【作者】 王海兰；

【导师】 宁继鸣； 黄少安；

【作者基本信息】 山东大学 ， 语言经济学， 2012， 博士

【摘要】 人类的交流和社会经济活动离不开语言,基本上每个人都至少熟练掌握一种语言。语言经济学家从理论和实证的角度论证了语言技能的人力资本属性,认为语言技能资本投资是一种重要的人力资本投资形式。随着全球化进程的加速发展,不同国家、不同民族之间的经济交往和教育文化交流日益频繁和不断深入,个体所面临的语言环境越来越多元化,经济社会活动对人们所掌握的语言技能的要求也越来越高。在这一时代背景下,为更好地适应国际化发展带来的机遇和挑战,在工作和人际交往中更具竞争力,各国民众都在努力学习和掌握母语以外的其他语言。面对越来越复杂而多元的语言教育,在时间、货币等资源约束下个体该如何进行语言技能资本投资决策以实现效用最大化?理性的个体如何进行外语投资决策,学习哪种外语,学习一种还是几种外语,进行语言选择和投资决策时受哪些因素的影响,对这些问题的探讨变得日益普遍而现实。与此同时,各国政府对本国的语言教育也日渐重视,一方面是加强本国的外语教育,提升本国居民的外语技能以在国际竞争中占据更大优势,另一方又在积极向外推广本国语言,提升本国语言的影响力和国际地位。无论是对内的外语教育,还是对外的语言国际推广,其政策目标的实现归根结底依赖于对个体语言技能资本投资决策的影响和改变。那么政府到底能对个体的语言技能资本投资决策产生什么影响,是如何影响的?在对微观个体的行为决策进行系统分析的基础上,引入政府变量,探讨政府影响个体语言技能资本投资的措施和影响机制,显然对我们深入研究个体语言技能资本投资行为和政府语言规划和语言政策的制定具有重要意义。为此,本文在国内外已有研究的基础上,借助主流经济的理论和方法,以语言经济学和人力资本投资理论为基础,从语言技能资本投资的特殊性入手,以成本—收益分析为主线,以语言教育市场和劳动力市场为进行供求分析的起点,对个体语言技能资本投资进行较为系统全面而深入的研究,以期对个体的语言技能资本投资决策提供理论指导和解释,完善语言经济学关于个体语言行为的基本理论,为我国的外语教育和汉语国际推广提供学理支持。本文试图回答三大问题：(1)语言技能资本投资的基本原理是什么,如何构建语言技能资本投资的基本分析框架?(2)如何建立语言技能资本投资的成本—收益分析模型,在无政府影响和有政府影响两种情况下,个体如何进行语言技能资本投资决策,其投资决策受哪些因素的影响?(3)年龄、母语、国籍以及父母的收入等个体的微观特征对其语言技能资本投资行为是否有影响,有哪些影响?围绕上述三个问题,全文共分7章,第1章是导论,第2章是语言技能资本投资的基本原理,第3、4章是分析无政府影响下,基于语言技能资本投资不同收益形式建立两条分析路径,分析个体语言技能资本投资决策以及主要影响因素,第5章加入政府变量,以孔子学院为例分析政府对个体语言技能资本投资的影响,第6章以母语非汉语者学习汉语为例,采用问卷调查的形式,实证分析年龄、国籍以及家庭背景等个体微观特征对语言选择和学习行为的影响,第7章是回顾与总结。具体安排如下：第1章为导论。主要介绍问题的缘起、现有研究成果、论文研究思路与框架。第2章为个体语言技能资本投资的基本原理。本章从语言本身的经济属性和语言技能资本投资的特殊性两个角度阐释个体语言技能资本投资的基本原理,并在此基础上介绍语言技能资本投资研究的主要要素及其相互关系,是本文分析的前提和基础。文章首先,从功能属性、产品属性和价值属性三个维度阐释了语言的经济属性。其次,深入剖析了语言技能资本及其投资的特殊性,提出语言技能资本投资的收益特性和外部性特性,并分析这种特性对个体语言投资的影响。最后,以成本—收益为主线构建了个体语言技能资本投资研究的主要分析要素图,列举影响个体语言技能资本投资的主要因素及其相互关系。第3章为基于经济收益的个体语言技能资本投资分析。本章分析无政府影响下,以获取经济收益为目的的个体语言技能资本投资,建立个体语言技能资本投资的成本—收益模型和包含人力资本的消费者效用函数,分析理性个体如何将时间和产品在工作、语言技能资本投资和消费之间进行分配以及市场变量变动对个体投资决策的影响等问题。提出三个观点：(1)投资回报率是个体决定是否进行语言技能资本投资以及投资多少的重要决策因素,其主要由语言技能资本存量、语言教育产品价格、语言技能人才的工资率等因素决定。(2)语言技能资本投资通过影响个体的财富约束间接影响个体效用,消费者效用最大化时满足用于语言技能资本生产的时间和用于家庭生产的时间的边际产品价值相等。(3)劳动力市场是个体语言技能资本投资收益得以实现的社会中介,语言技能资本投资受劳动力市场的“需求约束”的影响；语言教育产品是个体购买生产语言技能资本投入要素的场所,语言技能资本投资受语言教育产品市场中产品“获取难度”的影响。第4章为基于交际收益的个体语言技能资本投资分析。本章分析无政府影响时,以获得交际收益为目的个体语言技能资本投资。交际收益是语言技能资本投资区别于其它人力资本投资的重要特性,从该视角进行分析为我们研究语言经济学提供了一种新的路径。本章梳理了多种语言、多个社区和两种语言、两个社区两种情况下个体语言技能资本投资博弈模型,得到一些重要启示。在评述现有理论基础上,建立了三种语言、三个社区情形下个体的语言技能资本投资决策模型。分析得出,与基于经济收益的投资决策不同,在交际收益视角下,个体是否学习一种语言主要由他国语言的使用者数量、他国居民学习本国语言的人口数量和代表性个体学习他国语言的成本等因素决定。第5章为政府影响下的个体语言技能资本投资分析。本章引入政府变量,探讨了政府对个体语言技能资本投资采取的主要措施以及产生的主要影响,特别以孔子学院为例进行分析,从学理层面解释了孔子学院对个体投资汉语的影响及影响机制。从经济收益视角看,排除以强制手段干预个体语言技能资本投资决策的情况,政府主要通过影响语言教育产品市场的供求和劳动力市场上对掌握某种语言技能资本的劳动者的供求等因素来影响和改变个体的语言技能资本投资决策。从交际收益视角看,政府的目的是提高本国居民的交际收益,政府可以通过给本国居民提供外语学习补贴或向他国居民提供学习本国语言补贴的方式来实现。在一定的预算约束下,为实现国家效用最大化,政府应该选择最优的本国居民学习外语的人口数量比例和使他国居民学习本国语言的人口数量比例的组合,使得二者的边际效用之比等于本国居民全部学习外语的成本和他国居民全部学习本国语言的成本之比。同时,文章从孔了学院在国际汉语教育市场的定位和作用以及对个体投资汉语的成本与收益的影响两方面,阐释了孔子学院建设不仅满足了国际社会对汉语的需求,而且创造了更大需求。第6章为母语非汉语者汉语学习行为的实证分析。本章以母语非汉语的汉语学习者为对象开展问卷调查,分析人们习一种语言的主要原因和目的,以及个体的微观特征对语言选择行为的影响,是对本文前面关于个体语言技能资本投资理论分析的呼应和补充。调查结果显示,为获得经济收益和个人兴趣是当前母语非汉语者学习汉语的主要的动因和目的,同时个体学习汉语的原因和目的受到国籍、母语等因素的影响。文章提出关于加快汉语走向世界的四点启示和建议：(1)获得经济收益是当前母语非汉语者学习汉语的主要目的,加快我国经济发展,在世界国际劳动力市场中创造更多与汉语技能相关的就业岗位,是“汉语热”持续升温的根本推动力；(2)对汉语和中华文化的喜爱和兴趣是当前母语非汉语者学习汉语的重要原因,加强中华文化建设和国际传播,增强中华文化在世界上的影响力和感召力,既是汉语加快走向世界的重要目标,同时也是重要途径；(3)学习成本是影响个体学习汉语的重要因素,但目前母语非汉语者对学习汉语“成本低”的认同比较低,通过降低学习者学习成本的方式来吸引个体学习汉语是推动汉语国际传播的重要途径；(4)母语非汉语者学习汉语的原因和目的存在显著的国别差异、母语差异,同时受到年龄、是否华裔等其他个体特征和家庭特征的影响。因此,为更好地满足和适应汉语学习者的需求,应加大汉语教学和汉语国际推广的国别研究、群体研究,针对不同学习者的特征采取针对性的策略。第7章为回顾与总结。对本文的主要观点、结论、创新与不足进行总结,提出后续研究方向。本文对个体的语言技能资本投资进行了开创性的系统研究,是语言经济学深入分析个体语言学习行为的一项基础性研究成果,为国家的语言规划和语言国际推广提供了微观基础。本文在经济社会对个体的语言技能要求越来越高,个体面临的语言技能资本投资选择问题日益复杂而重要的全球化背景下,基于语言技能资本投资的经济收益和交际收益建立个体投资的两条分析路径,使得对个体语言技能资本投资行为的分析既清晰又有针对性,这在国内外尚属首次,具有重要的理论价值和现实意义。文章一方面以劳动力市场和语言教育产品市场为基础分析市场变化和政府对个体语言技能资本投资决策的影响,另一方面又通过实证分析探讨个体微观特征对个体语言学学习行为的影响,具有较大的创新性和学术延展性。更多还原

