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人力资本论
摘 要
半个多世纪以来，人力资本理论在中外学术界的广泛领域内得到广泛传播，并在政府政策、市场运作和企业经营等宏微观不同实践层面得到初步应用，并取得了一些令人瞩目的成果。本书踏着前人研究探索的足迹，立足中国改革与发展实践，以制度经济分析为方法论主线，直截了当地以“人力资本论”为题，按照投资论、生产论、积累论、流动论、实现论和决定论等“六论”理论逻辑框架，对于目前中国社会各界聚焦关注的热点问题，诸如“非均衡发展”问题、“应试教育”问题、“社会力量办学”问题、“人才外流”问题、“股权激励”问题以及“中国崛起”问题等，一一给出正面的理论回应。
从“人力资本投资论”的观点来看，中国经济发展“非均衡”问题，其根由在于人力资本投资的非均衡性，这主要表现在主体行为“非均衡性扭曲”以及由此而来的区域非均衡性两个维度上，而其总根子又在长期滞后的教育体制改革方面。传统计划经济体制下的政府职能错位问题不能得到根本解决，政府在基础义务教育方面的主导作用不能得到充分发挥，政府教育财政转移支付功能不到位，个人、家庭、区域和企业等微观经济主体在教育人力资本投资方面的“非均衡”问题就不可能获得彻底解决。因此，坚持“以人为本”，大刀阔斧地进行教育制度创新，将“全面协调可持续发展”的基点放在“人力资本均衡化投资”上，是解决中国经济“非均衡发展”问题的根本出路。
从“人力资本生产论”的观点来看，正规学校教育体系实际上是国民经济中专门进行人力资本大规模生产的主导部门，教育业能否实现可持续健康发展，从根本上决定着中国能否从一个“人力资源大国”转变为“人力资本强国”的总体战略方向。但是，由于特殊的文化传统和制度环境约束，中国近代在引进西方现代学校教育体系后，经过百余年的复杂历史演变过程，目前已经陷于一种“举国上下齐动、全民赶考应试”的恶性路径依赖怪圈，而且有越陷越深、不能自拔之态势。从根本上说，中国“应试教育”问题，其实是由于传统官本位、大一统的科举千年古制在当代教育计划体制环境下的惯性延续，从而使人力资本生产制度不能适应市场化改革开放大环境所引致的教育行为扭曲现象。因此，我们认为，“教育兴国先兴业，教育兴业先变革”，未来中国应试教育制度的出路和变革走势是：彻底转换政府职能，还“人力资本生产自主权”于学校、公民和社会，在社会横向分层多元化、经济市场民主化的新时代背景下，真正扬弃和剥离传统考试的官本位科举功能，重塑“入学考试”本来应有的正常人才选拔配置功能。
从“人力资本积累论”的观点来看，所谓“社会力量办学”，其关键实际上不是一个简单的“办学”问题，而更重要的是在正规学校教育体系之外，如何“发动群众”、充分利用“公民社会”力量，进行大量的、日常的、潜移默化的、循序渐进的“人力资本社会化积累”问题。人力资本社会化积累，其实是一个人在整个生命周期以及工作职业生涯各个不同发展阶段上，为了实现自己既定的生活和工作目标，按照自己的人生规划和生涯路径设计，有针对性地对自己人力资源所进行的一系列开发和再开发活动，一般包括基础潜能开发、人际交往能力提升、创新和领导技能培训等三个基本方面的活动。在社会组织形式上，人力资本社会化积累包括依托社会（民间、市场）力量进行教育投资、办学和非正规教育培训活动，以及个人或群体在各自职业实践中“边干边学”以积累和提升人力资本所进行的一切活动。未来相当长时期内，中国人力资本社会化积累的总目标是：适应现代国民教育发展总趋势，在大刀阔斧地进行市场化制度创新的驱动下，尽快建立起适应社会主义市场经济要求的“学校自主办学-政府公共治理-社会多元合作”三位一体的“学习型社会化大教育”总体运作框架，大力推进公民社会化学习运动，使民众在终身学习、组织学习和行动学习中快速积累各种实用性、创新性和专业化人力资本技能，以为中国伟大复兴提供持续强大的人力资本动力。
从“人力资本流动论”的观点来看，中国作为一个落后的发展中大国，改革开放以来经历了三个阶梯式的“人才外流潮”，在国际竞争中面临日益严重的“人才外流”问题，具有不可避免性。因为所有人力资本流动现象，其实都是人们在特定约束条件或时空情境下，顺应“人往高处走”这个人力资本流动规律的客观要求，进行“理性选择”的必然结果。在应对这个问题上，要特别注意避免“短期行为”，千万注意慎用所谓“优惠政策”，必须注意把政策基点放在“长期发展”上，关键是在宏观上营造一个有利于一切人才脱颖而出、有利于所有人才创新和发展的公平竞争环境，同时在政策执行层面注意把握和处理好一系列重大“权衡利弊性”关系。这样，随着时间的推移，中国将会逐渐从初级阶段的“物质资本流进、人力资本流出”发展中状态走出，向新时代高度发展阶段的“物质资本流出、人力资本流进”状态转变，进而在21世纪国际竞争格局中获得“和平崛起”的战略优势。
