【作者】 王晓莉；

【导师】 林忠；

【作者基本信息】 东北财经大学 ， 人力资源管理， 2013， 博士

【摘要】 在人力资源作为核心要素的知识经济时代,人力资源开发领域的理论研究与实践工具受到学术界、企业界以及政府、高校等多元主体的关注。特别是在当下的中国,无论是传统产业的转型升级、还是战略性新兴产业的培育发展,亦或是“人才强国”战略的实施、以及“新人口红利”的获得,都要经由人力资源开发解决人才问题进而形成内生性、可持续的竞争力。而作为一门相对年轻的交叉型、应用型学科,人力资源开发领域现有理论观点与实践成果间分歧颇多,就开发主体而言,企业、政府、大学是实施人力资源开发的三个核心主体,学者们习惯于将三者区分开来,或是宏观或是微观、或是培训或是教育,从单一主体的视角分析开发问题与策略。尽管人力资源开发的多个主体是彼此独立的社会组织,但相互之间在进行人力资源开发的过程中存在紧密地互动关系,形成了一个典型的人类社会复杂系统。系统成员各自的目标与行为会影响其它成员、同时受到其它成员的影响,最终也会影响整体层面的目标实现情况。因此多主体之间的融合才是完整的研究视阈,实现多主体之间的协同合作才是实现人力资源开发多赢目标的路径。本文试图从开发的多主体角度切入,对不同层面、不同目标的人力资源开发主体所实施的人力资源开发活动及其理论支持进行研究,尝试使用主体建模这种研究复杂动态系统运行机制的研究工具,试图打开人力资源开发多主体运作机制的“黑箱”,进而解释现实中的困境问题并提供解决路径。本文以人力资源开发现有研究成果为基础,以文献研究、理论思辩、主体建模、案例研究为基本方法,以“文献综述—理论推演—模型构建—实例验证—应用策略”为研究思路框架根据论文研究的基本框架。全文共分为6章,其基本内容如下：第1章为绪论。首先介绍了论文的选题背景与原因,阐述论题研究的理论价值与现实意义；继而明确论文的关键概念与研究问题,说明论题研究的概念框架；之后对论文的研究思路进行说明,介绍文章的结构内容与研究方法；最后提出研究的创新之处。第2章为文献评述,对人力资源开发主体及其行为的概念界定、理论支持基础、国内研究成果与实践经验进行整理与评析。首先梳理并拓展了人力资源开发主体的内涵界定与类型,将宏观与微观结合的人力资源开发观作为本文的观点立场,为论题研究明确了分析视角。继而整理了人力资源开发不同主体行为决策的理论基础,将经济学理论、学习理论与系统理论列为人力资源开发宏观主体、微观主体及主体协作的支撑理论,从而为本研究搭建了理论基础的平台。之后,对微观与宏观层面的人力资源开发主体行为的研究成果与实践经验加以总结比较,对各主体的人力资源开发形式与效果及相互冲突问题进行论述,进而揭示人力资源开发多主体整合与协同的研究价值。第3章从视阈融合这一方法论哲学入手,论述了作为社会科学研究领域之一的人力资源开发存在着视阈割裂的研究局限,而视阈融合将为人力资源开发呈现研究与实践的“全景图”。之后以该方法论哲学为指导,对人力资源开发多主体关系的模式与特点进行探究,指出人力资源开发目前的主体关系是以政府为主导的企业-大学合作关系,未来趋势是向多主体、多中心的治理模式转型。以该关系模式为基础,本章对人力资源开发多主体间的静态博弈行为进行了主体建模分析,得出：企业、高校、政府作为独立主体进行自由博弈行为的人力资源开发投资时,各方的收益较低,整体的收益也较低；当其中两个主体愿意合作时,收益情况对双方都有改善,整体收益也有提高；而当三方合作形成时,各主体及整体的收益水平都达到最大。理论分析的结果与现实情况基本吻合。第4章以“政府—大学—企业”三螺旋模型为框架研究了人力资源开发多主体合作演化博弈行为及稳定策略。基于主体建模后的演化博弈分析从动态角度对有限理性的人力资源开发主体间博弈行为进行探究,得出如下多主体最优合作的对策和建议：第一,政府对大学和企业的人力资源开发合作具有正向激励作用,但不应该直接干涉各种市场活动,而是应该充当市场调节下的补充。第二,“大学-企业”合作实施人力资源开发的概率随着各自开发成本的增加而降低,随着各自开发实力的增降而提高,随双方合作时所获得的超额收益的增加而增大。理论上存在一个最优分配比例,能够促使双方合作的意愿最大化。第三,“大学-企业”合作实施人力资源开发的概率随着投机行为所获背叛收益的增加而降低,随着投机行为所获背叛惩罚的增加而增大。双方应明确各自的开发义务与责任边界,形成自身开发特色,这将有利于合作的开展。三螺旋环境下的中间组织包括双边组织与三边组织两种类型,为三螺旋模型的实现发挥合作平台与沟通枢纽的作用,最大限度地实现了政府、产业和大学间人力资源开发活动的三方合作。第5章为案例研究与应用,以辽宁省高技术服务业的人力资源开发问题为实证案例,验证理论分析结果的正确性与实践应用。先对高技术服务业的基本情况加以概述,分析产业特点与产业人力资源需求、培养的特点,说明选择该产业作为案例研究对象的必要性与可行性,铺垫研究与应用的基础。之后结合辽宁省的实际情况,分析高技术服务业设计实施人力资源开发的产业因素及环境因素,利用第3章的博弈分析结果讨论该产业的多主体人力资源开发问题。最后以第4章演化模型的理论分析结果为指导,结合高技术服务业与辽宁省情况,设计了由政府、大学、企业及中间组织共同构成的辽宁高技术服务多主体协同化人力资源开发体系。具体包括：政府应由传统型公共管理模式转而实践整体性治理模式；大学应由教学型、研究型大学向创业型大学转化；企业应实施战略性人力资源开发进而构建开发型组织；中间组织则应发挥更大作用成为“第四螺旋”。第6章为结束语,对全文主要观点进行整合,进而对人力资源开发研究及人力资源开发主体整合机制的未来发展进行展望,总结本研究的局限与不足,为后续研究及同领域的相关研究提出建议。就研究的创新性而言,本文试图在以下三方面有所贡献：第一,以视阈融合的方法论哲学为指导,通过对人力资源开发理论研究与实践活动的评析,界定了各开发主体的角色与责任,从而构建了多主体协同的人力资源开发主体关系模型。第二,将基于主体建模的方法引入人力资源开发主体间行为的研究,揭示了人力资源开发多主体博弈互动与动态演化的运作机制,进而解释现实中的困境问题并寻找多元合作的优化路径。第三,为辽宁高技术服务业构建了多主体协同的人力资源开发体系,依据三螺旋模型对政府、大学、企业、中间组织分别设计了转型目标,弥补了对该产业及其它新兴产业的人力资源开发问题解决策略的匮乏。更多还原

