【作者】 陈静漪；

【导师】 袁桂林；

【作者基本信息】 东北师范大学 ， 教育学原理， 2009， 博士

【副题名】机制设计理论视角

【摘要】 义务教育经费是义务教育生存和发展的物质保障,而规定着义务教育经费投入、分配和使用规则的机制更是义务教育可持续发展的决定性条件。义务教育经费保障机制是为了保障义务教育经费的充足、公平和效率而形成的关于义务教育经费投入、分配和使用的规则体系和运行方式。它规定了义务教育经费的投入主体和投入方式、经费的分配主体与分配的重点和范围,以及经费的使用主体与使用规则等。义务教育经费保障机制的形成和变革不是凭空而出的,它产生于现行的政治、经济、财政和教育体制之中,并随着政治、经济、财政和教育体制的改革而变更,但义务教育经费保障机制的改革和调整并不完全依赖于其产生的制度环境,在既定的制度框架内,义务教育经费保障机制的设计和运行仍有可选择的空间。机制设计理论是微观经济学和博弈论的分支领域,是博弈论和社会选择理论的综合运用。作为一种方法论,它将不同机制的共同属性抽象出来,同时又通过具体问题的应用展现出来,用于甄别现有机制的优劣和构建实现目标的最优机制。本研究以此理论作为我国义务教育经费保障机制的理论基础和分析路径,从机制作用的内在机理——信息和激励两个分析维度出发,考察新中国成立以来我国义务教育经费保障机制的内在缺陷,剖析当前农村义务教育经费保障“新机制”、城市义务教育经费“区包干”机制以及流动儿童义务教育经费“两为主”机制的现实困境。以最优机制设计的基本原则——信息效率和激励相容为标准,同时参照义务教育经费投入、分配和使用的规范原理和实证经验,对我国现行的义务教育经费保障机制做了改进性设计。设计提出,政府间农村义务教育经费投入责任划分应“以县分类”、城市义务教育经费投入责任划分应“分级包干”、流动儿童义务教育经费投入责任划分应“多方共担”。义务教育经费分配与使用应实施校本预算制度,在学校经费收支项目中设置学校自主发展项目,同时改革学校预算编制程序,减少部门间批复与下达流程、增加监督与监管系统。在流动儿童义务教育经费的分配与使用上,建立打工子弟学校合法性生存机制,保障部分公办学校进不去、民办学校进不起的流动儿童可获得应有的义务教育权利。在社会转型期,我国义务教育经费保障机制设计很难“毕其功于一役”,所以在讨论具体问题的基础之上,提出一种更为抽象的,更具一般性的义务教育经费保障机制设计与制度演变原则也许更有价值和意义。未来义务教育经费保障机制的设计与演进应遵照历时关联优化和共时结构互补,以促进义务教育质量和全民族科学文化素质的提高,并向最优化和多样化方向演进。本研究以理论维度、对象维度、问题维度为框架,以思维顺序、时间顺序为脉络来探讨我国义务教育经费保障机制现状、困境与出路。主体部分各章节具体内容如下:第一章,阐释义务教育经费保障机制的基础理论问题。从机制的概念分析、内涵解读入手,过渡到对机制设计理论的概述;从机制设计理论的一般原理出发提出了义务教育经费保障机制的理论分析框架,包括义务教育经费保障机制的构成要件、目标指向与生成运行的制度环境等,为分析实践问题提供了探索路径。第二章,考察我国义务教育经费保障机制的演进历史。国家的发展战略、经济体制、财政体制和教育体制对我国城乡义务教育经费保障机制的运行规则产生了巨大的影响,其中农村义务教育经费保障机制与农村经济体制高度相关,城市义务教育经费保障机制与国家的宏观经济体制和财政体制密切相连。在机制设计理论视域下其历史缺陷主要表现在信息不对称与委托人的逆向选择、激励不相容与代理人的道德风险这两个方面。第三章,分析我国义务教育经费保障机制的现实困境。我国农村义务教育经费保障“新机制”、城市义务教育“区包干”机制、流动儿童“两为主”机制在政府间投入责任划分、政府与学校间在经费分配预算与使用上面临着机制运行的困境,这是我国义务教育经费保障出现诸多问题的制度根源。第四章,设计我国义务教育经费保障最优机制。设计最优机制要遵循机制设计中的信息效率和激励相容原则,同时参照义务教育经费投入、分配和使用的规范原理和实证经验,在现有的社会制度环境下义务教育经费投入农村应“以县分类”、城市应“分级包干”,流动儿童义务教育经费应“多方共担”;义务教育经费分配与使用应实施校本预算;流动儿童义务教育经费保障应建立打工子弟学校合法性生存机制,保障弱势儿童可获得应有的义务教育权利。第五章,结论与展望。未来义务教育经费保障机制的设计与演进应遵照历时关联优化和共时结构互补,以促进义务教育质量和全民族科学文化道德素质的提高终极目标,向最优化和多样化方向演进。更多还原

