【作者】 王欣双；

【导师】 王玉霞；

【作者基本信息】 东北财经大学 ， 西方经济学， 2011， 博士

【摘要】 教育是一国的立国之本,强国之路,教育的供给关系到一个国家人民的素质,经济的繁荣,国力的强大。根据萨缪尔森对公共产品的定义,教育是一种准公共品,其中基础教育具有更强的公共品属性,而高等教育具有更强的私人产品属性。中国的基础教育和高等教育在供给中存在的问题也是不同的。因此研究教育的供给问题就必须把教育分为基础教育和高等教育两部分区别对待。关于如何处理公平和效率的关系,福利经济学大致有三种观点：效率优先、公平优先、公平与效率兼顾。效率优先论认为自由竞争的市场机制能够产生效率,而强求平等会给社会带来福利损失。而且,在市场机制中,个人得到的分配是根据个人的努力程度而来的,因此这种分配方式最公平。公平优先论认为政府应当干预收入分配,减少贫富差距,使其收入均等化。因为根据边际效用递减法则,随着收入的增加,收入带来的边际效用递减。在收入增加量相同的情况下,增加的收入给富人带来的效用较低,而给穷人带来的效用较高。效率与公平兼顾论认为追求效率就要以牺牲公平为代价,追求公平就需要牺牲效率；既不应该公平优先,也不应该效率优先,而是要两者兼顾。本文认为,教育的公平和效率都很重要,但在基础教育阶段应当更加侧重公平,在高等教育阶段应当更加侧重效率。基础教育是公共品属性较强的准公共品,具有很强的正外部性,因此在供给时应当更加侧重公平。福利经济学认为,社会福利是个人福利的函数。由于边际效用递减,因此更公平的资源配置会提高整个社会的福利。中国基础教育中存在的主要问题是教育供给不足,供给不均衡。目前中国在基础教育阶段实行九年制义务教育,以公立学校为主,私立学校为辅。基础教育经费主要由地方政府提供,中央投入相对较少。由于各地区经济发展状况差异较大,各地政府对教育的投入能力也有很大差异。不但省际基础教育支出差异很大,省内差异也很大。这就造成了中国在基础教育阶段教育供给的地区间差异较大、各级政府的教育经费投入不均衡、基础教育经费投入不足等问题。为了解决基础教育中存在的经费不足问题,国家先后出台了一系列政策并取得了一定成效,但由于一些地方政府资金不足而难以保证实施。为了在全国范围内更加公平地配置教育资源,应当由国家根据各地的经济发展状况分配教育经费,加大对贫困地区的资金投入。为了提高基础教育的质量和供给的效率,弗里德曼提出了教育券的思想。在基础教育阶段使用教育券来提高供给的效率需要明确当地亟需解决的问题,根据具体情况对教育券加以改进变通,不能生搬硬套。私立学校是公立学校的有益补充,为学生和家长带来了更多的选择空间,对于提高基础教育的效率也大有裨益。高等教育是私人产品属性较强的准公共品,不但能为社会带来收益,更能够为个人带来如工资收入等更大收益,因此高等教育的成本应当由个人和政府共同分担。中国高等院校的办学经费曾一度完全由国家财政负担,甚至政府还出资补贴学生的生活开支,现在已逐步转为政府和个人共同分担。由于学费上涨,一些学生无力承担,造成高等教育的不公平。政府和社会各界需对这些学生提供学生贷款、奖学金、助学金等支持,间接降低高等教育的供给价格,使贫困学生获得公平的机会接受高等教育。由于高等院校的专业设置和社会需求脱节,近年来出现了大学生就业难的问题。为此应提高高等教育的供给效率,即根据社会对人才的需求设置学科专业,使高等教育资源得到更有效率的配置。国外许多名校都是私立大学,虽然学费比公立大学高很多,但由于教学质量很高受到广泛的认可,值得中国借鉴。本文的研究目的在于根据中国教育供给中存在的各种问题和不足,找出适合中国国情的教育供给模式。本文试图回答：基础教育和高等教育的供给为何对公平和效率有不同的侧重；中国的基础教育如何解决供给不足和供给不均衡的问题;基础教育如何提高资源利用效率的问题；高等教育实行成本分担制度之后如何减轻学生的经济负担；如何提高高等教育供给效率；如何拓宽高等教育筹资渠道,增加高等教育经费；为何要发展私立学校等问题。本文主要分为六个部分。首先在介绍本文的研究意义、选题依据的基础上,对中国教育目前存在的不足之处进行了概述。同时还对本文的研究对象和研究范围进行了界定,明确了一些主要概念的定义。这一部分还指出了本文的前提假定和研究方法,以及创新与不足。然后是理论回顾和文献综述。这一部分回顾并介绍了国内外和教育供给相关的理论研究成果以及当前研究的现状,对公共产品理论、社会福利经济学、教育经济学等进行了简述和评论,重点介绍了公共产品理论和福利经济学,并结合教育的供给问题进行了初步的分析,为后面章节的进一步深入分析提供了理论基础。第三部分是中国教育供给的发展历史与现状。这一部分首先列出了分析教育经费的几个指标,然后分别对中国基础教育和高等教育的供给状况进行了阐述和分析,并指出了当前中国教育供给中的不足之处。中国基础教育供给的主要问题是教育供给不足,地区间、城乡间、性别间教育供给不平衡。中国高等教育供给的主要问题是经费不足,缺乏办学特色,教学质量不高,不能满足社会对人才培养的需求。第四部分是国外教育供给的经验及对中国的启示。这一部分对一些国家教育供给的经验进行了阐述,并指出其中值得中国借鉴的经验。第五部分对教育成本、教育资金和教育筹资进行了分析,指出为了增加教育供给的绝对量需要通过多种方式筹集教育资金,并提出教育筹资的多种方式。第六部分是中国教育供给和筹资方式的创新建议。针对基础教育供给不均衡的问题,提出应当将“县管教育”的形式转变为“中央拨款,地方管理”的形式,以保障基础教育供给的公平。根据福利经济学原理,基础教育需要保证公平,才能实现社会福利最大化。基础教育的效率问题主要通过发展私立学校和利用教育券来实行。对于高等教育经费不足和供求脱节的问题,本文根据供求理论分析了和高等教育相关的两组供求关系,并分析了它们之间的联系,指出高等教育对人才的培养需要以社会对人才的需求为导向,这样才能保证培养出来的人才能够被社会所需要,也才不会浪费有限的教育资源。本文还阐述了高等教育成本分担制度下,可以采取哪些方式减轻学生的经济负担,促进公平。最后,本文提出,一个国家要发展经济就必须发展教育,而发展教育必须根据该国当时的经济发展需要,不能盲目超前。中国各地经济发展状况不均衡,对教育的需求也不同,因而在不同地区发展教育的侧重点也应有所不同。更多还原

【Abstract】 Education is the foundation of a country, a road to a better future. Education input concerns the quality of a population, the prosperity of an economy and the status of a nation. According to the definition by Samulson, education is a kind of quasi-public goods, with elementary education having more traits of public goods and higher education having more traits of private goods. In China, there are different problems in the input of elementary education and that of higher education. Therefore, the study on the input of education must be done separately.On the relation between equity and efficiency, there are generally three viewpoints, i.e., Priority of Efficiency, Priority of Equity, and Balance between Equity and Efficiency. Proponents of Efficiency Priority believe that a free market mechanism with competition leads to efficiency, while too much emphasis on equity leads to welfare loss for the society. In a market economy, social wealth is distributed according to each individual’s endeavor, thus is the fairest allocation method. On the other hand, proponents of Equity Priority believe that the government should interfere with the allocation of income, reduce the gap between the rich and the poor, and equalize their income. The reason lies in that according to the law of diminishing marginal utility, as the income increases, the marginal utility reduces. The same amount of income return brings less utility to the rich, and more to the poor. Still, proponents of Balance between Equity and Efficiency believe that efficiency