【作者】 郭世田；

【导师】 孔令栋；

【作者基本信息】 山东大学 ， 科社与共运， 2012， 博士

【摘要】 在人类社会发展进程中,人才是社会文明进步、人民富裕幸福、国家兴旺发达的重要推动力量。创新型人才作为引领经济社会发展的重要人才资源,在当今世界大发展大变革大调整时期成为各国竞相争抢的对象。如果谁能够培养、凝聚、用好创新型人才,谁就真正抓住了在日趋激烈的国际竞争中掌握战略主动、实现发展目标的第一资源。“为什么我们的学校总是培养不出杰出人才?”科学大师钱学森以对国家民族、对科学研究、对青年人才的挚爱于临逝时再次提出这一问题,被世人称为著名的“钱学森之问”。“钱学森之问”含有更深之义,就是呼吁人们把创新型人才发展作为关乎国家强大与民族振兴的根本大计,认真思考中国创新型人才发展存在的突出问题和深层原因,研究探讨中国创新型人才发展对策。在总结借鉴前人成果的基础上,论文运用规范分析与实证分析、综合比较分析、文献研究等方法,主要从五个部分按以下基本思路对我国创新型人才发展问题进行探讨。在界定创新、人才和创新型人才三者内涵、特征的基础上,系统考察中国特色创新型人才观,客观分析创新型人才在经济社会发展中的应有地位、应然作用和实然作用,并通过国内外现状对比、实证研究深入查找中国创新型人才发展中存在的突出问题和深层原因,就创新型人才发展路径、制度等探讨提出切实可行的对策措施。第一部分,从探讨创新型人才基本理论入手,在回答何谓“创新”、“人才”的基础上进一步厘清创新型人才内涵、特征、类别等内容,并在中国特色社会主义建设的大背景下对中国特色创新型人才观进行深入考察,为本文的展开论述奠定理论基础。所谓创新,是指主体通过创造性行为促进客体发展的活动。创新的内在特性体现在：创新要立足现实、创新要批判继承、创新要尝试探索、创新要标新立异。人才是一个古老而常新的话题,在古代社会把“贤”、“德”、“智”、“能”等与“人才”联系在一起,并随着时间的推移“人才”标准中的道德伦理尺度为社会功利尺度所代替；从中国当代人才学者们对人才的定义看,主要从个性特征、社会贡献的角度定义人才,强调人才要具有一定的知识、技能和创造性,为人类社会发展进步做出较大贡献；新中国成立后尤其是改革开放以来,在中国特色社会主义理论的引领下,逐步形成了科学的人才观,即“人才是指具有一定的专业知识或专门技能,进行创造性劳动并对社会作出贡献的人,是人力资源中能力和素质较高的劳动者。人才是我国经济社会发展的第一资源。”根据对创新和人才内涵的考察,创新型人才是指具有创新意识、创新精神和创新能力,进行创新性劳动并取得创新性成果的人。其主要特征是：无私无谓、独立个性、超常思维、综合素养、合作意识、显现绩效。依据不同标准创新型人才的类型不同,从所处层次看分为初、中、高创新型人才；从分布领域看分为科学研究、工程技术、企业经营管理、公共管理创新型人才；从发挥作用看分为理论研究、实践应用创新型人才。中国特色创新型人才观,是马克思主义中国化的重大理论成果,是中国特色社会主义理论的重要内容。马克思主义创始人关于人的发展的论述是中国特色创新型人才观的理论来源,中国古代社会人才思想是另一理论来源。毛泽东也没有明确提出创新型人才的概念,他关于“人”、“人才”的论述是中国特色创新型人才观的思想基础。以邓小平为核心的第二代中央领导集体,提出国家发展需要“一批勇于创新的闯将”、创新型人才的基本特征是“敢闯敢试”、不拘一格选用创新型人才、为创新型人才创造良好环境等观点,初步创立了中国特色创新型人才观。以江泽民为核心的第三代中央领导集体,提出创新型人才是国家创新发展的关键、强化教育培养创新型人才、大力营造“四个尊重”的氛围等观点,进一步发展了中国特色创新型人才观。以胡锦涛为总书记的新一代中央领导集体,提出人才强国是创新型人才发展的价值定位、人人成才是创新型人才发展的目标追求、服务发展是创新型人才发展的使命取向、“六有”人才是创新型人才发展的素质特征、党管人才是创新型人才发展的组织保障等观点,进一步丰富了中国特色创新型人才观。根据中国特色创新型人才观,人才价值是指人才通过社会实践以自身的属性来满足他人、社会及自身的需求。人才价值实现的内在特性是,能动性、创造性、增值性、再生性。中国创新型人才的时代价值主要表现为,加快推进社会主义现代化、增强国家核心竞争力、促进创新型国家建设、提升政党执政力。第二部分,对中国创新型人才发展历史与现状进行探析,为研究创新型人才发展对策提供依据。由于历史和人民的选择,在中国共产党领导下实现了革命救国的梦想,但是新中国成立后的探索证明：革命不能强国。十一届三中全会后,随着尊重知识、尊重人才方针的落实,中国逐步走上人才强国之路。从革命救国到人才强国,是中国创新型人才发展的逻辑转点,经过积极努力取得了初步成效：创新型人才素质明显提升、创新型人才效能不断增强、创新型人才体制机制有所改进。但是,从总体上看,我国没有把人口优势转化为创新型人才优势,创新型人才发展不能满足国家建设需求,主要存在以下几方面问题。一是创新型人才整体质量不高；二是创新型人才结构性矛盾突出；三是创新型人才贡献率低；四是创新型人才环境亟需改善；五是创新型人才总体投入不足。究其原因有：一是教育的错位,突出表现为教育目标侧重知识积累而轻视能力提升；教学内容陈旧单一；教学方法过于简单“机械”；评价标准不够合理；师生比例失衡；投入主体单一化。二是集权式管理,行政权力干预过多,导致如学校办学自主权缺乏等诸多问题。三是泛行政化,简单地从行政级别高低、官职大小的角度来衡量创新型人才的社会地位、价值和作用。四是法制化缺失,不仅没有综合性的创新型人才法律法规,而且专门性法律法规也明显缺乏,同时执法中以权代法、衙门作风等现象突出。第三部分,从比较视角对发达国家创新型人才发展做法进行系统考察,以便找出可资借鉴的经验启示。美国、日本、韩国等国家立足自身软硬件方面优势,采取多种措施大力开发创新型人才资源,为我们提供了一些值得学习借鉴的经验做法。首先,实施积极的创新型人才战略,由重视对自然资源开发利用及资本积累转变为对人才资源尤其是创新型人才资源的争夺,并通过推行相关的配套改革、制定相应的公共政策来保证战略目标的实现。其次,坚持“教育立国”,通过建立多元化教育培训体系、积极推进产学研密切合作、强化终身教育等多种渠道培养创新型人才。第三,大力集聚国外创新型人才,把“招才引智”作为一项快速壮大创新型人才实力的重要措施,凭借其强大的经济实力、先进的科研条件和优厚的生活待遇从国外引进创新型人才。第四,合理使用创新型人才,通过创新机制、加大投入、强化激励等形式积极发挥他们的作用。最后,强化制度保障,建立起一整套完善的有利于创新型人才自由发展的制度。第四部分,立足中国现实研究提出创新型人才发展构想,并从教育培养、使用开发、吸引集聚三条路径探讨具体对策措施。从宏观角度看,要确立创新型人才优先发展战略,基本要求是“创新型人才资源优先开发、创新型人才结构优先调整、创新型人才投资优先保证、创新型人才制度优先创新”。围绕这一战略的实施,从科学和经济原则出发对创新型人才发展进行宏观规划,其总体部署是：在发展主体上突出“三支队伍”、在发展内容上强化能力建设、在发展环境上注重制度创新。创新型人才发展是一项系统工程,需要树立“大人才观”积极开辟创新型人才发展途径。首先,强化教育培养。教育是创新型人才供给的基本方式,一方面要深化学校教育改革,在科学把握和尊重学校教育规律、个体成长规律、社会发展规律的基础上,重点做到主体与主导并重、市场规律与教育规律并重、科学精神与人文素养并重、学校教育与社会实践并重。另一方面要强化终身教育,重点是拓宽终身教育渠道：合理开放学校资源、充分利用社会资源、大力发展现代远程教育。其次,注重使用开发。使用开发是创新型人才的“积累—展示”性发展方式,具有动态性、实践性、双效性等特征。科学使用开发创新型人才重点把握以下环节：一是全面了解即了解基本潜能、了解真正需求、客观辩证评判；二是搭建平台即岗位成长、项目成才、挂职锻炼；三是量才而用即用当其时、用当其位、用当其愿。第三,大力吸引集聚。一方面,通过“柔性”用才、项目“外包”、成果转化等途径盘活存量创新型人才。另一方面,积极搭建载体集聚创新型人才：一是“捆绑”引进,就是在引进创新型人才时综合考虑人才、资金、项目等生产要素,做到引进一位人才带来一批资金、一个项目；二是产业集聚,适应现代经济发展中因聚集经济的出现而引起的包括人才在内的多种生产要素在一定空间上集中的趋势,积极发展优势产业、特色产业来集聚人才；三是园区吸纳,把经济开发区、高新技术开发区等园区打造成良好的人才栖息生态位,进而形成强有力的创新型人才承载体和高密度的创新型人才容纳量；四是“以才聚才”,利用人才集聚中的种核效应选择精英人物先期引进,然后依托师承关系、合伙人关系等建立创新型人才种群聚集核进而壮大创新型人才种群。第五部分,对中国创新型人才制度现状进行分析,研究提出保障创新型人才发展的制度对策。目前我国创新型人才制度供给存在不足,制度越位与缺位并存,主要表现是：创新型人才制度供给取向的“强化集体,忽视个体”偏好、供给主体的广泛性不足、供给的内容不健全、供给的实效性不强。我国创新型人才制度变迁要以增加个体自由度为目标,从强化集体引向注重个体,进而为创新型人才发展提供宽松的制度环境。首先,从创新型人才制度的宪法规定、基本制度、相关法律和政策等方面做出实体性规定,建立完善的创新型人才制度的规则系统。在宪法规定上,将思想自由写入宪法。在基本制度上,实行“管办分离”的教育制度,将办学自主权交给学校；建立以创新成果为主要标准、社会化成果承认的评价制度；坚持人岗相适、注重优化服务,合理使用创新型人才；改革阻碍流动的户籍制度、劳动制度、人事制度,完善创新型人才市场体系、一体化社会保障体系,切实提高创新型人才资源流动配置效能；实施产权激励,进行有效奖励,做到既注重激励对象个性化又注重激励方式多样化。在法律上,从建立完善的法律体系入手优化法律环境,既注重出台相关法律又强化法律有效执行。其次,从政治、经济、文化等方面为创新型人才制度实现提供有效保障。准确定位政府功能,构建理性“有限政府”,同时实行公共服务多元供给；在物质保障上,建立政府主导的多元化投入体系,打造创新型人才发展的栖息生态位；淡化意识形态、促进文化交流融合、强化舆论引导,进而营造自由宽松的创新型人才发展人文氛围。更多还原