【Abstract】 Human communication and social economic activities cannot go without language, and basically, a person at least master one language. Language economists demonstrated human capital feature of language skills from theoretical and empirical points of view and attached importance to language skills capital investment as a form of human capital investment. With the development of globalization, economic interaction and culture educational exchanges among different countries and nations are progressing constantly and frequently, language environment diversifies for individuals, and language skills are required more and more in economic and social activities. Under this background, people are working hard at learning and mastering some other languages than their native tongue for adapting to the opportunities and challenges followed by internationalization and becoming more competitive in their jobs and interpersonal communication. Faced with more and more complex and multilateral language teaching, as well as resource constraint like time and currency, how can individuals make decisions on language skills capital investment to realize the maximization of utility? Which foreign language to learn? And just one language or several ones? What factors influence the language investment? Discussions on the above questions become increasingly common and practical.Meanwhile, governments around the world take native language teaching more and more seriously. On the one hand, they strengthen foreign language teaching at home and enhance residents’foreign language skills so as to occupy the superiority in international competition. On the other hand, they actively promote their own language around the world so as to enhance the influence of their native language and international status. No matter foreign language teaching at home or language promotion abroad, their policy effect will be realized by influencing and changing decisions of individuals’ language skills capital investment. What influence and how will the government make on individuals’ decisions of language skills capital investment? It is obviously significant that, on the base of decision analysis on micro-level behavior, leading government variable in and analyzing government measures and mechanism which influence individuals’ language skills capital investment is helpful for us to further comprehend individuals’language skills capital investment, language planning and language policy of the governments.Therefore, based on the studies at home and abroad, by means of theory and method of mainstream economics, and economics of language and human investment theory as theoretical basis, this essay starts with the specific characteristic of language skills capital investment, with the analysis of cost-interest as mainline and language teaching market and labor market as starting point of supply and demand. This thesis makes an overall and deeper study on individuals’language skills capital investment, so as to provide the theoretical guidance and explanation on individuals’language skills capital investment, complete the basic theory of individual language behavior in economics of language, and provide scientific theory support for language teaching and Chinese language promotion of China.The thesis is trying to reply the following three questions:First, what is basic principle of language skills capital investment, and how to build its basic analytical framework? Second, how to build