【作者】 殷红霞；

【导师】 罗剑朝；

【作者基本信息】 西北农林科技大学 ， 农业经济管理， 2008， 博士

【摘要】 家庭对子女的教育支出由来已久,但是家庭教育投资行为则是在国家教育投资制度变迁过程中产生的。自20世纪70年代以来,西方教育投资制度出现了市场化倾向,非义务教育阶段的投资主体由政府独立承担转向政府、个人共同分担。在世界性教育投资制度改革潮流的影响下,我国教育投资制度也发生了变化,投资主体向个人倾斜。80年代中期推行的高等教育成本分担与补偿制度,使家庭教育投资行为逐渐形成。我国是典型的二元经济结构国家,农业生产力水平较落后,农民收入增长缓慢。在教育投资制度变迁的背景下,许多农村家庭的教育投资行为面临着严重的货币约束,教育投资能力明显不足。如果这一问题得不到有效解决,农家子弟通过教育提高自身经济和社会地位的通道就可能被堵塞,教育投资能力差异可能会导致教育机会不均等从而危及教育公平原则。不仅如此,家庭的低收入水平还可能通过教育的传递机制得以延续,农村居民收入将在低水平上长期徘徊,长此以往,教育问题将会扩散至社会收入分化和公平问题。因此,农村家庭教育投资能力不足,不仅仅是某一个家庭或个人遇到的“小难题”,而是关系到国计民生的“大问题”。本论文以国内外教育投资制度变迁为背景,全面分析了我国农村家庭教育投资行为困境及其成因,着重分析了导致农村家庭教育投资行为分化、困顿的制度安排及其缺陷,为政府完善教育财政制度和资助体系,提高农村家庭教育投资能力和农村人力资本存量提供实践和理论支持。第一章导论。从国内外教育投资制度变迁和我国农村家庭教育投资现状入手,说明论文的选题背景、研究目的和意义。对国内外家庭教育投资研究动态作了较为全面客观的归纳和评价,在充分考虑我国小农经济特征的基础上,将农村家庭教育投资行为置于我国教育投资制度变迁的背景中,以此形成了本文独特的研究视角。根据研究目的和关键问题,构思出本文研究的技术路线图、研究方法以及创新之处。第二章农村家庭教育投资行为的基础理论。系统地介绍和分析了家庭经济行为目标、家庭经济决策模型及其利他主义特征,认为新制度经济学的有限理性假设更符合中国农村家庭的经济行为特征;介绍家庭教育投资行为的基本原理尤其是教育成本、收益等基本概念及测算方法,教育过度现象及其解释理论等,为本文研究奠定了理论基础。第三章家庭教育投资行为的国际经验借鉴。论述了西方主要国家教育投资制度、教育资助制度变迁背景下家庭教育投资责任的变化以及个人受助原则和条件的变化;在此基础上,总结出家庭教育投资行为的变化规律和趋势,为我国农村家庭教育投资行为研究提供国际背景。第四章我国农村家庭教育投资现状及行为特征。本章是整个论文的立论部分。分析了家庭教育投资现状及行为特征,着重考察了在货币约束条件下我国农村家庭教育投资行为面临的多维困境,以说明农村家庭教育投资能力不足的现状。第五章制度变迁对我国农村家庭教育投资行为的影响。首先分析了我国宏观经济制度变迁所导致的农村家庭经济行为的分化现象;其次,重点分析了我国教育投资制度变迁对我国农村家庭教育投资行为的影响;最后,全面分析了家庭教育投资行为变化的制度性因素,为优化我国农村家庭教育投资的制度环境奠定基础。第六章投资能力对我国农村家庭教育投资行为的影响。通过城乡比较和对陕西省关中地区某村的全面调查,对我国农村家庭教育投资能力进行了实证分析,指出我国农村家庭教育投资成本过高,家庭现期收入水平过低且增长缓慢,家庭教育投资能力普遍不足这一现实。通过农村家庭收入与教育投资之间的相互制约关系,说明教育投资是改变个人及家庭命运的根本途径,教育公平是社会公平的基础。最后,分析了家庭教育投资能力不足的主客观原因,说明提高农村家庭教育投资能力的有效途径在于社会和政府的帮助。第七章投资风险对我国农村家庭教育投资行为的影响。家庭教育投资风险主要是来自于劳动力市场的系统性风险,其原因主要在于农村家庭所处的信息环境和劳动力市场的分割。对于不同收入家庭而言,其教育投资能力和风险承受能力不同。最后,分析了我国农村家庭教育投资风险产生的内外部原因,为农村家庭规避教育投资风险提供思路。第八章优化农村家庭教育投资行为的策略设计。提出了政府公共财政制度、教育投资制度、教育资助制度完善与创新的基本思路:继续实行公共财政对农村的扶持政策;继续发挥政府在教育投资中的主体地位;进行教育产权制度创新;完善社会资助制度;拓宽农村家庭教育投资的融资渠道;建立统一、开放的劳动力市场。其主要目的是提高农民自我增收和积累能力,彻底解除农村家庭教育投资的货币约束,进一步优化农村信息环境、劳动力市场就业环境等,降低教育投资风险。第九章结束语。首先简要归纳了本论文的主要研究结论:我国农村家庭的教育成本远高于其教育投资能力;农村家庭教育投资能力不足可能会影响到代内和代际收入流动性,最终导致社会收入分配的公平性问题;农村家庭教育投资风险主要是来自于劳动力市场的就业风险;政府的教育投资制度直接决定着家庭的教育投资比例和投资方向,企业的教育投资主体地位的发挥可以减轻家庭的教育投资负担和投资风险。社会教育资助制度的完善和适当的激励制度可以改变政府在教育资助中“唱独角戏”的状况。更多还原

【Abstract】 There is a long history of families spending on children education. However, the educational investment by the family emerges during the course of institutional change of the government educational investment. Since 1970’s, the western educational investment system has become market-oriented, the principal part of the investor into the non-compulsory education being shared by the government and families. Influenced by the stream of the worldwide educational investment reform, the educational investment institution in China has also been reformed,characterized by the individual investment into the education. The implementation of cost-sharing and compensating institution of higher education has induced the gradual formation of the behavior of educational investment by the family.The dual economic structure is typical in China,where agricultural production is backward and the farmer’s income grows slowly. Under the background of institutional change of the educational investment,educational investment ability from many rural families is evidently restrained greatly by the shortage of currency. The peasant children’s access to the improvement in economic and social status would be blocked unless the problem is effectively solved. The difference in the ability to invest in education is likely to result in the inequity in the opportunity of education and consequently jeopardize the principle of equal education. What is more, the low family income might be prolonged by the transference mechanism in education. The