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中国高校师资研究 ・2013・1

11

基于卡尔多—希克斯改进的
高校高层次人才流动分析
姚建萍 孙德芬
(苏州大学 江苏 苏州 215325)

关 键 词

高等学校 高层次人才流动

效用分析

卡尔多—希克斯改进

内容摘要

本文在剖析高校高层次人才流动的内在原因和外在原因,以及导致的社会

总效用的变化的基础上,
提出了促进合理流动、
实现人才效用的卡尔多—希克斯改进的途径。
目前,
高等教育面临着市场经济的严峻

现本校人才队伍的跨越式发展。另一方面,

挑战,把竞争机制引入高等教育,是教育改

大量的专业技术人才,
为实现自身效用最大

革的必然趋势。与经济竞争、科技竞争相

化,
也在不断地寻求更加适合自身发展的院

同,教育竞争也是人才的竞争,高校之间的

校。在全社会尊重知识、尊重人才的环境氛

竞争主要是高层次人才的竞争。
谁拥有一支

围中,
在为人才流动提供的机制和平台的基

高层次人才队伍,
谁就拥有了学校发展的基

础上,人才流动相对频繁。与竞争中占据优

础和实力,
谁就能在激烈的竞争中立于不败

势的高校相比,
一些处于劣势的高校不仅难

之地。
近年来我国高校纷纷实施人才强校战

以吸引高层次人才,
而且现有的高层次人才

略,普遍十分重视人才队伍建设。除通过实

严重流失,特别是学有专长、术有专攻的

施“博士化工程”
、鼓励教师到国内外知名

高、精、尖专家学者的流失,给学校的教

大学和科研机构开展合作研究、
参加国内外

学、科研工作造成很多负面的影响和压力。

重大学术会议等措施来加强对在职教师的培

如何权衡人才流动产生的收益及损失,
以及

养外,各高校更是投入了大量的人力、物力

如何通过人才流动实现社会总效用的增加,

和财力,并出台一系列引进人才的优惠政

我们可以运用卡尔多—希克斯改进的基本理

策,竞相以丰厚待遇吸引高层次人才,以实

论加以分析。

第一作者简介:
姚建萍, 苏州大学人事处师资科科长,
女,
主要研究方向为高校人力资源管理。

中国高校师资研究・2013・1

12
一、高层次人才流动的内在原因

现的效用小于自已在其他高校或单位的机

效用是指对于消费者通过消费或者享受

会效用时,人才流动同样也成为必然,尤

闲暇等使自已的需求、
欲望等得到的满足的

其是高能的高层次人才。

一个度量。根据马斯洛的需求层次理论,人

高层次人才的自由流动是高校人力资源

们是被激励起来去满足一项或多项在他们一

配置的最好手段,其流动的根本在于对效

生中很重要的需求。
这种对自我需求的满足

用的追求。假设这种流动一般是在一个国

就是对效用的追求。

家内完成的,
在流动成本一定的条件下,


1959 年舒尔茨提出了“人力资本” 的

层次人才的自由流动能够实现国家范围内

概念。舒尔茨认为,人力资本是指人的知

的资源最优配置。但是,虽然高层次人才

识、技巧和才能,它们促进人的生产能力的

的流出可以使整个社会和人才本身在一定

提高,只有通过一定的投资方式,掌握了知

程度上实现一种效用的增加,但对于单个

识和技能的人力资源才能作为生产活动中的

高校来说,高层次人才的流失必然会使自

资本看待。我们可以采用“稀缺性”和“增

身受到很大的损失。

值性”标准来对人力资本进行划分,以此界
定核心人力资本和一般人力资本。关于“稀
缺性”和“增值性”的标准见下表 。
1

分析标准

稀缺性

增值性

核心是此种资源的差异
核心是能创造价值

市场上的供给量很少
1、
难以被复制、
模仿或
2、
具体特征
替代
和内涵
具备特殊的知识、

3、
术和能力

有助于生产效率
1、
的提高
对生产效益影响
2、
比较大
掌握的知识、
技术
3、
和能力可以带来直
接或间接的贡献

二、
高层次人才流动的卡尔多-希克斯
改进
卡尔多-希克斯改进,
也称卡尔多-希
克斯效率(Kaldor-Hicks efficiency)
,1939
年由约翰・希克斯提出,
是指如果一个人的
境况由于变革而变好,因而他能够补偿另
一个人的损失而且还有剩余,那么整体的
效益就改进了,这是福利经济学的一个著
名的准则。
按照卡尔多-希克斯的标准,

