后4%时代教育投入与高校绩效薪酬研究

在我国教育投入的“后4%”时代，教育经费总量缺口仍然很大，人均教育支出与发达国家仍然相差很大。我国教育投入以财政性教育经费为主。如何继续保证财政性教育投入的持续增长，如何广泛动员社会力量积极投入教育，仍然面临着极大挑战。不同教育阶段产品属性各有千秋，这就决定了教育投入主体的多元化。我国教育投入地区差异悬殊，不均衡问题严重。西部地区教育经费占地区生产总值比例较高，东部地区教育经费占地区生产总值比例较低。全国范围内，生均教育经费地区差异、城乡差异极为悬殊，乡村义务教育办学缺少基本的投入。沿海发达地区以及东三省生均学杂费较高，中西部欠发达地区明显落后。我国教育成本分担结构不合理，“国进民退”问题突出。其中，公共财政投入占绝大部分比重，而且比例仍在逐年上升；社会捐赠经费、民办学校办学经费比例很小，却仍在逐年下降；而学杂费比例远远高于社会团体（公民个人）办学经费及社会捐助集资办学经费。在社会教育投入经费有限的背景下，中国教育成本分担结构重心逐渐向个人或家庭倾斜，政府财政负担越来越大。由于生源的变化，高校教育经费在教育经费分配结构中所占比例有所上升，中小学教育经费所占比例有所下降。在国家经济依然较快增长的背景下，我国公共教育投入努力程度仍在下降，财政性教育经费占财政总支出比例总体上呈下降趋势，而且财政性教育经费占财政总支出比例的地区差异很大。新世纪以来，我国高等教育规模一直在快速膨胀，近年来也是稳中有升，但高校教育经费占总教育经费比重却几乎停滞不变，高校财政性教育经费占比甚至多年一路下滑。高等教育必须有更多社会主体来分担成本，仅靠政府的投入，既力不从心，也不符合高等教育自身规律。因此，我国传统的依靠政府独挑大梁投入的时代已经一去不复返，必须形成撬动社会资金投入的杠杆机制，才能保证高等教育内涵式发展。教育与经济的发展相互作用、互为因果，形成循环累积的非均衡关系。我国沿海发达地区的优先发展，对中西部落后地区既有积极作用，又有消极的“回波效应”: 落后地区的人才、资本、资源被发达地区大量引走，其中大量处于“隐性失业”状态的教师纷纷流向东南沿海经济发达地区，尤其是广东省，给落后地区造成了发展困难。从初等和中等教育来看，广东省已经成为我国的重要增长极，就目前而言，其“回波效应”相当明显，但是对周边地区的辐射作用或者说“扩散效应”还十分有限。要摆脱“教育落后与经济贫困的恶性循环”，必须对教育有更大投入，提高教育水平，从而促进经济增长，使人均收入增长突破一定限度，从而摆脱贫困的恶性循环。教育投入水平的制约是我国省际层面“资源诅咒”存在的重要影响因素。充沛的自然资源对技术创新、人力资本存在“挤出效应”，对教育投入努力存在“诅咒效应”。由于资源丰富地区的资源开采部门对熟练或高素质劳动力的需求不足，膨胀的自然资源“挤出效应”明显，容易挤出对推动经济增长更为重要的人力资本要素，而忽视对教育的投入。要破解“资源诅咒”，必须努力提高资本积累、教育投入（人力资本投资）水平、技术创新能力、市场化程度并加强制度建设，人力资本投入是缓解“资源诅咒”的重要途径。通过物质资本积累增加教育投入，可以有效解决资源的硬约束，变自然资源优势为人力资本优势和技术创新动力，从而推动地区经济的持续健康发展。高等教育经费投入在促进经济增长中具有显著作用，高校是我国基础研究和应用研究的主力军。技术创新主要源于科学研究，科学研究是产生知识的源泉。高校作为知识创新和生产的主体、知识传播和转移的主阵地，在区域技术创新和经济发展中发挥着独特的作用。在整个国家创新体系中，高校表现出非常高的科技投入产出效率。但是，我国高校人才培养质量和科研能力仍然亟待增强，基础研究比重相对下降、原创性成果偏少，行政化学术评价制度及管理制度不利于大师和重大创新成果的问世。高校教师工资水平相对较低，不仅对教师公平感产生负面影响，而且会影响教师工作绩效。我国应适时加大人员经费投入，提高教师薪酬整体水平。高校教师经济薪酬是高等教育经费支出中事业性经费支出的重要组成部分。在当前高校基础建设普遍取得长足发展的背景下，我国高等教育投入理应适当向个人部分倾斜，加大人员经费投入，提高教师薪酬整体水平。高校教师绩效管理有其自身特点，在绩效、薪酬与其追求之间存在紧密的内在循环机制。在政府推动下，我国许多高校已经开始实施教师绩效工资制度。建立学术职业绩效薪酬与追求的长效激励机制，有利于稳定教师队伍，积累学术人力资本，促进教师专业发展，推进高校建立现代大学制度。但也存在障碍与约束: 其一是绩效考评的工具理性约束，其二是薪酬的内在激励机制障碍。工具理性的泛滥给人类带来了严重危害，绩效管理的工具理性对高校教师的可能冲击主要体现在“绩效主义”迅速蔓延、侵蚀团队精神、教师的短期利益偏好以及损害学术价值。高校推行绩效改革，应该充分认识学术职业的独特性，制定出多元化的绩效标准，建立绩效管理循环，还要关注教师专业发展，切实推行高校去行政化改革，建立现代大学制度。高校教师绩效薪酬制度有利于打破收入平均主义的束缚，但也受到官僚模式的影响，存在“棘轮效应”、“挤出效应”和公平性约束，绩效薪酬强度过高，可能导致高校薪酬跌入“市场化陷阱”。完善大学教师绩效薪酬制度是一个系统工程，应积极推行整体薪酬和宽带薪酬，提高薪酬整体水平，确定绩效薪酬的合理边界，做到公平公开，提升青年教师基础薪酬水平，建立教师和管理人员薪酬分类管理制度。AbstractIn the“post-4%”era of input in education in our country，there still is a huge global shortfall in the total amount of education expenditure.Per person on education is a far cry from the developed country.The input in education in our country is based on government spending.How we will continue to ensure sustainable growth of government spending? How to encourage social forces to be put into the education actively? We still face great challenges.Different stages of education have their merits in product attributes.This determines funds of education should be got in various ways.There are large regional differences of input in education in our country.The problem of imbalances is in serious trouble.Western region spends a higher share of GDP on education allocation.Eastern region spends a lower share of GDP on education allocation.There are large regional differences and urban-rural differences of the per student educational appropriation nationwide.The countryside compulsory education lack basic input in their school running.The tuition and fees of per student is higher in the Northeast China and developed areas on the coast than Middle West less developed area.As the problem“guojin mintui”became acute，the education cost-sharing structure needs to be optimized.Among them，the public finance investment is taking majority parts and growing.At the same time，the donations and educational outlay of private schools continued to decline，the tuition and fees became a higher proportion than the donations and educational outlay of private schools.Under this background，the center of gravity of education cost-sha-ring structure in China is shifting gradually toward individual/family，and government endures more and more finances burden.Since students change，the percentage of education investment in universities and colleges is rising and the percentage of schools has declined.With the Chinese economy continues to sta ble and rapid growth，the level of effort in public education investment is still dropping.There are wide regional variations in the proportion of educational ap-propriations in the total financial expenditure.Since the new century began，the scale of the higher education in China expanded fast and it is still rising steadily in recent years.But the proportion of education investment in universities and colleges remains almost flat.Higher education needs more social subjects to share the cost.The government fund investment is extremely limited to meet so huge need.Therefore，the era reliant on government investment in tradition has gone.We must leverage and induce social capital investments.Education