在世界银行等国际组织以及发达国家，监测与评价已成为非常重要的政策管理工具，几乎覆盖了政策过程的各个环节。而当前我国教育政策的监测与评价发展较为缓慢，仅处于起步阶段。本研究将公共政策监测与评价的理论和方法引入教育政策领域，为农村义务教育经费保障机制（以下简称“新机制”）设计监测与评价体系，并针对“新机制”对义务教育普及、义务教育资源配置均衡的影响等方面进行实证研究，为“新机制”政策的实施、调整与完善提供参考。本研究的第一部分，包括第一、二章，主要概述了教育政策监测与评价的方法技术。在方法模式上，逻辑框架方法、CIPP模式、成本效益分析、影响力评价等方法是政策监测与评价经常使用的方法模式；社会实验方法和非实验方法是影响力评价的两种技术方法，前者通过随机实验设计或准实验设计考察政策效应，后者使用倍差模型、配对模型以及增值模型等计量手段评价政策效应。本研究的第二部分，包括第三、四章，主要结合教育政策监测与评价的方法技术，在分析“新机制”政策的干预活动、政策目标基础上，构建了“新机制”政策监测与评价的指标体系和研究设计，并探讨了“新机制”政策提出的政府责任问题。“新机制”政策的干预活动主要包括“两免一补”、“公用经费保障”等，政策目标主要表现在：“减轻农民负担，实现双高普九；理清政府责任，保障义务教育投入范围和水平；扶持薄弱地区，促进教育资源配置均衡”等方面。在政策分析基础上，构建了包括背景、投入、产出、结果、影响在内的系统的监测与评价指标体系，设计了对政府责任、学生发展等方面的监测与评价研究框架。本研究的第三部分，包括第五、六章，是对“新机制”政策效果的实证分析，主要围绕第二部分构建的“新机制”监测与评价研究框架，使用杜育红教授主持的西部地区基础教育发展项目影响力评价课题（以下简称“西发项目”）的县级数据库、中国义务教育财政改革项目数据以及统计年鉴数据评价了“新机制”对农村教育负担、义务教育普及和义务教育公平的影响效应。实证分析发现：在教育负担方面，“新机制”政策能一定程度上减轻农户的教育负担。此外，经济困难是农村学龄儿童辍学的主要原因，减轻农民负担以后，有利于遏制辍学现象；在义务教育普及方面，“新机制”实施以后，政策受益地区义务教育普及率有较大幅度提高，而且研究发现，“新机制”政策对西部五省农村地区义务教育普及产生了一定的正向影响。“新机制”在实施过程中，提高免费教科书的受益范围等政策调整均有利于义务教育的普及，但同时西部五省农村中小学校的危房比例仍较高，不利于义务教育普及；在义务教育公平方面，通过构建倍差模型和配对模型发现，“新机制”政策对于生均预算内公用经费、教师平均工资水平具有显著的正向影响，对于两类支出的县域内差异具有显著的负效应，即能够缩小两类支出的县域内差异。在理论研究和实证分析的基础上，本研究提出：政府应当重视创建教育政策监测与评价的制度与文化，尤其应当鼓励第三方评价的开展；学术研究者应当继续深入研究教育政策监测与评价的理论与方法，尤其是发达国家研究方法的本土化；对于“新机制”政策，政府应加大力度保障校舍维修长效机制，提高对贫困生的补助额度，进而更大程度上保障“双高普九”，促进义务教育的均衡发展。

In many international organizations and developed countries, monitoring and evaluation of public policies has become a very important policy management tool, which covers almost all aspects of policy process. But China is relatively backward in the employment and development of monitoring and evaluation on educational policy, just at an elementary stage. This study uses the theories and methods of monitoring and evaluation of educational policy to monitor and evaluate the Fund Guarantee Mechanism for the Rural Compulsory Education ((hereinafter referred to as the New Mechanism). Then the study advances valuable policy implications for the implementation, adjustment and improvement of the New Mechanism.The first part of this study includes the first two chapters, which is an overview of methodology for policy monitoring and evaluation. From the methodological perspective, logical framework approach, CIPP model, cost-benefit analysis and impact assessment is the popular methods of policy monitoring and evaluation. Experimental and non-experimental method is the techniques of impact evaluation. For the former, randomized design and quasi-experimental design are the most important two types of research design. For the latter, difference in difference model, matching model and value-added model is the effective tool for identifying policy effect.The second part of this study include the third and fourth chapter, based on the analysis about the New Mechanism policy intervention and policy targets, this thesis builds a monitoring and evaluation index system and research design, and then discuss the multi-level government responsibility under New Mechanism. The policy intervention activities of New Mechanism include the two exemptions and one subsidy, guarantee of non-personnel expenditure and so on. The purpose of the policy is to reduce the burden of peasants and highly achieve the universalization of compulsory education, clarify responsibilities of government at different levels and ensure the scope and level of compulsory education input, support poor areas and promote balanced allocation of educational resources. Based on the analysis of the policy, this study constructs the index system of monitoring and evaluation, which includes the context, input, output, outcome, impact index. And then the evaluation framework is designed for evaluating government responsibility, student development and other aspects. The third part of this study include the fifth, sixth chapter, which is the empirical analysis. This part uses the framework design of chapter 4 to evaluate the impact of the New Mechanism on compulsory education universalization and compulsory education equalization. The data recourses include Impact Assessment of Basic Education in Western Areas Project supported by DFID and World Bank, Support for Reforms in Compulsory Education Financing in China Project funded by Asian Development Bank and Statistical Yearbooks. Then found that the New Mechanism policy reduced educational burdens for rural people and then could decrease dropout rate. The universalizing rate of compulsory education has a significant increase after the implementation of New Mechanism which has a positive impact on compulsory education universalization in rural areas. The extension of the free textbooks scope has a positive effect on the compulsory education universalization while the dilapidated building rate has a negative effect. In the respect of education equalization, by building difference in difference model and matching model, this thesis found that New Mechanism has increased the per-student average expenditure and per-teacher average wage and decreased their inter-county difference.Based on the analysis in this study, the government should put more importance to monitoring and evaluation of educational policies to create the system and culture, especially the third-party monitoring and evaluation system. Academic researchers should continue to explore the theory and method of monitoring and evaluation on educational policies, especially the application of developed countries’ theory and method in China context. For the New Mechanism, the Government should make more efforts to guarantee the school building maintenance long-term mechanism, to raise the amount of subsidies for poor students, to ensure the high universalization rate of high quality compulsory education and to promote the equalization of compulsory education.