Research On The Allocation Of R&D Resources Based On Building Of Innovation-Oriented Country

Science and technology (S&T) innovation has been the most important means to strengthen native comprehensive competence. The strategy of strengthening innovation capability and building an innovation-oriented country has been put into"medium and long-term S&T developing programs outline (2006-2020)"in China, which has also become the most important macro-demand and evaluating index in various domain of economic and social development. The research and the development (R&D) activities are the source and power of national S&T innovation. Generally, if one country or region holds leading innovation activity, then its S&T inputs will be the leading potion in the word. During the construction of innovation-oriented county, the good allocation of R&D resources can provide vital surpport; promote comprehensive and cooperative innovation and actualization of national innovation.R&D resources are the important parts of S&T resources, which play a necessary role during the course of R&D activity. With the intensified input of R&D resources, the shortage of R&D resources and low efficiency of allocation apparently show themselves especially in our country. Therefore, the dissertation analyzes the development and trend of R&D resources allocation based on building of innovation-oriented country, discuss the status and the problems of R&D resources allocation, and studies the allocation efficiency, influential elements of allocation behavior and mechanism. Followings are the main contents of this dissertation.First, related researches have been reviewed. Recently the related researches about allocation of R&D resources home and abroad are developed from 6 aspects, including research on the concept of innovation-oriented country and R&D resources, research on the macro compare of R&D resources allocation, research on the allocation efficiency of R&D resources, research on the allocation mechanism of R&D resources, research on the allocation effects of R&D resources, research on S&T policy and the measures installed by government in the allocation course of R&D resources. Theory foundation of allocation of R&D resources is following, which includes theory of national innovation system, the new growth theory, system theory and theory of resource allocation. These theories provide the basic guide of the dissertation to develop its research.Second, this dissertation proposes the analysis framework of R&D resources allocation theory in the circumstance of building innovation-oriented country. It investigates the definition, allocating participants of R&D resources, brings forward allocation system of R&D resources and the effect on it by external systems, including economy, education and society. It also discovers that the contents of R&D resources allocation are excessive, concerning on scale, structure, intensity and mode, and so on. Finally, support for building of innovation-oriented country by allocation system of R&D resources has investigated.Third, developing status of Chinese allocating R&D resources has been expatiated. Compare with the some typical innovation-oriented countries, this dissertation concludes characteristic and existed problems from financial resources, human resources and S&T policies. There are big gaps of R&D resources allocation between China and typical innovation-oriented countries.Fourth, using the stochastic frontier approach (SFA) Model, the allocation efficiency and influential elements of the change of allocation efficiency are systematically analyzed based on the penal data of 31 provinces from 2000 to 2007 in the country. The domestic number of patents application acceptance patent is the output data. Full-time equivalent of R&D personnel and R&D capital stock are the input data. Influential elements, international trade intensity and local government appropriating funds for S&T are the two exogenous variables. As to the regional level, the allocation efficiency of R&D resources is descending from east to west. The output elasticity of R&D capital stock elements is bigger than that of R&D personnel resources elements. The two exogenous variables are both positive to the rise of allocation efficiency of R&D resources.Fifth, as comparable index, R&D intensity is the delegate of R&D financial resources input. This dissertation analyzes the trend of R&D intensity and the determinants on it. The upward trend of R&D intensity in China is generally in agreement with the international rule. The dissertation analyses five theoretical determinants on R&D intensity, including enterprises, policy, public R&D institution, investment and economy, designs 12 independent variables and one depended variable-R&D intensity, constructs the experimental model based on partial adjusted model, and investigates the effect on R&D intensity by all variables. The outcome shows that China has begun the S&T take-off early, financial crisis has little effect on the growth of R&D intensity, and the R&D intensity in China will be able to realize the steady and quick growth based on the building of innovation-oriented country.Finally, this dissertation studies the allocation mechanism of R&D resources from the three facets such as governmental subsidy mechanism, share mechanism and industry-university union mechanism. On governmental subsidy mechanism, there are four policy instruments. Then governmental direct support of R&D performed by the business sector is investigate using game theory model, and a framework for evaluating R&D tax subsidies is proposed using cost-benefit method. On share mechanism of R&D resources, three share mode are summarized and advises are brought forward in order to the good operation of share mechanism. Then industry-university union mechanism, R&D bail system of governmental intervention is designed using complete information static game model. The outcome shows that the system can correct the opportunism acted by two union participants.The contribution and innovative points of this dissertation are as following.First, the theoretical framework of R&D resources allocation is established based on building of innovation-oriented country. The allocation system of R&D resources incorporating allocation participants and interaction of them is proposed from the system theory view. It supports for construction of innovation-oriented country based on theory of national innovation system and new economic growth theory. The framework is a kind of enrichment to R&D resources allocation theory.Second, the stochastic frontier approach (SFA) Model is imported to the research of allocation efficiency of R&D resources based on the penal data. The influential elements of the change of allocation efficiency are also studied through incorporating exogenous variables to remedy the shortage of other researches. So the regional trend and countrywide character of R&D resources allocation efficiency can be summarized.Third, the determinants on R&D intensity are analyzed theoretically from macro-view and proved by experimental data. Experimental model incorporating 12 independent variables and one depended variable-R&D intensity is constructed based on partial adjusted model. This part of dissertation makes further exploration between qualitative analysis with quantitative analysis. Finally, referring to the home and abroad practices, the allocation mechanism of R&D resources according to Chinese current system is investigated. Not only game theory model, but also cost-benefit analysis and many practices are used to study the allocation mechanism of R&D resources and run of it.Altogether, the dissertation combines innovation-oriented country with allocation theory of R&D resources. It analyzes allocation system of R&D resources systematically from many aspects, such as allocation status, allocation efficiency, influential elements on allocation action, allocation mechanism. The research of this dissertation is a kind of enrichment to the allocation theory of R&D resources. It's benefit to build innovation-oriented country.