人力资本：区域经济可持续发展的原动力研究

【作者】 姜玉鹏；

【导师】 姜学民；

【作者基本信息】 青岛大学 ， 人口、资源与环境经济学， 2007， 博士

【摘要】 人力资本是推动经济走上可持续发展轨道的原动力,是现代经济增长和发展的决定因素,因此关注人力资本的投资、形成和积累,促进人的全面发展,是现阶段城市发展、区域经济增长成为政府关心的焦点问题之一。人力资本对于区域经济增长的作用,随着知识经济时代的到来已经变得越来越重要。我国作为世界上人口最多、人均自然资源相对不足、经济基础比较落后的发展中国家,更应重视人力资本投资与区域经济可持续发展关系的研究。因此,全文除了“导论”之外共分两大部分(包括六章)来进行建构:第一部分为理论分析,包括前三章即第一至第三章的内容。第一章为经济学理论中的人力资本思想。经济增长是经济学家们所关心的所有问题中的核心问题。在古典经济学家的著作中没有提及持续的经济增长,但是古典经济学大师充分注意到了人在经济增长中的作用,“土地是财富之母,劳动是财富之父”配第的这个著名判断说明人在财富生产(经济增长)中的决定性作用。由于受所处时代的局限以及各自研究目的的影响,古典经济学家们都未能专门集中地论述人力资本及其相关问题,而仅仅是人力资本思想的最初萌芽。在哈罗德模型中,哈罗德将人力资本外生化,把人力资本看作是经济增长的外生变量,他强调企业家的预期在经济增长中的重要作用,企业家预期的资本产出比与实际的资本产出比的差距,将造成经济发生大起大落的波动,使经济持续稳定的增长无法维持。这是人力资本思想在现代经济学理论中的最初体现。1960年以来有关知识外溢、边干边学、人力资本理论和动态化的研究为新增长理论的产生提供了理论基础。此外,上个世纪70—80年代以来产业组织理论、发明与创新、人力资本以及交易费用等微观经济理论的发展,使得人们可以更为规范地讨论知识的进步与市场的联系,从而为新增长理论的出现作了准备。20世纪80年代以后,经济学家如索洛、斯旺等人将人力资本内生化,强调经济增长不是外部力量,而是经济体系的内部力量作用的产物,重视对知识外溢、人力资本投资、研究和开发、收益递增、劳动分工和专业化、边干边学、开放经济和垄断化等新问题的研究,为长期经济增长提供了一幅全新的图景,人力资本思想在新经济增长理论中得到充分的体现。第二章为人力资本理论的提出及历史沿革。本章通过对人力资本理论的历史沿革的论述,逐步将资本中人力资本概念引出。西方学者对资本的认识,我们可以追溯到古希腊时代。最初人们是在借贷关系中接触到资本问题的。在经济理论发展的初期,当生产成为主要的经济活动时,产出的生产资料被认为是生产要素,开始称它为“资本”。中世纪晚期,西欧出现了资本主义生产方式的萌芽,商品货币关系的发展使人们将注意力集中到商业资本形态上,重商主义经济学诞生。重商主义者在一定程度上能够将货币形态的资本与商品资本区别开来。重商主义以后,真正将资本研究的重心从流通领域转移到生产领域的是重农学派。重农学派是第一次对生产和资本在生产中的作用问题提出明确观点的学派。亚当·斯密的创见使资本的古典概念得以产生。到了19世纪中叶,马克思的巨著《资本论》的产生,对近代资本概念作了深刻的、充实的内涵规定和外延规定,尽管传统的资本理论受到挑战是上世纪五六十年代的事,人力资本也正是在这种情况下才被纳入经济学的研究领域。通常而言,人们以1960年舒尔茨在经济学年会上发表“人力资本投资”的演说作为人力资本理论诞生的标志,也作为人力资本概念被正式提出的时间。事实上,人力资本理论的实际诞生以1962年《政治经济学》杂志发表“人力资本增刊”为标志,从此进入了人力资本革命的时代。由于人力资本不同于一般的资本具有外部性、持久性和不贬值等特征,因此应促进人力资本流入,保证经济社会的可持续性。第三章为可持续发展战略中的人力资本理论。可持续发展问题的中心是人,控制人口数量、提高人口质量是实现人类经济社会可持续发展的根本保证。实现人类经济社会可持续发展所需的资源,从本源的意义上看不外乎有两类:一类是自然资源,一类是人力资本。随着经济的发展和社会的进步,自然资源总是要呈现出逐渐减少,甚至是日趋枯竭之势,而人力资本却是随着经济的发展和社会的进步而日趋丰富和不断提高。以人力资本的提高来弥补经济发展过程中对自然资源稀缺性对发展的制约,是人类社会经济发展的必然趋势。随着知识经济的到来,创新意识的提高,都从不同角度证明了人力资本对经济可持续发展的重要作用。在资本体系中,人力资本具有智能性的特征。人力资本对物质资本、自然资本和社会资本有着重要的影响,随着人们对人力资本培训的增加,人力资本丰富了资本的内涵,深化了对各种资本的利用。由些可见,人力资本是经济发展的创新力源泉,它的作用可以体现在:人力资本可以聚合自然资本和创造资本,可以提高经济发展的质量,以人力资本为载体的知识是可持续发展的核心,人力资本所掌握的科学技术是可持续发展的关键。第二部分为实证分析,包括后四章即第四至六章的内容。第四章为人力资本理论在区域经济可持续发展的应用。人力资本从不同角度,按照不同划分标准可以被分为各种不同类型。按人力资本发挥作用的范围分类,人力资本可分为生产型人力资本、研究开发型人力资本和管理型人力资本。从人力资本的投资渠道入手,把人力资本分为教育人力资本和培训人力资本。以人力资本的表现载体(个人)所属国籍分类,人力资本可分为国内人力贷本和国外人力资本。人力资本接其所处的组织规模大小分类,可分为社会人力资本和组织人力资本。根据人力资本的专用性程度,可以把人力资本分为一般性人力资本、专业性人力资本和特质性人力资本。从研究人力资本存量结构与区域经济增长关系的角度出发,就要按人力资本对经济增长的不同作用进行分类。按其能力和其对应的社会分工角色不同,我们将人力资本分为三类:一般人力资本、专业人力资本、企业家人力资本。企业家人力资本与专业人力资本并重,是制度创新和技术创新的源泉,因此双高型区域成为带动其他类型区域经济增长的一个重要力量。经济中的制度创新是由这些地区发起的,而技术创新业是由这些地区向其他区域扩散的。这些区域可以通过向其他区域输送或转移他们所需的各种类型的人力资本,从而推动其他区域的经济增长。第五章为青岛、苏州人力资本对区域经济可持续发展贡献的比较。通过比较我们发现,青岛和苏州虽然在面积、人口规模、项目数量、高等学校和入学率上由一定的可比性,但在大专院校的数量,大专院校的学生数量、国民生产总值等方面相差都较大。究其原因导致这两个宏观条件类似的城市之间的差异的主要因素是作为现代经济发展的重要推动因素——人力资本。虽然青岛市人力资本的存量高于苏州市的人力资本存量,但苏州市的经济增长主要依靠投资带动而非人力资本带动;虽然规模大企业的数量有优势,但是根据人力资本存量模式,青岛市人力资本存量模式也远远未达到最优配置,所以导致经济的总量低于苏州。这样,青岛应加大企业人力资本的培育力度,优化人力资本存量结构。同时,苏州与青岛相比属于企业家人力资本富裕型区域,企业家人力资本丰富,而且通过其丰富的人力资本存量、大量的外资投入和对外贸易的高度依存度,使得经济增长能够在一定的时期内表现突出,而青岛与苏州相比的以下优势将会导致经济增长潜力大、增长快、速度高。第一个优势,青岛市的人力资本水平高于苏州市的人力资本水平。第二个优势,青岛市的产业结构对经济增长的贡献中,第三产业的贡献比例逐年上升,意味着在知识经济到来的时代,人力资本在经济增长的作用逐渐增大,符合经济发展的趋势。第三个优势,青岛市劳动报酬有进一步提升的空间,这为人力资本存量模式的改善提供了条件基础,为人力资本投资的增加埋下伏笔,为经济进一步增长创造了机会。第六章为青岛建立可持续发展的人力资本培育吸纳机制的对策。通过对人力资本思想的萌芽、人力资本理论的提出以及区域经济增长中人力资本作用的研究,进一步明确区域可持续发展的关键是人力资本。人力资本是推动经济走上可持续发展轨道的原动力,是现代经济增长和发展的决定因素。因此,关注人力资本的投资、形成和积累,促进人的全面发展,是现阶段城市发展、区域经济增长成为政府关心的焦点问题之一,人力资本对于区域经济增长的作用,随着知识经济时代的到来已经变得越来越重要。可持续发展从资源的角度讲,就是以人力资源替代自然资源的发展模式。人力资本的积聚正在成为可持续发展的强大推动力。在这个意义上说,可持续发展科技是关键,基础是教育,推动力是人力资本。对于青岛来说,不能盲目的模仿别的城市经济发展的经验,而应该根据自己的优势大力发展环保产业,加大高科技的投资力度,建立培育和吸引人力资本的机制,以质取胜而不要以量取胜,这才是区域可持续发展的最终任务。