【作者】 陈祥东；

【导师】 李明贤；

【作者基本信息】 湖南农业大学 ， 农业经济管理， 2013， 博士

【摘要】 百年大计,教育为本。教育尤其是义务教育的发展,对国民素质提高与经济社会发展,有着重要的推动作用。建国以后,我国义务教育发展成绩斐然,但在城乡二元分割的大背景下,城乡义务教育发展存在巨大的差距,消除这一差距,对义务教育发展与城乡统筹都有着重要意义。论文以公共产品理论、教育公平理论与财政联邦理论为理论基础,构建了适切的分析框架,采用规范分析与实证分析相结合、定量研究与定性研究相结合等研究方法,基于调查所得数据与统计年鉴数据,对“城乡义务教育均衡中政府职能”这一核心问题进行了深入研究。研究首先对城乡义务教育均衡中的政府职能进行理论分析。义务教育具有消费的非竞争性与收益的非排他性,是一种典型的公共产品,政府是提供义务教育最重要的责任主体。义务教育均衡是教育公平的应有之义,政府除大力发展义务教育满足各类公众接受义务教育的需求外,还应在城乡间均衡配置义务教育资源,缩小城乡义务教育非均衡程度,促进社会公平。政府在推进城乡义务教育均衡的过程中,需要在财政联邦理论指导下,理顺各级政府的财政关系,科学划分各级政府的职能边界,才能发挥各级政府的比较优势,使城乡义务教育均衡达到最大值。研究接着对我国城乡义务教育均衡现状进行考察,并探讨非均衡的负面影响。结合空间、时间与要素三个角度,建立了一个三元动态的义务教育均衡分析框架,将城乡义务教育均衡分为起点均衡、过程均衡与结果均衡三种,确定了相关测量指标；实证监测结果显示我国城乡义务教育均衡具有相对性、差异性、动态性与系统性等一系列特征,起点不均衡、过程不均衡与结果不均衡同时存在,前者是后两者的诱因,后两者是前者的恶化。义务教育城乡非均衡发展不仅对义务教育系统本身发展不利,导致择校现象愈演愈烈,无助于留守儿童问题的解决,加剧了义务教育工具化趋势；而且使得农村居民不能有效提高自身素质,阻碍了农业的健康顺利发展；更是导致城乡居民收入差距进一步扩大,城乡二元经济结构进一步加剧,恶化了社会公平。在此基础上,研究考察了中外政府在城乡义务教育均衡中政府职能到位、缺位与越位的情况。建国以后尤其是改革开放以来,我国义务教育取得了巨大发展,各级政府在促进义务教育均衡过程中,职能到位主要表现在树立义务教育均衡是政府基本职能的理念、加强立法促进义务教育城乡均衡发展、制定促进义务教育城乡均衡的政策、加大义务教育经费投入与积极探索农村教师补充新机制五个方面；政府缺位有教育投入缺位、资源配置缺位、师资队伍建设缺位与相关立法与政策制定缺位；政府职能越位存在上级教育行政部门对下级教育行政部门、政府对义务教育学校与政府对教育中介机构的越位。义务教育城乡非均衡发展,不仅存在于我国,在其他发达国家与发展中国家也广泛存在。但不同的是,一些发达国家(比如说英国、美国与日本)与一些发展中国家(印度、南非与巴西)非常重视发挥政府职能促进义务教育城乡均衡发展,并积累丰富的经验。这启示我国在促进义务教育城乡均衡的过程中,重视发挥政府促进义务教育城乡均衡的职能,科学界定各级政府促进义务教育均衡中的职能边界,并且有效落实政府职能。研究最后基于促进义务教育城乡均衡的目标,科学界定了各级政府的职能边界。在促进义务教育均衡的过程中，中央政府与地方政府各具优势与劣势,必须遵循效率与公平兼顾、财权与事权对应、职能边界动态化等三条原则。在义务教育财政投入时,中央政府应该承担更多的义务教育财政投入责任,通过项目明确中央政府与地方政府的财政投入比例。义务教育资源配置过程中,中央政府加强转移支付制度建设,均衡配置义务教育资源；省级政府统筹兼顾,均衡配置义务教育资源；县级及以下基层政府管理利用好义务教育资源,提高使用效率。在义务教育师资队伍建设时,中央政府充分利用国家项目促进农村教师质量提高,省级政府积极差别对待的城乡义务教育师资配置,县级政府承担义务教育师资建设的主体责任,各乡、镇、场的职能主要是负责指导辖区内义务教育均衡发展工作,做好群众思想教育工作,妥善处理各类矛盾和纠纷,抓好学校周边环境整治,维护正常教育教学秩序。论文第一次系统地研究城乡义务教育均衡中各级政府的职能,选题创新；并且构建了一个三元动态的城乡义务教育均衡分析框架,为科学准确测量城乡义务教育均衡奠定了理论基础,研究框架创新；研究方法上注重质的研究,克服了问卷调查中以研究者为中心的研究倾向,研究方法创新。但论文所用数据仍然存在一定的局限,城乡义务教育均衡中各级政府职能边界的划分尚需进一步细化。更多还原