【Abstract】 In the development of human society, talents are a very important driving force for the progress of social civilization, the well-being and happiness of the mankind, and the prosperity of the whole country. As an important source of personnel to promote the economic and social development of the society, the innovative talents become so hot that all countries are competing for them in this global developmental and revolutionary period. If a country can cultivate, gather and have good management of the innovative talents, then the country is bound to grasp the foremost resources to play a strategic-active role and achieve its goal for development in the fierce global competition."Why our schools cannot produce highly outstanding talents?" This is a widely-known question called "Question of Qian Xuesen" posed by Qian Xuesen (1911—2009), a master scientist enjoys global reputation, before he passed away. He put forward this question out of the love for the whole nation, the scientific research and the youthful talents. The in-depth connotation of this question calls for a fundamental policy to put high priority to the cultivation of the innovative talents, one policy that is quite related to the strengthening of national powers and the revitalization of the whole nation. In addition, it requires us to think over the existing prominent problems of and underlying reasons for the inadequate cultivation of the innovative talents. Moreover, it needs us to discuss and propose the corresponding measures to cultivate the innovate talents. In this dissertation, different investigation methods were employed such as empirical analysis, comprehensive analysis by comparison and literature review, etc. Based on the previous findings, this dissertation is divided into five parts to have a discussion about the cultivation of the innovative talents with the framework as follows. After putting forward the connotation and characteristics of "innovation","talent" and "innovative talent", the author had an all-round view about the outlook on innovative talents and made an objective analysis about the role that innovative talents play in the economic and social development and demonstrated the effects they bring out. Then the author made an in-depth research about the prominent problems arisen in the cultivation of innovative talents and reasons for those problems by comparing the status-quo both at home and abroad and empirical analysis. Finally, the author proposed several practical suggestions with regard to the ways and mechanisms to cultivate the innovative talents.The first part serves as the basic theoretical framework of the whole dissertation. After stating clearly about the definitions of "innovation" and "talent", the author gave a whole picture of the connotation, characteristics and categories about "innovative talent" and had a further investigation about the outlook of innovative talent under the backdrop of socialism construction with Chinese characteristics. Innovation means that the creative behaviors of subjects can promote the development of the objects. Innovation has several characteristics, that is, innovation should be based on reality; innovation should inherit traditions critically; innovation should try out new ideas and create something new. Talent is a traditional topic but it has been endowed frequently with new connotations. In ancient times, people associated "talent" with "virtue","morality","wisdom" and "ability" and the standard of measuring talent gradually changes from moral dimension to materialized one. From the definitions about "talent" by modern Chinese scholars,"talent" is mainly defined from the perspectives of individual characteristics and his or her social contribution with the focus that a "talent" should be equipped with certain knowledge, skills and creative mind so that he can contribute more to the society. After the founding of the P.R.C, especially after the reform and opening-up, the scientific outlook on talent has been gradually formed with the guidance of the socialist theory with Chinese characteristics, which means that the talents, with more-abilities and high-quality in the labor force, are those who possess professional knowledge and skills and can make contributions to the society, being the foremost resources to promote economic and social development. The innovative talents are those who have the awareness, spirit and abilities of innovation, carry out innovative labor and finally get innovative results. These talents are always altruistic and fearless, bear special individuality and extraordinary mind, have awareness of cooperation and can achieve fruitful results. The innovative talents can be categorized into different levels (primary level, intermediate level and advanced level), different areas (scientific research, engineering, management, and public administration). They can play their roles in theoretical study and practical application respectively. The outlook on innovative talent with Chinese characteristics is an important theoretical conclusion of the localization of Marxism in China and an important component of the socialist theory with Chinese characteristics. The theoretical sources of the outlook on innovative talent come from two aspects:one is the statements about the development of human beings made by the founders of Marxism, and the other is the idea of talent in ancient Chinese society. Mao Zedong did not put forward the concept of innovative talent in a clear way, but his statements about "human being" and "talent" laid a solid foundation for the outlook on innovative talent with Chinese characteristics. The second generation of the collective leadership with Deng Xiaoping as the core proposed some opinions that preliminarily established the outlook on innovative talent. These opinions included that the development of the nation called for "a group of pioneers who dare to make innovations"; the basic characteristic of innovative talents was "to be a pioneer in new fields"; follow no set from in choosing the innovative talents; create favorable environment for those talents, etc. The third generation of collective leadership with Jiang Zemin as the core put forward opinions that the innovative talents are key to the innovative development of a country; intensify the education and cultivation of innovative talents; create the atmosphere of "four-respects" so that the outlook on innovative talents with Chinese characteristics was further promoted. The fourth generation of collective leadership with Hu Jintao as the core put forward opinions that the value of cultivating innovative talents is to make the country stronger; the goal of developing those talents is to make them do favors for the society; the mission of developing those talents is to enable them to make progress for the development of the country; the characteristics of the innovative talents are equipped with "six qualities"; the management of the innovative talents should be under the guidance of the CPC, etc. With these statements, the outlook on innovative talent becomes more diversified. According to the outlook on innovative talent with Chinese characteristics, the value of talents is to satisfy the needs of others, the society and themselves through social practices and their own