青岛市在建立人力资本培育和吸纳机制上有其特殊的区位优势。首先,从地域文化的角度讲,齐鲁文化对于人力资本的培育具有促进作用。其次,青岛作为近代开埠城市,它的开放性吸引了大量省内外、国内外的移民,这也为青岛市建立人力资本吸纳机制奠定了思想基础。第三,青岛市大量的名牌企业,增加了城市的知名度,同时也促进了人力资本的流入,为人力资本的培育和吸纳创造良好的条件。第四,青岛市政府也非常注重人力资本的培育和吸纳,青岛市政府通过一系列措施着力营造人力资本培育和吸纳的良好氛围。从长远看,随着知识经济的到来,单靠量的投入和出口量的增加不能维持经济的可持续性,只有人力资本才是融合各种投资和吸收各种先进科技文化的唯一资本,只有人力资本才能最终促进区域经济的可持续增长。本文的主要创新点有:第一,在理论上全面系统地梳理了古典经济增长理论和现代经济增长理论中的人力资本思想,以及人力资本思想对古典经济增长理论的影响和在新经济增长理论的体现,鲜明地提出了人力资本是区域经济可持续发展的原动力的观点。第二,在充分肯定古典经济学对人力资本理论所作的贡献基础上,明确提出了马克思对劳动力的经典性论述在人力资本理论形成中起着奠基作用,并在此基础上系统地阐述了人力资本的含义、特征以及人力资本流动的驱动机制。第三,深刻地揭示了人力资本在可持续发展战略以及区域经济持续发展中的巨大作用,尝试性地建构了区域经济发展的人力资本结构模式,提出了双高型区域经济增长的人力资本理想模式。第四,在实践层面,通过比较青岛、苏州在区域经济增长和人力资本存量方面的差别,预测了未来青岛与苏州的区域经济可持续发展趋势,提出青岛建立人力资本培育、吸纳机制的措施与建议,等等。更多还原

【Abstract】 Human capital is the driving force of impelling the economy to step onto the track of sustainable development and the decisive factor in modern economic growth and development. Therefore, it has become one of the focus problems the government concerned to pay more attention to the investment, formation and accumulation of human capital, and to promote the comprehensive development of human beings, the current city development and regional economic growth. With the advent of the era of the knowledge economy, the effect of human capital in promoting the regional economic growth has become more and more important. China, as a developing country with the largest population in the world, the relatively inadequate per capita natural resources, and backward economic foundation, should pay more attention to the study of the relations between the human capital investment and the sustainable development of regional economy. Therefore, besides the introduction, the thesis is structured with two parts, including six chapters:The first part of the thesis is the theory analysis part, including the first three chapters.The first chapter analyses the human capital ideology in the economic theories. Economic growth is the core problem of all the problems concerned by the economists. Although the classical economists did not mention the sustainable economic growth in their works, they really noticed the role of human beings in promoting the economic development. "Land is the mother of wealth, labor is the father of wealth", the famous judgment written by William Petty, indicates the decisive role of human beings in the wealth production (economic growth). Due to the limitations of the times and the impact of their research purposes, the classical economists were not be able to elaborate specifically and intensively human capital and other related issues, but from their works we can see the initial ideology of human capital. In Harold model, he looked the human capital as an exogenous variable of economic growth. He stressed the important role of the entrepreneurs’ anticipation in the economic growth. The gap between the entrepreneurs’ expected capital-output ratio and the actual capital-output ratio will cause big ups and downs in economic fluctuations, causing the sustainable and stable economic growth unable to be maintained. This is the initial performance of human capital ideology in the modern economic theory. Since 1960 the knowledge spillover, learning-by-doing, the human capital theory and the study of dynamics, provides the theoretical basis for the formation of the New Economic Growth Theory. In addition, during the 70s-80s of the last century, the development of micro-economic theory, such as theory of industrial organization, invention and innovation, human capital and transaction cost, makes people more standardized to