【作者】 陈丰；

【导师】 王坦；

【作者基本信息】 中国海洋大学 ， 农业经济管理， 2014， 博士

【摘要】 国运兴衰，系于教育。现代社会的竞争是人才的竞争，人才的发展、培养依靠教育，教育是培养人才的摇篮，教育是民族振兴的基石，教育是一个国家的立国之本。而义务教育具有基础性、先导性和全局性的重要作用，是整个国民教育体系的基础，没有义务教育的良好基础，就不会有更高级教育的优质发展。义务教育是社会发展的积极推动因素，是提升国民素质、弘扬本民族文化、传播人类科技和文化基础知识、提升国家国际竞争力的重要手段。当前城乡义务教育的不均衡，成为制约我国义务教育进一步发展的最突出问题。党的十八大报告中指出“均衡发展九年义务教育，大力促进教育公平，合理配置教育资源”，十八届三中全会再次提出“大力促进教育公平，逐步缩小区域、城乡、校际差距，统筹城乡义务教育资源均衡配置”。本文从财政的角度，在对已有理论成果和国外实践经验系统综述、分析的基础上，梳理了我国城乡义务教育财政体制变迁历程，实证分析了我国城乡义务教育非均衡发展现状，提出了推进我国城乡义务教育均衡发展的政策框架。本文的结构安排：第一章，导论。阐述了选题的背景及意义，概要介绍了文章的基本内容和研究方法，界定了基本概念，并对国内外已有的研究成果进行了梳理和分析，为全文的研究奠定基础。第二章，义务教育均衡发展的理论分析。从公共产品、人力资本、新制度经济学等理论方面分析了义务教育均衡发展的理论基础，界定了义务教育产品属性及财政基本任务，阐明了义务教育均衡发展的内涵、意义及我国义务教育均衡发展战略。第三章，我国城乡义务教育财政体制变迁。本章分析了我国义务教育及其财政体制的发展演变过程，在每个发展阶段注重分析了义务教育财政体制对城乡义务教育发展的影响，为下章分析城乡义务教育差距的现状和原因打下基础。第四章，城乡义务教育非均衡发展的实证分析Ⅰ：基于全国数据。本章从经费投入、办学条件、师资力量、教育结果等方面分析了当前我国城乡义务教育非均衡发展的表现，通过建立数学模型实证分析了城乡义务教育非均衡对居民收入差距的影响，并对我国城乡义务教育非均衡发展的原因进行了归纳分析。第五章，城乡义务教育非均衡发展的实证分析Ⅱ：基于日照的调查数据。本章以山东省日照市为例，采用自编的调查问卷对城乡义务教育均衡发展情况进行了统计分析，并采用有序Probit模型，分析估计了城乡义务教育均衡满意度的影响因素。第六章，国外城乡义务教育均衡发展的实践经验及启示。本章重点分析了国外义务教育财政体制模式和美国、日本、韩国等国家城乡义务教育均衡发展的具体实践，分析总结得出借鉴和启示。第七章，实现我国城乡义务教育均衡发展的制度路径。根据我国目前经济社会发展现状，提出了加快统筹城乡经济社会一体化发展、建立完善保障城乡义务教育均衡发展的财政体制和建立城乡义务教育教师交流制度、加快进行政府机构改革和改进干部政绩考核机制等政策建议，为城乡义务教育均衡发展提供经济基础和制度保障。第八章，结论与展望。本文的主要创新之处体现在以下几个方面：1.利用全国2006年-2011年间的面板数据，对城乡义务教育在经费投入、办学条件、师资力量和教育结果方面的差距进行了现实分析；通过建立数据模型，利用城乡收入差距和教育差距的回归方程，分析了城乡义务教育非均衡对居民收入差距的影响。在回归方程中采用财政教育支出差距、家庭教育支出差距和城乡居民受教育年限差距等指标来描述城乡之间义务教育的不均衡，选取了各地区人均GDP水平、第三产业比重、城市化水平以及财政教育支出比重作为回归模型的控制变量，运用Stata计量软件，对被解释变量城乡居民收入差距进行回归分析，表明城乡间义务教育不均衡是收入差距的重要原因。2.采用自编的《日照市城乡义务教育均衡发展调查问卷》，用随机抽样的方法，对山东省日照市1000个城乡学生家长进行问卷调查。根据调查数据，对城乡义务教育均衡发展情况进行统计分析；通过建立有序Probit模型，选取城乡学校、家长职业、家长受教育程度、对教育改革评价等作为变量指标，对城乡义务教育均衡发展满意度进行计量分析。分析结果表明当前城乡义务教育发展仍然是不均衡的，有待各级政府通过教育资源的进一步优化组合加以完善。3.对推进我国城乡义务教育均衡发展的财政政策和相关制度改革进行了研究。其中提出要探索农村土地制度改革、加快户籍制度改革、实行城镇化等，努力缩小城乡发展差距；要建立事权与财力相匹配的公共财政体制、构建义务教育管理新体制，并通过鼓励教育捐赠、发行教育彩票、开征教育税等拓宽义务教育融资渠道；要改革义务教育人事制度，建立“县管校用”的义务教育教师管理制度，通过实施经济性补偿制度推动城乡教师交流；要改革政府层级、实现政府管理和财政管理的扁平化，加大对义务教育均衡发展情况的考核、建立城乡义务教育均衡发展预警机制等。更多还原