characteristics. The inner characteristics of the realization of the value are motility, creativity, appreciation and renewability. The development of innovative talents in a new era is mainly embodied in the following aspects:furthering the modernization of socialism, increasing the core competence of the country, facilitating the construction of an innovative nation and improving the decision-implementation capabilities of the Party.In the second part, the author made an analysis about the status-quo of the development of innovative talents in modern China in order to provide grounds for the countermeasures for the future development of innovative talents. Because of the choice made by history and our people, under the leader of CPC, we finally chose to establish a new China by revolution. But after the founding of the P.R.C, the experiences told us that revolution could not make our country become more powerful. After the Third Session of the Eleventh Central Committee of the Party, with the implementation of policy of respecting knowledge and talents, we finally stepped on the track of carrying out the strategy of reinvigorating China through human resource development. It is a logical turning point for the development of innovative talents from the revolution to the right strategy and now it has achieved some preliminarily good results. The quality of innovative talents has witnessed obvious improvement; the effectiveness of innovative talents has been increasingly strengthened and the system and mechanism for innovative talents have been optimized. But, as a whole, we have not transferred our advantage on population to an advantage of innovative talents. And the development of innovative talents cannot meet the demand of the development of the whole country. Still problems as following exist. First, the overall quality of innovative talents remains at a relatively low level. Second, the structural imbalance of innovative talents is very prominent. Third, the contribution rate of innovative talents is low. Fourth, the environment for the development of innovative talents calls for urgent improvement. Fifth, the overall investment in innovative talents is insufficient. These problems are due to several reasons. First, education counts. The goal for education lays an important emphasis on the acquisition of knowledge instead of the development of the overall abilities. The contents of education are too old and monotonous. The methods for teaching are not flexible. The evaluation standards are not quite reasonable. The ration between teachers and students is in imbalance and the investors mainly come from one side. Second, the management mode of centralized power counts. There is so much political interference that problems such as the schools lack the decision-making power occur. Third, we focus too much on the administrative aspect. We simply measure the social status, value and impact of the innovative talents from the perspectives of the levels of their administrative ranks and their titles. Fourth, the deficiency of rule of law counts. We are now in lack of comprehensive laws and regulations concerning the innovative talents and specified laws and regulations in this regard. Meanwhile, in the enforcement of laws, phenomenon such as power outweighing laws and the bureaucratic style become very prominent.In the third part, a systematic investigation was carried out into the development of innovative talents in developed countries from a comparative prospective, from which useful experience and inspiration were drawn. Countries like America, Japan and Korea have given full play to their advantages and taken various measures to exploit their innovative human resources, providing valuable experience and practice that we can learn from. Firstly, active strategies for innovative human resources were implemented. Focus was shifted