【Abstract】 Compulsory Education funds is the material basis for its survival and development,and the mechanism of investment, distribution and usage is the decisive condition for sustainable development. Mechanism to ensure funding for compulsory education is to safeguard the adequacy, fair and efficient of education funding, which is giving rules to agents and ways of investing, agents and ways of allocation, agents and ways of usage. The formation of Mechanism to ensure funding for compulsory education goes along with the politics, economy, fiscal and educational system, and changes with them. However, it is not totally subject to them, and it has lots of choice space to redesign within the system.The mechanism design theory is a branch of microeconomics and the game theory, and is the game theory and the social selection theory synthesis utilization. As a methodology, it comes out abstractly the different mechanism’s common attribute, simultaneously unfolds through the concrete question’s application, in order to use in screening the existing mechanism the fitness and unfitness and to construction mechanism to realize the goals. This research takes mechanism design as basic theory analysis method to study the fund security system of our nation’s compulsory education. Within the analysis dimension which is inner mechanism of its function——information and incentive, the research inspects the internal defects of the fund security system of our nation’s compulsory education since the new China founded, besides, it analyses the current dilemma existing in followings:“new mechanism”of fund security for rural compulsory education,“district charging”mechanism of fund for urban compulsory education and“two charging”mechanism of compulsory education fund for floating children. Based on optimized mechanism design principles——informational efficiency and incentive compatibility as standards, referring to regulations and experiences of investing, allocating and using for compulsory education funds, the research innovates our current fund security system of compulsory education as well as promoting several suggestions as follows: responsibility distributing of compulsory education funds investing among governments should be“sorting by county”in countries,“classified contracting”in cities,“shouldering by multiparts”towards compulsory education funds of floating children; school-based budget system should be applied to allocating and using of compulsory education funds both in cities and in countries; setting self-development items in school budgets, reforming the procedure of budget making of school, simplifying the process and adding supervising system; establishing legal existing mechanism for schools of floating children in order to guarantee their rights.Because the fund security system of compulsory education couldn’t be finished once for all owing to variety of social environment, it may be more significant to bring forward a more abstract and universal evolvement principle of compulsory education fund security mechanism. The design and evolvement of future compulsory education fund security system should obey the rule that diachronic associated optimizing and contemporary construction should be complemented in order to improve the compulsory education.Framed by three dimensions which are theory, object and question, as well as clued by thinking order and time order, the research studies the actuality, dilemma and solution of compulsory education fund security mechanism. The concrete contents of main body is as follows: Chapter one explains the fundamental theory of compulsory education fund security mechanism. Starting from the analysis of concept——mechanism, then going to summarize the mechanism design theory; bringing forward the framework of theory analysis for compulsory education fund security mechanism according to universal principle of mechanism design, including factors of that mechanism, object orienting and operating system environment, this provides exploring solutions for practical problems solving.Chapter two reviews the history of compulsory education fund security mechanism. These factors have great influences on the operation of the mechanism in rural and urban areas, such as developmental strategies of the nation, the economic mechanism, financial mechanism and educational system. Compulsory education fund security mechanism has a great relation to economic mechanism in rural areas. However, the mechanism in cities has a great relation to the national macro-economic mechanism and financial mechanism. Under the theory of mechanism design, the shortages are asymmetry in messages, the contradict choices of clients, motivation inconsistency and agent moral risks.Chapter three analyzes the realistic plight of our nation’s compulsory education fund security mechanism.“New mechanism”of fund security for rural compulsory education,“district charging”mechanism of fund for urban compulsory education and“two charging”mechanism of compulsory education fund for floating children faces dilemma of operating mechanism among responsibility distributing among governments, funds allocating and using between government and school. And this is the root of problems existing in compulsory education fund security mechanism.Chapter four designs optimized mechanism which guarantees finance in Compulsory Education in China. Design of optimal mechanism needs to follow principles in informational efficiency and incentive compatibility, also referring to normal principles and practical experiences of financial supporting and distribution. Under present social context, referring to regulations and experiences of investing, allocating and using for compulsory education funds, compulsory education funds investing in countries should be“sorting by county”in rual,“classified contracting”in urban,“shouldering by multiparts”towards compulsory education funds of migrant children; school-based budget system should be applied to allocating and using of compulsory education funds. Besides, we should set self-development items in school budgets, reform the procedure of budget making of school, simplify the process and adding supervising system, and establish legal existing mechanism for schools of floating children in order to guarantee their rights.Chapter five is conclusion and outlook. The design and evolution of the compulsory education fund security mechanism in future should follow the rule that diachronic associated optimizing and contemporary construction should be complemented in order to improve the compulsory education.更多还原