【作者】 邵琳；

【导师】 王胜今；

【作者基本信息】 吉林大学 ， 人口、资源与环境经济学， 2014， 博士

【摘要】 纵观整个人类社会经济发展的历史，国家富强和社会稳定几乎是所有国家或地区追求的最终目标，而衡量国家富强一个最主要的指标则是该国家或地区经济的不断持续增长。众所周知，影响经济增长的要素是多方面的，包括：资本、劳动力、制度、技术进步和对外开放等。在农业经济时代，土地和劳动力资源是引领经济增长的主要因素；在工业经济时代，物质资本（资金、机器和设备等）、自然资源和劳动力是引领经济增长的主要来源；在当今的知识经济时代，资本进一步丰富为人力资本和物质资本，而越来越多的学者把构成人力资本的诸多要素纳入经济增长模型，从而使得不同国家和地区的经济增长及其差异得到了更为合理的解释。从世界各国经济的发展进程来看，物质基础的相对贫乏并不能必然阻碍一个国家成为经济强国（二战之后日本的经济发展历史是最为典型的例子），而一个地区或国家经济的持续发展越来越取决于该地区内人力资本存量水平和投资水平的高低。本文对于“人力资本对我国经济增长的影响”的研究情况概括如下：在本文的开始（绪论部分），首先，笔者介绍了本文的研究背景与选题意义；其次，给出了本文的研究目的和基本思路；再次，介绍了本文的研究内容与研究方法；在绪论部分的最后笔者提出了本文几点可能的创新，具体如下：第一，笔者通过对相关国内外学者观点的梳理和总结，指出人力资本的形成是建立在一个国家或地区社会经济环境和社会文化环境“双重作用”的基础上，通过教育、“干中学”、技术进步和就业迁移和健康投资等几种要素共同作用的结果，才能够使得一个国家或地区的人力资本得以形成和持续发展，且人力资本投资可以通过人力资本的要素的生产功能、人力资本的效率的生产功能、人力资本的“知识”效应、人力资本对产业结构调整与升级的影响以及人力资本对劳动力就业供给、需求的影响的综合作用来进一步推动经济增长。第二，笔者构建了三个不同的经济增长模型，以分别测量三种不同类型的“特殊”人力资本（包括教育人力资本、科技人力资本和健康人力资本）对我国经济增长的影响，并利用我国2000-2012年相关变量的面板数据和SPSS17.0软件对其进行实证分析，结果表明：普通高等院校毕业生数量、受教育程度、科研人员全时当量、专利授权数量和卫生经费支出对我国的经济增长存在着显著的推动作用，而模型中其余构成人力资本的诸多变量对我国经济增长的影响并不显著。第三，笔者利用DEA方法对我国历年各类型人力资本的投入产出效率进行分析，并且将1999-2012年分为三个时间段分别计算我国基于经济增长的人力资本投资效率的DEA平均得分（1999-2002为第一时间段,2003-2007年为第二时间段，2008-2012年为第三时间段），结果表明：在第一时间段我国人力资本投资效率的DEA平均得分为0.774，第二时间段其DEA平均得分为0.859，第三时间段DEA平均得分为0.791，通过上述数据可以看出我国最近5年（2008-2012）相对于我国在第二时间段（2003-2007）的人力资本投资效率有明显的降低，人力资本推动经济增长的潜能还没有完全发挥出来。本文的文献综述部分主要包括三个方面的内容，首先梳理了关于人力资本理论方面国内外学者的已有研究成果（包括早期的人力资本思想、现代人力资本思想和当代人力资本思想等），且对这些研究成果进行了分析和总结；其次是关于经济增长理论方面国内外学者研究现状的回顾（包括前古典经济增长理论、古典经济增长理论、新古典经济增长思想和新经济增长理论等），并对其研究成果进行了梳理和评价；在本章的最后笔者归纳和总结了人力资本对经济增长影响的相关研究成果，以期为后续本文的理论分析和相关实证分析奠定一个坚实的理论基础。本文的理论分析部分主要包括三个方面的内容，首先，笔者在本章首先通过对相关国内外学者观点的梳理和总结的基础上，给出了本文关于人力资本（包括个体人力资本和区域人力资本）、人力资本存量、人力资本投资和、人力资本类型和经济增长的相关概念界定，其次，笔者分析了人力资本的形成途径，指出人力资本的形成是建立在一个国家或地区的社会经济环境和社会文化环境的“双重作用”的基础上，通过教育、“干中学”、技术进步和就业迁移等几种要素共同作用的结果，才能够使得一个国家或地区的人力资本得以形成和持续发展。在本章的最后，笔者梳理和总结了人力资本对经济增长的作用机理，并指出对于一个国家或地区来讲，其人力资本投资可以通过人力资本的要素的生产功能、人力资本的效率的生产功能、人力资本的“知识”效应、人力资本对产业结构调整与升级的影响以及人力资本对劳动力就业供给、需求的影响的综合作用来进一步推动经济增长。我国人力资本投资与经济增长情况的统计分析部分主要包括三个方面的内容，首先对我国人力资本投资在教育方面、科技方面和健康方面相关具体情况进行了统计分析和总结，并指出我国近十年在人力资本方面的总体投资幅度是逐年增加的；其次，对我国历年经济发展情况进行了分析后指出，我国要继续调整和优化产业结构、促进经济持续稳定、增长以及提高人民生活水平，就必须要进一步加大人力资本投资的力度。最后，通过对我国各地区相关情况的统计分析指出，我国四大地区在教育、科技、健康和经济发展方面都实现了一定幅度的提升，但是我国整体“东强西弱”的局面并没有得到实质性的改善，西部地区与其他三大地区尤其是东部地区不仅在教育、科技、健康等方面的投入力度存在着较大差距，而且其经济增长的绝对量也远远小于其他三大地区。我国经济增长影响的实证分析主要包括四个方面的内容，首先，在前文文献总结、理论分析和对我国人力资本投资与经济发展情况进行统计分析的基础上笔者给出了本章关于不同类型的人力资本对我国国内经济增长影响的相关研究假设；其次，笔者确定了后续实证分析所需要的数据来源和变量选择，其具体情况为：所选择的变量数据为2000-2012年的面板数据（时间序列数据和横截面数据的综合），所选择的各个指标变量数据来均源于2000-2013年度的《中国统计年鉴》和《中国教育经费统计年鉴》。再次，笔者构建了三个不同的多元线性回归分析模型，用以分别测量三种不同类型的“特殊”人力资本（包括教育人力资本、科技人力资本和健康人力资本）对我国经济增长的影响；在本章的最后笔者对相关实证结果进行了分析和解读。笔者在基于经济增长的我国人力资本投入产出效率分析部分（实证分析部分），通过相关的理论和模型分析以及对“我国历年人力资本投入产出效率如何、我国各省、自治区和直辖市人力资本投资效率又是一个什么样的情况”等问题给出一个明确的结论。该实证分析部分主要包括四个方面的内容，首先，笔者对DEA方法进行了简要的介绍；其次，对DEA方法中使用频率最高的CCR模型进行了描述和分析，并选择该模型作为该部分后续的实证分析模型；再其次，利用CCR模型对我国历年人力资本的投入产出效率进行了分析与评价；在该部分的最后，笔者实证分析了我国各省、自治区和直辖市基于经济增长的人力资本投资效率，并对实证结果进行了分析和总结。在本文的最后笔者给出了相关研究结论和研究展望。更多还原

【Abstract】 Throughout the entire history of human social and economic development,National prosperity and social stability is the ultimate goal of almost all countriespursue, and the most important measure of a country’s prosperity index is the sustainedeconomic growth. As we all know, the impact factor of economic growth are many,Including: capital, labor, institution, technological progress and opening up and so on.In the agricultural economy, land and labor resources are the main factors leadingeconomic growth; In the industrial economy, physical capital (money, machinery andequipment, etc.), natural resources and labor is the main sources leading the economicgrowth; In today’s knowledge economy time, the capital is to further enrich to thehuman capital and physical capital, And more and more scholars take many otherelements that constitute human capital into economic growth model, so that economicgrowth and the differences between different countries and regions to get a morereasonable explanation. From the development process of the perspective of the worldeconomy, Relatively poor material base does not