我国食品安全监管体系研究
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摘要
2008年发生的“三聚氰胺”中毒事件使我们的食品安全监管体系的有效性再次受到审视。食品安全已经被我国公众列为社会生活中最差的环节。食品安全是关系国计民生的生命问题,也是一个国家、一个民族人民生活质量的重要标志。伴随着科学技术的迅速发展,国际化全球化的快速推进,食品安全问题对人类社会的影响越来越大,每年都有成千上万的人因食用受污染的食品而患上传染性或非传染性的食源性疾病。这些疾病严重地影响人们的身体健康,降低了社会福利和生产效率。
由于食品具有信任品的特性,在食品安全供给上存在着外部性、信息不对称、公共产品问题,市场失灵就成为一种常态。解决食品安全“市场失灵”的办法就是用政府食品监管这只“有形的手”去弥补市场机制的缺陷。然而这些年的监管实践证明,政府监管的效果并不令人满意,“政府失灵”问题仍然困扰着社会各界。从理论上看,政府失灵的根本原因就在于我们对食品安全监管的机理还缺乏深刻认识,对食品安全概念的内涵和外延没有统一认识,食品安全的决定原理还不清楚,缺乏建立廉价高效的监管体制机制的途径和手段,特别是对如何建立适合我国国情的监管体系研究较少。诸如此类问题悬而未决,并已成为研究食品安全的重要课题。因而,研究我国的食品安全监管体系具有重要的理论和现实意义。
论文以公共管理理论和经济学理论等相关理论为指导,在我国社会主义市场经济体制建立和完善的实践背景下,从我国食品安全监管的现状出发,在借鉴发达国家和地区经验和做法的基础上,运用实证分析和理论分析相结合、定性分析和定量分析相结合等方法,参照系统工程原理,按照监管体系的构成要素(监管主体、监管客体、监管手段、监管效能改进)的逻辑结构,系统地分析食品安全监管的机理、模式与路径。按照逻辑关系,将论文分为10章。
第1章导论。本章介绍了论文的研究背景、目的及意义。在食品安全供给问题上存在着严重的市场失灵。为了纠正市场机制的缺陷,需要政府进行监管。然而实践证明,政府监管也存在“失灵”问题。本论文按照系统工程思路研究食品安全监管存在的“政府失灵”问题,目的是找出问题症结,提高监管效能。
第2章食品安全监管体系研究的理论基础。食品安全的概念是研究食品安全监管问题的逻辑起点。论文对食品安全的内涵和外延进行了重新界定,厘清了食品安全与食品质量、食品卫生的关系,认为食品安全是食品质量的组成因子,食品安全是一个相对的动态概念,食品安全水平与社会经济发展水平相适应。分析食品安全监管要以公共管理理论、经济学理论、政府监管理论为基础。食品安全监管的社会理由是解决食品供给中存在的信息不对称、不完全和负的外部性问题。食品安全监管的本质属于社会性监管。
第3章食品安全监管体系的国际比较。本章从监管体制和监管制度(政策法律和技术标准体系)两个维度对美国、欧盟、日本、丹麦等发达国家和地区的食品安全监管经验进行分析。通过比较研究,提出要按照食品生产、加工、流通、消费的自然过程和监管部门履行职责的专业能力整合我国监管机构职责分工。同时,我们应当借鉴并吸收发达国家和地区的先进经验,尽快建立与国际接轨、高效、科学的食品安全法律法规、技术法规和技术标准体系,以适应食品安全问题监管国际化的需要,用严密的监管体系筑起食品安全的“堤坝”。
第4章食品安全监管体系构成及其决策模式分析。食品安全监管体系由三类外部要素和四类内部要素构成。我们假定外部因素是给定的,内部因素是监管者可以影响的因素。根据利益相关者理论,食品安全水平是由生产者、消费者、政府监管机构三个基本因素决定的。本章在生命价值理论和消费者意愿支付(wilingness to pay)实证研究的基础上,运用成本—收益分析和博弈方法,分析安全食品的生产者和需求者的决策模式,以及政府监管的决策模型。消费者追求效用最大化,生产者追求利润最大化,政府追求社会福利最大化,三种力量互相制约、互相依赖,共同决定了一个具体社会的食品安全水平。
第5章我国食品安全监管客体分析。本章分析了我国食品行业发展和食品安全现状,用“三聚氰胺”事件案例剖析了我国食品安全存在着企业缺乏自律、监管制度漏洞、技术法规和标准不完善、产品责任模糊、监管体制弊端、法律执行不力等六个方面的困境。
