徐远华,孙早

• 1:兰州大学经济学院
• 2:西安交通大学经济与金融学院

摘要(Abstract)：

随着政府对国有企业的产权结构和激励约束机制改革的深入推进以及信息技术、大数据等新技术的广泛应用,企业组织形态及结构发生深刻变革,这必将对人力资本的配置及其创新模式产生深远影响,进而影响不同类型的人力资本及其协同作用的创新效应。本文按照人力资本在产业创新和经济增长中发挥的功能及其对应的社会分工角色的不同,在工业分行业层面上将人力资本划分为一般人力资本、专业人力资本、企业家人力资本。本文探索出一条在市场均衡下由企业家人力资本、专业人力资本和一般人力资本组成"三位一体"的推动中国工业加速创新的新机制。本文将三类人力资本及其协同作用纳入生产率决定方程,并使用中国工业2000—2016年35个分行业的面板数据进行实证检验。为了克服考察期间工业统计口径的变化可能导致的偏差,本文尝试性地将相关变量按照相关指标统一调整到全部工业口径。实证检验发现:(1)一般人力资本、专业人力资本、企业家人力资本均能够显著提高中国工业的全要素生产率;(2)三类人力资本的协同对提高中国工业的全要素生产率均具有显著的正效应;(3)进一步检验发现,三类人力资本及其协同作用对中国工业全要素生产率增长的影响具有明显的行业异质性。在国有产权比重较高的细分行业,一般人力资本、专业人力资本的生产率提升效应均较大。企业家人力资本则显著促进了国有产权比重较高的细分行业的TFP增长,同时显著抑制了国有产权比重较低的细分行业的TFP增长。三类人力资本只对国有产权比重较低的细分行业的TFP增长具有显著协同作用。在平均企业规模较大的细分行业,一般人力资本、专业人力资本对TFP增长的促进效应均更大。企业家人力资本只对平均企业规模较大的细分行业的TFP增长具有显著的正效应。在平均企业规模较小的细分行业,一般人力资本和专业人力资本、专业人力资本和企业家人力资本均对TFP增长均具有更大的协同效应。企业家人力资本与一般人力资本的协同作用只显著促进了平均企业规模较大的细分行业的TFP增长。

关键词(KeyWords)： 新机制;人力资本分工和协同;全要素生产率;行业特征;全部工业口径

Abstract:

Keywords:

基金项目(Foundation): 国家自然科学基金青年项目“创新激励扭曲下R&D资金错配与全要素生产率损失的形成激励及测算”(项目编号:71804140);; 教育部人文社会科学研究青年基金项目“广延边际视角下的要素重置与全要素生产率提升机制研究”(项目编号:18YJC790021)对本研究的支持

作者(Author): 徐远华,孙早

DOI: 10.16513/j.cnki.cje.2021.01.001

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• (1)企业家人力资本是指经营决策过程中,通过“干中学”方式积累形成的,主动应对不确定性并作出决策以及整合各类稀缺资源并引领企业未来发展的领导者人格魅力的人力资本形态,是决定企业发展兴衰成败的关键因素。企业家人力资本主要指企业经营者。
• (2)专业人力资本是指具有某种特殊技能的人力资本。与一般人力资本相比,他们接受的教育培训时间更长,一般要接受过高等教育,再通过实践而获得的专业知识和技能,他们承担的社会角色是专业技术人才,比如科学家、工程师、技术专家等。
• (3)一般人力资本是指通过人力资本基础投资形成的,表现为从事各种简单劳动所必须具有的分析、计算、学习、适应和完成通用性工作等能力的基础性人力资本形态,一般人力资本在现实经济生活中主要指一线生产操作人员,包括广大的产业工人、农民工等。
• (1)本文对人力资本的这种划分具有特定的经济发展阶段背景、行业特性背景、区域差异背景,它们各自所包含的范畴不是绝对的,也不是一成不变的。随着经济、科技、教育水平和劳动者素质的不断提高,原来属于高技能人力资本掌握的知识和技能可能会成为低技能人力资本所具有的知识和技能,比如计算机基本操作技能在2000年前后只为高技能人力资本所掌握,现在几乎人人都已经具备这一技能。在一个经济体的人力资本投资中,一般来说,低技能人力资本投资和高技能人力资本投资在个体的一生中可以同时存在,它们是相互影响、相互渗透的,而且它们在时间和空间上具有互补性。
• (1)这样求解的目标是要得到■的关系的表达式。我们暂且只能将ls(t)高技能人才数量和lu(t)低技能人才数量视为都不随时间变化的变量,经过一系列推导过程得到知识存量与高技能人才数量(ls(t))和低技能人才数量(lu(t))之间关系的表达式后,再对ls(t)高技能人才数量和lu(t)低技能人才数量的变化对知识存量增长的影响进行比较静态分析。
• (1)35个工业二位码行业是煤炭开采和洗选业(06)、石油和天然气开采业(07)、黑色金属矿采选业(08)、有色金属矿采选业(09)、非金属矿采选业(10)、农副食品加工业(13)、食品制造业(14)、饮料制造业(15)、烟草制品业(16)、纺织业(17)、纺织、服装、鞋帽业(18)、皮革、毛皮、羽毛(绒)及其制造业(19)、木材加工及木、竹、藤、棕、草制品业(20)、家具制造业(21)、造纸及纸制品业(22)、印刷业和记录媒介的复制(23)、文教、文教体育用品制造业(24)、石油加工、炼焦和核燃料加工业(25)、化学原料及化学制品制造业(26)、医药制造业(27)、化学纤维制造业(28)、橡胶和塑料制品业(29)、非金属矿物制品业(31)、黑色金属冶炼和压延加工业(32)、有色金属冶炼和压延加工业(33)、金属制品业(34)、通用设备制造业(35)、专业设备制造业(36)、交通运输设备制造业(37)、电气机械和器材制造业(39)、通信设备、计算机及其他电子设备制造业(40)、仪器仪表及文化、办公用机械制造业(41)、电力、热力的生产和供应业(44)、燃气生产和供应业(45)、水的生产和供应业(46)。
• (2)本文采用了与陈诗一(2011)相似的方法来构造全部工业口径的分行业面板数据,限于篇幅,本文没有详细介绍与其相同的内容,如有需要,请参考陈诗一(2011)。
• (1)限于篇幅,本文没有报告变量的详细处理过程,感兴趣的读者请向作者索取。
• (1)作者根据《中国工业统计年鉴2017》中的表“3-1按地区分组的规模以上工业企业主要经济指标”和表“3-6按地区分组的私营工业企业主要经济指标”、《中国统计年鉴2017》中的表“13-1规模以上工业企业主要指标(2016)”公布的相关统计数据计算得到。