果能使整个社会的收益增大,变革便可以
进行,
无非是如何确定补偿方案的问题。


核心人力资本是能实现边际报酬递增的

以,卡尔多-希克斯标准实际上是总财富

生产力,
而一般人力资本则呈现边际报酬递

最大化标准。这也意味着,我们在一项变

减的状态。

革中,主要考虑的是社会价值最大化和社

按照上述标准,高层次人才可以看作
是高校的核心人力资本,而普通人才资源

会财富最大化,当然这里可能包含着很大
的收入分配不公。

可以看作是高校的一般人力资本。
因此,


我们仍然假设高层次人才的流动在一国

对日益激烈的竞争,
为追求效用最大化,


范围内发生,
高层次人才的流失对于流出学

校大力引进高层次人才争取递增的边际报

校本身当然是一种损失,
但对于本人来说一

酬以实现本校跨越式发展成为必然。另一

定是一种效用的增加,否则不会发生流动。

方面,对于高校教师,当其在原有学校实

当高层次人才的流动带来的效用大于流出学

中国高校师资研究 ・2013・1

13

校的损失的时候,
这种高层次人才的流动就

20%~ 30%,如果施予激励,一个人的能力

是卡尔多-希克斯改进;
当高层次人才的流

可发挥到 80%~ 90%。作为高校核心人力

动带来的效用小于流出学校的损失的时候,

资本的高层次人才,由于边际报酬递增,对

社会总效用减少,
这时候不再是卡尔多-希

高校的快速发展至关重要,所以,必须给予

克斯改进,但只要能使个人效用增加,这样

充分的激励。马斯洛的需求层次理论表明,

的流动也会发生。

人总是在满足了一个较低层次的需求后追求

三、高层次人才流失的外在原因

更高层次的需求。对高层次人才的激励,更

前面已经论述对效用最大化的追求是导

应体现在高层次的自我实现需求上,
这样才

致高层次人才流动的内在原因,
下面来分析

能使其效用达到最大化。
如果高校没有将高

高层次人才流失的外在原因并用卡尔多-希

层次人才放到战略的高度加以重视,
他们必

克斯效率分析其总效用的变化。

然追求一种精神满足效用的改进,
流出高校。

(一)信息不对称

(三)分配机制不完善

在不完全竞争市场上,
信息不对称的影

目前,一些高校现行的分配制度,还未

响使高校人才流动矛盾凸显。
对于招聘方来

真正体现 “按劳分配、多劳多得、优劳优

说,为了吸引人才,招聘人员会有意识地扩

得”的原则。虽然各高校不同程度地实行了

大优势信息的宣传,片面地忽略劣势信息,

内部分配制度改革,
但真正有利于人力资源

限于价值观和经验的差异,
很容易使应聘者

开发、
充分调动教师积极性的分配激励机制

形成主观上的信息不对称;对于应聘方来

还没有完全建立。
作为高校核心人力资本的

说,提供的简历以及面试等具有不确定性,

高层次人才,
其所得报酬往往与其创造的价

短期的趋利避害也会使招聘方不能完全了解

值相去甚远。同时,随着高层次人才能力的

和估计其价值,出现信息缺失或信息虚假。

提高,其流动意愿也更强,人才的道德风险

此外,高校信息体系不健全,许多学校的政

会造成高校不愿继续培养高层次人才。
这种

策不能浏览的现象普遍存在。
由于信息传播

互相博弈形成了一种僵持状态,
高层次人才

的方式、手段会受到成本的影响,交易双方

在这种状态下的效用空间得不到发展,
最终

花费的成本太大,也无法掌握完整的信息。

造成了高层次人才的流失。

因为信息的不对称,
使高校的核心人力资本

(四)个人非理性流动

即高层次人才在原有效用空间无法扩展的情

无论高校怎样做,还是坚持流出,这种

况下,
会错误地认为在其他高校或单位可以

情况是个人的非理性的选择,
因为这种流动

获得更多的效用单位,
也即认为自已的机会

对任何一方都不能带来收益,
带来的是高校

效用更大,