食品行业的总体特征与监管模式存在着密切的关系。我国食品行业的总体集中度不高,只有啤酒、饮料等少数产业集中度较高。产业集中度高的行业,可以实行高度集中的管理模式,全国制定统一的监管政策,监管部门对这些行业应主要实行以HACCP认证为主的监管政策;对于产业集中度低的行业,应该以分散监管为主,各地区可以根据自己的实际制定市场准入监管政策,把食品安全风险控制在可以容忍的范围内。
第6章我国食品安全监管主体分析。食品安全监管的效果取决于监管机构之间的科学分工,还依赖于工作努力程度(Vigorous)和和能力强度(Capacity),即:监管绩效=监管态度×监管能力=监管态度×(监管者专业素质+技术装备+其他设施),用函数式表示为:P=f(V,C),式中的P代表绩效水平,V代表积极性、努力程度、责任心,C代表能力。
我国食品安全监管机构由9个相关部门组成,其中最主要的有5个部门。这些部门的职能配置在横向上存在着交叉和重叠,在纵向上存在着垂直、半垂直和分级管理混合的现象,基层存在监管真空。
我国目前食品安全监管体制导致监管资源配置效率低下。原因首先在于我国的监管机构职能存在横向过宽、纵向层次过多的问题,人为地加大了监管成本,降低了监管效率;其次是一些监管机构特别是对食品安全“负总责”的地方政府工作懈怠;其三是因为监管机构能力建设滞后。因此,要提高监管成效,应在国家一级强化监管职能,整合各部门的资源。缩窄横向监管幅度,调整部门职能分工。按照食品安全问题发生机制和从“农田到餐桌”的安全控制理念,将以“过程监管为主,品种监管为辅”的监管策略,调整为“以品种监管为主,过程监管为辅”的监管策略。同时,要从理顺体制、提高人员素质、增加经费保障、提高技术装备水平四个方面加强监管机构的能力建设。
第7章食品安全监管的手段与工具。食品安全监管的政策工具主要有法律手段、技术法规和食品标准手段、行政手段三类。在比较分析三者关系的基础上,提出了建立我国食品安全技术法规体系的构想,进一步明确三者之间的职能定位,建立层次清晰、相互配合、运转协调的食品安全监管政策体系和运行机制。在实际监管过程中,食品安全监管能否取得预期效果取决于各种手段的运用。按照系统工程的原则,只有遵循整体化原则、优化与可行原则、决策科学化原则、组合效应原则进行比较分析,才能制定符合中国国情,创造科学、适用、有中国特色的政策模式。本章着重分析了食品安全监管中的难点问题—小企业、小作坊监管的政策模式,运用风险决策矩阵进行分析,认为对食品小企业小作坊应进行规范整顿,准许其限时间限地域生产,最符合社会整体利益最大化的要求,也是最符合便利性、安全性目标要求的选择。提出了明确监管责任、创新监管制度、分级分类监管的政策思路。
第8章食品安全监管的运行机制。本章运用激励—控制理论分析了食品安全监管机构运用监管政策影响监管对象的实际过程。提出运用执法力度系数来衡量我国行政执法力度,我国质检系统2005年、2006年、2007年的执法力度系数仅为0.33、0.37和0.58,远远低于1.0的基本要求。由于食品安全监管的法律法规不健全,政策设计不完善,常常导致“大棒不痛、胡萝卜不甜”的局面。
本章还分析了制约我国食品安全监管效能的危机管理理论模式和实践模式。我国已经进入食品安全危机高发期,食品安全危机具有突发性和紧急性、高度不确定性、信息的有限性、边界的模糊性、发展的非线性等特点,分析食品安全危机管理的理论模式和我国的实践模式,提出从4个途径加强我国的食品安全危机管理工作。一是加强食品安全危机理论研究与宣传,用科学的理论指导食品安全危机管理;二是加快食品安全危机管理法制化进程;三是构建完善的食品安全危机管理组织体系;四是优化危机管理流程,实现危机管理的标准化、制度化。
第9章提高监管体系运行效能的方法探讨—绩效评估。政府监管机构领导不断被问责的事实启示我们,食品安全监管的有效性较低。为了督促地方政府有关部门认真履行职责,使其避免出现工作懈怠、玩忽职守、渎职等问题,论文研究筛选了一套监管绩效评估指标体系。这些指标体系应用政府绩效评估的一般理论和各地实践经验,结合我国食品安全监管实际,并按照德尔菲法用SPSS分析软件对指标体系进行了筛选,形成了包含三个维度、六个业绩领域、20个指标的地方食品安全监管绩效评估指标体系,从而为加强对监管部门的监督提供了科学有效的工具。