analytical model of cost-interest, how will individuals make choices of language skills capital investment, and what factors will affect their investment decisions under either condition of state intervention or no state intervention? Third, will microscopic characteristics, such as age, native language, nationality and parents’ income, influence on language skills capital investment? And how they influence?This essay is divided into seven chapters centering on the three questions:The first chapter is introduction and chapter two is the basic theory of capital investment of language skills. Chapter three and four are two analyses paths based on different income forms of language skills capital investment under the condition of no state intervention. Chapter five adds variable of government and take the Confucius Institute as an example, then analysis the individuals’ language skills capital investment which is under government influence. Chapter six is empirical analysis of influences of microscopic characteristics, such as age, native language, nationality and parents’ income, on language choice and learning behavior. Chapter seven is review and conclusion. Specific arrangements are as follows:Chapter One:Introduction. It mainly introduces the origin of questions, existing research results, considerations and framework of this thesis.Chapter Two:Basic Theory of Individuals’ Language Skills Capital Investment. This chapter interprets the basic theory of individuals’ language skills capital investment from the angles of economic characteristics of language itself and specific characteristics of language skills capital investment. Based on the above, chief elements of language skills capital investment study are introduced, which is the premise and foundation of the following analysis. First, the economical characteristic of language itself is discussed from the three dimensions, namely function attribute, product attribute and value attribute. Then, analysis language skills capital and specific characteristic of its investment and proposed the profitability and externality of language skills capital investment. And then, the influence mechanism of the above two features on the language skills capital investment is analyzed. Finally, construct figure of main element analysis of individuals’language skills capital investment study with cost-interest as its mainline and list main elements that influence individuals’ language skills capital investment and their interrelations.Chapter Three:Economics Income-Based Individuals’Language Skills Capital Investment Analysis. This chapter analyzes individuals’language skills capital investment which aims to gain economic income and build cost-interest model of individual language skills capital investment and consumer utility function of human recourses under the condition of no government influence, and then analyze how individuals distribute time and product to work, language skills capital investment, and consumption. According to above analysis, Three points of view presented: First,mercantile rate of return is an important decision-making factor that influence the individual to decide whether to carry out language skills capital investment and how much to invest. Mercantile rate of return is mainly decided by the following factors, capital stock of language skills, price of language educational product, wage rate of language skilled personnel, and so on.Second, language skills capital investment will have effects on individual utility indirectly by influencing individual wealth restriction. When customer utility reaches its