这样就造成了人才流动的盲目性。

和个人的双重损失。

(二)缺乏必要的激励

高层次人才的流动对高校发展产生的效

美国哈佛大学詹姆斯教授曾对人力资

用在短期和小范围内是很难衡量的,
这种流

本的激励问题做过专题研究,
其结论是:


动是否是卡尔多-希克斯改进不能仅仅从物

果没有激励,一个人的能力发挥只不过为

质角度衡量,
只要流动是自由的就可以看作

中国高校师资研究・2013・1

14
是实现一种卡尔多-希克斯改进,
即使某些

和相关离职信息。
其中在职人员的基本信息

时候这种流动给员工个人带来一定的物质损

除了教育背景、
知识和技能以及基本生活状

失,
但是自由的流动也能带来一种非理性的

态,还应包括对未来职业发展的规划;学校

精神效用的增加。

基本信息包括学科发展、
师资队伍建设现状

四、促进合理流动,实现人才效用的卡
尔多-希克斯改进

以及对教师的期望;离职信息包括离职原
因、离职人员对学校各方面工作的评价,对

由以上论述可以看出,除非理性流动

学校发展的建议等等。
校方和教职工都应及

外,
高层次人才的流动其实是一种社会的卡

时更新信息体系,反应各自的状态变化,并

尔多-希克斯改进,
有利于社会总体效用的

适时沟通和调整,从而形成一个良性循环。

增加。
作为政府和高校应当营造良好的外部

完备的信息体系可以为学校制定引进人才、

竞争环境,制定相应的政策法规制度,提供

留住人才的政策提供参考依据。

完备的市场信息,
减少高层次人才流动的盲

建立、健全信用保险。政府部门应建立

目性,保障流动的有序性,以实现社会总效

关于学校及个人的信用等级评估机制,
并由

用的增加。而作为高层次人才,也应当尽量

第三方组成一个中介机构行使评估机制的运

避免非理性的流动行为。但是,毋庸置疑,

行权,及时记录学校及个人的信用记录,使

高层次人才流动损失最大的是流出高校。


经常出现不诚信行为的人力资本贬值,
使学

何减少人才流出的损失,
实现高层次人才流

校和人才都意识到良好信用的价值,
并促发

动的效用最大化,
政府和高校可以从以下几

信用带来巨大的经济和社会效益。

方面加以考虑:
(一)大力引进海外高层次人才
从海外引进高层次人才可以避免人才流

通过建立高校信息体系及信用保险,

供尽可能完备的信息,
可以减少盲目性流动。
(三)优化管理机制,稳定师资队伍

失导致的损失,
并且只要引进人才带来的效

1. 完善激励机制,合理配置人力资源

用大于引进的成本便可以实现总效用的增

高校的分配机制在激励体系中的地位是

加。
实现效用最大化必须充分认识到引进海

基础性的、不可缺少的。因此,高校应将教

外高层次人才也要遵循价值规律,
摒弃人才

师的分配收入与其知识、技能、岗位、业绩

引进过程中的“抄底”现象,从学科发展的

等方面的考核相结合,制定出公开、公平、

实际需求出发引进人才。
如果不考虑成本因

公正并与各方面考核相一致的分配收入体

素,盲目追求“越高级越好”
,不但不会实

系,
使之成为高校人力资源管理激励的主要

现边际报酬递增,相反会导致边际报酬递

物质手段,
特别是对那些对高校发展做出突

减,给学校的发展背上包袱。

出贡献的教师,应当提高其分配收入水平。

(二)减少信息不对称,避免流动的盲
目性

此外,
高校教师作为具有较高文化素质
的职业群体,
他们对尊重有着比其他群体更

建立、健全高校信息体系,不仅包括在

为强烈的需要,因此,高校还应结合工作激

职人员的基本信息,
还应包括学校基本信息

励、
成长激励和文化激励等创立新型的非薪

中国高校师资研究 ・2013・1
酬激励模式,建立完整、科学、合理的个人
发展机制,满足教师自我发展、自我提升、
自我实现的需要。

15
少,最终实现社会总体效用的提高。
注释:

