Research On Allocation Theory And Allocation Efficiency Of Science And Technology Resources

With the deepening of integration of Science and Technology (S&T) and economics in every country, S&T makes increasingly contribution to the development of economy. Every country intensifies the input on S&T resources promoting S&T capability and competitive advantage in order to promote the harmonious development of S&T, economy and society. With the intensified input of S&T, the shortage of S&T resources and low efficiency of allocation apparently show themselves especially in our country. The development based on the low efficiency of resource allocation is not competitive and durable. More input on S&T based on the low efficiency only leads to more waste of S&T resources which would strengthen the shortage. Only more input with the premise of promoting efficiency is good for the formation of the intensification of S&T resources, promotion of utilization efficiency of the resources. The development based on the rising of efficiency is competitive and durable. Therefore, compared with more input on S&T resources, optimization of resource allocation and promotion of resource allocation efficiency are of more significance.1. Research Review of Allocation of S&T Resources home and abroadRecently the related researches about allocation of S&T resources in the country are developed from 4 aspects: 1) research on the concept of S&T resources and its allocation; 2) research on the allocation method of S&T resources; 3) research on the allocation effects of S&T resources; 4) research on the problems and solutions on the allocation of S&T resources. The related researches abroad are developed from micro and macro two levels. The discussion from macro level is from the angle of the government while micro level is about allocation of Research and Development (R&D) for enterprises. The similarity of the researches home and abroad is the emphasis on guidance of government on the resource allocation. The difference lies in the focus of the content and research method. At present, the researches at home and abroad about allocation of S&T resources are more applied research and less theory ones. The complete theory frame about resource allocation has not been formed. And the research of allocation efficiency has not spread out deeply. The method of evaluation is single and the content of evaluation is limited.2. Theory Foundation of Allocation of S&T ResourcesThe research on allocation theory and allocation efficiency of S&T resources is an interdisciplinary subject. As for a profound research on it, we need to use and consult to all kinds of theories broadly, and derive guidance on theory and methodology. The theory foundation of this paper includes the basic theories of the System, the New Growth Theory, the Efficiency Theory of Resource Allocation, the related theories of New Institutional Economics, the basic theories of Evolutionary Economics, the Generalized-Gradient Theory. The basic theories of the System serve as the key for the dissertation to analyze the S&T resources and their nature, and provide the basic guild line of the dissertation to develop its research. The New Growth Theory provides related theory research for our targeting elements of S&T resources as research object. Its emphasis of government function provides important theory basis. The Efficiency Theory of Resource Allocation is the theory support of treating efficiency as the basic description of allocation effects of S&T resources. At the same time, Pareto Efficiency, as the efficiency evaluation standard at present, gives direction for the efficiency promotion of S&T resources. The related theories of New Institutional Economics emphasize the function of institution, which is of important reference significance for us to internalize institution into resource element, strengthen the importance of property right on element allocation of S&T resources. The basic theories of Evolutionary Economics provide new angle on research of integral functional elements of S&T resources, and theoretical ground for its formation. The Generalized-Gradient Theory provides theory basis and stage for evaluation and comparison for our research on allocation efficiency of S&T resources from national, regional and provincial levels.3. Research on Allocation Theory of S&T ResourcesThe research on allocation theory of S&T resources is developed from 3 aspects. They are elements of S&T resources, allocation system and its internal structure, mechanism and environment. Efficiency is the line run through the dissertation.S&T resources are the base of S&T activities, can promote the development of S&T directly or indirectly and congregation of all resource elements. Here the S&T resources as a congregation of resource elements is emphasized which reflects its systematic feature. The elements of S&T resources include 7 categories: human resource, financial resource, material resource, information resource, market resource, institution resource, and culture resource. According to their content features and reciprocity relationship, they can be divided into basic kernel elements and integral functional elements of S&T resources. The features of the former include: intelligence, durable and high increased-value property, inheritness, open property, externality, striding across property. The features of the latter include: functionality, accumulated property, mandatory and guideness, spontaneity and untransplant property. The features of the whole elements of S&T resources include: sociality, stratigical property and hierarchical level.In the process of influence, interaction between subsystem of basic kernel elements and integral functional elements of S&T resources and their action with external environment, the function of subsystem of integral functional elements continues to increase, leads to the division of entity middle elements from the subsystem of basic kernel elements of S&T resources as allocation subject and the formation of allocation system of S&T resources. The action of allocation system of S&T resources have duel active features: dynamic and statistic. As for statistic feature, it is a collocation effect reflects the whole process. As for the dynamic feature, the allocation action of S&T resources exists during the whole process from input to output. Every link reflects the action effects of allocation subject. The efficiency and capability of resource allocation are description to allocation effects. However, the capability construction based on efficiency is more competitive and durable. Therefore, efficiency is a more basic description of allocation result of S&T resources, and of more significance on the following research.The internal structure, operation system and allocation environment of allocation system of S&T resources are important elements that influence the allocation efficiency. The internal structure of allocation system is consist of 3 parts: the allocation subject of S&T resources (enterprise, university and institution for scientific research), allocation object (basic kernel elements as human resource, financial resource, material resource and information resource in S&T resources), and 3 allocation powers (integral functional elements as market, government system and social culture). The 6 features of allocation system include: open and orderly property, emergent property as a whole, hierarchical level, dynamic