【Abstract】 The country’s development depends on education. The competition in modernsociety istalent competition,and the training of talent relies on education.Education isthe cradle of the training and the foundation for building a nation.Compulsoryeducation is so important that it is the foundation of the entire national educationsystem. Without the good quality of compulsory education, more advanced educationwill not exist. Compulsory education is the promotion ofsocial development and theimportant means to enhance the international competitiveness of the country.Thecurrent imbalance of urban and rural compulsory education has becomethe constraintof China’s further development. The government’s reports have proposed thebalanced development of nine-year compulsory education for more than onetime.From the perspective of public finance, and on the basis of systematic reviewand analysis ofthe existing theories and practical experience abroad, this papercombines the transformation of the financial system of urban and rural compulsoryeducation, analyzesthe current situation of imbalanced development of urban andrural compulsory education empirically, and finally proposesthe policy framework forthe promotion of the balanced development of urban and rural compulsory educationin our country.The structure of this paper is as follows: Chapter1—Instruction. This chapterdescribes the background and significance of the topic, introduces the main contentand research methods of the paper, defines the basic concepts, and analyses theresearch results at home and abroad. This chapter lays the foundation for the study ofthe full paper.Chapter2--Theoretical analysis of the balanced development of compulsoryeducation. This chapter analyzes the theoretical basis for the balanced development ofcompulsory educationon the aspect of public goods, human capital and newinstitutional economics. Moreover, this chapter defines the attributes of compulsory education and basic financial tasks, clarifies the meaning and significance of balanceddevelopment of compulsory education,and demonstrates the balanced developmentstrategy of China’s Compulsory Education.Chapter3--The transformation of financial system of urban and rural compulsoryeducation. This chapter analyzes the development and evolution of China’sCompulsory Education and its financial system. On each stage of development, thispaperputs focus on the influence offinancial system to urban and rural compulsoryeducation development.Chapter4—The empirical analysis of imbalanced development of urban and ruralcompulsory education—based on national data. This chapter analyzes theperformance of the current imbalanced development of urban and rural compulsoryeducationfrom the aspects of funding, school conditions, teachers and educationalresults. Through mathematical model, this paper analyzes the impact ofcompulsoryeducationalimbalanced development on the income gap between urban and ruralresidents, and finally summarizes the reason for the imbalanced development.Chapter5—The empirical analysis of imbalanced development of urban andrural compulsory education—based on the investigated data of Rizhao. By using theDIY questionnaire in Rizhao, this paper conducts a statistical analysis of thedevelopment of urban and rural compulsory education. Moreover, this paper usesOrdered ProbitModel to estimate the factors affecting the satisfaction of the balanceof urban and rural compulsory education.Chapter6—The practical experience and inspiration of the balanceddevelopment abroad. This chapter puts focus on the practice in the U.S., Japan andKorea. After that, this paper summarizes the reference and inspiration.Chapter7—The policy options which promote the balanced development ofurban and rural compulsory education. According to the current development ofChina’s economic, this paper makes some policy recommendations to provide theeconomic base and institutional guarantee for the balanced development ofcompulsory education in urban and rural areas.Chapter8—Conclusion and outlook. The main innovation of this paper is reflected in the following aspects:1.By using the national panel data between2006and2011, this paper analyzesthe gap between urban and rural compulsory education on funding, school conditions,teachers and educational outcomes. Through the establishment of a data model andusingthe regression equation of urban-rural income gap and education gap, the paperanalyzes the influence of imbalanced education on the income gap between urban andrural residents. In the regression equation, the paperuses the gap of fiscal expenditureon education, the gap between household spending on education, thegap on years ofeducation between urban and rural residents and other indicators to describe theimbalance between rural and urban compulsory education. It also selects the level ofGDP per capita of each region, the proportion of tertiary industry, the level ofurbanization, and the proportion of fiscal expenditure on education as a controlvariable of the regression model. Through regression analysis, the paper indicates thatincome gap is an important reason for the imbalance between urban and ruralcompulsory education.2.Using the DIY questionnaire, this paper surveys1000parents of students inurban and rural areas by random sampling method. Through the investigated data andordered profit model, this paper selects urban and rural schools, parents’ occupation,education level of parents, the education reform evaluation index as a variable for thebalanced development of urban and rural compulsory education satisfactionquantitative analysis.The results indicate that the current development of urban andrural compulsory education is still uneven, yet governments at all levels shouldimprove the situation by further optimization of educational resources.3.This paper also makes research on the financial policies and institutionalreform of promoting the balanced development of urban and rural compulsoryeducation. It is proposed that we should promote urbanizationto decrease the gapbetween urban and rural areas. Moreover, we should improve public financial andcompulsory education system. In addition, we should encourage education donations,issue education lottery, and levy education tax to broaden the financing channels ofcompulsory education. There are also other measures, such as reforming the personnel system of compulsory education and government level, achieving the flattening ofgovernment and financial management, enhancing the assessment of balanceddevelopment of compulsory education, and establishing the early warningmechanism.更多还原