第10章加强我国食品安全监管体系建设的政策建议。有效的食品安全监管是一个系统工程,提高食品安全监管的有效性,应当从以下六方面采取措施。一是进一步完善我国食品安全监管的法律法规体系,《食品安全法》与原来已经存在并继续发挥作用的《产品质量法》、《食品卫生法》、《消费者权益保护法》、《生猪屠宰管理条例》等相关法律之间的协调性还比较差,需要将各个法律法规统一起来。此外还需要制定产品责任法,解决执法过程中对执法者的监督问题。二是建立我国的食品安全技术法规体系。改革食品安全标准体系,将其中涉及安全的内容分离出来,建立食品安全法律、食品安全技术法规、食品安全技术标准三个层次定位明确、功能完备的制度体系;三是将政府部门独自监管转变为以政府部门为主,社会相关力量共同参与的协作监管机制。短期目标是先对现在的分工进行调整提高中央权威,减少管理层次,缩窄管理幅度,完善监管网络;将8-9个部门承担的监管职责集中到农业、卫生(食品)、质检三个部门;长期目标是将消费者联盟(协会)、社会中介组织、舆论媒体、生产者纳入监管主体范围,实现监管对象的全覆盖。四是严格食品安全法律和法规的实施。将食品安全法律和法规的实施,纳入人大执法监督范围,加大民事维权执法力度,消除弹性(选择性)执法现象;五是进一步完善食品小企业监管政策。从我国国情出发,对小企业、小作坊实行差异化监管,由各省(自治区、直辖市)根据当地情况,制定灵活有效的监管政策;六是加强食品安全监管绩效评估,建立督促监管机构认真履行职责的监督机制。食品安全监管过程要按照计划、执行、检查、改进的循环模式实现闭环管理,四个环节缺一不可。食品安全政策的制定要坚持透明、公开的原则,吸收消费者、生产者等利益相关方广泛参与;运用科学、规范的食品安全监管绩效评估体系,合理配置监管资源,提高监管能力。
结论和展望。食品安全监管面临着严重的政府失灵现象,亟需采取有力措施提高监管绩效水平;食品安全水平是由食品生产者、食品消费者、政府三种因素或三方力量共同决定的;食品安全监管是一个系统工程,这一系统中的任何一个要素缺失或运转失灵都会降低整个系统的功效;重构与创新我国食品安全监管体系应该采取6条政策;结合国情建立政府、企业、消费者和其他组织协作监管的机制是提高监管效能的发展方向。
Occurred in 2008, the "melamine" poisoning event of our food safety cause to examine the regulation system effectiveness again.China's food safety has been considered as weakest link in social life. Food safety is not only crucial to the national economy and livelihood of the masses, but also an important indication of life quality of a nation and a state. Along with the rapid development of science and technology and the acceleration of globalization, food safety has growing impact on human society, and tens of thousands of people every year have contracted infectious or non-infectious food-borne disease because they ate contaminated foods. These diseases are seriously affecting people's health and debasing the social welfare and production efficiency.
