Efficacy of poverty reduction policies and measures; 2、扶贫在社会稳定、边疆稳定的贡献； Contribution to stability and security in bordering areas and the whole society; 3、扶贫对改善政府形象、改善干群关系的贡献； Contribution to enhancing government profile and relation between the government and constituency. 4、扶贫对提高扶持对象自身素质的贡献； Contribution to improving the ability of targeted poor; 5、被扶持对象如何看待扶贫。 Feedback from the beneficiaries of poverty reduction projects

（三）扶贫监测评价的现状Ongoing Poverty M&A 1、管理的多头性；Multi-Managers; 2、内容的不完整性；Incomplete content; 3、口径的不一致性；Inconsistent measures; 4、利用的不充分性。Insufficient Utilization

二、体系简介Introduction of M&A （一）总体设计思路；Overall Design; （二）指标体系的设计；Design of Indicators （三）方法体系的设计。Design of Methodology

（一）总体设计思路 Overall Design 在扶贫监测评价体系中，扶贫开发活动相关的投入、产出的整体效率及其在扶贫对象中所形成的成果、影响的整体效果应被视为主要的监测评价内容。 In the whole system of Poverty M&E, input, output, income and impact of poverty reduction activities shall be the major components of M&E.

（一）总体设计思路Overall Design 总体目标Goals： 1、动态监测评价扶贫过程； Dynamic monitoring and evaluation of poverty reduction; 2、监测评价扶贫政策、措施的实施及效果； Monitor and evaluate the implementation and impact of poverty reduction policies and measures; 3、监测评价重点村扶贫开发规划的实施及效果； Monitor and evaluate the implementation and impact of poverty reduction programs in key counties for national assistance; 4、监测评价贫困地区干部、群众，特别是贫困农户对扶贫开发和政府服务的满意情况； Monitor and evaluate the satisfaction of poor areas for poverty reduction and government service; 5、监测评价受扶持对象对扶持的需求。 Monitor and evaluate the demands of project beneficiaries on the project

（一）总体设计思路Overall Design 主要任务Main Tasks： 1、建立上下互通的信息反馈、数据采集、整理分析、管理、决策支持体系； Smooth the channel of information feedback and build up a systematic procedure of data collection, data codification, data management and policy support; 2、建立为扶贫系统及相关系统服务的扶贫项目管理、扶贫效果分析的技术平台； Set up a technique platform of project management and impact analysis to serve poverty reduction system; 3、建立监测评价重点村扶贫活动及其效果的支持系统。 Set up a support system to monitor and evaluate activities in key counties and their impact

（一）总体设计思路Overall Design 辅助作用Other roles to play： 1、提高扶贫活动的瞄准性； Sharpen the targeting of poverty reduction activities; 2、预防扶贫资源的渗漏。 Prevent leakage of poverty reduction resources.

（二）指标体系的设计 Design of Indicators 1、指标体系的基本框架 General Framework of Indicator System 2、指标分类的特点和意义 Characteristics and significance of indicator classification

1、指标体系的基本框架 Framework of Indicator System • 投入Input • 产出Output • 成果Outcome • 影响Impact

Development Hypothesis 发展假设 Outcome (Direct benefit) 成果（直接受益） Impacts (Indirect benefits) 影响（间接受益） Attribution Gap 归因差距 Use of Outputs 产出利用 Outputs 产出 Activities 活动 Input 投入

1、指标体系的基本框架 Framework of Indicator System 国家扶贫战略 National Strategy of Poverty Reduction 影响类指标 Impact Indicator 扶贫开发政策 Policies of Poverty Reduction 成果类指标 Outcome Indicator 投入、产出类指标 Input and Output Indicator 扶贫开发项目管理 Management of Poverty Reduction Project

1、指标体系的基本框架 Framework of Indicator System 指标体系还应该能够综合反映扶贫开发活动对扶贫对象以下方面所产生的影响: The indicator system should comprehensively reflect the impact of poverty reduction activities on the poor covered： • 经济 Economy • 社会文化 Social Culture • 政治 Politics • 环境 Environment

投入产出类－管理效率的衡量Input/output ---- Measure of Management Efficiency • 从资金传递的总量和时间上来衡量资金、项目和规划管理的效率; • Measure the management efficiency of capital, project and planning by the aggregate and time of fund transfer; • 村级规划完成的情况; • Accomplishment of planning at county level; • 从瞄准率来监测穷人从各项扶贫投入的受益情况 • Employ target rate to monitor the benefits that the poor receive from various inputs; • 国家各项资金的投入以及投向变化 • National inputs and changed targets of inputs