comes at the cost of equity, and equity comes at the cost of efficiency; therefore, none should be precede the other, but both should be emphasized. This paper takes the view that both equity and efficiency are of great importance, but elementary education should focus more on equity, while higher education should focus more on efficiency.Elementary education is more of public goods, with strong externality, therefore should focus more on equity in its input. According to Welfare Economics, social welfare is the function of individual welfare, an equal allocation of resources can increase social welfare due to the law of diminishing returns of marginal utility. The main problem in China’s elementary education lies in the inadequacy and inequity of input. China is offering a nine-year compulsory elementary education, with public schools in a dominant position and private schools providing an alternative. Fund for elementary education mainly comes from local government, with only a small portion from the central government. Since there are great differences in economic development in different regions of China, the education input from each local government differs greatly. Not only the inter-province education input differs greatly, but also the intra-province input. This explains the great differences in the elementary education input between China’s different regions, the imbalance of education input from each level of government, and the lack of elementary educational input. In order to deal with the problem of inadequate fund in elementary education, China has applied a series of policies and made some progress, but some local governments are too lack of funds to enforce these policies. In order to achieve a more equal allocation of education resources, it should be the state government that increases the input to poor regions according to the economic development of different regions. In order to increase the quality of elementary education and the efficiency of input, Friedman brought forth the idea of school voucher. The application of school voucher in elementary education to increase the efficiency of its input should depend on the main problems of that specific region, and the voucher should be adjusted to the specific situations of the region. Private schools, a valuable complement to public schools, offer another choice for students and their parents, and increase the efficiency of elementary education.Higher education is more of a private good, which not only provides benefits for the society, but also brings more returns, such as income, to individuals, therefore the cost of higher education should be shared by individuals and the government. The fund for higher education in China was once offered solely by the state government, and the government even offered allowances for the students to cover some of their living expenses. Now the government and individuals are sharing the higher education cost. Because the increased tuition has become too heavy a burden to some students, students with effective demand may not have equal opportunity to receive higher education. In recent years, it has become more difficult for college graduates to find a satisfying job. To deal with this problem, the input efficiency for higher education must be improved, i.e., to offer subjects and majors according to the demand of the labor market, thus resulting in a more efficient allocation of higher education resources. Many famous universities abroad are private universities. Although their tuition is much higher than that in public schools, they are still well accepted by the public because they offer high quality education. This can be good experience for China to learn from.The purpose of this dissertation is to identify the problems in education input in China, and work out an education input mode to best suit China’s situation. This dissertation makes an effort to answer: why elementary education and higher education should have different focus when concerned with equity and efficiency; how to solve the problems of inadequacy and imbalance of elementary education input; how to increase the efficiency of education resources in elementary education; whether