Research On Efficiency Evaluation Of S&T Resource Allocation For National Research Institutions With Two Levels Of Academy And Institute

With the comprehensive and in-depth development of the construction of worldwide science and technology(S&T)powers,the scale and intensity of S&T resource investment in China have steadily increased year by year,and the S&T innovation capability has also been changed from quantitative growth to qualitative improvement.However,there is still a certain gap compared with the developed economies.How to maximize the utilization of S&T resources by using S&T resource allocation as an effective tool has become the key to speeding up the S&T innovation capability in China.Research institutions are important parts of the national S&T innovation system,where the national research institutions that operates under the two-level organization management mode(hereinafter referred to as the national research institutions with two levels of academy and institute,such as the Chinese Academy of Sciences,and the Chinese Academy of Social Sciences,etc.)are the core carrier of the national S&T strategic forces.Their efficiencies of S&T resource allocation are directly related to the improvement of S&T innovation capabilities in China.Thus,how to scientifically conduct the efficiency evaluation of S&T resource allocation in national research institutions with two levels of academy and institute is an important iusse for reforming the national S&T system,optimizing the layout of the innovation system and improving the S&T management.It involves some problems in the complexity of inputs and outputs of S&T resources.Especially,the time-lag effect and relation effect of S&T resource inputs and outputs are important factors influencing the efficiency evaluation of S&T resource allocation in research institutions.Therefore,it is necessary to conduct the research on efficiency evaluation of S&T resource allocation in national research institutions with two levels of academy and institute considering the aforementioned factors comprehensively.This study focuses on"theoretical analysis ? method exploration ? empirical testing"to conduct the following four innovative research works.Firstly,the research frameworks for efficiency evaluation of S&T resource allocation in national research institutions with two levels of academy and institute are constructed.Based on the resource allocation theory,technical efficeiency theory and system theory,three core concepts are defined including the scientific definitions of national research institutions with two levels of academy and institute,S&T resource,and S&T resource allocation.Subsequently,the processes of S&T resource allocation in national research institutions with two levels of academy and institute are depicted from a whole process perspective,and the typical characteristics of multi-stage,time-lag and relation are presented.Furthermore,the research frameworks for efficiency evaluation of S&T resource allocation in national research institutions with two levels of academy and institute are constructed from three perspectives including the multi-stage time-lag effect analysis and processing of S&T resource inputs and outputs,efficiency evaluation of S&T resource allocation in the academy-level research institutions,and efficiency evaluation of S&T resource allocation in institute-level research institutions.Secondly,the methods for multi-stage time-lag effect analysis and processing of S&T resource inputs and outputs are proposed and corresponding empirical study is conducted.Based on the multi-stage of S&T resource inputs and outputs as well as the time-lag differences among different forms of outputs from each stage,a research scheme is designed,and the analysis method and processing method for multi-stage time-lag effect are proposed.Subsequently,the lag periods of different forms of outputs from each stage in national research institutions with two levels of academy and institute are measured,and the values of each output are corrected,respectively.Furthermore,using the statistical data from 1992 to 2014,Chinese Academy of Sciences(CAS)and 30 representative research institutes in the CAS are selected to conduct an empirical study.Based on the evaluation results of the CAS,the differences of multi-stage time-lag effect in each institute are classified and compared.The results show that:?about 66.67%institutes are with highly efficient transformation,and their multi-stage time-lag effects are with obvious spatical region differences and disciplinary field differences;?about 6.67%institutes are with lowly efficient transformation,and institutional reorganization and the relative scarcity of resources are the main factors leading to the prolongation of the output lag periods;and?26.67%institutes are with imbalanced transformation,which are mainly attributed to limited development space,adjustment of discipline direction and weak resource advantages.Thirdly,the method for efficiency evaluation of S&T resource allocation in the academy-level research institutions is proposed and corresponding empirical study is conducted.From the perspective of time-lag effect and relation effect,a matrix analysis model for efficiency evaluation of S&T resource allocation in the academy-level research institutions is constructed based on multi-stage characteristics,and an evaluation method considering time-lag effect and relation effect is proposed.Subsequently,taking the CAS as an example,an empirical study for efficiency evaluation of S&T resource allocation from 1992 to 2010 is conducted.The results show that:? from the overall perspective,the efficiency of S&T resource allocation of the CAS has basically maintained an upward trend,and a leap-forward development from inefficient to ideal is realized;and?from the stage perspective,the efficiency of S&T resource allocation of the CAS in the stage of knowledge transformation presents a steady upward trend and an obvious increase,benefiting from the development strategy-oriented.In the transformation stage,the efficiency of S&T resource allocation of the CAS shows a steady upward trend after two small fluctuations.Forthly,the method for efficiency evaluation of S&T resource allocation in institute-level research institutions is proposed and corresponding empirical study is conducted.Considering the typical characteristics of efficiency evaluation of S&T resource allocation in institute-level research institutions,a research scheme is designed.The real values of various outputs from each stage are corrected by the method of time-lag effect analysis and processing.Based on the assumption of variable returns to scale,a relational network super-efficiency DEA model with shared inputs is constructed.Subsequently,an empirical study of 30 representative research institutes in the CAS is conducted using the statistical data from 1992 to 2014,and the overall and stage pure technical efficiency of S&T resource allocation in each institute are evaluated,respectively.The results show that:? 13.33%research institutes are with high-efficiency allocation.These institutes attach great importance to the transformation of knowledge and achievements,and the centralized advantages and innovative synergies formed by the restructuring of institutions provide more favorable conditions for the efficient allocation of S&T resources;? 46.67%research institutes are with low-efficiency allocation.The low efficiency of S&T resource allocation of these institutes is mainly attributed to the location development mismatch and lack of transformation awareness;and?40%research institutes are with imbalanced allocation,and most of them are with imbalanced achievement transformation.On the one hand,it is limited by the layout characteristics and development orientation of the disciplinary field.On the other hand,it is also affected by the lack of standardization of the statistics work on the early achievement transformation.In addition,based on the research work,the following policy suggestions are put forward to improve the efficiency of S&T resources allocation for national research institutions with two levels of academy and institute,including strengthening the connection between the efficiency evaluation of S&T resources allocation and the policy orientation of national performance management;improving the resource allocation mechanism for national research institutions with two levels of academy and institute;coordinating the balanced development between knowledge transformation and achievement transformation for the academy-level research institutions;tracing the causes of inefficiency and adjusting them differently for institute-level research institutions;and exploring efficiency management measures that match the typical characteristics of S&T resources allocation in national research institutions with two levels of academy and institute.