maximum, marginal product value from time for satisfying language skills capital investment is equal to that from time for household production. Third, labor market is the social agency for the accomplishment of individual language skills capital investment. Language skills capital investment is influenced by "need restrict" of labor market. Products of language education is where individual approaches and produces factors of language skills capital investment, which is influenced by "approach difficulties" of language education market.Chapter Four:Communication Income-Based Analysis of Individuals’Language Skills Capital Investment. This chapter analyzed individuals’ language skills capital investment without government influence which aims to gain communication income. Communication value is a key distinctive property of language skills capital investment compared with other human capital investment, therefore, analysis from this perspective will provide a new way of language economics study. This thesis makes a study on model of theory of games of individual language skills capital investment in the following two cases:multiple languages and multiple communities; two languages and two communities, it obtains important enlightenment. Then, commenting on these existing theories, this thesis set up the decision model of individual language skills capital investment under the situation of three languages and three communities. From the above analysis, we can draw the conclusion that, different from investment decision under the condition of economic interest, from the view of communication interest, whether individual learns one language or not is determined by the number of users of this language, number of native citizen learners, cost of learning of this language for individual and so on.Chapter Five:Individuals’ Language Skills Capital Investment Under Government Influence. This chapter leads in variable of government and discusses the main measure and influence of government on the individuals’language skills capital investment, especially take the Confucius Institute as an example, explains the influence and influence mechanism of the Confucius Institute on individuals’Chinese language investment. From the economic income perspective, the thesis analyzes the effect of government influence on individuals’ language skills capital investment decision in the way of influencing labor market and language education product market. From economic income perspective, without government’s compulsive means to adjust individual decisions, government adjusts individual language skills capital investment mainly by influencing supply and demand of language education product market and factors which handle supply-demand of language skills capital investment. From the communication income perspective, the purpose of government is to improve communication income of native citizens, which can be realize by providing native citizens with allowance for learning foreign language, or providing foreigners with allowance for learning their language. With a certain budget, to realize national maxim utility, government should choose the combination of the best amount of native citizens who learn foreign languages and foreigners who learn their language, so as to make their marginal utility’s comparison equal to comparison result of cost of native citizens learning foreign languages and cost of foreigners learning their language. Meanwhile, from the perspective of location of Confucius Institute for International Chinese education market and the influence on individual’s cost-interest of Chinese