浙江省义务教育均等化研究

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浙江财经学院硕士学位论文

摘要

义务教育是国家按照法律规定对适龄儿童实施有一定年限的强制教育，其均

等化程度不仅关系到基本人权的保护也关系到社会公平的实现,更是社

会经济和谐发展的基础。改革近 30 年，从生产型财政逐渐向以满足公共需要的公

共财政转变，体现在公共支出上就是加大义务教育等与民生息息相关的公共服务

支出力度。浙江省义务教育虽然走在全国前列，但难以掩饰其发展过程中的诸多

问题，突出地表现教育资源配置、硬件投入、师资水平在城乡之间、地区之间、

群体之间的差距上。通过指标全面客观地考察浙江省义务教育均等化现状并分析

不均等的制度原因，进而有针对性地提出浙江省义务教育均等化的对策既必要又

迫切。

本文沿着理论分析→实证分析→对策研究的路径展开。首先分析义务教育均

等化的理论依据，在此基础上通过指标考察浙江省将义务教育均等化的现状，并

剖析不均等的制度因素，最后提出进一步提高均等化水平的政策建议。

从财政学角度讲，政府出资义务教育原因有两个:一是义务教育是一具有外部

效应的混合产品；二是促进公平。义务教育均等化的提出虽然主要是基于保证公

民基本的受教育权，促进社会公平的角度提出的。但是权衡公平和效率的关系，

本文认为：均等化并非平均化，是在保证最低底线基础上，逐步缩小地区间、城

乡间、群体间、学校间差距；同时，义务教育均等化具有阶段性和层次性，按教

育机会均等、教育过程均等和教育质量均等的层次推进，浙江省义务教育均等化

的重点在于教育过程的均等；最后，从维护公民基本权利以及维护社会公平的角

度看，义务教育的责任主要在政府，特别是预算级次较高的中央政府和省级政府。

其次，分别就设立义务教育机会均等、过程均等、质量均等的评价指标，对

浙江省义务教育均等化的现状进行实证分析。本文认为：目前浙江省已基本实现

义务教育机会均等化，但是教育过程在城乡之间、地区之间、校际之间以及不同

社会群体之间的投入差距依然很大，其中师资水平差距以及数字鸿沟应该引起我

们的格外注意，县际之间的差距远大于城乡之间的差距。升学率在城乡之间、地

区之间的差异，以及严重的择校问题，都在告诉我们义务教育质量的不均等。面

对现状，浙江省义务教育非均等的制度原因是：“以县为主，分级管理”的义务教

育投入体制以及各地经济发展的巨大差异是形成目前义务教育非均等的重要原

因，现有转移支付制度尽管在一定程度上矫正了义务教育投入事权、财权的不对

称现象，但力度仍不足以实现义务教育均等化。此外，教师编制标准的缺陷、教

浙江财经学院硕士学位论文

师待遇的差距以及教师培训的问题也是造成浙江省义务教育不均等的重要原因。

最后，基于通过义务教育均等化内涵、现状及其成因分析，提出进一步提高

义务教育均等化的政策建议。浙江省作为经济比较发达的地区，省级财政而不是

中央财政将在义务教育均等化中承担主要责任，通过指标考察各地义务教育财政

需求以及财政能力，建立因素法转移支付是规范浙江省省级财政责任的突破口。

此外，强化财政的扶弱倾向，完善义务教育教工编制标准将是进一步提高浙江省

义务教育均等化水平的重要举措。

本文的创新之处主要有两个：一是通过实地调研、问卷调查获得了大量的一

手资料并试图通过国际上通用的利益归宿分析方法考察浙江省义务教育公共支出

的受益者；二是通过指标量化各县财政供给能力、义务教育资金需求，进而测算

省级政府对各县义务教育转移支付资金，利用因素法转移支付明确省级财政在义

务教育上的投入责任。

关键词：义务教育；均等化；评价指标；转移支付

浙江财经学院硕士学位论文

ABSTRACT

Compulsory education is state in accordance with the law to implement a certain

number of years of compulsory education for school-age children. The degree of

equality is not only related to the protection of basic human rights are also related to the

realization of social justice, but also a harmonious social and economic. The past 30

years’ reform, production finances gradually change to public finances to meet the

public's need, reflected on increased public spending on education and closely related to

people's livelihood, such as public service expenditures. Although compulsory

education in Zhejiang Province is taking the forefront, but it is difficult to cover up its

issues, prominent problems are gaps between regions, between urban and rural areas,

between groups on educational resources distribution, hardware investment, the quality

of teachers. It is necessary and urgent to targets through a comprehensive and objective

status quo of equal education in Zhejiang Province and analysis of the causes of

inequality, then put forward measures to equalities compulsory education in Zhejiang

Province.