成果类指标—扶贫效果的衡量Outcome----Measure of Poverty Reduction Impact 在经济维度方面，主要选择一些能较好反映当地减贫情况及经济发展水平状况的指标 In economic dimension, those indicators that adequately reflect the poverty reduction progress and economic development shall be preferable; 在社会维度方面，主要选择一些能较好反映当地教育卫生状况及性别敏感的指标； In social dimension, those indicators that adequately reflect local education, health and gender sensibility shall be preferable; 在政治维度方面，主要选择一些能较好反映贫困群体话语权、参与权及决策权、社区稳定及村级基层自助组织建设等方面的指标； In political dimension, those indicators that adequately reflect the right of speech, participation and decision-making of the poor, the stability of community and construction of self-help organizations at village level shall be preferable; 在环境维度方面，主要选择一些能较好反映或影响当地自然环境变化的指标。 In environment dimension, those indicators that adequately reflect changes of local natural environment shall be preferable.

影响类指标—扶贫战略的评价Impact----Evaluation of Poverty Reduction Strategy • 在经济维度的影响衡量上，我们通过“恩戈尔系数”、“贫困发生率”、“贫困深度”、“基尼系数”、“扶贫投入/产出对农业增长的贡献”、“扶贫投入/产出对贫困户收入的贡献”来测量扶贫影响。 • 在社会维度的影响衡量上，我们通过分性别的“贫困户家庭小学辍学率”、“贫困户家庭初中辍学率”、“贫困户儿童接种疫苗率”、“贫困户最高劳动力文化程度”、“贫困户儿童营养不良率”、“贫困户地方病、常见流行病发病率”、“贫困户大病、慢性病人口比重”、“贫困户大病、慢性病就医率”、“参加商业保险的贫困户比重”等村级指标来测量扶贫影响。 • 在政治维度的影响衡量上，我们通过“村中治安、刑事案件起数”、“群体事件起数”、“农民权益纠纷起数”、“集体上访人次”、“村级事务公开满意度”、“对中央相关农村整体政策满意度”等村级指标来测量扶贫影响。 • 在环境维度的影响衡量上，我们通过 “因灾返贫农户比率”、“自然灾害发生频率”、“生态环境质量满意度”等村级指标测量扶贫影响。

背景性因素指标Background Measure • 贫困村/户：地理条件、自然条件、基础设施、生产条件和基本社会条件 • Poor village/household: Geographic, natural, infrastructure, production and basic social conditions • 非扶贫系统的农村发展政策的投入因素：四类21项政策 • Input to rural development by non-poverty reduction system: 4 types 21 policies • 加入背景性因素的原因及目标：厘清扶贫系统投入的在扶贫干预对象中形成的客观成果及影响 • The reason to add background measures and its purpose: to sort out the objective impact of poverty reduction input on the targets of intervention

指标分类及多维性举例Classification of measures and examples

2、体系指标的特点和意义Characteristics and Significance of Measures 扶贫投入产出指标Input/output measures：从经济角度监测评价扶贫工作，是一切扶贫监测评价的基础，没有经济效益，其它效益就无从谈起。 Poverty M&E in economic terms is the foundation of all such activities. Without economic benefit, other benefit is just mirage. 这也是现有监测评价体系的重点，是目前比较完善的监测内容。 This is the focal point of current M&E system and a component around which monitoring and evaluation is relatively complete. 本监测评价体系对这部分内容进行了简化，力求做到来源可靠、经济实用。 Our M&E system simplified this component and gave more emphasis on its reliability and practicability.

2、分类的特点和意义Classification and its significance 扶贫成果指标Outcome Measure：着重从社会的角度，对扶贫产出的利用情况进行监测，反映的是扶贫效益，对提高扶贫政策的瞄准性和防止扶贫利益的渗漏具有重要作用。扶贫成果是社会对扶贫的主要监测需要。 Monitor the utilization of the output to reflect the social benefit. It is important for sharpening the target of poverty reduction policies and preventing benefit leakage. Outcome of poverty reduction is what the society expects most from M&E.

