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农村人力资本投资效率影响因素研究
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摘要
我国农村在教育、培训、健康、迁徙等方面的投资严重不足,致使农村人力资本存量与我国新农村建设的要求不相适应。而且,有限的农村人力资本由于在农村得不到合理的利用而外溢,流向城市。这严重影响了我国农村经济的发展,扩大了本已差异明显的城乡收入差距。论文在这种背景下以舒尔茨的人力资本理论为基本的指导思想,借鉴帕森斯现代化理论和托达罗模型的思路,结合我国城乡二元经济发展的实践,将经济体制、决策理论、经济分析、激励理论等相关方面的知识进行融合,并将浙江省湖州市南浔区农村为主要的调查点和样本采集点,在认真调查和客观地采集数据的基础上,研究了投资体系、基础机制和几个具体因素对我国农村人力资本投资效率的影响。国内对我国农村人力资本投资方面的研究,在一定程度上揭示了我国农村人力资本的现状、成因和发展趋势,也分析了人力资本投资与农民收入的关系,但对影响农村人力资本投资效率的体系、体制因素及具体因素之间的相关性实证分析涉及较少。论文在这一问题上的研究,在理论上拓展了我国农村人力资本研究的领域,为导致我国农村人力资本投资效率现状的影响因素提供了理论解释和实证分析。在实践中有利于构建农村和谐社会,推动我国社会主义新农村建设,促进城乡社会经济协调发展。
     论文中的农村人力资本是指体现在农村劳动力自身中生产知识、技能、创新概念和管理方法等资本存量的总和。农村人力资本投资效率采用了投入产出的概念,即指农村人力资本产出对人力资本投入的比率。论文研究内容除导论和基础理论外主要包括五个部分:第一部分研究影响农村人力资本投资效率的当前农村人力资本投资体系,从投资主体和投资途径两个方面来探索农村人力资本投资体系,着重分析它存在的问题并探讨解决问题的思路。只有对现有农村人力资本投资体系中存在的问题进行剖析,才能更好地分析它对农村人力资本投资效率的影响。第二部分研究影响我农村人力资本投资效率的基础机制,一个良好体系的维持和发展总是需要得到有效的激励和约束机制的支持。农村人力资本投资效率的提高很大程度上需要依靠投资机制的作用。农村人力资本投资机制是相对于农村人力资本投资体系的,有怎样的投资体系,就要有相应的激励和约束机制。在研究农村人力资本激励和约束机制时,特别重视农村基层干部沟通能力在提高农村人力资本投资效率中的重要作用,认识到农村基层干部沟通能力甚至左右了农村很多事情的结果。第三部分研究影响我国农村人力资本投资效率几个具体因素的相关性,这是论文的核心部分。采用三种途径进行调查:首先,通过南浔区政府的帮助,选择其中的三个镇进行比较广泛的座谈式调查,其次,直接抽样调查农户,第三,收集政府部门掌握的资料。对数据进行统计分析和对资料进行整理研究,寻找出影响我国农村人力资本投资效率几个具体因素之间的相关性。第四部分是在研究农村人力资本投资效率影响因素的基础上,基本上按照影响因素的分析思路,研究应当采取哪些对策来提高农村人力资本投资效率,首先从总体上看对策问题,主要分析体制、政策导向和统一劳动力市场三个方面的总体对策。从这些全局性的方面着手,采取相应的对策,能提高农村人力资本投资的效率。其次是有针对性地在投资主体和投资路径两大方面提出了一些对策建议。第五部分的研究是农村人力资本投资与新农村建设是相互关联的命题,对农村人力资本投资效率的研究不能离开建设新农村这一大命题,所以,这一部分也可视为研究展望。对适应我国社会主义新农村建设的农村人力资本投资的体系、机制、效率和方法等方面的研究进行展望。
     论文主要研究结论:一是影响我国农村人力资本投资效率几个具体因素之间具有不同的的相关性,且相关程度因地区社会经济发展程度不同而不同。所以,如教育、培训等投资要取得理想的效率一定要重视投资规模,投资规模至少要达到“门槛值”。二是我国农村人力资本投资体系的建设和完善既要遵守一般人力资本投资体系的基本要求同时也要结合我国农村特点。所以,将我国农村人力资本投资体系分为投资主体和投资途径两大方面来研究比较符合我国的实际。三是影响农村人力资本投资效率的基础机制因素,即激励机制因素的建立和完善,能够充分激励农村人力资本的形成和积累,优化人力资本的配置,提高人力资本的生产效率。四是既要从体制、政策导向和统一劳动力市场三个总体个方面制定相应的对策,也要从投资主体和投资路径中的各项具体方面有针对性地采取措施提高农村人力资本投资效率。五是根据我国社会主义新农村建设“生产发展、生活宽裕、乡风文明、村容整洁、管理民主”五个方面的目标,相应地提出了对农村人力资本的科技素质、增收能力、文化道德修养等方面的要求。
     论文的主要创新:一是研究视角的创新,从影响因素及其相关性来研究农村人力资本投资问题。二是研究内容的创新,论证了教育程度与农业收入、非农业收入没有显著相关性,但在经济发达的宁波、绍兴等地区有显著相关性,培训投入与非农业收入有显著相关性,而与农业收入没有显著相关性,农业收入与非农业收入之间也有显著相关性,且为负相关,家庭成员流动性(一年中6个月以上在外)与农业收入显著相关性(负相关),受教育程度与家庭成员从事农业没有显著相关性,与家庭成员外出务工有显著相关性,农村基层干部在投资激励机制中具有重要作用。
The severe underinvestment in education, training, health and migration in rural areas, led to the inadaptability of the village human capital stock to the requirements of developing a new countryside in China. Moreover, the limited village human capital was overflowing to cities because of unreasonable utilization. This situation had made a great effect on the development of rural economic, and enlarged rural-urban wealth gap. In this context, based on the Schulz’s Human Capital theory the paper studied the influence of investment system, basic mechanism and several specific factors to our country’s village human capital investment efficiency. Combined with the practice of developing urban-rural dual economics, the research integrated the economic mechanism, decision theory, economic analysis and motivation theories with Parsons modern sociology and Todaro Migration Model. On the base of serious investigation and collecting data objectively, Nanxun villages of Huzhou city in Zhejiang Province were taken as the main investigative and sample-collecting places. The research on village human capital investment revealed the current situation, reasons and development trends to some extent, and also analyzed the relation between human capital investment and villagers’income, but the correlations empirical analysis among investment efficiency system, structural factors and specific factors were rarely discussed. To carry out this problem may theoretically extend the research of village human capital and provide the theoretical explanation and empirical study on influence factors which led to the current status of village human capital investment efficiency. Meanwhile, those findings may provide practical guide in developing the new socialist countryside, and promote the coordination of the urban and rural economics.