necessarily hinder a country tobecome an economic power (after World War II, history of Japan’s economicdevelopment is the most typical example), And a regional or national economiccontinuing increasing depends on the development of human capital in the region leveland the level of investment. In this paper,"the case study of "impact of human capitalon the issue of regional economic growth" are summarized as follows:At the beginning of this article (preface), first of all, the author introduces thebackground and significance of this article; secondly, Analyzes the purpose and thebasic idea of this paper; once again introduces the research content and researchmethods; In the final part of the introduction, the author puts forward several possibleinnovations in this article, as follows: first, the author collates and summarizes the views of scholars at home and abroad, Points out that the formation of human capital isbuilt on a national or regional socio-economic environment and the socio-culturalenvironment "dual role" basis, As a result of several elements of joint action,such aseducation,"learning by doing", technological progress, migration and healthinvestment, a country’s human capital to be able to make and to be formed a sustaineddevelopment, and investment in human capital can further promote economic growththrough the combined effects of human capital elements of production capabilities,human capital efficient production capabilities,"knowledge" effect of human capital,the impact of human capital on industrial restructuring and upgrading, the impact onthe labor force of supply and demand. Secondly, the author constructed three differenteconomic growth model to separately measure the three different types of "special"human capital’s impact on China’s economic growth,(including education, science andtechnology human capital and health human capital),and Use panel data of2000-2012and SPSS17.0software for its empirical analysis. The results show that: there is asignificant role in promoting China’s economic growth(including the number ofgraduates of ordinary colleges, education, research staff full-time equivalents, thenumber of patents and health expenditures), and many other variables in the modelconstitutes the rest of human capital impacting on China’s economic growth is notsignificant. Third, the author uses the method of DEA to analyze the input and outputefficiency Over the years into various types of human capital, And will be divided intothree time periods to calculate DEA average score based on the economic growth ofChina’s investment in human capital efficiency(1999-2002for the first timeperiod,2003to2007for the second time period,2008-2012for the third time), Theresults showed that: the average score of the first period DEA efficiency of investmentin human capital is0.774, and the second DEA average score is0.859, and the thirdDEA average score is0.791.The above data can be seen by our recent5years(2008-2012) with respect to the country in the second period (2003-2007), theefficiency of investment in human capital has significantly reduced,human capital topromote economic growth potential has not been fully played out. Literature review section of this paper includes three aspects, first combing theexisting research on human capital theory(including early ideas of human capital, thehuman capital modern ideas, contemporary ideas of human capital, etc.), And theresults of these studies were analyzed and summarized; followed by a review ofresearch on the status of the theory of economic growth (including pre-classical growththeory, classical theory of economic growth, new classical economic growth, newtheory of economic growth, etc.),and Sort and evaluate research results. In the lastchapter of this part the author summarized the results of relevant research in humancapital on economic growth, so as to lay a solid theoretical foundation for thetheoretical analysis and empirical analysis of the follow-up article.The theoretical analysis of this paper includes three aspects, First, on the basis ofcollating