Food products have the features of credence goods. Being a kind of public goods, there exist externalities, information asymmetries in food supply, so market failure is quite common. To address the market failure in food safety, the fundamental solution lies in the governmental regulation----the“visible hand”, to offset the limitations of market mechanism. However, years of regulatory practices show that the effect of government regulation is not satisfactory, the malfunctioning of governmental regulation is still plaguing the whole society. Theoretically, the fundamental reason for government failure is that we still do not have a profound understanding of the food safety supervision mechanism, All these are the important issues concerning food safety and need to be clarified. The understanding to connotation and extension of food safety concept has not reached unanimity, the decision mechanism of food safety is not yet clear, and have not the ways and means to construction cheap and efficient regulation mechanisms,especially on how to create conditions suited to China's regulatory system less. Therefore, the study of China's food safety monitoring system has great theoretical and practical significance.
Under the guiding principles of public administration theory and economic theory and other related theories , given to the practice of establishing and improving the China's socialist market economic system, this dissertation, based on the current status of China's food safety regulation and the experiences in developed nations and regions, using theoretical and empirical analysis methods, qualitative and quantitative analysis approaches, systematically explored the mechanism and patterns of and approaches for food safety supervision in accordance with the principles of systems engineering and the logical structure of system constituents developed countries and regions, foreign experience and practices based on the use of and theoretical analysis, qualitative analysis and quantitative analysis methods, in accordance with the systems engineering principles, based on the constituent elements of the regulatory system (the main body of supervision, supervision regulations and policies , supervision mechanism and the improvement of supervision efficacy ). The dissertation is divided into 10 chapters according to the logical relations and structures.
Chapter I: Introduction.
In this chapter, the backgrounds, purpose and significance of this research were introduced. There is a serious market failure in the issue of food supply safety. In order to correct the deficiencies of market mechanisms, the Government regulation is need . But practice has proved that there is government regulation "failure" problem.The malfunctioning of governmental supervision and regulation in food safety was explored under the guiding principle of systems engineering, and the purpose of the research is to identify the sticking points and solutions, thus to improve the efficacy of supervision.
Chapter II: Basic theories for food safety supervision.
The concept of food safety is the starting point of logic to the issue of food safety control .the connotation of food safety was re-defined and the relations among food safety , food quality and food sanitation were clarified. That food safety is an integral factor of food quality, food safety is a relatively and dynamic concept, the level of food safety will match socio-economic development level. All these have laid a foundation for theoretical analysis. Based on theories in public management, economics and governmental administration, the paper expounded the social reasons for food safety supervision and the basic approaches, thus formulated the basic theoretical framework for thesis research. Analysis of food safety supervision is based on the public management theory, economic theory, and the government regulation theory. The social reasons of food safety regulation is to solve the problem existet in the food supply of the information asymmetry, incomplete and the issue of negative externalities. The essense of Food safety regulation is social regulation .
Chapter III: Comparison of food safety monitoring systems between home and abroad.
The food safety practices in the United States, European Union, Japan, Denmark and other developed countries and regions were analyzed from two dimensions, namely the regulatory systems and legislations (policies, laws and technical standards). The comparison indicated that it would be necessary to integrate the responsibility divisions of the food safety regulatory bodies in our country, according to the natural process of food production, food processing, food circulation and food consumption, and the specialized capacities of different supervision bodies. It should that it was ideal to put the whole supervision of most of the single product under one department. At the same time, we should learn advanced experience from developed countries and regions, and establish highly effective and scientific food safety rules, technological regulations and standards that are in line with international practices, thus to meet the need of the internationalized supervision of food safety and to construct a safeguard for food safety through perfect supervision system.
