【作者】 李广科；

【导师】 李录堂；

【作者基本信息】 西北农林科技大学 ， 农业经济管理， 2012， 博士

【摘要】 人力资本在中国区域间呈现出明显的非均衡性和空间集聚特征。人力资本差异反映在投资、积累、运行三个方面上，人力资本投资的多少是基础，没有投资就没有人力资本，也就不可能产生足够丰富的人力资本投入生产过程。其次，人力资本积累能力同样重要，高投资并不一定形成本地区的高人力资本积累。第三,人力资本运行水平的高低虽以投资高低以及积累丰富程度为基础，但其最终表现在运行水平上，进一步说，实际投入到生产运行中的人力资本的多少受制于一系列的正式制度、非正式制度及其实施机制。因此，本文对人力资本差异形成机制的分析从投资水平、积累水平、运行水平这几个层面上来反映。在研究方法上，本文综合采用了规范研究和实证研究，并结合定性分析展开定量分析，努力做到理论分析和实践应用的紧密结合。本文运用新制度经济学所包含的制度分析框架和理论分析工具，针对中国东、中、西部三种不同经济发展状况地区人力资本的内在特性和区域环境系统对人力资本运动的影响进行考察，深入剖析我国人力资本区域差异现状的形成机制，提出区域投资差异、积累能力差异（东西部人力资本流动的非对称性、经济活动的空间非均衡性对区域人力资本差异的作用、人力资本积累的自我强化机制）和运行水平差异（人力资本配置的制度差异）造成了中国人力资本的区域差异的观点，认为人力资本的内在运动特性是诱发人力资本由中西部地区向东部区域流动，延续和强化既有人力资本区域差异的内在机制。最后，提出促进东、中、西部地区经济发展的区域人力资本对策。本文共包括八章：第一章，导论。本章在对人力资本研究现状进行综述和分析的基础上，剖析现有人力资本研究中所存在的不足之处，进而提出了本研究的目的及其理论和现实意义，并对研究思路及研究方法进行介绍。第二章，人力资本存量的区域差异。在对已有人力资本存量测度方法分析的基础上，遵循全面性、资料的可获得性和可操作性的原则，在评价人力资本水平时，选取了反映人力资本存量的教育、研究与开发以及健康等方面的因素，测度了东部、中部、西部人力资本的存量，并进行了比较分析。第三章，区域人力资本投资水平的差异。由于人力资本是经过投资形成的，人力资本存量是人力资本投资的结果。因此，本章根据人力资本的形成途径，从正规教育、在职培训、健康保健、科研、迁移等方面来分析区域人力资本投资的非均衡状况。第四章，东西部人力资本流动的非对称性。人力资本作为一种特殊形态的资本，运动性是其内在要求，人力资本及其运动性特征是人力资本区域差异的内在动力基础。中西部投资形成的人力资本大量涌向东部，造成了中西部人力资本投资的损失。第五章，经济活动的空间非均衡性与区域人力资本差异的相互作用。经济活动的空间非均衡性决定了人力资本区域的非均衡性；与此同时，人力资本区域的非均衡性又导致了区域经济的非均衡发展。第六章，人力资本配置的制度差异。运用新制度经济学的分析框架和理论工具，将制度纳入人力资本形成的经济学分析，深入考察人力资本形成和积累中具体的正式规则、非正式约束以及它们的实施机制，进而解释各区域由于制度差异而导致的人力资本运行水平和开发层次上的广泛差异。第七章，区域人力资本积累的自我强化机制。人力资本东部区域集聚产生显著的集聚效应，人力资本的区域集聚为知识和信息的学习与交流带来速度与效率，降低了人力资本生产成本和交易成本，形成人力资本区域集聚的不断延续和强化机制，也加速了个体人力资本自身的积累。第八章，结论和对策。进一步探寻兼顾发展效率和区域公平的东西部人力资本补偿、合作路径:提高投入的配置效率和组织效率使稀缺的资源产出最大的人力资本；建设人力资本市场以降低人力资本区域迁移成本；注重发挥中西部人力资本资源配置和资源转换能力的制度创新机制；加快产业转移步伐，实现产业转移、人力资本转移“双转移”；加强政府宏观调控以引导人力资本区域合理迁移。本文的创新点在于：（1）提出集聚区域人力资本投资的成本优势。（2）提出制度非均衡导致的人力资本存量水平和开发层次上的差异。更多还原

