科技项目“揭榜挂帅”的风险形成机理与响应机制

Risk Formation Mechanism and Response Mechanism of the"Enlisting and Leading"of Science and Technology Programs

“揭榜挂帅”作为新型科研组织形式,对攻克关键核心技术,促进科技自立自强具有重要意义,但也可能引发复杂多样的风险问题。为此,基于风险系统理论,本文构建“风险源-风险受体-响应机制”的分析框架,研究发现科技项目“揭榜挂帅”的风险源主要贯穿于“揭榜选帅-科技攻关-评榜奖榜”三个阶段;风险受体主要为设榜方、张榜方和揭榜方;各类风险源在“信息不对称、技术创新不确定性、选择性行为”等风险因子的诱发作用下,产生“连锁聚合反应”作用于风险受体,引发各类风险。为此,本文提出相关建议以减少风险因子的释放和影响,建立起风险受体的响应机制,有效管控“揭榜挂帅”风险。

As a novel form of scientific research organization,"enlisting and leading"can play a significant role in overcoming key core technologies and promoting scientific and technological self-reliance,whereas it likely induces complex and diverse risk issues.Founded on the risk system the-ory,this study proposes a framework called the"source-receptor-response mechanism",analyzing the risk of major science and technology programs and its formation mechanism.This study indicates that the risk of"enlisting and leading"runs through three stages:selecting the best candidates to lead key research projects—tackle hard-nut problems in science and technology—evaluation of re-search results and reward.The risk receptors are mainly the party who sets the list,the party who publishes the list and the party who reveals the list.The risk sources are induced by risk factors such as"information asymmetry,technological innovation uncertainty,and selective behavior",produ-cing"chain aggregation reaction",which acts on risk receptors and causes all kinds of risks.There-fore,relevant suggestions are put forward to reduce the release and impact of risk factors,establish a response mechanism of risk receptor,and effectively control the risk of"enlisting and leading".