from the exploitation of natural resources and capital accumulation to the contention for innovative talents. Relevant supporting reforms and public policies were implemented to guarantee the realization of the strategic objectives. Secondly, they continued to focus on the development of education. Innovative talents were cultivated through various ways, such as establishing a diversified educational training system, enhancing the Industry-University-Research Institution cooperation and promoting life-long education. Thirdly, innovative talents were attracted from other countries by these developed countries’strong economies, advanced scientific research conditions and favorable treatment, which was regarded as an important method to rapidly expand their innovative human resources. Fourthly, the innovative talents were reasonably employed and their talents were put to best use through innovative mechanisms, increased input and enhanced motivation. Lastly, they improved their systematic guarantee and established a thorough system favorable for the free development of innovative talents.In the fourth part, some tentative ideas about the development of innovative talents were proposed based on the realistic conditions in China. Detailed countermeasures were put forward from three perspectives-education and training, development and exploitation, and the attraction of innovative talents. From a macro point of view, the basic requirements for a strategy giving priority to the development of innovative talents are:innovative human resources should be exploited first; innovative personnel structure should be adjusted first; investment in innovative talents should be guaranteed first; personnel systems for innovative talents should be innovated first. Based on scientific and economic principles, macro planning on the development of innovative talents was made centering on this strategy. The overall scheme is:emphasis on the development of the "three teams"; strengthening the capacity building; emphasis on system innovation. Therefore, the development of innovative talents is a systematic project, which requires the establishment of a great-talent view and the exploration of new methods to develop innovative talents. Firstly, we should improve the education and training of innovative talents. Education is the basic way to provide innovative talents. On the one hand, we should intensify the educational reform in schools. On the condition of understanding and respecting the laws of education, personal growth and social development, we should lay equal emphasis on the principal part and the dominance, the laws of the market and education, scientific spirit and humanistic spirit, theory and practice. On the other hand, we should promote life-long education, the key point of which is to explore more ways for life-long education, such as opening the school resources to the public reasonably, taking full advantage of social resources and developing modern distance education. Secondly, we should emphasize on development and exploitation of innovative talents. Development-and-exploitation is a developing method ("accumulation-demonstration") for innovative talents, which is characterized by dynamism, practicality and double effect. In order to achieve scientific development and exploitation of innovative talents, we need to pay special attention to the followings. First, understand them comprehensively, i.e. their potentials and real needs. Second, build a platform for them, i.e. provide jobs and projects for the talents and let them develop and practice in work. Third, assign work after knowing their abilities, i.e. put the talents in proper positions at a proper time, according to their willing. On the one hand, we should make good use of the existing innovative talents by human-centeredness talent attraction strategy (i.e. employ the talents