2. 引入竞争机制,
促进人才的合理流动

[1] 张明星, 李永强.《战略性人力资源

高校在大力引进高层次人才的同时根据

的划分与管理》 载《商业时代》2005 年第
,

学校的定位和战略发展的需要,
立足于现实
管理环境,构建科学合理的绩效评估体系,

20 期, 第 18 页.
参考文献:

引入竞争机制和末位淘汰制,
改变教师只能
单向流动的低效率的人才流动状态,
使教师

[1] 赵曙明. 泛长三角人才培养、开发

真正做到能进能出,全面调动教师的积极

和流动机制研究 [J]. 安徽大学学报(哲学

性,充分发挥其内在潜力。

社会科学版) 2009 (5).
,

3. 重视人才培养,使教师个人成长目
标和学校的目标一致
学校应重视教师的个人成长目标,
为他

[2] 高超杰, 陈晓. 从效用论的角度分
析企业核心人力资本流失——一种卡尔多希克斯均衡 [J]. 科技资讯, 2006 (7).

们进修、出国深造、职称评定等创造机会和

[3] 陈博, 王媛媛. 高校人才队伍存在

条件,不断提高业务水平和工作能力。只有

的问题及其解决途径 [J]. 赤峰学院学报(自

个人目标得到了发展,才能调动积极性、主

然科学版) 2012,28 (2).
,

动性和创造性,从而实现学校的有效、持
续、健康、快速发展,最终达到教师和学校
的共同成长。
4. 营造良好的工作、生活氛围
高校要坚持“以人为本”
,真正从尊重
人才、关心人才、信任人才、培养人才的角
度出发,大力营造“尊重知识、尊重人才”

“栓心留人”的文化氛围和校园文化环境以
及和谐的人际关系,
让大家能在一个相互尊
重、和谐融洽的生活环境中愉快地工作,使
教师有一种作为学校大家庭一员的归宿感和
荣誉感。
高校努力减少高层次人才的流失和社会
范围内的高层次人才流动是不矛盾的。
如果
每个高校都能为教师提供更好的工作和生活
环境,
能为教师提供实现其效用最大化的舞
台,
那么非理性的高层次人才流失必定会减

[4] 王学东. 普通高校师资队伍建设初
探 [J]. 教师建设, 2012 (3).
[5] 谢朝芳. 谈高校人才流动的问题及
时对策 [J]. 企业家天地, 2012 (3).
[6] 张文婷. 信息不对称与高校人才流
动问题分析 [J]. 现代阅读, 2012 (3).
[7] 李星云. 新形势下我国高层次人才
引进的思考 [J]. 江苏行政学院学报, 2010 (6).
(本文责编 许欢欢)

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Cuba Comes Off Its Sugar High

...uba was bartering with its communist allies in return for goods. The sale of sugar was grossing over $5 billion. After the Soviet Union collapsed, the gross income from sugar dropped to $20 million. The Cuban government searched for methods to raise income and cut costs. They began by closing inefficient sugar mills and eventually shut down half of the island’s mills. Cuba could not begin exporting to the United States due to the embargo. They turned to Canada, Mexico, and Europe for the sale of sugar. Cuba began to search for a new export and found they held a large reserve of nickel. International mining companies saw the nickel reserve as a source of income and tried to establish relations with Cuba. Cuba saw that they had something other companies wanted and decided to exploit their desire to conduct business with them. Many restrictions and laws were established to milk international companies for extra money. The established laws that required non-Cuban investors to use the government to hire, fire, and pay its workers. This allowed to the government to choose exploitable workers for positions in the mills and mines. The government controlled the worker’s wages in order to keep a cut for themselves. One company was found to be paying the government $9,500 per year per worker and the workers would only receive $120 to $144 per year. This left the government with a large chuck of employee wages. It would be unethical for an international company...

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