【Abstract】 Human capital among different regions present the characteristics of unbalance andspatial centralization. The level of one region’s human capital are reflected in the threecorrelative aspects, that is investment, accumulation and operation. And the decisive factor isthe amount of human capital investment, for no investment no human capital. Andthen therewould be no enough human capital being put into production. At the same time, theaccumulating ability of human capital is still important. For no accumulation no humancapital investment. Thirdly, though the level of one region’s human capital is based on theinvestment level and its corresponding accumulation level of human capital. They ultimatelyshows in the operating level of it, What’s more, the actual amount put into operation andproduction is controlled by the institutional factors, such as a series of exclusive formalconstraints, informal constraints and their enforcement characteristicsSo this paper analysisthe formation mechanism of one region’s human capital from it’sinvestment level,accumulation level and operation level.In this dissertation, we used some kinds of methods, just like normative and positivestudy, qualitative and quantitative analysis, theoretical analysis and practical application.Basdon the internal characteristics of human capital and the influence of regional environments onhuman capital movements, by means of the analytical framework and theoretical tools of newinstitutional economics, this dissertation deeply anatomized the mechanism of human capitalregional difference. The internal movement characteristics of human capital, regionaldifference of human capital investment and the non-equilibrium development of theinstitutional system inevitably result in more and more human capital moving into theaggregation region, by which a constantly extending and strengthening mechanism of humancapital regional aggregation is formed.The dissertation is consisted of eight chapters:Chapter one, Introduction. Bsed on the reviewing of the researching actuality of humancapital, this chapter analysised the shortcoming of it, and give the significance and the purpose of the thesis，the logical thoughts and the researching methods.Chapter two studies the regional difference of human capital storage. Based on theanalysis of the human capital measurement on this field, and according to the principle ofall-sideness, procurement and operaterability of material, in the evaluation of the level ofhuman capital, the paper selects the education, research, development and health as the factorsof human capital storage to measure the human capital storage of the East, the Central and theWest China and to make a certain comparation.Chapter three studies the regional difference of human capital investment. Theinvestment of human capital leads to the accumulation of human capital. So this chapteranalysis the unbalance of regional investment in human capital from five aspects named as theeducation, training, research, and health investment according to the formation route ofhuman capital investment.Chapter four is devoted to the study of the unbalance of human capital regionalmovements. As a special capital, human capital inherently needs movement.Thecharacteristics of human capital and its movement are the motivity basis of human capitalregional difference.Chapter five is devoted to the study of the interactions between the unbalance of humancapital regional difference and the difference of regional economy. The difference of regionalhuman capital is one of the most important factors to result in regional economic disparity.Regional economic development determines regional difference of human capital, and thelatter also has important effects on the former.Chapter six is devoted to the study of the institutional factors of human capital spatialallocation.By means of the analytical framework and theoretical tools of new institutionalism,this part anatomized the institutional factors of contributing regional difference of humancapital.A series of exclusive formal constraints, informal constraints and their enforcementcharacteristics impose an institutional discrimination against the west.Chapter seven is about the easter strengthening mechanism of human capital regionalaggregation.Human capital aggregation effects and the unhomogeneousness of zone spaceattracts more and more human capital moving into the east region,by which a constantlyextending and strengthening mechanism of human capital regional aggregation is formed.Chapter eight is about the conclusion and corresponding policies suggestions. The goal isfor further inquiring the effective way that reduces the regional differences of human capital.They are as follows: continuously exploring the methods of human capital payment and cooperation between the East and the West taking into account the efficiency and regionalequity; raising the efficiency of input allocation and organization in order to make the biggestoutput. constructing the human capital market and lower the cost of human capital migrationbetween different region; Paying more attention to the mechanisms of innovative system ofhuman capital resource allocation and resource conversion capabilities; Accelerating the paceof industrial transformation, achieving the "double shift", transfermation of industries andhuman capitals; Strengthen the government’s macroeconomic regulation to guide reasonablemigration of the human capital.The innovation of this paper is to:(1)Proposing the gathering of regional human capitalinvestment cost advantage.(2)By means of the analytical framework and theoretical tools ofnew institutional economics, this dissertation deeply anatomized the mechanism of humancapital unbalance regional movements and aggregation.更多还原