从“人力资本实现论”的观点来看，人力资本价值要通过进入特定的组织，并与相应的物质资本和精神资本等生产要素相结合，才能最终得以实现。人力资本股权化是现代企业产权制度变革的基本逻辑和大趋势。如何在实际操作层面解决“两权分离”悖论，不仅是现代公司制度运作和发展的主题，也是中国企业人力资本产权制度变革的逻辑起点、核心问题和主要矛盾。所谓“股权激励”，就是在现代公司制下，通过将企业内部成员所拥有的人力资本存量直接作资入股，使之在价值上不仅得到补偿性回报，而且能得到增值性或剩余性收益。1992年以来，中国企业人力资本产权变革经历了三次浪潮。目前，对于中国企业来说，实现人力资本股权化、推行股权激励计划，已经不是什么“理论”问题，而是如何实际“行动”的操作问题。基于人力资本产权制度变革，积极推行股权激励计划，乃是未来中国企业必然而明智的战略选择，具有广阔的制度创新和应用前景。
从“人力资本决定论”的观点来看，中国崛起，无论如何具有“特色”，归根结底都是“中国人”的崛起，能否最终达成不是“良好愿望”所能左右的，在根本上取决于中国能否顺应“以人为本者胜”这个国际通行竞争法则。中国是世界上最大的发展中国家，经济发展中的诸多矛盾和问题，说到底就是一个“人”的问题；人力资源丰富(人口多)而人力资本稀缺(素质差)，是中国经济发展的根本性矛盾，是中国经济长期可持续发展面临的最大挑战，也是实现“中国崛起”的基本约束条件。无论是从内在契机还是外在机遇来看，中国若能制定和实施“以人力资本为依托”的经济赶超战略，同时也能在政治和文化上做到“与时俱进”，那么，在21世纪不太长的时期内，赶上和超过发达国家而成为世界经济强国，从而全面实现中华民族的伟大复兴，是完全有可能的。
在经济学说史上，把人力作为资本看待，来说明人在生产和经济活动中的作用，其思想可以说是源远而流长。从17世纪威廉·配第在“政治算术”意义上的计量研究，到古典政治经济学鼻祖亚当·斯密的经典解说，再到马克思以“人的全面发展”为主旨所进行的独特而全新的阐发，以及同时代“庸俗经济学”的理论解说，后来，新古典主义经济学延续后者做了进一步的发挥，直到20世纪中叶，当代西方人力资本理论正式形成，并在此后的半个多世纪时间里广泛传播和发展，这期间在经济学说史上可以说是经过了一个漫长而曲折的“心路”历程，真可谓“路漫漫其修远兮”！但愿学界同仁们能够继续不懈地“上下而求索”，在人力资本研究领域更好地“为天地立心，为民生立命，为往世继绝学，为万世开太平”。
ABSTRACT
During the past half of a century, human capital theory has been comprehensively spreaded in a wide range of fields in China and elsewhere and has been applied to various macroeconomic and microeconomic aspects, such as government policy, market operation and business management. These applications have acquired remarkable achievements. This book is based on available research theories by considering China’s reform and development practice and the main methodology is institutional economics, but gives the name of “human capital theory” directly. We analyze the hot topics that are frequently discussed by all the whole Chinese society under the theoretic framework of investment, production, accumulation, movement, realization and decision including unbalanced development problem, examination-oriented education system problem, running schools by the whole society problem, brain drain problem, stock share inspiration problem and China’s rise problem. Theoretic explanation will be given on each of them.