【Abstract】 As human resource has become the core element of the economic development in the era of knowledge economy, human resource development (HRD) also has got more attention of scholars, enterprises and governments. Especially, recent China put forward a series of strategies in order to achieve the economic transition and sustainable development, such as the strategy of developing strategic emerging industries. HRD is the most important way to solve the problem of talent and then obtain the endogenous competitive power. As an emerging intercrossed and applied discipline, there are many differences in the theories and practices of HRD, which provide the valuable research problems for the scholars. Enterprises, governments and universities are the three core subjects of HRD, and previous studies tended to focus on single one of them—training or educating, macro or micro. Although they are generally independent of each other, all of them become a social complex system and are interrelated and interact on each other. The multi-subjects of HRD, mainliy including governments, universities and enterprises, should be integrated, and the cooperation among HRD’s multi-subjects is the approach to achieve HRD’s win-win objects. This paper discusses the theories and practices of each HRD subject, uses agent-based modeling method to explore the game behaviors among multi subjects, then analyzes the evolutionary model of cooperation. The purposes of this research lie in trying to open the Black Box of HRD multi-subjects cooperation mechanism, then explain the realistic dilemma in HRD field and put forward the suggestions.This paper consists of6chapters, and the main contents as following:Chapter1makes a brief introduction about the whole research. Firstly introducing the background and reasons of this research, this part identifies the key concepts and objects of the research. The framework and research methods are also clarified in this part.Chapter2reviews the literatures and proposes the question. Combing through the literatures on HRD systematically, this paper discusses the objections, theoretical foundation, concept definition and previous theoretical and practical researches on this field. After considering different views of scholars at home and aboard, this paper takes human capital theory of economics, learning theory of psychology and system theory as the three pillars of HRD’s theoretical foundation. Expanding the boundary of HRD definition, this paper combines the micro and macro view of HRD to form an integrated view for this research. After that, HRD research results and practical experience on the microscopic and macroscopic level are summarized, and obviously there are many conflicts in various subjects’target and practices, which reveal the value of human resources development of multi-agent integration and coordination.Chapter3from the perspective of the philosophy of horizons fusion discusses the limitations in recent HRD field, and tries to present a "panorama" for HRD research and practice. Taken this methodology of philosophy, this paper uses the Agent-based Modeling method to study the game behaviors among HRD’s multiple agents, and draws the following results:when enterprises, universities and government as an independent body of free game behavior, both every subject and the whole system have the lower benefits; When two of the three subjects are willing to cooperation, benefits have improved on both sides, but also improve the overall benefit; and when the three party cooperation is formed, the main body and the overall level of income reached maximum. The theoretical