low income of the peasant would linger at the low level. Therefore,the deficiency in the educational investment ability in the rural family is not simply a commonplace problem encountered by the family or individual,but a prime one related to the national economy and the people’s livelihood.Against the domestic and international changes in the educational investment,this dissertation systematically analyzes the plight and causes of China’s educational investment by the rural family,focusing on the policy-making and its limitation, which have led to the polarization and troublesome situation in the educational investment by the rural family. The dissertation is intended to provide practical and theoretical support for the government to perfect its policies in educational budget and support. It is also meant to improve the investment ability of the educational investment by the rural family and the capital stock of human resources in the rural area.Chapter 1, Introduction. From the portal of the worldwide institution change in education and educational investment situation of rural family in China,the background,aim and significance of the dissertation is introduced. The paper objectively concluded and evaluated the worldwide trend in the educational investment. With the full consideration of the small-scale peasant economy in our country, the dissertation researches into the rural investment in education against the background of the reform in China’s educational investment policy. The unique thesis of this dissertation is thus formed. The technical path, research method and the possible innovations are constituted according to the research aims and the key issues.Chapter 2,Fundamental theory of educational investment behavior of the rural family. The fundamental theory of this dissertation is formed through that (i) the proposition of the limited rationality from the neo-institution economics is more suited to the economic behavior of China’s rural family after the systematic introduction and analysis of the behavior motive and decision model of the family economy and altruist characteristics, and (ii) such theories are introduced as the fundamental theory of educational investment behavior by the family,especially the fundamental conception and measure methods of the cost and benefit of education, over-education phenomenon and its explanatory theory, etc.Chapter 3,Reference of the international educational investment institution. The change in the responsibility of the western family investment for education and in the principles and conditions of the individual sponsor was discussed in view of reform in the national investment for education and the change of financial support in the major western countries. The pattern and trend of change in educational investment by the family was therefore concluded to provide the international background for the research into the educational investment by the rural family in China.Chapter 4,The current status and behavior of educational investment in China’s rural families. This chapter is the proposition of the dissertation. A series of analysis is carried out as follows, (i) the current condition and the behavior of the family investment in education,(ii) the status and multiple puzzle of educational investment behavior by the rural family in China under the condition of grave money constraint.Chapter 5,The influence of constitutional reform on the educational investment behavior of the rural family in China. This dissertation analyzes (i) the cost of educational investment by rural family in China based on the change of China’s Macro-economic system,(ii) the influence of the change in China’s educational