From the view point of human capital investment theory, the fundamental resource of the unbalanced economic development is the unbalanced human capital investment. This expressed on two dimensions: individuals’ unbalanced investment behaviour and unbalanced region economy. The reason behind these is the outdated educational institutional reform. If the role of government under the traditional planned economy cannot be corrected, the leading function of government on compulsory education cannot be fully employed and government educational investment transfer cannot reach the necessary place, all of which results in individuals and families’ unbalanced investment in education. Therefore, we should reform educational institution by considering individuals’ needs and try to balance individuals’ educational investment in order to solve the unbalanced economic development.
From the view point of human capital production theory, formal school educational system is the main department of human capital production in a large scale. Whether education can be developed in a consisted and healthy way will determine China can be transferred from a great country in human resources to a powerful country in human capital or not. However, due to the restrictions of China’s traditional culture and systematic environment, China trapped into a vigorous cycle of education that everyone in the whole country wants to take the entrance examination to higher education after importing western modern school education system and evolving for hundreds of years. In addition, we trapped deeper and deeper. Actually examination-oriented education system is the continuance of official standard and imperial examinations under the environment of current modern educational system. As a result, human capital production system cannot adjust the market environment of reform and open. Therefore, in order to strengthen the country, what we suppose is that we have to make a progress on education and to develop the education we have to reform. The future trend of examination-oriented education reform is to change the function of government thoroughly and return the independent authority of human capital to schools, individuals and the whole society. Under the background of multi-leveled society and democratization of market economy, developing the useful and discarding the useless official standard and imperial examinations function of traditional examination can re-build up the assignment function of education that is selecting the talented people.
From the view point of human capital accumulation theory, “the school run by the society force” is not a simple problem of “running school”, and it emphasizes more on how to "mobilize the masses" to take full advantage of "civil society" undertaking a lot of daily, subtle and gradual "socialization of human capital accumulation." The socialization of human capital accumulation is in fact a person in the entire life cycle as well as working career various stages of development, in order to achieve their established life and work goal, in accordance with her own life career path planning and design, in a targeted manner of their human resources carried out a series of development and re-development activities, including four basic areas of activity, which are general potential development, the interpersonal skills upgrading, innovative spirit and leadership skills training. In the social organizational form, the accumulation of human capital, including depending on social(civil, market) strength on education investment, running schools and non-formal educational training, as well as all the other activities that individuals or groups in their respective professional practice of "learning-by-doing" to accumulate and enhance human capital. In a long period of time of future, the general goal of China human capital accumulation is: adjusting the development of modern national educational trends to establish the overall operational framework that is suitable to the socialist market economy under the driven mechanism of market-oriented system innovation, which means the education should combine "autonomy of School running – government public administration - social pluralism cooperation" together. Promoting civil socialism study vigorously enable citizens to accumulate all kinds of practical, innovative and specialized human capital skills during the process of life-long learning, organized study and practice study.
From the view point of human capital movement, China as a developing country has experienced three levels of brain drain tide since the reform and open policy implemented and it is unavoidable to face the more and more serious problem of brain drain. All the human capital movement is actually the results of people’s reasonable selection under certain time and place restrictions that all the individuals would like to go to the prospected place. On solving this problem, we need to avoid short run behaviour and try not to use preferential policy. The policy basis points should be on the long-term development and try to build a fair competition environment that benefits the talents to emerge and all the people’s innovation and development. At the same time, we need to balance the advantages and disadvantages in the implementation of policies. Thus with the time going on, China will walk out from the primary stage of “flowing into physical capital and flowing out human capital” and transform to modern developed stage of “flowing out physical capital and flowing into human capital” in order to gain a strategy advantages of “peaceful rise” in the international competition environment of 21th century.