investment, this chapter explains the construction of the Confucius Institute not only fulfilled the requirement of Chinese language learning in the international community but also produced greater demands.Chapter Six. Empirical Analysis of Chinese Learning Behavior of the Non-Native Chinese Speakers. By questionnaire survey to non-native Chinese learners, this thesis discussed influences the main reasons and purposes of learning one language, and the influences of individual’s micro characteristics on language choice and study behavior, which was the supplement and response to theoretical analysis of individual language skills capital investment mentioned above.The outcome of survey shows that main motive and purpse of learning Chinese for non-native speakers are to gain economic profit and personal interest,which are influenced by nationality,mother tongue,ect. From the study, this article got four significant enlightenments:First, economic benefit is the main purpose of learning Chinese for Chinese learners. To accelerate economic development of China and provide more jobs related with Chinese skills for international labor market is the fundamental way to keep the enthusiasm for Chinese Language learning. Second, The important factors of current non-native Chinese speakers’learning Chinese is their affection and interests in Chinese language and culture. It is an important target, as well as an approach of Chinese language going to the world to make great efforts to build Chinese culture and its international communication, and to increase its influence and inspiring power. Third,learning cost is an important influencing factor of learning Chinese. Since non-Chinese native learners conventionally have few approval of "low cost" of learning Chinese, it will be a significant way of cutting learning cost to attract individuals to learn Chinese. Forth, individual’s micro characteristics, such as native language, nationality and parents’ job will affect the reasons and purposes of learning Chinese. Therefore, to match and satisfy needs of Chinese learners, we should further study Chinese teaching and promotion in different countries, so as to take meaningful measures for different learners.Chapter Seven:Review and Conclusion. Made a summary of the principle view, conclusion and innovation of this thesis and propose the future research area.This thesis makes a pioneering systematic study on the individuals’language skills capital investment. It’s the basic research result of the linguistic economics which make a deep analysis to individual level of language learning and provide micro base to national language planning and international promotion of language. Under the background of higher requirement of economic society to language skills and increasing complex and polybasic problem of individuals’ language skills capital investment choice, analysis of individuals’ language skills capital investment in this thesis reaches both clearness and pertinence on the base of the two paths:economic income and communication income of individuals’language skills capital investment. This analysis, which is the first both at home and abroad, has theoretical and realistic significance. This thesis makes the problem of language skills capit al investment to be established in requirement restraint of labor market to individuals’language skills capital investment and restraint of difficulty of obtain in language teaching market, then find operational stance to analysis of supply and demand of individuals’ language skills capital investment and lay a foundation for further research.更多还原