【Abstract】 Education is the cornerstone for a nation’s great long-term development. Education, especially compulsory education, plays a significant role in promoting the national quality and developing social economy. Since the founding of the People’s Republic of China, our country has achieved a huge success in the compulsory education development, but there is a great gap between urban and rural in the big context of the dual division system. Thus, it is important for the compulsory education development and urban-rural integration to eliminate such gap. In view of public goods theory, education equality theory and fiscal federalism theory, the thesis constructs an appropriate analysis framework, adopts normative and empirical analysis, and combines qualitative and quantity research. Based on survey data and statistical yearbook data, this thesis focuses on the government function on equilibrium of urban and rural compulsory education.Firstly, the theory analysis of government function on equilibrium in urban and rural compulsory education is ruled out at the thesis. The compulsory education is a typical public good, endowed with non-competitiveness of the consumption and non-exclusiveness of the interest, so the government is the main liability subject of providing compulsory education. Equilibrium in urban and rural compulsory education means education equity. It is necessary that the government should balance the compulsory education resources, narrow disequilibrium degree and promote social equity between urban and rural, except for developing compulsory education and meeting all kinds of public’s demand of receiving it. In the process of carry compulsory education forward, the government should straighten out the fiscal relationships and scientific divide function boundary at all levels of government with the guidance of fiscal federalism theory to show the comparative advantage of all the levels of government,and then to maximize the equilibrium urban and rural compulsory education.Secondly, the author investigates the current situation of equilibrium in urban and rural compulsory education and discusses the negative effects of disequilibrium. Combined with space, time and element, an analysis framework, the triple dynamic relationship of equilibrium urban and rural compulsory education, was constructed. This framework sets up relative measurement index and is divided into three parts:the beginning equilibrium, the process equilibrium and the ending equilibrium. The empirical monitoring results show that the equilibrium urban and rural compulsory education in our country has a series of typical features including relativity, difference, dynamic process and systematic process. The beginning disequilibrium, the process disequilibrium and the ending disequilibrium exist at the same time. The first caused the latter, and the latter was deterioration of the first. Compulsory education disequilibrium development was not in favor of the education system development, which led to the sever phenomenon of selecting school. This didn’t help to solve the problem of left-behind child. The disequilibrium also aggravated compulsory education as a tool trend, which prevented from the development of rural for failing to improve rural residents’qualities, and contributed to the wider income gap between urban and rural resident, which intensified the dual economic structure of urban and rural and worsened the social justice.On the basis of above discussion, the researcher rules out the government function at home and abroad about education function presence, function absence and function offside. Since the founding of our country, especially after the reform and open policy, in all the levels of government, in the process of promoting the equilibrium urban and rural compulsory education,the function presence displays main five aspects:setting up the ideal that the equilibrium urban and rural compulsory education is the basic government function, strengthening legislation to promote equally development, establishing equally development policy, enlarging the investment and exploring new mechanical of rural teacher complementary. The function absent appears at investment, resource distribution, construction of teaching staff, and relative legislation and policy making. The function offside shows at the higher level authorities with the low level authorities, the government treats with the compulsory education school, and the government treats with educational intermediary organization. Those problems not only exist in our country, but also exist in other developing country. However, the developed country (Japan, America and England) and some developing country (India, South Africa and Cuba) paid more attention to promote the equilibrium development of compulsory education and gathered many experiences by using government function. Those experiences inspire our country to value the government function at promoting the equilibrium development of compulsory education, scientifically define function boundary of all the levels government and efficiently carry out the government function in the promoting equilibrium urban and rural compulsory education process.Finally, based on goal of equilibrium development of compulsory education, this study scientifically defines function boundary of all the levels government. In the process of promoting education equilibrium, each governments, from the center and the local, has its own advantages and disadvantages, and both of them must be compatible with the efficiency and equity, match the financial and administrative powers and have the function boundary dynamic. The government should bear much responsibility on investment in compulsory education and explicit the investment proportion with local government through program. In the compulsory education resources distribution process, the center government strengthens transfer payment system construction and balances allocation education resources; the provincial government makes overall consideration to balance allocation education resources; the county government and the others base organizations manage and make a good use of the compulsory education resources to improve the efficiency. During the teaching staff construction, the center government takes full of advantage from national programs to enhance the rural teacher’s quality, the provincial government takes positive-disparate treatment for allocating education resources between urban and rural, and the county government undertakes main responsibility of teaching staff construction. The county government major function is responsible for directing the compulsory education equilibrium development in its jurisdictions, doing well the public ideological work, properly handling all kinds of conflicts and disputes, making every efforts to renovate school environment around, and safeguarding regular education and teaching program.This thesis, at first, makes an innovation in studying the balance of urban and rural compulsory education in all levels of government function and constructing a triple dynamic relationship framework, which establishes a theoretical basis for scientifically and accurately measuring the equilibrium in urban and rural compulsory education. In the respect of research method, this thesis emphasizes the qualitative method and overcomes researcher-oriented problem. However, the cited data in this thesis has a weak spot because the government function boundary division needs to be refined.更多还原