From the view point of human capital realization, the value of human capital needs to enter certain organization and combines with corresponding physical capital in order to realize it. “Human capital treated as stock share” is the basic logic and trend of modern property system. How to solve the contradiction that human capital and property are owned by different people is not only the theme of system operation and development in modern corporation, but also the base point and main problem of modern corporation human capital property system’s reform. “Stock share incentive” means transforming the human capital stock that owned by all the members of the company into stock shares of the company, which can let individuals acquire compensating reward as well as incremental and surplus benefits. Since 1992, human capital property system in Chinese corporation has experienced three tides. To China’s company, transforming human capital into stock share and popularizing stock incentives is no longer a theoretic problem, but how to practice it. The reform of human capital property system and popularizing stock incentives plan are the necessary and wise strategy direction of future Chinese corporations, which have a broad system innovation and application prospect.
From the view point of human capital decision, China’s rise, no matter how “specialized” is Chinese people’s rise. Whether it can realize the rise is not decided by “good wishes”, but whether China can accord with the international competition rule that the winner is people-oriented. China is the largest developing country in the world and many problems in the economic development is the people’s problem. There is a large amount of people, but the quality is comparatively low, which is the fundamental contradiction of China’s economic growth, and the largest challenge to China’s long-term persistent development and also the basic condition to realize “China’s rise”. From view of the inherent opportunity and external opportunity, if China can formulate and implement the strategy of catching up and surpassing “based on human capital” and “develop with the times” in politics and culture, then in the not too long period of 21th century to catch up and top the developed countries and become a world economic power, so as to realize the great rejuvenation of the Chinese nation, it can be said that it is completely possible.
In the history of economics, treat the human as capital to illustrate the role of people in the production and economic activities, the thoughts of which can be backward to a long time. From the 17th century William petty ‘s econometric research in the sense of "political arithmetic" to the founder of the classical political economy Adam Smith＇s classic explanation, and then to Marx’s unique and new explanation that based on "all-round human development", and the "vulgar economics" theoretical explanations. Based on this, the neo-classical economics made some further development. In the mid-20th, human capital theory was officially formed. The history of economics can be said to be after a long and tortuous "Mind" course. Hopefully, our academic colleagues can continue to work hard and make some more contribution to human capital theory.
目 录
1
人力资本论框架：基本原理及主题阐释/1
1.1 人力资本及相关概念释义/2
1.2 人力资本形成：生产方式、投资类型及其特殊性/8
1.3 人力资本运营：基于资产特性与精神实质的配置/18
1.4 人力资本效应：投资收益与经济贡献/22
1.5 人力资本论：本书主题思路阐释/19
2
人力资本投资论：关于“非均衡发展”问题/46
2.1 人力资本投资主体行为的“非均衡性扭曲”/47
2.2 人力资本投资区域非均衡性：三种维度描述/61
2.3 走出“非均衡陷阱”：人力资本投资与全面协调发展/66
3
人力资本生产论：关于“应试教育”问题/78
3.1 现代教育产业：人力资本专业化大规模生产体系/79
3.2 “废科举，兴学堂”：中国近代国民教育体系的缘起/87
3.3 “政府包揽，统招办学”：当代中国应试教育制度变迁/91
3.4 “应试寻租，阻滞创新”：应试教育制度之弊/96
3.5 制度变革与产业发展：中国人力资本生产未来走势/103
4
人力资本积累论：关于“社会力量办学”问题/112
4.1 人力资本社会化积累的基本途径和方式/113
4.2 依托社会资本和市场力量推动教育多元化发展/121
4.3 发挥公民社会力量不断提升国民素质和人力资本水平/131
4.4 中国人力资本社会化积累总目标/140
5
人力资本流动论：关于“人才外流”问题/149
5.1 “人往高处走”：人力资本流动的基本规律/150
5.2 中国“人才外流”：问题描述/156