gets in touch closely with the developments of economy and brings forth results.Some circulation and accumulated effect is formed between them.The priorities of development for developed areas on the coast do not have the active effect on economy but also has the echo effects to Middle West less developed area.The talents，capital and resource is largely absorbed by developed areas.Much hidden unemployment teachers tends to flow to the southeast provinces and cities，especially Guangdong Province.It caused difficulty with development to less developed area.In the case of primary and secondary education，Guangdong Province has become an important growth pole.For the moment，the echo effect is rather obvious，but the diffusion effect is quite limited.To get out of the vicious circle of the backward education economic poverty，more investment in education should be made.Rising education levels and thus increasing economic growth，economic growth will raise the level of per capita income，thereby shake off the vicious circle of poverty.The overall input level of education is low，which has important influence on China’s provincial resource curse.Abundant resources have significant crowding out effect on human capital，technological innovation and effort of investment in education.To break out of the resource curse，the levels of capital accumulation，investment in education，technological innovative capabilities and market degree must be raised.The input of human capital is an important ap-proach to mitigating the resource curse.The input of higher education plays an important role in promoting the increase of economy.The colleges and universities are the core of the basic re search and applied research in our country.Technical innovation comes mainly from scientific research，which is the source to knowledge.As the battlefield of producing and creating knowledge，college and university play a more and more important role in regional technology innovation system and economic development.They showed very high efficiency of science and technology input-output in national innovation system.However，the training quality and research capacity still need to be strengthened.The relative proportion of the basic research is descending and the original innovation is less.The administrativization of academic appraisal system goes against the advent of the master and major innovations.The personnel expenditure of higher education is not enough and the teachers’salary is relatively lower，which is harmful not only to teachers’organizational justice，but also to their job performance.In the current situation，it’s time to increase personnel expenditure input by adjusting education fund allocation.So far，many of our universities and colleges have begun to implement performance-based pay system under government’s impetus.Performance management of academic profession has its own characteristics.There is a tight intrinsic looping mechanism among performance，payment and pursuit of academic pro-fession.As a longterm motivation mechanism，it is beneficial to lower teachers drop-out rate，stabilize teachers rank，accumulate academic human capital，promote professional development of teachers，promote the construction of modern university system.But barriers and restraints are out there.One is instrument-rationality restraint in performance appraisal.The other is internal excitement mechanisms barrier of payment.The abuse of instrumental rationalism has done great harm to the whole world.The shocks to academic profession from instrumental reason of performance management mainly show in four aspects:“performancism”spreading rapidly，the erosion of team spirit，the short-term benefits preferences of teachers’and damage to academic merits，etc.The universities and colleges should fully acknowledge uniqueness of academic profession in order to catty out the performance reforms，work out diversified performance criteria，establishes performance management cycle，focus on the teachers’professional development，practice the getting rid of the administrative re form feasibly and establish modern university institution.Pay for performance systems of university teachers can break down the bondage of egalitarianism.But it’s influenced by bureaucratic model.There is ratchet effect，crowding out effect and fairness constraint.If pay for performance is too intensive，university compensation system can run into marketization trap.To perfect performance compensation system of academic profession is a systematic engineering.The universities should promote total compensation and broadband salary，raise integral level of compensation，set a reasonable boundary，be truly open and fair，and associate young people to get access to their development and full growth.Meanwhile we must establish the sound and related system in practice.

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