evolution, self-organizing, inter-mold and intergrowth with the environment. The description of operation system is developed from duel angles of 3 allocation subjects and 3 allocation powers, and both emphasize the allocation of basic kernel resource elements. The environment of allocation system refers to the environmental super-system formed from the interaction between allocation system of S&T resources and environmental sub-system such as economy, education, politics, society and nature. It supports and regulates the allocation system and has the historically dynamic cumulative and cross-section cooperative characteristics.4.Evaluation Research of Allocation Efficiency of S&T ResourcesThe evaluation research of allocation efficiency of S&T resources includes the index system design of resource allocation efficiency, the selection of evaluation method and the construction of evaluation model. The index system design of efficiency measures should be in accordance with the features of resource allocation activity and fulfill the need of efficiency measures, and is selected from the input and output of S&T. The influential elements of the change of efficiency are selected from the 13 basic theoretical assumptions that influence the change of efficiency of resource allocation derived from the action of the resource allocation subject to object and allocation environment, and the index system is designed accordingly. In the selection of evaluation method and the construction of evaluation model, the canonical correlation analysis (CCA) is adopted and the flexibility of resource input and output is analyzed through the model of more input and more output. The C2R model and super-efficiency model in data envelopment analysis (DEA) are adopted to measure the allocation efficiency. The trans-log production function and time variant decay index model in stochastic frontier analysis (SFA) are used to measure the allocation efficiency of R&D efficiency. Concerning the issue that DEA cannot analyze the penal data, Malmquist Index is introduced to make up the deficiency of DEA in efficiency measure of resource allocation. Besides, because of the advantage of penal data model compare with cross-sectional data and time series model, and according to the measure of penal data to the influential elements of the efficiency change of resource allocation, a multi-angle and multi-level systematic analysis is conducted on the elements that influence the efficiency.5. Empirical Research of Allocation Efficiency of S&T ResourcesThe Empirical research of allocation efficiency of S&T resources is the efficiency measure and analysis conducted 3 levels: national, regional and provincial, and a systematic analysis of the influential elements of efficiency.Firstly, the CCA method is adopted to do flexibility test. The result shows that our country is in the stage that the output flexibility of financial resource element is bigger than that of human resource. The output flexibility of capital stock of R&D is comparatively bigger. Base on the above results, the relative weighs of input elements of C2R and super-efficiency model is set. The allocation efficiency of 1991-2005 national level is measured and analyzed which shows that the country's allocation efficiency s is rising continuously. Secondly, DEA, Malmquist Index and SFA are adopted; the allocation efficiency, rate, and the allocation efficiency of R&D resources of regional level are calculated and analyzed taking 30 provincial samples of input and output data from 1998 to 2005 in the country. As to the regional level, the allocation efficiency of S&T resources and that of R&D resources are descending from east to west. The rise of allocation efficiency in the east part is mainly from the rise of technology progress. The rise of efficiency in the mid and west parts lies in the rise of technology efficiency. Therefore, technology progress is the determinant of allocation efficiency of S&T resources. As for the provincial level, the rank of allocation efficiency in the provinces in the east is descending while that of the west part rising. The highest and lowest rates of increment of allocation efficiency are distributed to Shanghai and Guangxi respectively. The allocation efficiency of half of the provinces is in the descending stage. The descending of technology level is the important reason that causes the efficiency decreasing. The allocation efficiency of R&D resources of the provinces is rising in the whole, but not to a great extent.At last, using the Random-Effects Model, the influential elements of the change of allocation efficiency are systematically analyzed based on the penal data of 30 provinces from 1998 to 2005. It is pointed out that the R&D role of the enterprises in the region, reformation of institution for scientific research, the combination of industry, university and institution, the regulation of industrial structure, the development of high-tech industry and the locational factor of the west are all propitious to the rise of allocation efficiency. The financial support from the government has not reached the expected result. The main reason is the waste in financial distribution. Besides, the level of nationalization, and locational factor of the west are in favor of the technology efficiency in allocation of S&T resources. The input in education and financial support from the government doesn't reach an expected effect. This is due to the resource waste in education resource allocation and S&T input from the government. Meantime, the R&D role of the enterprises in the region, the development of high-tech industry, and the education level all lead to technology progress in resource allocation. The human capital stock in the region goes against the technology progress of resource allocation which is caused by the low quality of human resource and the waste existing in the human resource allocation.6. Measures to the Rising of Allocation Efficiency of S&T ResourcesConcerning the research achievements above, the measures to rise the allocation efficiency of S&T resources are put forward from 3 aspects: allocation object, allocation subject and allocation environment of S&T resources. 1) On allocation object: on one hand, the input of financial resource in R&D should be intensified; on the other hand, the allocation of R&D staff should be optimized. 2) On allocation subject: firstly, the innovation main body of enterprises should be reinforced, self-creative capability fostered. Secondly, the reform of S&T system should be deepened, the efforts of the reform of institution for scientific research stepped up. Thirdly, the new innovation model of collaboration of industry, university and research should be promoted. 3) On allocation environment: Firstly, adjust the industrial structure, develop the high-tech industry, and promote the upgrading and optimizing of industrial structure. Secondly, deepen the state enterprise reform, and emphasize the foster of creative ideas. Thirdly, transform the import model of technology, and foster excellent environment for foreign R&D. Fourthly, enforce the input on education, promote the education level. Fifthly, enforce the financial support to S&T activities from the government, optimize the direction of financial input, and promote the allocation efficiency of government fund. Sixthly, enforce the protection of intellectual property, consummate the circumstance of the protection of intellectual property.