discuss the relations between the knowledge progress and the market, thus providing preparation for the emergence of the New Economic Growth Theory. After the 1980s, economists such as Solow, Swan looked the human capital as the endoginetic factor for the development of the economy, stressing that the economic growth is not the outcome of the external forces, but that of the internal forces in the economic system. Attaching importance to the study of the new issues, such as the knowledge spillover, human capital investment, research and development, increasing returns, division of labor and the specialization, learning-by-doing, open economy and monopolization, will provide a brand-new prospect for long-term economic growth. The ideology of human capital has been fully embodied in the New Economic Growth Theory.Chapter Two: the statement and historical evolution of the theory of human capital. This chapter gradually draws out the concept of human capital through the elaboration of the historical evolution of the human capital theory. Western scholars’ understanding of capital can be traced back to the ancient Greece times. People are initially exposed to capital issues in the relations of debit and credit. In the initial period of the development of economic theory, when production became the main economic activity, the producer goods produced were considered production factor and began to be called "capital." The seeds of the capitalist mode of production appeared in Western Europe during the Late Middle Ages. The development of relations between the commodity currencies made people focus on the commercial capital form. Then the mercantile economics came into being. The mercantilist could distinguish the capital of currency shape and commodity capital to a certain extent. After Mercantilism, it was physiocrat that shifted the focus of capital research from the circulating area to the production one. The physiocrat was the school of thought that first proposed specific viewpoint about functions that the produce and capital performed in production. Adam Smith’s creative perspective enabled the classic concept of capital to be produced. By the mid-19th century, Marx’s masterpiece "Das Kapital" came into being, which made profound and substantial connotation and extension stipulations about the modern capital concept, though the traditional capital theory was challenged during the 1950s and 1960s,and it was under such circumstance that human capital was integrated into the research field of economics. Generally speaking, the speech of "human capital investment" delivered by Shultz at the economics annual meeting in 1960 was considered as the symbol of the emergence of the human capital theory and also as the time when the concept of human capital was officially proposed. In fact, the actual emergence of the human capital theory was marked by the magazine "political economics"’s publishing "human capital supplement" in 1962,and from then on entered the era of revolution in human capital. Because human capital, which has the characteristics of exterior nature, durability and undepreciation, is different from general capital, therefore we should promote human capital inflow to ensure economic and social sustainability.Chapter Three: Human capital theory in the strategy for sustainable development. The center of Sustainable development is human. The quantity control and the quality improvement of the population are the basic guarantee of realizing sustainable development for human economy and society. The resources needed in achieving sustainable