and summarizing the relevant views by scholars at home and abroad, theauthor gives the relevant concept of human capital (including individual human capitaland regional human capital), human capital stock, human capital investment andhuman capital types and economic growth. Secondly, the author analyzes the formationpathways of human capital, Points out that the formation of human capital is built on anational or regional socio-economic environment and the socio-cultural environment"dual role" basis, As a result of several elements of joint action, such as education,"learning by doing", technological progress, migration and health investment, acountry’s human capital to be able to make and to be formed a sustained development.The last chapter, the author collate and summarize the mechanism of action of humancapital on economic growth, and points out that investment in human capital canfurther promote economic growth through the combined effects of human capitalelements of production capabilities, human capital efficient production capabilities,"knowledge" effect of human capital, the impact of human capital on industrialrestructuring and upgrading, the impact on the labor force of supply and demand.This section includes three aspects, first, there is a statistical analysis andsummary on human capital investment in education, technology and health aspects,and points out the magnitude of the overall investment in human capital is increasing year by year. Secondly, the author analyzes the economic development of our countryover the years, and points out that if we want to adjust and optimize the industrialstructure, promote sustained economic stability, growth and improving people’s livingstandards, it is necessary to further intensify investment in human capital. Finally, theauthor points out there is a certain level of upgrade in education, science andtechnology, health and economic development in our four areas, but China’s overall"strong west to east," has not been substantial improved, and not only there is a big gapof input in the western region in education, science and technology, health and otheraspects, and the absolute amount of its economic growth is far less than the other threeregions after the statistical analysis.The fifth part of the paper includes four aspects，First, on the basic of literaturesummary, theoretical analysis and statistical analysis, the author gives the researchhypothesis about different types of human capital’s impact on China’s domesticeconomic growth; Secondly, the author determined data sources and variable selectionfor the subsequent empirical analysis,the specific case: the variable data chosen is2000-2012panel data (integrated time-series data and cross-sectional data), theselected data are derived from the "China Statistical Yearbook" and "China StatisticalYearbook of education funding," during2000-2013year. Again, the author built threedifferent multivariate linear regression analysis model to separately measure threedifferent types of "special" human capital’s (including education, science andtechnology human capital and health human capital) impact on China’s economicgrowth; At last, the author analyzes the relevant empirical results.In this section, the author wants to give a clear conclusion about our investment inhuman capital’s output efficiency over the years and our investment in human capital’sefficiency in provinces, autonomous regions and municipalities through analysis of therelevant theories and models. The empirical analysis includes four aspects, firstly, theauthor introduces DEA method briefly; Secondly, the CCR model is described andanalyzed, and select the model as the subsequent empirical analysis model of the part;Thirdly, use CCR model to analyze and evaluate input-output efficiency of China’s human capital over the years; In the final part, the author Analyzes the human capitalinvestment efficiency in different regions, and empirical results are analyzed andsummarized.In this part, the author summarizes the relevant research findings and researchprospects.更多还原