【作者】 胡类明；

【导师】 王学军；

【作者基本信息】 武汉大学 ， 技术经济与管理， 2011， 博士

【摘要】 随着经济全球化步伐加快,产业大范围转移、融合、升级已成为二十一世纪区域经济发展的必然趋势,而技术创新和人力资本作为一种内生变量推动着产业集群沿着产业价值链从低端向高端升级演化。与传统产业集聚形成的农业园、工业园相比,国家高新技术产业开发区成为现代产业的新型集聚型态,为高端专业化的生产要素提供了良好的空间载体,提升了产业的竞争力,成为区域经济的重要增长点。自二十世纪九十年代以来,我国陆续建立的一批国家级高新技术产业开发区,已经成为国家高新技术产业的培育基地、高端研发基地、创新创业基地和科技人才的集聚基地,成为国家创新体系的关键节点和重要组成部分。为落实国家中长期科学和技术发展规划纲要,国家提出了以增强自主创新能力为核心的“二次创业”的国家高新区发展战略目标。在这种背景下,产业集群升级、高新区转型以及人力资本及其对创新绩效的影响研究,成为当前政府、业界和学术界普遍关注和探索的热点问题,有关高新区人力资本与创新绩效关系的研究也在进一步深化。从现实层面上看,由于人力资本存量不足、结构不合理、流动机制不健全、激励机制乏力,高新区科技创新绩效以及全面创新绩效难以重点突破和整体提高。如何从人力资本价值提升的角度,探讨高新区创新绩效的持续增长机制,是一个比较迫切的问题。以高新区人力资本及其创新绩效研究为选题进行深入研究,有助于更加系统地探讨和解决有关高新区人力资本与创新绩效方面的关键问题,譬如：高新区人力资本和创新绩效究竟可以应该从哪些方面去描述和衡量,不同高新区以及不同产业、不同创新主体之间的人力资本的差异性如何,人力资本的各个方面、不同类型的人力资本又是怎样去影响国家高新区的创新绩效等等。从理论层面看,当前对于高新区人力资本及其创新绩效的关系研究尚需进—步拓展和丰富。在研究对象上,要从关注企业层面、区域层面拓展到重视各个创新主体上来；在创新绩效的评价上,要从关注纯技术创新绩效拓展到重视全面创新绩效、从关注经济结果拓展到重视高新区发展潜能和竞争力上来。本研究综合运用人力资本理论、区域创新理论、产业集群理论等技术经济学领域的最新成果,以高新区人力资本测度结构体系和创新绩效评价结构体系的构建为突破口,采用规范研究、实证研究和调研访谈相结合的方法,深入探讨高新区人力资本与创新绩效的相互关系和作用机理,为创新导向的高新区人力资本价值提升路径探索提供分析框架和理论依据。第一、二章,运用文献资料法全面梳理了关于区域人力资本、区域创新绩效、产业集群研究的理论成果,把握最新的研究动态,为后续研究奠定良好的基础。第三章,对高新区人力资本概念的外延与内涵进行了分析和界定。全面分析了高新区人力资本的特点,高新区人力资本的投资方式、功能产出及价值因子；全面分析了区域创新系统及高新区创新绩效的概念和内涵,对广义的区域创新绩效和狭义的技术创新绩效进行了区分和界定。研究认为,科技和文化都是影响高新区创新绩效的重要因素,“科学”和“技术”在基本任务、回答问题、成果形式、功利性等方面存在差异,单从技术角度考察区域创新绩效是不够的,高新区的创新绩效应当从企业、产业集群及区域整体多个层面、多个过程环节来综合考察。高新区创新绩效,不仅仅是科技创新绩效,还包括其它表现在制度创新、文化创新及创新系统运营等方面的创新绩效。论文在深入分析人力资本价值因子的前提下,从系统科学的视角提出高新区“四因四性”的人力资本测度结构体系,即从机能健康因子、知识智慧因子、技术技能因子、精神道德因子等四个内涵价值因子以及存量性、结构性、流动性、增益性四个特征维度来综合测度高新技术产业开发区人力资本。在深入分析区域创新的内涵、过程的前提下,提出高新区“四阶四维”创新绩效评价结构体系,即从创新资源投入、科技成果产出、科技成果经济化、社会财富分享等四个阶段以及科技创新绩效、系统运营绩效、经济绩效、社会绩效等四个维度来综合评价高新技术产业开发区创新绩效。第四章,进一步建立深度分析框架进行高新区人力资本对创新绩效影响的机理分析,探讨了人力资本对创新绩效的驱动及其实现机制。研究认为：高新区人力资本绩效驱动的根本动因在于价值实现和利益驱动,其具体的实现机制是内生增长机制、资源配置机制、能量运动机制、创新进化机制和风险预控机制；人力资本的绩效驱动过程是人力资本与其它资本要素有效结合从而推动不同利益主体创新进化的过程,是人力资本从潜能态到运能态的能量转化过程,也是人力资本从个体价值到组织价值再到社会价值的实现过程；人力资本的投资积累方式影响人力资本的存量水平,而在高新区及其产业集群发展的不同阶段要求对人力资本的投资方式、投资主体、投资对象和投资强度有所选择和侧重；人力资本承载体自身价值因子的结构分布以及区域人力资本的结构重心变化,决定了人力资本及其它资本要素的创新绩效功能。高新区人力资本的合理流动应该遵循利益驱动规律、供需均衡规律、结构优化规律和比较优势规律。只有在存量性、结构性、流动性都具有合理优度的情况下,人力资本的增益性才能更好地发挥,高新区的创新绩效水平才能得到有效提高。第五章,运用DEA方法及SPSS等软件,以我国国家高新技术产业开发区和全国高新技术企业为重点研究对象进行实证研究,分别探讨当前高新区人力资本的存量、结构、流动对创新绩效的影响效度。研究认为：人力资本的各个价值因子之间,知识智慧因子和技术技能因子的相关度最高；当前我国高新区人力资本对高新区自身经济发展以及地方经济的发展总体上起到了积极的促进作用,但是科技创新的纯技术效率低于规模效率,科技成果经济化效率还有待提高；高新区高学历、高职称人员在一定程度上促进了直接科技成果产出和经济产出,但是并不是学历、职称越高则创新绩效越高,而硕士层次人员和年轻劳动力对经济产出起到强有力的支持作用；薪酬是影响人力资本流动及高新区发展的重要因素,但不是唯一因素,而社会保障、职业尊严、自然环境、制度文化等因素都会对人力资本的流动产生影响。第六章,以上述研究为基础,针对国家高新区发展的现状与问题,提出了创新绩效导向的高新区人力资本的价值开发策略。更多还原

【Abstract】 With the development of economic globalization, the widely transforming and upgrading of industries has become an inevitable trend of local economic development in the 21st century; Also, the creation of technology as well as the human capital taking the role of internal variable has been pushing the industrial clusters along the industry value chain from low-base upgrade to the evolution of high-base. The national high-tech industrial development zones have become a new type of accumulation pattern of modern industry, the factors of production for high-end professional space provides a good vehicle to enhance the competitiveness of the industry.The gradually created national high-tech Industrial Development Zone has become a national training base for high-tech industry, high-end R & D base, creation base and technology talent base, and a national innovation key nodes and critical system components. To implement the national long-term scientific and technological development program, China proposed to enhance the capability of independent innovation as the core of the "second pioneering" National High-tech Zone Development Strategy objectives. In this context, upgrading industrial clusters, and the transformation of high-tech human capital and its impact on innovation performance, has become the hot issues of concern between the current government, industries and academia in general; as for the high-tech zone between human capital and innovation performance, the