results agree well with the real situation.Chapter4takes the "government-university-enterprise" triple helix model as the framework to build the evolutionary model and stable strategy for HRD’s multi-subjects behaviors. Exploring the limited rational subject of HRD from the dynamic perspective, evolutionary game analysis concludes the following multi-agent optimal cooperation countermeasures and suggestions:Firstly, the government has a positive incentive effect of University and enterprise cooperation in HRD, but should serve as the complement of market regulation and avoid intervening directly in various market activities; Secondly, the probability of the "University-Enterprise" cooperation of HRD decreases with their development costs, increases with their respective development strength and excess income increases. There is an optimal allocation proportion to promote cooperation between the two sides. Thirdly, the probability of "University-Enterprise" cooperation of HRD decreases with the resulting speculation against income increase, and increases with the speculation by increasing punishment. The two sides should clear the obligations and responsibilities of HRD, which will be beneficial to the development of cooperation. The intermediate organizations in the triple helix model include the bilateral organizations and the three edge tissues of two types, and they are the platform of cooperation and media of communication.Chapter5is case study and application suggestions. Taken the hi-tech service industry in Liaoning Province as an example, this part tries to test the correctness and practical application of the theoretical analysis. Combined with the actual situation in Liaoning Province, the paper analyses the current situation, problems and the strategic environment of HRD in hi-tech service industry, designs multi-subjects collaboration of HRD system for this industry, which is composed of governments, universities, enterprises and intermediate organizations. The contents include:government should transfer from the traditional public management model to the holistic governance model; university should evolve from the research university to the entrepreneurial university; enterprise should implement the strategic human resources development so as to construct the development organization; intermediate organizations should play a bigger role as the "fourth spiral".Chapter6is the conclusion. This part emphasizes the main views of this research, summarizes the research limitations and shortcomings, then puts forward suggestions for the following research studies in HRD field.There are three innovative points:(1) using the triple helix model to construct a multi-agent collaborative relationship modle of HRD’s subjections in the view of the methodology of horizons fusion;(2) using the agent-based modeling method to study the multi-subjects’game behaviors and giving a better explain to the dilemma problems in reality;(3) systematically studying the HRD problem of the hi-tech service industry and constructing the multi-subjects system of HRD, which can be used as reference for other strategic emerging industry.更多还原