人力资本与技术选择适配性研究

【作者】 姜雨；

【导师】 沈志渔；

【作者基本信息】 中国社会科学院研究生院 ， 企业管理， 2012， 博士

【摘要】 技术是国家或企业获取竞争优势、形成核心能力的决定性因素。开放的经济发展环境，使得技术后发国家和企业可以通过引进、模仿先进技术实现技术进步。所选择的技术是否适宜，则是影响引进技术能否被充分吸收、应用并融入原有技术体系，进而实现技术改进及创新的一个重要因素。而人是技术吸收和技术创新过程的绝对主体，因此人力资本水平对于选择技术的适宜性具有重要影响。有鉴于此，本文以人力资本与技术选择适配性为主题，重点回答了两个大问题，即“技术选择为何要与人力资本适配”以及“人力资本如何与技术选择适配”。针对第一个问题，本文从三个方面进行了解答。①通过综述适宜技术理论的研究成果，全面分析了技术适宜性的影响因素。②深入分析了技术选择与人力资本的动态适配机理。在全面分析了技术选择与人力资本相互作用、相互影响的关系的基础上，构建了技术选择与人力资本相互作用机理模型和动态适配模型，指出：第一，技术选择与人力资本要彼此适配，这样才能实现技术与人力资本组合的边际生产率最大化；第二，技术选择与人力资本的适配关系具有动态演化性质，即二者间的适配不仅是某一时点的静态契合，更是动态发展过程中的持续匹配。对此，实践中要充分考虑并适当加以利用。③探讨了技术差距与人力资本约束下的技术选择决策。外生技术与人力资本之间可能出现适配或不适配的不同结果，这意味着，技术引进只是一定条件下的适宜选择。而技术差距是影响二者适配与否的重要因素之一，且技术差距与技术溢出效应之间存在非线性关系，也即，对于技术引进而言，存在技术差距的适宜范围。据此，本文构建了人力资本-技术差距约束下的技术选择决策模型，针对人力资本水平和技术差距的不同组合，提出了适宜技术引进或进行自主创新的技术选择决策。选择适宜的技术固然重要，但是，对引进技术进行吸收、应用、改进和创新，并使之转化为现实生产力的技术能力更为重要。它既影响了引进的外生技术的适宜性，又决定了技术进步的方式和效率，同时也是技术选择决策效果的具体体现。因此，本文从技术能力形成和提升的角度回答“人力资本如何与技术选择适配”。相应回答也分三个方面。①分析了人力资本结构与技术能力提升的适配机制。技术能力的发展可分为三个阶段，即简单仿制能力、创造性模仿能力和自主创新能力。它们的具体构成、形成条件以及形成中的知识转换过程，存在较大差异，因此对人力资本有着不同的要求。在重新定义了与技术能力提升直接相关的技术型人力资本及其子类的基础上，以技能型人力资本（记为S）、研发型人力资本（记为R），以及对技术能力形成、提升具有决策和支持作用的企业家人力资本（记为E），在不同阶段技术能力形成中重要性的相对变化，刻画了与技术能力从仿制能力→创造性模仿能力→自主创新能力的提升过程，相适宜的人力资本结构，即S﹥R﹥E→R﹥S﹥E→R﹥E﹥S。在此基础上，构建了人力资本结构与技术能力提升的适配发展模型，并提出了以人力资本结构优化，适配并促进技术能力提升的机制。②构建了有效的技术型人力资本的运营模式。目的在于提升技术型人力资本的存量水平并激发其能量转换，以促进技术能力提升，适配高水平的技术选择。结合技术型人力资本的特征，提出：采取以内部开发为主的策略获取技术型人力资本；采用适当措施和适合的途径，开发技术型人力资本并提升其人力资本专用性；根据技能型人力资本与研发型人力资本的不同特点，采取适宜的薪酬激励方式。③提出依托低技能人力资本形成技术能力，并利用企业内部价值链上价值活动的相互影响作用，形成竞争优势、促进技术能力升级的现实解决方案。具体地说，通过技术分解实现以低技能劳动力替代机器设备和高技能劳动力的目的，这样既能够降低资金成本，又能够充分利用低技能劳动力资源及其成本优势，形成技术能力；与此同时，充分利用价值活动之间的联系，即某项活动的技术选择会使得相关价值活动的要素禀赋结构发生变化，着意培养优势环节，并促进要素持续积累和结构优化，进而促成企业竞争优势的形成和技术能力的提升。围绕人力资本与技术选择适配性的研究主题，本文不仅分析了二者为何要适配，也提出了如何适配的实现途径和方法。因此，在构建了一个人力资本与技术选择适配性的全面理论分析框架的同时，也为技术选择和人力资本投资实践提供了理论指导，具有一定的理论和现实意义。更多还原