3、分类的特点和意义Classification and its significance 扶贫影响指标Impact measure：主要是监测扶贫政策措施对受扶持对象的政治、经济、社会、素质和生产生活水平等方面产生的影响，侧重于从政治和社会稳定的角度对扶贫政策措施进行监测，这是政府对扶贫投资的期望回报，也是促使主要扶贫投资者—政府加大扶贫投入的原动力。 Monitoring the impact of M&E policies on targeted poor in terms of politics, economy, society, qualification and production and living conditions. The emphasis is to measure the poverty reduction policies in political and social terms, which is the expected return to the society and the underpinning of government input to poverty reduction. 扶贫开发作为经济发展和社会发育的稳定器的贡献作用是巨大的, 但现行的监测评价体系反映不出, 这是最大的缺陷, 不能满足主要投资者政府的信息需求。 The huge contribution made by poverty reduction efforts to economic and social development and social stability fled the current M&E system. This is the worst limitation of the system. It failed to meet the information demands from major investors.

3、分类的特点和意义Classification and its significance 意义Significance： 1、通过对指标的分类和分析研究，理解和掌握了政府和社会对扶贫监测评价的需求； 2、通过对指标的分类和分析研究，找出了目前扶贫监测评价的薄弱点和不足； 3、通过对指标的分类和分析研究，得出了扶贫监测评价体系建设的重点和方向。 By classification and analysis on measures, we can learn and understand demands from government and society for poverty M&E; we can catch the limitations of current M&E and; we can figure out the priority and direction of the system construction.

2、分类的特点和意义Classification and its significance 1、指标的开放性：本指标体系是一个开放的体系，它需要并可能不断地根据监测需要和实际情况进行完善和改进； Openness of measures: the measures is an open system. It needs to be constantly upgraded to new demands and new development of reality. 2、共享性：指标体系是共享的，我们将探讨各有关部门的共建、共享、共管问题。 Sharing of measures: the system can be shared. We will go to the issue of how relevant agencies can jointly construct, benefit from and manage the system.

（三）方法体系的设计 Design of Methodology 选择调查方法的原则: Principles in selecting survey methodology： • 确保扶贫监测评价体系的科学性、完整性，以满足各级各层次的扶贫监测评价需要； • Ensure the logic and completion of the system to satisfy demands at various levels; • 将理论和实际有机结合，确保扶贫监测评价体系的可操作性，特别是数据来源的真实性； • Integrate theory and practice to make sure that the system is practical and the source of data is reliable; • 将需要与可能相结合，努力降低监测成本，确保扶贫监测评价体系的可推广性； • Combine the demand and feasibility to minimize monitoring cost and to keep the system applicable • 坚持以人为本，注重各方面参与特别是贫困农户参与监测，保持扶贫监测评价体系的参与式特色。 • Center on the demand of human being, stress the participation of various actors especially poor households to monitoring activities so as to secure the participatory feature of the system

（三）方法体系的设计Design of Methodology 主要调查方法的选择Selection of survey methodology： 1、全面调查；General survey 2、村抽样调查；Sampling of villages 3、户抽样调查；Sampling of households 4、满意度调查；Survey of satisfaction 5、参与式等其它调查。Participatory survey and others

（三）方法体系的设计Design of Methodology 全面调查General survey：主要调查内容是Items：①对扶贫的投入、产出，以及部分成果进行监测Monitor the input, output and partial outcome of poverty reduction；②对扶贫开发工作重点村的村级扶贫开发规划的实施情况进行监测Monitor the implementation of poverty reduction plan at village level in key villages of national assistance。主要监测对象Targets： ①有扶贫开发任务的县（市）Counties (municipalities) tasked with poverty reduction； ②扶贫开发工作重点村Key villages of national poverty reduction assistance 。

（三）方法体系的设计Design of Methodology 村级抽样调查Sampling at village level：主要调查内容是Items：重点村的村级扶贫开发规划实施成果和影响。Implementation of outcome and impact of poverty reduction at village level in key villages 主要监测对象为样本村Targets are sampled villages.

（三）方法体系的设计Design of Methodology 农户抽样调查Sampling at household level：主要调查内容是Items：重点村农户的收入、支出、资产等情况，以监测农户的收支变化、贫困发生率、贫困程度、贫困深度、受扶持情况、受益及影响等情况。Income, expense and assets of households in key villages to measure the change of financial balance, poverty incidence, poverty seriousness, support gained, benefits gained and impact on the households. 主要监测对象为样本农户。 Targets are sampled households.