This article is from theoretical analysis to empirical analysis to countermeasures.

First, analysis the basic theory of the equalization of compulsory education based on

these theories and through the index inspect present situation of Zhejiang Province

compulsory education, and analysis the factor which influence equable, finally proposed

policy suggestion to raise equalization.

As to public finance, the government investment compulsory education reason has

two: First, compulsory education is the external effect impure public good; Second,

promotes fairness. The compulsory education equalization proposed, although is mainly

based on guaranteed that the citizen basic educated right and promotion social justice.

But measures fairness and efficiency, this article thought: the equalization is not an

average. Guarantee the lowest level and continue to narrow the gap in regional, urban

and rural areas, groups, and schools. At the same time, the compulsory education

equalization has gradualness and the hierarchical, according to the educational

opportunity, the education process and education quality advance. The Zhejiang

Province compulsory education equalization's key point lies in the education process;

Finally, from protecting the citizen basic right as well as the maintenance social justice,

compulsory education's responsibility mainly in the government, specially budgets the

浙江财经学院硕士学位论文

level high central authorities and the provincial level government.

Next, sets up evaluating indicator opportunity equal, process equal and quality equal,

empirical analysis to the Zhejiang Province compulsory education equalization's present

situation. This article believe: At present Zhejiang Province has realized the compulsory

education opportunity equalization, but the education process between the city and

countryside, the area, interscholastic as well as between the different social group's

investment disparity is still very big, the teachers disparity and digital divider should

bring to our more attention, inter-country disparity is bigger than between the city and

countryside. The proportion difference between the city and countryside, between

regions, serious problem of selecting school, is telling us the compulsory education

quality not to be equal. Facing these situations, the cause of Zhejiang compulsory

education unequal is: “by county primarily, level-to-level administration” compulsory

education investment system, the regional economic development's huge difference

forms the main cause of compulsory education non-equal, the existing transfer payment

system rectified the property rights asymmetry to a certain extent, but dynamics was

still insufficient to realize the compulsory education equalization. In addition, the flaw

of teacher standard, teacher treatment disparity and teacher training are also creates

compulsory education unequal.

Finally, through the compulsory education equalization connotation, the present

situation and the origin analysis, proposed policy suggestion to enhance the compulsory

education equalization. Zhejiang Province as a developed area, provincial government

will undertake the primary responsibility in the compulsory education equalization, not

the central government; Inspect regional compulsory education finance demand as well

as the fiscal capacity, establishing factor transfer payment is the breakthrough to explicit

provincial finance responsibility. In addition, strengthen finance support the vulnerable

groups, perfect compulsory education teachers establish standard, establish compulsory

equalization achievements appraisal system are also the important action to raise the

Zhejiang Province compulsory education equalization level.

The innovation of this dissertation: First through research in the field and survey

grasp a large number of first-hand information, use international common interests of

the end-result try to probe education public expenditure beneficiaries in Zhejiang

Province; second, through various indicators to measure the funds supply capacity,

education funding needs, and then calculate the provincial government transfer

payments to the county education funding through transfer payments to compulsory

浙江财经学院硕士学位论文

education. The factors transfer identifies the responsibility of provincial financial input

in compulsory education.