【Abstract】 Technology is playing a crucial role in helping countries and enterprises achievingcompetitive advantages and core competencies. In open economy, relatively backwardcountries and firms can rely on assimilation and imitation of advanced technology toachieve technological development. It is one of important factors to affect the effect ofspillovers whether the technology introduced is appropriate to be absorbed, applied andintegrated into matches with the inherent technology system. Human is that who absorb,apply, improve and innovate technologies, so the level of human capital has great influenceon technological selection. This paper focusing on the fit between human capital andtechnological selection is mainly concerned with two questions. One is that whytechnological selection must math the level of human capital. And the other is how humancapital can fit the technological selection.This paper has answered the first question from three aspects.①The factors that affectthe appropriateness of technology are summarized by reviewing the literature ofappropriate technology theory.②The mechanism of dynamic fit between technologicalselection and human capital is examined. Based on the further research on the relationshipof the interaction between human capital and exogenous technology selected, the model ofthe mechanism of the interaction between them has been proposed. Furthermore theexisting of a dynamic fit between them was specified. It includes two meanings. One is thattechnology selected must fit the level of human capital to maximize the marginproductivity of the combination of technology and human capital. The other is thattechnology selected and human capital need dynamically fit each other not only at staticpoint but also during the development process because the interactions make themrespectively increase. This point should be allowed for in practice.③The appropriatedecision of technological selection under constraint of technology and human capital wasdiscussed. The exogenous technology selected may be suitable to be introduced andimitated if it could fit the level of human capital. Otherwise it couldn’t. Technology gap hasan important influence on the fit between them while it may affect the spillovers in anon-linear relationship. That is introducing technology is merely the best decision whentechnology gap is appropriate. Hereby, a decision-making model of technology selectionsuggested to dwell on which is the better choice technological imitation or self-innovationaccording to the different combination of human capital and technology gap.Technological capability to assimilate, use, adapt and change the technologiesintroduced is more important for firms to turn them into productivity than the selection ofappropriate technology. Thus this paper has answered the second question based on the process of building and improving technological capacity.①The mechanics that thearchitecture of human capital matches the process of building and improving technologicalcapabilities has been analyzed. There are three stages in the process of the technologicalcapacity developing. And there is big difference in nature, formation condition andconversion between explicit and tacit knowledge of technological capacity at differentstages, so different types of human capital would be needed. Technological human capitalincluding skilled human capital（marked by S）and R&D human capital（marked by R）which directly undertake the technological activities. And entrepreneurial human capitalplays （marked by E） an important role in decision-making and supporting in thedevelopment process of technology capacity. Thus the appropriate architecture of humancapital characterized by the relative importance of these three types of human capital willchange in the way S﹥R﹥E→R﹥S﹥E→R﹥E﹥S which coordinates with thedevelopment process of technological capacity from duplicative imitation, creativeimitation to self-innovation. On the basis, a model has been proposed to specify themechanics how the architecture of human capital would fit and promote technologicalcapabilities.②An operation mode of technological human capital has been formed. It ishelpful to fit the higher level of technology by improving the accumulation andtransformation of technological human capital. According to the characteristic oftechnological human capital, this paper suggests to acquire it mainly by applying internaldevelopment strategy, develop its specificity in appropriate practices and approaches andencourage it in suitable ways of compensational incentives.③A solution has beensuggested to turn the low level of human capital into technological capacity and achievecompetitive advantages through the interactions of value activities in value chain.Specifically, unskilled labor could replace skilled labor and machines in advancedtechnology system by skill-replacing technological advances. Thus capital could bereduced, whereas unskilled labor and its low-cost advantage could be exploited. Factors cancontinuously be accumulated and optimized in structure through the interactions of valueactivities that the technological choice of each activity may affect the resource endowmentof other correlative activities, which is helpful to foster competitive advantages andimprove technological capacity.This paper has not only analyzed why human capital must fit technological selection,but also how human capital can fit the technological selection. Thus a theoretical framehelpful to analyze the fit between human capital and technological selection has been builtto instruct the practices in technological selection and investments of human capital.更多还原