     The scope of village human capital in this dissertation indicates the total capital stock of knowledge, skills, innovation and management methods of rural labor force. The efficiency of investment in village human capital takes the concept of input-output ratio, that is, the ratio of village human capital output to village human capital input.. Besides the introduction and basic theories, the dissertation consists of five parts. The first part studied the current investment system of village human capital which influences village human capital investment efficiency in the two aspects of the subject and means of investment. In this part, it analyzed a number of existing problems emphatically and discussed the ways to solve the problems. Only the existing problems of the current village human capital investment system are analyzed, its influence to village human capital investment efficiency can be studied thoroughly. The basic mechanism affecting village human capital investment efficiency was discussed in the second part. An effective incentive and constraint mechanism is always indispensable to maintain and develop a good system. That is to say, the improving of investment efficiency of village human capital may largely rely on the investment mechanism, whose incentive and constraint mechanism was deduced from its investment system. Particular attention was paid on those village officials, whose communication skills and efficiency had important effect on improving village human capital efficiency and always have impact on the results of matters in villages. As the core section, the third part studied the correlations of those factors influencing the investment efficiency of village human capital. Three approaches were adopted to obtain data for statistic analysis. Firstly, under the help of local government three towns in Nanxun were selected to be widely interviewed. Secondly, a sampling survey of local peasant households was conducted. Lastly, data was collected from the local government. By analyzing the statistics and sorting out the information, the correlation among several specific factors which affected village human capital investment efficiency were found. On the base of studying the influence factors of village human capital efficiency and following the analytical line of thinking on influence factors, the fourth section proposed recommendations for improving the investment efficiency of village human capital. The general strategies were put forward from the three perspectives of institutional analyses, policy guidelines and unification of labor market, followed by a number of corresponding strategies of improving investment efficiency. Furthermore, several suggestions concerning the investment subject and paths were presented towards the end of this section. A proposition was obtained in the fifth section that investment in village human capital was inter–related with the development of the new socialist countryside, as well as the efficiency of investment. For this reason, this part can be seen as the research prospects in the areas of the system, mechanism, efficiency and methods of investment in village human capital.