for a certain work but do not force them to become a formal employer in the company), outsourcing projects and results transformation. On the other hand, we should actively build "vehicles" for the attraction of innovative talents:First, use the "binding" introduction of talents, i.e. consider about essential productive factors like talents, capital and projects while introducing innovative talents, and try to introduce a project and some capital together with a talent. Second, pay attention to industry cluster. We should adapt to the clustering of essential productive factors including talents, which is caused by agglomeration economics, and develop competitive and characteristic industries to attract talents. Third, attract talents through building special zones. We should build our economic development zones and high-tech development zones into favorable niches for talents, which would then become a potent vehicle for innovative talents. Fourth, we should attract talents by talents. According to the core effect in talents cluster, we should introduce selected elites first and enlarge our innovative talents group through their relationships (e.g. teachers and students, partnership, etc.) with other talents.In the fifth part, current situation of the innovative talents system in China was analyzed and countermeasures to guarantee a sound innovative talents system were proposed. Currently, there is a shortage in the supply of innovative talents. There are both excess and vacancy in our system, which can be seen mainly in the emphasis on groups and neglect of individuals in the supply of innovative talents, lack of universality and practicality in the supply and unsound supply. The institutional transformation of innovative talents in China should target the increase of individual freedom, so that we can provide a relaxed institutional environment for the development of innovative talents. Firstly, we should make substantive provisions in the following aspects:the constitutional regulations, basic institutions and relevant laws and policies of innovative talents system. In terms of constitutional regulations, we should add freedom of thought in our constitution. In terms of basic institutions, we should adopt the educational system of "separation of management and operation" and give schools the liberty in their operation. We should establish an evaluation system which focuses on innovative achievements and accepts social achievements. We should make sure that a position is suitable for a talent and optimize our services. We should reform our household registration system, labor system and personnel system which impede the talent flow. We should perfect our market system for innovative talents and integrative social security system and improve the efficiency of innovative talents flow. We should adopt property-right encouragement and effective rewards system, laying emphasis on both the individuation of encouraged targets and the diversification of motivational patterns. In terms of laws, we should optimize our legal environment, starting with establishing a thorough legal system. We should pay equal attention to both the passage of relevant new laws and the effective enforcement of laws. Secondly, we should provide guarantee for innovative talents system from political, economic and cultural perspectives. We should confirm functions of the government, establish a rational "limited government" and adopt the multi-supply mechanism of public service. In terms of material security, we should establish a diversified input system led by the government and build a favorable niche for the development of innovative talents. We should weaken ideology, promote the integration and exchange of different cultures and strengthen public opinion guidance, so as to build a free and relaxed atmosphere for the development of innovative talents.更多还原