research is also further deepened.From a practical level, because of the lack of human capital, unreasonable structure, imperfect liquidity mechanism as well as weak incentives, and the scientific and technological innovation performance and the overall innovation in the high-tech zones is hard to breakthrough and improve. Thus, discuss the continued growth mechanism of innovation performance of high-tech zones from the increasing of perspective of human capital is a comparatively urgent issue. Take the topic of in-depth study of human capital and its innovation performance in High-tech Industrial Development Zone will be helpful to discuss and solve the key issues of human capital and innovation performance in the high-tech zone, for example, what performance can be described and from which areas to measure human capital and innovation performance in the high-tech zone, the human capital differences between the different innovation subject. All aspects of human capital and different types of human capital influence the innovation performance in the national high-tech zone.From the theoretical level, the current high-tech zones for the human capital and its innovation performance research need to be further expanded and enriched. The object of study should be expanded up to the focus of each innovation subject from the concern about the corporate level, regional level. The evaluation of innovation performance should be expanded up to focus of comprehensive innovation performance and developing potential of the competitiveness of high-tech zones from the concern about the scientific and technical innovation performance and economic results.By comprehensively using the latest achievements of the theory of human capital, regional innovation and industrial cluster, the paper used establishment of human capital structure system and performance evaluation system as a breakthrough, the methods of combination of normative research, empirical studies and interviews to discuss deeply the relation and functional mechanism of human capital and innovation performance, which provided the route of the analytical framework and theoretical basis of exploring the innovation-oriented promotion of human capital value.The first and second chapter comprehensive combed the theoretical results of regional human capital, regional innovation performance, and industrial cluster research and grasped the latest research dynamic by using the methods of documentation, which lays good foundation for the follow-up studies. The third chapter analyzed and defined the denotation and connotation of human capital concept in high-tech zones. It not only comprehensively analyzed the characteristics of the human capital in high-tech zones, and investment, Functional output and value factor of human capital in high-tech zones, but also the concept and connotation of regional innovation system and the innovation performance of high-tech zone. It distinguished and defined the generalized regional innovation performance and special technical innovation performance. Studies suggested that "science "and "technology" have differences in the basic tasks, answering questions, result forms, and utilitarianism; from the technical perspective, the regional innovation performance is not enough; the high-tech zone of innovation performance should be from businesses, industrial clusters and regional comprehensive survey of the overall three levels. Innovation performance for high-tech zone is not only a technological innovation performance, but also other manifestations in the system innovation, cultural innovation, innovation systems operations and other aspects of innovation performance.Under the in-depth premise of analysis of factors of the value of human capital, the paper proposed "four-factor four-feature" structure of human capital measurement systems in high-tech zones, that is from functional health factors, knowledge and wisdom factors, technical skill factors, spiritual and moral factors and four dimensionality of