investment on the educational investment behavior by the rural family,and (iii) the systematic factor of the change in the educational investment of the family. The analysis laid the basis for the optimization of the systematic environment of the educational investment by the rural family.Chapter 6,The influence of the ability to invest in education by the rural family. After comparison of the differences between the city and the countryside and demonstrative analysis of the educational investment of China’s rural family, the dissertation points out the fact that the cost in educational investment by the rural family is too high, that family income within a limited time is too low and increases slowly and that the ability to invest in education by the rural family is generally insufficient. By the correlation between the income of the rural family and the investment in education, the dissertation points out that educational investment by the family is the key approach to the fate of the individual and the family and that the equity in education is the foundation in social equity. Finally, after the analysis of the subjective and objective causes of the deficiency in family investment in education, the dissertation believes that social and government support is the key to improve the ability to invest in education by the rural family.Chapter 7,The influence of the investment risk on the educational investment by China’s rural family. The investment risk in education results mainly from the systematic risk of the labor market, the major cause being the information gap between the rural family and the labor market. The ability to invest in education and the endurance to the risk differs for families with varied income. Lastly, the paper analyzes the external causes of the educational investment by China’s rural family to provide the rural family with means to avoid the investment risk.Chapter 8,Optimization of the strategy design for the educational investment by the rural family. The dissertation puts forward the suggestions for the government’s public financial system; educational investment system and the innovation of education sponsor system, (i) continue to implement the supportive policy in the public finance; (ii) continue to exert the government’s principal status in educational investment; (iii) perfect the social sponsor system; (iv) expand the financing channel of the educational investment by the rural family; (v) establish the unified and open labor market. All this is meant to enhance the farmer’s ability to increase income and accumulate wealth; to unchain the currency restraint on the rural families; further optimize information environment in the rural area, labor market and employment environment; and lower the investment risk in education.Chapter 9,Conclusions. The conclusions are as follows, (i) the education cost is by far much higher than educational investment ability of the rural family; (ii) the insufficiency of educational investment ability of rural family may affect the income flows in intra- and inter- generations leading to the inequity of revenue allocation; (iii) educational investment risk of the rural family is mainly the employment risk from the labor market; (iv) the government’s educational investment institution directly decides the proportion and direction of educational investment by the family; v) that the enterprise assumes the principal status in educational investment can relieve the burden and risk of educational investment by the family; and (vi) the perfection of social sponsor system and suitable incentive mechanism can change the situation that the government invests alone in education support.更多还原