CS研究机构重大科技项目ARP风险管理与控制研究

发布时间：2018-06-25 16:03

本文选题：内部风险 + 风险管理　；参考：《昆明理工大学》2017年硕士论文

【摘要】：随着国家对于科技和创新的重视度不断提高,相应的国家对于科技的财政投入也在持续增加。对于科技经费(特别是国家财政投入部分)的有效使用成为了关注的焦点。对于一些比较突出的问题,比如个人、学校和学科评价指标简单量化(看论文数、科研项目数、科研经费数、博士点数、硕士点数等)、科技评价组织体系不完善和评价主体单一、社会公众参与科技评价的范围小、科技评价的监督手段欠缺等,属于国家重大科技体制改革层面的问题,也在进行相应的论证和调整。而对于政府研究机构而言,在现有当前科技体制下,如何能够对科研项目,特别是国家重大科技项目,进行有效的内部风险管理和控制,也是一个非常迫切的课题。风险管理作为现代企业/单位内部控制的重要内容,一直受到国内外政府和企业的高度重视。但对于政府研究机构的内部管理,特别是围绕着其核心业务、重大科技项目的风险管理控制研究的相对较少。相对于一般企业的经营性活动,政府研究机构的科技项目管理有着其自身的特点和规律:国家科技项目有专门的经费管理要求,且不同类型项目的管理办法有一定的差别;项目必须依据相应的办法严格执行;政府研究机构一般属于事业单位,一方面需要满足课题管理办法的需求,另一方面还需要满足国家对于事业单位财务和管理方面的各种规定。需要针对这些规律和特点,对政府科研机构的内部管理风险控制进行深入研究。CS机构作为全国性科研机构,在国家科技发展方面具有举足轻重的地位。本文主要以CS机构作为研究对象,根据重大科技项目和企事业单位的特点,重点研究重大科技项目从申请、立项、执行到结项各个环节的风险分析和控制现状,提出有针对性的风险管理控制机制,并依托机构内部信息系统(ARP,Academic Resource Planning),将单位科研经费的风险管理和控制措施落到实处。同时,本文以CS下属机构的ARP实施过程作为研究案例,表明如何基于ARP落实相关的管理建议,增强内部的风险管理水平。由于CS机构在政府研究机构中非常具有典型性,希望通过本文的研究对于国内其他类似机构的风险管理和控制具有一定的借鉴和指导意义。
[Abstract]:With the increasing emphasis on science and technology and innovation, the corresponding financial investment in science and technology continues to increase. The effective use of science and technology funds (especially the part of national financial input) has become the focus of attention. For some of the more prominent issues, such as individual, school and discipline evaluation indicators simple quantification (see the number of papers, scientific research projects, research funding, doctoral points, The organization system of science and technology evaluation is not perfect and the main body of evaluation is single, the scope of public participation in science and technology evaluation is small, the supervision means of science and technology evaluation are lacking, and so on. Also carries on the corresponding demonstration and the adjustment. For government research institutions, how to effectively manage and control the internal risk of scientific research projects, especially the major national scientific and technological projects, under the current scientific and technological system, is also a very urgent issue. As an important part of internal control of modern enterprises, risk management has been attached great importance by domestic and foreign governments and enterprises. However, for the internal management of government research institutions, especially around its core business, the research on risk management control of major scientific and technological projects is relatively less. Compared with the operating activities of general enterprises, the management of scientific and technological projects in government research institutions has its own characteristics and laws: the national scientific and technological projects have special requirements for the management of funds, and the management methods of different types of projects are different to a certain extent; Projects must be strictly implemented according to the corresponding measures; government research institutions generally belong to institutions, on the one hand, they need to meet the needs of the project management methods, On the other hand, it also needs to meet the national financial and management requirements for institutions. In view of these laws and characteristics, the internal management risk control of government scientific research institutions should be deeply studied. As a national scientific research institution, CS institution plays an important role in the development of national science and technology. According to the characteristics of major scientific and technological projects and enterprises and institutions, this paper focuses on the risk analysis and control of major scientific and technological projects from application, establishment, execution to conclusion. This paper puts forward a targeted risk management and control mechanism, and implements the risk management and control measures of scientific research funds by relying on the ARP academic Resource Planning (ARPacademic Resource Planning). At the same time, this paper takes the ARP implementation process of CS subsidiary organization as a case study to show how to implement the relevant management suggestions based on ARP and enhance the internal risk management level. As CS institutions are very typical in government research institutions, it is hoped that the research in this paper will have some reference and guidance significance for the risk management and control of other similar institutions in China.
【学位授予单位】：昆明理工大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：G311

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