     The main findings of the paper can be summarized as follows. Firstly, there existed different relations among several specific factors which influenced the efficiency of investment about village human capital, moreover this situation varied with different level of development regions’socio-economic. Therefore, to achieve Ideal investment efficiency, such as education and training, must attach importance to necessary scale of investment capital, i.e. at least threshold. Secondly, combined with features of countryside, establishing and completing the investment system of village human capital should abide by the basic Rules of Investment system of human capital. So it was factual to study investment system of village human capital by investment subject and paths. Thirdly, the basic mechanism factors affecting village human capital investment efficiency, that is, the completion and perfection of the incentive mechanism factor, can fully encourage the forming and accumulation of village human capital, optimize the configuration and raise the productivity of human capital. Fourth, to improve the efficiency of investment requires not only the general polices of institutional system, policy guidelines and unification of labor market but also the specific measures regarding the investment subject and paths. Fifth, according to the five goals of developing the new socialist countryside, the paper presented requirements on village human capital in scientific and technological quality, income increasing ability, and cultural and ethical quality, etc.
     The dissertation may have following innovative contributions. Firstly, the paper brought a new perspective to study village human capital investment problems from the influence factors and their correlations. Secondly, the empirical study in this research demonstrated that there was no significant correlation between education and farming or non-farming income, except in some most advanced regions, where training investment had a significant correlation with non-farming income but no correlation with farming income. A significant negative correlation was found between the farming and non-farming income, and so did as the mobility of family members and the farming income. The level of education had no significant correlation with occupation in farming but significantly correlated with migrant workers. In addition, it was argued in the paper that the village officials played a central role in investment incentives mechanism. Thirdly, the paper integrated theoretical concepts with a variety of statistics techniques and approaches, while particular attention was paid to the methodological innovation.
引文
2张藕香李录堂“我国农村人力资本投资收益非均衡性分析”《电子科技大学学报(社科版)》2006年(第8卷)第6期
    3数据来自《2008年国民经济和社会发展统计公告》,2009年2月26日发布。
    4来自《2007年农业发展报告》表1农村经济在国民经济中的地位
    5来自《2007年农业发展报告》表2“农村劳动力情况”
    6来自《2007年农业发展报告》表10“农村住户基本情况”
    7来自《2007年农业发展报告》表31“2006年农户家庭人口与劳动力情况”
    8来自《南浔区2007年农村劳动力技能培训工作总结及2008年工作思路》
    9来自(中国农业年鉴2006)P354
    10来自《2009年南浔区政府工作报告》P2
    11本段数据和表均来自《第二次全国农业普查主要数据公报(第3号)》
    14数据来自“理性评估农民工流动变化”《农民日报》2009.2.18
    15来自附件《关于南浔区劳动保障工作涉及民生的情况汇报》P2
    16来自《2009年南浔区政府工作报告》P2
    17来自“人力资本投资在农村剩余劳动力转移中的作用分析”《经济纵横》2003.3 (18-20)
    18见仇喜雪“我国农村人力资本缺失的制度分析”《中共桂林市委党校学报》第8卷第1期2008年3月
    20来自《南浔区财政支出绩效评价实施意见》附件3
    21《2008年国民经济和社会发展统计公报》
    22来自《2009年南浔区政府工作报告》P2
    23 2008年国民经济和社会发展统计公报图14
    24来自《2007年中国农业发展报告》表22“城乡居民家庭人均收入对比”
    25来自《第二次全国农业普查主要数据公报(第2号)
    26孟晓晨刘洋戴学珍“中国主要省区物质资本与人力资本利用效率及投资取向”《经济地理》第25卷第4期P460
    27龙翠红“人力资本对中国农村经济增长作用的实证分析”《农业技术经济》2008年第1期P55
    28雷武科张秀生“人力资本投资与农民收入增长”《光明日报(理论周刊)》2006年2月7日第010版
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    31《中共中央关于制定国民经济和社会发展第十一个五年规划的建议》第三部分“建设社会主义新农村”
    32来自《2009年南浔区政府工作报告》P6
    33来自《2009年南浔区政府工作报告》P2
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