| Since the 21st century, knowledge has become important strategic resources, which determined the development of economy and society.The core content of knowledge is science and technology(S&T). As the basic elements of S&T, S&T resources have become national strategic resources, and the competition among countries has gradually turned to S&T resources allocation from the general ones. Therefore, increasing investment in S&T resources has become the common strategic choice of all nations in the world. Now China is in the critical transition period, and many problems about scientific and technological system are exposed gradually during the reform process. The most prominent aspects are as following. First, there is a dual contradiction between decentralization and excessive concentration since the national macro-management system of S&T policies has been made by different departments, and the management department is separate rather than together. Second, the technology projects are too multiple, and the research cooperation among industries, universities and institutes is too weak. The allocation of S&T resources is lack of integral layout. Third, the hierarchy of S&T policy is quite low and lack of coordinate cohesive affinity, etc. Fourth, the consequent problems include the unidentified duty and right of the subject of S&T allocation, irrational structure of S&T resources, and inefficient allocation etc. In view of this, the study summarized the systematic and structural defects of current S&T resources in the aspect of management and allocation through depth analysis of China's institutions and mechanisms of S&T resources allocation and allocative efficiency. It also put forward targeted and constructive policies and advices on the basis of foreign experiences.The research includes six parts. Firstly, it re-defines the basic concept of S&T resources allocation and its study scope, and build the theoretical framework of S&T resources allocation through relevant theories and analytical methods, such as theory resources allocation, new institutional economics, property rights theory and the theory of public choice. Secondly, on the basis of concepts definition and theoretical analysis, this study focused on the evaluation of current S&T management system, allocation mechanism and policy system, and identified the institutional and structural defects, so that to provide guidelines for the optimization of S&T resources allocation. Thirdly, this study made empirical analyses on the characteristics of total amount, regional and sectoral of the allocation of S&T financial resources and human resources by using the relative statistical data and measured concentration index, and analysed the status of spatial and regional distribution of technological resources in China. Fourthly, this study made a systematic evaluation on the performance of China's input and output of S&T resources by analyzing technology input-output ratio and building the technology input-output multiple regression model. Fifthly, based on DEA model and the Malmquist index, this study made a depth analysis on national S&T resources allocation efficiency and its influencing factors from multi-level and multi-angle, and estimated the total factor productivity index (TFPch) and its decomposable indicator of S&T resources allocation and R&D investment in the whole nation and 30 provinces (cities, districts) from 1999 to 2007. Finally, the paper proposed to optimize the principles, objectives, the general concepts and important points, also including relevant policies and advices by learning the good experiences from developed countries.The research result shows that:in the new period, China has established Science and Technology Education Leading Group Office of the State Council, and to some extent have corrected the defects that government's S&T policy or program always concentrate on one sector or scattered in various departments, and improved position of S&T in government decision-making. However, it is hard to fundamentally resolve the problems that parallel management structure and hybrid resource allocation model of China's S&T system, which made the resource allocation structure irrational and inefficient. The technology policy is also hard to work. At the same time, due to the limitations of the inherent management system and operation mechanism, the stability and constraint force of S&T policy are weak, and evaluation and monitoring mechanism is not perfect, etc., S&T resource allocation efficiency of China is restricted to be improved. Secondly, it has remarkable regional differences and unbalance in state-owned S&T financial resources allocation. For example, those developed areas where basic conditions of S&T are perfect have more state-owned S&T financial resources than those undeveloped or minority areas for the weaken basis. Although the flow direction of S&T financial resources allocation based on market may help to improve the resource utilization efficiency, but it may also lead to the'vicious circle'of'poor getting poorer, the rich getting richer', thus makes the regional economic and social development gap more obvious. At the same time, R&D investment in China still lacks a clear strategy for sustainable development, and steady growth mechanism of S&T investment has not been formed, and the investment structure is also not reasonable, especially basic and applied research input is obviously insufficient, and the above situations have already influenced the development of original innovation ability. Thirdly, the current enterprises have become main activities of China's S&T activities, and more than half of China's S&T staffs are distributed in enterprises. But S&T staffs are mainly distributed in Guangdong, Jiangsu, Beijing, Shanghai and other eastern developed cities, while S&T staffs, especially high-end talents, in less developed central and western region are deficient due to lower level of economic development, and the innovation consciousness of enterprise, scientific and technical staff wage, research environment and atmosphere of innovation is not so good. At the same time, the R&D staff is less educated, especially in the enterprises compared to R&D institutions and colleges, and this has become a barrier to advance the ability of the independence and innovation of enterprises in China. In addition, in recent years the allocation ratio of R&D staff in the field of basic research and applied research has continuously decreased, which greatly affected the optimization and improvement of the S&T allocation efficiency. Fourthly, from the view of S&T resources input and output, R&D staff inputs, government funding and corporate capital investment in basic research had good effect on S&T innovation capacity and output performance, especially, R&D staff inputs in basic research are the core elements which influence and constrain China's technological innovation capacity and output performance. While R&D staff inputs in applied research and experimental research and development research and the loans from financial institutions has little influence on S&T innovation ability and output performance in China. Fifthly, from 1999 to 2007, China's S&T resource allocation efficiency and research efficiency were keeping improvement with growth of scientific and technological staff and increased investment inS&T. Growth of the nation's S&T resource allocation and R&D efficiency is mainly due to the dual impact of technological progress and technical efficiency improvement, but the latter is greater than the former. However, the capacity of original innovation of China's S&T research is still inadequate, there still exists a lot of problems in the progress of S&T resource allocation, such as repeated investment, waste of resources, unreasonable investment structure, the resource allocation is still dominated by plan, and the market is difficult to play full role as basic S&T resources allocation, which leads to the technology resource allocation inefficient.Based on the above conclusions and the foreign experiences of S&T resource allocation in the typical market economy countries, the paper proposes some practical strategies and recommendations:it is possible to establish the highest decision-making bodies of technology management and make the functions of co-ordination of scientific and technological work centralized; enhance specifications and stability of scientific and technological project and strengthen the coordination and convergence between central and local S&T management; deepen reform of scientific research institutions, optimize scientific research layout and its structural adjustment; promote public R&D resources integration, strengthen the continued support of key areas such as basic research, common industrial technology and key technologies; establish a more flexible funding system and improve the related policy evaluation mechanisms of S&T investment of government; develop the basic role of market of the allocation of resources and set the dominant position of enterprises in technological innovation.The main innovations of this thesis are as follows: Firstly, the state-owned S&T resources and their derived types were clearly defined and divided, which can provide us a scientific and detailed theory basis for the whole society to deepen the understanding of S&T resource allocation and its flow pattern as well as related characteristics. Secondly, this study also discussed obstruction and mechanisms defects which affect the efficiency of S&T resource allocation, which makes the research more specific and the practice more targeted through sorting out and evaluating current technology management system and configuration mechanisms and related policies.Thirdly, using the concentration index and Gini coefficient, this study had an empirical study on total of the financial resources of technology and human resources, regional and sectoral characteristics. Meanwhile, analyzed the performance of the input and output and the allocation efficiency of the nation's S&T resource at different levels by combining multiple regression model with evaluation of technology resources input and output efficiency of two-stage model were also analyzed, which makes the study more multidimensional, and the analysis more comprehensive, and the demonstration more sufficient.
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