development of human economy and society can be categorized into two types from the perspective of the origin: one is the natural resources, the other is human capital. Along with the economic development and social progress, natural resources always take on a trend of gradually reducing or even being more and more exhausted day by day. However, human capital becomes increasingly abundant day by day and is continuously improving with the economic development and social progress. It is an inevitable trend of socio-economic development to make up the restriction of the natural resource scarcity to development during the process of economic development by improving human capital. With the advent of the knowledge economy and the enhancement of innovative awareness, it is proved from different angles that human capital has played an important role in sustainable development of economy. In the capital system, human capital has intelligent features. Human capital has an important influence on material, natural and social capital. Human capital has enriched the connotation of capital and has deepened the capital utilization of various types with the increase in the training of human capital. Human capital is the source of innovation of economic development, with the function manifested in: human capital can polymerize natural capital and create capital, and improve the quality of economic growth. The knowledge taking human capital as a carrier is the core of sustainable development. The science and technology mastered by human capital is the key to sustainable development.The second part was an empirical analysis, including the last three chapters from chapter four to six.Chapter four: the applications of human capital theory in the sustainable development of regional economy. Human capital can be divided into various types from different angles according to different division standards. Human capital can be divided into productive human capital, R&D human capital and management human capital according to the scope of function performed by human capital. We can divide it into educational human capital and training human capital from the angle of the investment channels of human capital. It can also be divided into domestic and foreign human capital according to the nationality of its performance carrier (the individual). It can be categorized into social and organizational human capital in consideration of the scale size of the organization it belongs to. According to the degree of its specialization, we can divide it into general, professional and specialized human capital. Starting from the angle of researching the relations between the stock structure of human capital and the growth of regional economy, we should classify human capital according to different roles it played in economic growth. According to its different ability and corresponding roles of the social division of labor, we divide it into three categories: general human capital, specialized human capital and entrepreneur human capital. Entrepreneurs and specialized human capital should be paid equal attention to and they are the sources of both the system innovation and the technological innovation, therefore the double high-regions become a vital force in leading the economic growth of regions of other types. The economic system innovation is initiated in these areas and the technical innovation is also diffused from these areas to other regions. These regions can impel the economic growth of others through transporting or transferring various types of human capital required in other