stock structure, movement, gain to comprehensively measure human capital of high-tech industrial development zones. Under the in-depth premise of analysis of connotation and process of regional innovation, the paper proposed "Four-stage four-dimension" innovation performance evaluation, which evaluate innovation performance in high-tech industrial development zones from four stages of the innovative resource input, technological achievements output, economization of scientific and technological achievements, social wealth-sharing and four dimensionality of technological innovation performance, system operational performance, economic performance, social performance.Chapter four further established the framework for high-depth analysis of human capital on the innovation performance of the theoretical analysis of the human capital performance, drivers of innovation and its implementation mechanisms. Studies suggested that the basic agent for human capital performance drive of the high-tech zones lies in the value realization and benefits driven, the concrete realization mechanisms are endogenous growth mechanism, resource allocation mechanism, energetic movement mechanism, innovation evolution mechanism and risk precontrol mechanism. Human capital performance driven process is the process of different interest and innovation evolution that promoted by human capital and other capital elements, human capital performance driven process is also the energy conversion process of human capital changed in to freight state from potential state and the realization process of human capita from energy conversion from the individual value to the organization’s value to the of social value. The accumulation methods of human capital investment affect the stock level of human capital, however in the high-tech zones and in its different development stages of industry cluster ask for different options and focuses to the investment main body, investment way, object and investment intensity of human capital. The human capital’s value factor distribution and the structure’s core change of regional human capital are the factors of human capital and other capital elements of the innovation performance function. The rational flow of human capital in the high-tech zones should base on the benefit drive law supply and demand proportionality, structure optimization rules and comparative advantage rule. Only when the stock, structure and liquidity are under the condition of goodness, manpower capital can gain more benefits, and innovation performance level can obtain the effective improvement in the high-tech zones.In chapter five, we use DE A method and SPSS software focusing on the national high-tech industrial development zones and high-tech enterprise, discussed the stock of human capital, structure, flow of Innovation performance validity respectively. Studies suggested that of all the value factors in human capital, the correlation between knowledge wisdom factor and technical skills factor are closest. Nowadays in the high-tech zones in China human capital play a positive role in promoting their own economy and the development of local economy, but the pure technical efficiency of technological innovation is low compared with the scale efficiency which needs to be improved. Highly educated, high title personnel in the high-tech zones do not have significant impact on direct technological achievements output and economic output. On the other hand, master personnel and young labors have strong support on the economic output. Salary is the key factory that influences the human capital flows and the development of the high-tech zones, but not the only factor, while social security, professional dignity, natural environment, system culture will influence human capital flows.In chapter six, based on the research and to aim at the high-tech zones for the development of the national situation and problem, we proposed a high-tech innovation and innovation-oriented value of human capital development strategies.更多还原