人类可持续发展指数(HSDI)构建及其应用研究

A Construction of Human Sustainable Development Index(HSDI) and Its Application

作者: 专业:管理科学与工程 导师:孙剑平 年度:2008 学位:博士 

关键词
人类可持续发展指数 环境 评价 政策效率

Keywords
Human sustainable development index, environment, evaluation, policy efficiency
        环境问题已经成为一个世界性的问题,追求以人为本的经济、社会与环境的可持续发展逐渐成为全球共识。环境可持续发展是全面可持续发展的基础,是判别一地区人类发展水平的一个重要标志;在可持续发展过程中,公共政策在其中扮演了非常核心的角色,公共政策效率的评价是衡量各级政府是否有效履行其公共服务责任、是否为政策对象带来福利改善的重要手段。本论文重点研究三方面内容:一是纳入环境因素的“人类可持续发展指数(HSDI)”的构建;二是应用HSDI对区域可持续发展水平进行测度与分析比较;三是考察基于人类发展和可持续发展视角下的区域政府政策效率。以人为本的可持续发展是政府公共政策的重要目标之一。本文系统考察了可持续发展理论、公共政策评价理论以及相关研究的理论与实践成果,对可持续发展理论的产生背景、基本涵义、测度方法进行了系统回顾和阐述;对公共政策评价的相关概念、方法与实践进行了回顾,旨在为论文研究提供必要的理论基础;对相关研究成果进行回顾与剖析。在此基础上提出本文的研究思路。可持续发展的着眼点在于自然环境的保护,而它最终关怀的是人类自身的生存与发展。本文针对联合国提出的人类发展指数(HDI)模型着重于经济和社会发展指标而尚未将环境要素纳入考量的事实,将一些重要的环境指标导入HDI,提出一个植入环境敏感性因素的人类可持续发展指数框架(HSDI),进而应用其对我国各省区1995年以来的可持续发展水平进行测度和深入分析,并与原有HDI模型的评价结果进行对比分析,发现HSDI能较好地反映环境因素的影响,从而为系统衡量各省区的可持续发展提供了一种简单可行的方法。论文还对各省区1994—2003年HDI的测度结果进行了多角度分析,并进行了初步的国际比较。本文在HDI和HSDI的框架内,对我国各省区地方政府的相关政策效率进行了评价研究,为区域政府可持续发展政策决策提供了有益的建议。通过对各省区相关政策技术有效性与规模有效性的评价和分析,为提高部分省区公共政策的投入产出效率、体现公共政策的社会公平性提供了科学依据,为地方政府协调环境保护与人类发展、提高政策效率提供了可供选择的政策建议。
    Environment has become a global issue. The sustainable development which involved in economics, society and environment for pursuing humanity has gradually formed a common recognition. Environmental sustainable development is the basic of the full sustainable development, and the important sign for identifying the local human development level. During the sustainable development, public policy plays an important role. The evaluations of the pubic policy efficiency are the important approach to identify if local government fulfill its responsibilities of public services and improve the welfares of public. The present study focuses on the following three contents: first is the construction of Human Sustainable Development Index (HSDI) introduced by environment factors; second is the applications of HSDI to the measurements and comparisons of local sustainable development levels; finally, the policy efficiencies for local governments are examined from the viewpoints of the human development and sustainable development.Sustainable development based on the humanity is one of important public policy goals of local governments. Thus, the present work systematically views the sustainable development theory, public policy evaluation theory and relevant theoretic and practical outcomes, and states the background, conception and measurement approaches of the sustainable development theory. Furthermore, the concept, content and methodology of the public policy evaluations are reviewed. These provide the theoretic foundations for the present studies and the overview of the relevant outcomes. Based on the above mentioned theories, an investigated routine is brought forward.The sustainable development is based on the protection of the natural environment, and aims at the survival and development of human beings. Bases on the fact that the Human Development Index (HDI), proposed by United Nations (UN), focuses on the economical and social indices instead of environment factors, the present works proposed a new Human Sustainable Development Index frame (HSDI), by introducing the important environmental indices. Then, the HSDI is applied in the measurements and further analyses of the sustainable development of 31 provinces and municipalities in China since 1995, and compared with the evaluated results by original HDI. It is found that the HSDI well embodies the influence of the environmental factors and therefore provides a simple and reasonable approach to systematically assess the sustainable developments for the provinces and municipalities. The thesis also analyzes the measurement results of HDI for the provinces and municipalities from 1994 to 2003 from other viewpoints and attempts to make the international comparisons.Within the frame of the HDI and HSDI, the evaluations of the policy efficiency for local governments in provinces and municipalities of China are made in this thesis. The useful suggestions are proposed for policy decisions of sustainable development of local governments. The evaluations and analyses on the technical availability and scope availability of relevant policies of the provinces and municipalities provide the scientific basis for improving input-output efficiencies of public policy in part of provinces and municipalities and embodying social justice of the public policy, and provide the valuable suggestions and references for local governments to harmonize the relations between the environment protection and human development and to improve the policy efficiency.
        