regions. Chapter Five: the comparison of the contribution of human capital to the sustainable development of regional economy between Qingdao and Suzhou. By comparison we can find that Qingdao and Suzhou are comparable with each other in area, population size, the number of projects, colleges and universities and enrolment rate, but there is a large gap between them in the number of tertiary institutions, the number of students of tertiary institutions, the gross national product, etc. Investigating the reasons leading to the difference between the two cities which have the similar macroeconomic conditions, we find the primary factor is human capital, which is the vital driving factor of the modern economic development. Although the human capital stock in Qingdao is higher than that in Suzhou, the economic growth of Suzhou is mainly driven by investment, rather than relying on human capital. Although the number of large-scale enterprises has superiority, the mode of human capital stock in Qingdao is far from achieving optimal disposition, thus resulting in a lower total quantity of economy than that of Suzhou. So enterprises in Qingdao should enhance efforts to foster human capital and optimize the structure of the stock of human capital. At the same time, Suzhou, compared with Qingdao, is a region rich in human capital. Moreover, the performance of the economic growth in a certain period can be outstanding because of the abundant human capital stock, the massive inflow of foreign investment and a high degree of dependence on foreign trade. But the following advantages of Qingdao compared to Suzhou will lead to great potential of economic growth, fast growing and high-speed. The first advantage is that the level of human capital in Qingdao is higher than that in Suzhou. The second one is that among the contribution of the industrial structure to the economic growth in Qingdao, the proportion of the contribution from the tertiary industry increases year by year, which means that at the advent of the era of the knowledge economy, the role of human capital in economic growth is gradually increasing, in line with the trend of economic development. The third advantage is that there is a space for further promotion of the labor payment in Qingdao, which provides the conditional foundation for the improvement of the mode of human capital stock, lays down the foreshadowing for increase of the human capital investment and creates opportunities for further growth of the economy.Chapter Six: Measures for establishing the mechanism of fostering and absorbing human capital for sustainable development in Qingdao. By doing research on the embryo of the ideology of human capital, the introduction of the human capital theory as well as the role of human capital in the regional economic development, it’s further proposed that human capital is the key for the regional sustainable development. Human capital is the driving force of impelling the economy to step onto the track of sustainable development and the decisive factor in modern economic growth and development. Therefore, it has become one of the focus problems the government concerned to pay more attention to the investment, formation and accumulation of human capital, and to promote the comprehensive development of human beings and the current city development and regional economic growth. With the advent of the era of the knowledge economy, the effect of human capital in promoting the regional economic growth has become more and more important. Sustainable development, from the perspective of resources, is