school voucher is suitable for China; how to reduce the financial burden for students after the application of cost sharing in higher education; how to increase efficiency of higher education input; how to increase the funding sources to increase the fund for higher education; how to develop private schools and universities, etc..This dissertation contains 6 parts and a conclusion. First it generalizes the problems in China’s education on the basis of introducing the importance and reason for the choice of this topic. This part also defines the objectives and study scope of this dissertation, as well as some important terms. This part also points out the premises and study method used in this dissertation, as well as some breakthroughs and imperfections.The next part is a summary of related theories and literature review. This part reviews the related theories and the present researches, mainly on public goods theories and social welfare economics, and briefly analyzes the problem of education input to build a foundation for further analysis in the following chapters.The third part is the development and current situation of China’s education input. This part first analyzed several index of education funds, elaborates and analyses the input of elementary education and higher education, and points out the problems in China’s education input. The main problems in elementary education are lack of education input and input imbalance between different regions, urban areas and rural areas, male and female. The main problems of higher education are lack of funds, lack of specialty, low education quality, which cannot meet the demand of the labor market in the society.The fourth part is the experience China can learn from other countries. This part elaborates the education input experience of some other countries, and points out the experience for China to earn from.The fifth part analyses the concepts of education cost, education fund, and education fund-raising, points out that in order to increase the total amount of education supply, there is a need to raise funds through various ways, and then suggests what they are.The sixth part is the renovated suggestions for China’s education input and fundraising. This part first introduces and analyzes a few basic concepts of education, then elaborates the role and function of government in education input. Next, this dissertation gives a detailed introduction of the multiple fundraising method in education, and points out that in order to ensure the adequacy of education fund, other fundraising channels should also be applied besides the government funding. To solve the problem of lack of funds and imbalance of input in elementary education, this dissertation suggests that all methods possible should be applied to raise funds, meanwhile, the "county-based education input mechanism" should be changed to "fund from central government, management from local government mechanism" to ensure the equal opportunity in elementary education. According to the principles in welfare economics, only when equity is realized in elementary education, can social welfare be maximized. Elementary education can realize its efficiency by developing private schools as well as school vouchers. As to the problem of insufficient education funds in higher education and the loose link between supply and demand, this dissertation analyzes two sets of demand and supply related to higher education and analyzes their relations, pointing out that higher education must be oriented with the demand in labor market, so that the graduates are needed by the society and the limited education resources are allocated efficiently. This dissertation also elaborates the many sources for fundraising in higher education, and the ways to lessen students’financial burden, thus realizing equity. In the end, the dissertation points out that a country must develop its education according to its economic situation, and should not surpass the period. In China, the demand for education differs according to the different economic situations of different regions; therefore the focus of education development in different regions should also differ.更多还原