Key words: compulsory education; equalization; evaluation factor; transfer payments

浙江财经学院硕士学位论文

第一章绪论……...........................................................................................................................1

第一节选题背景及意义……...........................................................................................1

第二节国内外文献综述……...........................................................................................3

第三节分析方法及结构安排...........................................................................................6

第二章义务教育均等化相关理论及内涵............................................................................8

第一节相关理论................................................................................................................8

第二节义务教育均等化的内涵 ..................................................................................10

第三章义务教育均等化评价指标设计..............................................................................12

第一节义务教育均等化评价指标设计...............................................................................12

第二节义务教育均等化度量方法...............................................................................14

第四章浙江省义务教育均等化发展历程和现状............................................................17

第一节浙江省义务教育均等化的历程......................................................................17

第二节浙江省义务教育均等化现状..........................................................................19

第五章浙江省义务教育非均等化的原因分析.................................................................33

第一节义务教育投入体制缺陷 ..................................................................................33

第二节义务教育转移支付制度缺陷 ..........................................................................35

第三节义务教育师资配置的制度缺陷......................................................................38

第四节义务教育负债严重 ..........................................................................................40

第六章浙江省义务教育均等化发展的对策建议............................................................42

第一节义务教育投入体制的完善..............................................................................42

第二节加大义务教育扶弱政策力度 ..................................................................45

第三节完善义务教育其它配套措施.........................................................................48

参考文献.......................................................................................................................................50

附录.................................................................................................................................................53

后记.................................................................................................................................................60

致谢.................................................................................................................................................61

浙江财经学院硕士学位论文

第一章绪论

第一节选题背景及意义

一、研究背景

从我国三十年的改革历程来看，就是要从传统计划经济时期的生产建设型财

政转变成以满足社会公共需要为目的，为社会提供公共服务的公共财政。反映在

财政支出结构上就是，财政支出中与民生有关的社会性支出比重的提高和用于一

般经济建设方面的支出比重的下降。浙江省随着社会经济的发展，特别是近年来，

以和谐社会建设为目标，加大教育投入、调整支出结构、完善管理机制等，将更

多的财力投入到与百姓切身利益相关的民生领域，基本公共服务均等化程度有了

一定的改善，在许多方面走在全国前列。作为基本公共服务的重要组成部分的义

务教育，其均等化与否关系到社会的进步和发展。

义务教育的实质是国家依照法律的规定对适龄儿童实施的有一定年限的强迫

教育的制度。义务教育作为面向每一个公民、每一个儿童的基础性教育，是一种

覆盖全民的平等教育，义务教育的这一本质决定了义务教育均等化的要求。改革

开放以来，浙江省始终把义务教育及其均等化作为教育工作的重点来抓，有力地

促进了浙江省义务教育的健康发展，基本完成了普及九年义务教育和扫除青壮年

文盲的目标，普及义务教育工作中始终走在前列。2007 年全省各类中小学校在校

生 601.75 万人，小学、初中入学率分别达 99.99%、99.72％， “三残”儿童少年

义务教育阶段入学率达到 98.5％，流动人口子女接受九年义务教育比例为 97%，

初中毕业生升高中段学校比例达 96.55％，各项主要发展指标已接近“教育强省”

的要求，并居全国领先水平。但在效率导向型的市场经济改革中，我们在取得成

绩的同时也面临着许多问题，发展的不协调。义务教育不均等发展主要表现在以

下几个方面：

1.由于教育投入不足，多年来许多乡镇学校举债筹措资金。在税费改革之前，

通过农村教育费附加、教育集资来保障这部分债务的偿还，但税费改革打破了此

偿还机制。对这些债务如何化解，成为各级财政面临的难题。

2.优质教育资源（尤其是优质师资）分布不均衡。经济欠发达地区、弱质学

校教育经费短缺，基础设施陈旧，教师待遇低下必然使优秀教师流失，而经济发

达地区、优质学校教育经费充足，教师待遇丰厚，吸引大批优秀教师，形成了教

育资源分布的“马太效应”。在这种背景下，就近入学的义务教育政策受到了挑战，

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摘要：

浙江财经学院硕士学位论文3摘要义务教育是国家按照法律规定对适龄儿童实施有一定年限的强制教育，其均等化程度不仅关系到基本人权的保护也关系到社会公平的实现,更是社会经济和谐发展的基础。改革近30年，从生产型财政逐渐向以满足公共需要的公共财政转变，体现在公共支出上就是加大义务教育等与民生息息相关的公共服务支出力度。浙江省义务教育虽然走在全国前列，但难以掩饰其发展过程中的诸多问题，突出地表现教育资源配置、硬件投入、师资水平在城乡之间、地区之间、群体之间的差距上。通过指标全面客观地考察浙江省义务教育均等化现状并分析不均等的制度原因，进而有针对性地提出浙江省义务教育均等化的对策既必要又迫切。本文沿着理论分...

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