a development mode replacing natural resources with human resources. The accumulation of human capital is becoming a strong impetus for sustainable development. In this sense, technology is the key to sustainable development; education is it’s foundation; and human capital is the driving force. For Qingdao, it should not blindly imitate the experience of other cities’ economic development, but should vigorously develop the environmental protection industry in accordance with it’s own advantages, increase the intensity of investment in high-tech, establish a mechanism to foster and attract human capital and win with quality instead of quantity, which are also the ultimate missions of regional sustainable development. Qingdao has its special geographical advantages in the establishment of human capital cultivating and absorbing mechanism. First of all, from the perspective of geographical culture, Qilu Culture will promote the cultivation of human capital. Second, as a modern port city, Qingdao has attracted a large amount of internal, external, domestic and international immigrants because of its openness, which also lays the ideological foundation of human capital absorbing mechanism. Third, a large number of brand-name enterprises help enhance the popularity of the city, and promote the inflow of human capital in the meantime so as to create good conditions for absorbing and cultivating human capital. Fourth, Qingdao Municipal Government also attaches great importance to the cultivation and absorption of human capital, and has taken a series of measures to create a good atmosphere of fostering and absorbing human capital. In the long run, with the advent of the era of knowledge economy, we can not keep the economic sustainability only by increasing the volume of input and export and it is only the human capital that could integrate all sorts of investment, assimilate all kinds of advanced technology and culture and finally accelerate sustainable development of regional economy.The main innovation points of this thesis are as follows: First, it combs comprehensively and systematically the ideology of human capital in the classical and modern economic growth theory, as well as the impact of human capital ideology on the classical theory of economic growth and the embodiment of it in the new economic growth theory, and then clearly put forward the viewpoint that the human capital is the impulsion for sustainable development of regional economy. Second, on the basis of having fully confirmed the contribution of classic economics to the human capital theory .It is clearly brought forth that Marx’s classic exposition of the labor force plays a fundamental role in the process of the formation of the human capital theory and illustrates systematically the meaning and characteristics of human capital as well as the driving mechanism of human capital flows. Third, it profoundly reveals the great function of the human capital in the strategy of sustainable development as well as regional economic development, tentatively builds the mode of human capital structure of regional economic development and proposes an ideal human capital mode of a double high-regional economic growth. Fourth, in the practical level, by comparing the difference between Suzhou and Qingdao in the regional economic growth and human capital stock, it forecasts the trend of future sustainable development of regional economy in Qingdao and Suzhou and brings up measures and suggestions of establishing the mechanism for human capital cultivation and absorption in Qingdao.更多还原