（三）方法体系的设计Design of Methodology 满意度调查Satisfaction survey：主要调查内容是Items：从主观上监测农户⑴对扶贫政策措施（包括扶贫项目）和政府服务的满意程度Subjectively measure the satisfaction of targeted households on 1) poverty reduction policies and projects, service delivered by government；⑵对生产生活条件及其变化情况的满意程度2) changes of their production and living conditions and；⑶对扶贫措施的需求情况3) their demands for poverty reduction policies。主要监测对象为重点村的农户。 Targets are households in key villages.

（三）方法体系的设计Design of Methodology 参与式等其它调查Participatory survey and others：主要是根据监测评价发现的问题和扶贫开发工作阶段性的特别需求，不定期采取参与式调查、典型调查、重点调查等方法，对扶贫情况进行监测。Irregular participatory survey, typical case survey and priority survey, etc.

Data Management System 数据管理系统 National Data Centre 国家数据中心 • Indicator design • Questionnaire design • Sampling • Testing • Aggregated Analysis • Reporting • Mapping • In-depth case studies • 指标设计 • 问卷设计 • 抽样 • 测试 • 集中分析 • 报告 • 贫困地图 • 深入的案例分析 Data base Management System 数据库管理系统 GIS Client 地理信息系统客户端 Provincial M&E Centre 省贫困监测评价中心 Statistical Software 统计软件 Database Server 数据库服务器 Web server 网络服务器 Prefecture 市 • Data Collection • Data Input • Regional Analysis • Reporting • Mapping • 数据收集 • 数据录入 • 区域分析 • 报告 • 贫困地图 County M&E Station 县贫困监测评价站 Township Resource Person 乡信息员 Data 数据 • Self evaluation • Process monitoring of village activities • 自我评估 • 村级活动的过程监测 Village M&E Groups 村监测评价小组 Village 村 Household 农户数据搜集和传输示意图A snapshot of data collection and transfer

三、扶贫监测评价体系的特点Features of Poverty M&A 1、实践性本系统尝试在一个系统内将定量监测和定性监测、客观评价和主观评估结合起来。 Practical: The system tries to combine quantitative monitoring and qualitative monitoring, objective evaluation and subjective evaluation into one system.

三、扶贫监测评价体系的特点Features of Poverty M&A 2、系统性：该系统的监测对象从个人、住户、行政村到县，弥补了其它贫困监测体系的不足，具有很高的实用价值和推广意义。 Systematic: The system expands its coverage to include individuals, households, administrative villages and counties. It makes up for the defaults of other M&E system, so it’s highly practical and replicable.

三、扶贫监测评价体系的特点Features of Poverty M&A 3、全面性：该体系的监测面涉及经济、社会文化、政治、人文、环境贫困的多维方面，是一个多维指标体系。 Comprehensive: The system touches upon multiple dimensions from economy and social culture to politics, human being, environment and poverty, so it’s a multi-dimensional system of measures.

三、扶贫监测评价体系的特点Features of Poverty M&A 4、完整性本体系立足于广义的扶贫监测，注重农调、财政、发改、农行等相关系统的合作；指标和数据，立足于服务扶贫系统，同时服务于农调、财政、发改、农行等相关系统，还可服务于受扶持对象（村、贫困户）；并开发了适用于横向纵向进行数据信息共享的独立的监测评价软硬件体系，为扶贫工作的监测和控制提供条件。 Complete The system is built upon poverty M&E in a broad sense which determines that it shall highly regard the cooperation between agencies related to agriculture survey, finance, NDRC and agricultural banks; Its measures and data is service-oriented that it may serve both the above-mentioned agencies and the targets of support (poor households and villages); it developed both hardware and software to facilitate data and information sharing between agencies and various levels.

三、扶贫监测评价体系的特点Features of Poverty M&A 5、可推广性本体系在指标的设置和数据库的建设上，力求兼容国务院扶贫办及有关扶贫监测评价体系。在调查方法和手段上，较多地使用了抽样调查等经济实用的调查方法，使得该体系的运行成本更加低廉。因此，本体系具有较强的推广性。 Replicable In the development of measures and construction of database, the system functions to keep in consistence with M&E system operating in LGOP and other agencies. In designing the methodology and approach of survey, the system relies much on economical but useful methods like samplings to reduce the cost of functioning. Therefore, the system is highly replicable.

谢谢！ Thanks !

中德合作 German China Cooperation