5.3 顺应人力资本流动规律，化解“人才流失”危机/162
6
人力资本实现论：关于“股权激励”问题/170
6.1现代企业人力资本产权变革的制度逻辑/171
6.2人力资本股权化：现代企业制度变迁的历史趋势/179
6.3中国企业人力资本产权制度变革的三次浪潮/187
6.4 ESO股权激励计划：操作要点及政策规范/197
7
人力资本决定论：关于“中国崛起”问题/209
7.1 “中国崛起”：新世纪国际社会聚焦点/210
7.2 “以人为本者胜”：中国崛起应遵循的国际竞争法则/216
7.3 “人本赶超”：中国经济崛起的战略选择/225
8
人力资本论溯源：一个经济学说史考察/240
8.1 古典政治经济学：人力资本论的学术思想源头/241
8.2 马克思主义学说：人力资本论的“人本”思想渊源/244
8.3 “庸见”真知：人力资本论的主流传统/249
8.4 新古典学派：对当代人力资本论有直接影响的三位宗师/255
8.5 “增长剩余”解析：当代人力资本论学术缘起/263
8.6 人力资本论经典学说：三位主要创始人的奠基性贡献/268
8.7 人力资本论：经济学中经验应用最多的理论之一/272
参考文献/288
后记/297
CONTENTS
1 Human Capital Theory Framework: Basic Theory and Explanation
1.1 Human Capital and Related Concepts
1.2 The Forming of Human Capital: Production method, Investment type and Its Unique Characters
1.3 The Operation of Human Capital: Based on the Property of Capital and the Assignment of Spirit Essence
1.4 The Effect of Human Capital: Investment Benefits and Economics Contribution
1.5 Human Capital Theory: The Main Idea of the Book
2 Human Capital Investment and Unbalanced Development
2.1 The Unbalanced Distort of Main Body’s Behaviour in Human Capital Investment 2.2 The Unbalanced Investment Region of Human Capital: Three Dimensions’ Description
2.3 Work out “Unbalanced Trap”: Human Capital Investment and All Round Development
3 Human Capital Production and Examination-oriented Institution
3.1 Modern Education Industry: Specialized Human Capital Large Scale Production System
3.2 “Abolish Imperial Examinations, Run New School”: The Origin of China’s Modern National Education System
3.3 “The Government Undertake the Whole Thing, Unified Recruitment and Running School”: The Movement of China’s Modern Examination-oriented Education System
3.4 “Examination-oriented Seeking Rent, Block Innovation”: Disadvantages of Examination-oriented Educational System
3.5 System Reform and Industry Development: The Future Trend of China’s Human Capital Production.
4 Human Capital Accumulation and Running School by the Social Force
4.1 The Basic Approach and Method of Human Capital Socialism Accumulation
4.2 Promote Education Diversified Development by Social Capital and Market Force
4.3 Raise National People’s Quality and Human Capital Level by Exerting Citizens’ Social Force
4.4 The Overall Target of China’s Human Capital Socialism Accumulation
5 Human Capital Movement and Brain Drain
5.1 “People Move to the Good Place”: the Basic Rule of Human Capital Movement
5.2 China’s Brain Drain: Problem’s Description
5.3 Obey the Human Capital Movement Rule, Resolve Brain Drain Crisis
6 Human Capital Realization and Stock Share Incentive
6.1 The Systematic Logic of Human Capital Property Reform in Modern Corporation
6.2 Stock-ownership by Human Capital: The History Trend of Modern Corporation System Movement
6.3 Three Tides of Human Capital Property Institutional Reform in China’s Corporation
6.4 ESO Incentive Plan: Manipulation Gist and Policy Criterion
7 Human Capital Decision and China’s Rise
7.1 “China’s Rise”: the Focus Point of New Century International Society
7.2 “People Oriented Win”: The International Competition Rule Should be Followed by “China Rise”
7.3 “People Oriented Surpass”：The Strategy Selection of China Economic Rise.
8 The Origin of Human Capital Theory:An Economics History Survey
8.1 Classical Politics Economics: The Academic Thoughts Origin of Human Capital Theory
8.2 Maxism: “People-oriented” Thoughts Origin of the Human Capital
8.3 The Truth in “Bourgeois Vulgar Economics”: The Main Tradition of Human Capital Theory
8.4 Neoclassicism: Three Influential Masters on Modern Human Capital Theory
8.5 “Growth Surplus” Explanation: The Origin of Modern Academic Thoughts in Human Capital Theory
8.6 Classical Human Capital Theory: Three Founders’ Main Contribution
8.7 Human Capital Theory: One of the Theory that Has Been Widely Used in Economics
Reference
Postscript
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