Chapter IV: Analysis on food safety regulatory system factors and the decision-making mechanisms model.
Food safety system regulatory is make up by from the three major categories of external factors and four internal elements. We assume that external factors are given, regulator can affect the internal factors. According to stakeholder theory, food safety level is determined by the food producers, food consumers, government regulatory bodies within the three basic factors.
Based on the exploration of theories about life value and the willingness of consumers to pay, the decision-making patterns of both producers and consumers of safe food products and the decision-making patters of governmental monitoring bodies were investigated through cost - benefit analysis and game methods. Food safety supervision system consists of three external factors and four kinds of internal factors, all the factors, on the principle of system engineering, formed a complete closed-loop with different running mechanisms, such as the driving force, policy transmission and effect feedback mechanisms.
The consumers pursuit is obtain utility maximization ,the producers seek to maximize profits, the Government seeking to maximize social welfare, the three forces of each other, are mutually dependent on ,they decision a specific community food safety level.
Chapter V: Analysis of the main body of China's food safety supervision
The efficacy of food safety supervision depends on the scientific duty division among the various regulatory bodies, also on the work effort (Vigor) and strength and capacity (Capacity), namely: performance = attitude towards supervision×supervision capacity = attitude towards supervision×(regulators’professional Quality + technology and equipment + other facilities), expressed as a function type: P = f (V, C), P standing for performance, V for enthusiasm, effort, responsibility, C for capacity.
China's food safety regulators formed by nine departments, of which there are five main departments. The functions dispose of these departments in the vertical there are horizontal cross and overlap, semi-vertical and hierarchical management of the phenomenon of mixed,but grass-roots level have exists a vacuum.
China's current food safety regulatory system led to inefficient allocation of resources. First of all, the reason lies in the fact that the function of regulatory bodies in our country is too broad horizontally and multi-layered vertically, thus increased the supervision costs and lowered the supervision efficacy. Secondly, there exists the capacity-building lag of the regulatory organizations. Followed by a number of regulatory bodies, in particular the local government in charge of food safety "total responsibility." Have Slack work phenomennons; The third cause is institutional capacity-building for a regulatory lag To improve the effectiveness of supervision, the supervision function should be strengthened at sate level and the resources of different departments should be integrated. The supervision power of should be narrowed horizontally and the function of each regulatory department be divided specifically. According to the mechanism of food safety and the ideology of food safety control that is to oversee the food production from the farm field to the table, the strategy should be adjusted from the process-oriented supervision with species supervision as the secondary to the species-oriented supervision with process monitoring as its supplement. At the same time, we should rationalize the regulatory system, improve the quality of the regulatory personnel, increase the funding and improve the level of technology and equipment, thus to strengthen the capacity of regulatory bodies.
Chapter VI: The analysis of China's food safety regulatory object
The current status and existing problems of food industries in China were studied by using empirical study and case study of the "melamine" incident. The main problems concerning food safety were as follows: the lack of self-discipline, the loopholes in the regulatory system, the imperfections in technological codes and standards, the fuzzy product liability, the defects in the regulatory system and the impotency in law enforcement.
Between the overall characteristics of the food industry and the regulatory model exist of a close relationship. China's food industry overall concentration ratio is not high, only beer, soft drinks and a small number of relatively industrial has in high concentration ratio. Industries with high concentration ratio of industry, can be highly centralized management style. the development of a unified national regulatory policies, Policies of implementing HACCP-based certification should be drawed up by regulatory authorities to these industries .To the industries with low concentration ratio , should be dispersed supervision of the main regions can be formulated in accordance with its own regulatory policies on market access, only if the food safety risk controled in the tolerance limit .
Chapter VII : Policy tools of food safety regulation.