人类可持续发展指数(HSDI)构建及其应用研究

摘要5-6
Abstract6-7
1 绪论10-18
    1.1 研究的背景、问题及意义10-14
        1.1.1 问题的提出10-12
        1.1.2 研究的意义12-14
    1.2 论文的研究内容及结构安排14-16
        1.2.1 论文的研究内容14
        1.2.2 论文的结构安排14-16
    1.3 研究方法与研究思路16-18
2 文献回顾与理论综述18-48
    2.1 可持续发展理论18-28
        2.1.1 可持续发展理论的提出18-19
        2.1.2 可持续发展的基本内涵19-22
        2.1.3 可持续发展的主要测度方法22-28
    2.2 公共政策评价28-42
        2.2.1 公共政策理论的发展脉络28-30
        2.2.2 公共政策分析与评价30-34
        2.2.3 政策评价的主要方法34-38
        2.2.4 西方国家开展政府绩效和政策评价的实践38-42
    2.3 人类发展及政策效率评价42-46
    2.4 本章小结46-48
3 人类可持续发展指数(HSDI)构建48-56
    3.1 指数构建的意义48
    3.2 构建宗旨48-49
    3.3 构造原则49-50
    3.4 构造方法50-54
    3.5 与同类评价方法的比较54-55
    3.6 本章小结55-56
4 基于HSDI的区域可持续发展状况评价56-80
    4.1 各省区可持续发展水平测度56-64
        4.1.1 GDP指数56
        4.1.2 教育发展指数56-62
        4.1.3 预期寿命指数62-63
        4.1.4 人类可持续发展指数(HSDI)63-64
    4.2 各省区HSDI的纵向分析64
    4.3 各省区HSDI的横向分析64-66
    4.4 各省区HSDI与GDP排序的比较66-67
    4.5 各省区HSDI与HDI的比较67-78
        4.5.1 各省区历年HDI68-76
        4.5.2 各省区历年HSDI与HDI排序的比较76
        4.5.3 HSDI与HDI测度结果变异系数的分析76-78
    4.6 本章小结78-80
5 基于HSDI的区域政府政策效率评价80-144
    5.1 基于HDI的各省区地方政府政策效率评价80-106
        5.1.1 综合效率评价结果及分析81-89
        5.1.2 技术有效性评价结果及分析89-104
        5.1.3 各省区政策效率排序比较104-106
    5.2 基于HSDI的各省区地方政府政策效率评价106-141
        5.2.1 综合效率评价结果分析119-121
        5.2.2 区域政府政策有效性排序结果及分析121-124
        5.2.3 技术有效性评价结果及分析124-141
    5.3 本章小结141-144
6 结束语144-146
    6.1 本文研究的主要结论144-145
    6.2 本文研究可能的创新之处145
    6.3 需进一步研究的问题145-146
参考文献146-155
致谢155-156
攻读博士学位期间发表论文(第一作者)目录156-157
攻读博士学位期间承担和参加的科研项目157


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