The policy tools for food safety regulation mainly include legal means, technological legislations and standards, administrative means. Based on thorough analysis of the relations among the above three, a novel conception for the construction of technological legislations was put forward, and the relations among the three were further clarified to facilitate the establishment of a more effective and coordinated policy system and running system for food safety supervision. In real practice, the desired results of food safety supervision depend on the proper use of various means. In accordance with the principles of systems engineering, only through integral planning, the principles of optimization and feasibility, making decisions scientifically, can we choose a scientific and effective policy patterns with typical Chinese characters. This chapter focuses on the difficult problems in food safety control– the policy models for small businesses and small workshops, Application of risk analysis in decision-making matrix ,that small business or small workshops of food should be regulated to rectify its behaviour, the To allow its doing beseness in a limit regional and time , is the best to maximize the overall interests of society but also can convenience and protect people safety mostly.and puts forward policy thinking for their regulations, that is to clarify regulatory responsibility, renovate the regulatory system and conduct supervision according to the grade and the category.
Chapter VIII: Operation mechanism of food safety supervision.
This chapter, using incentives - control theory of management science, analyzed the actual process, in which the supervision bodies affected the subjects to be supervised through supervision polices. The law enforcement coefficient was employed to measure the administrative law enforcement in China, the law enforcement coefficient of China's quality control system was only 0.33 and 0.37 in year 2005 and 2006 respectively, it was far less than the basic requirement of 1.0. Due to the imperfection in legislation and policy making with regard to food safety control, the malfunctioning of supervision of food safety often occurred.
The theoretical and practical models for risk management that restrains the potency of food safety supervision in our country were also explored in this chapter. China's food safety crisis has entered peak period, food safety crisis have the features of abruptness, emergency, high uncertainty, information finity, the ambiguity of the border, non-linear characteristics of the development. The theory model and practical model of the food safety crisis management in China were analyzed, put forward four solutions to strengthen the food crisis management in out country. The first is to strengthen theoretical research in food crisis and its advocacy, use scientific theories to guide food safety crisis management; the second is to speed up the legalization process for food safety crisis management. The third is to perfect the organizations for food safety crisis management, the last is to optimize the management procedure for food safety crisis, and achieve standardization and institutionalization of food safety crisis management.
Chapter IX: Performance assessment—how to improve the efficacy of the supervision system.
The fact that many leaders of governmental regulatory agencies have been asked the accountability shows that the effectiveness of food safety control is lower. In order to urge the relevant governmental departments to avoid the slackness of work, dereliction of duty, malfeasance and other issues, a set of supervision performance evaluation index was put forward. This index system adopted the general theories for governmental performance assessment and the practices in different places, taking the practicality of our country into consideration, using Delphi method to conduct analysis through SPSS software, a new performance assessment index system including 20 indicators ranging within 6 areas of performance from 3 three dimensions was selected for local food safety supervision performance assessment, thus provide a powerful and scientific tool to strengthen the supervision over the regulatory agencies.
Chapter X: Policy suggestions for strengthening China's food safety regulatory system
Effective food safety control is systematic project. To improve the effectiveness of food safety regulation, measures in the following six aspects should be taken. The first is to establish and perfect institutional systems for food safety. First, further improve China's food safety regulation system of laws and regulations, The coordination within "Food Safety law" and the original already exists laws such as the "Product Quality Law," "Food Sanitation Law," "Consumer Protection Law" and "pigs slaughtered management Ordinance "are relatively poor,there are need to unify the various laws and regulations. In addition, there need to draw up product liability law. Take action to solve the law supervision of food safety law enforcement. It is quite necessary to improve the legal and regulatory systems for China's food safety supervision system, to transform the departmental legislation into legislation at state level to achieve the unification of laws and regulations; Secondly,reform the food safety standards system, and leave out the contents relating to food safety, establish specified and self-contained institutional systems containing three levels, namely the food safety laws, technological regulations for food safety and technological standards. Third, turn regulation by government departments alone into the government departments regulation mainly, take community-related forces in the regulatory force,make up coopration mechanism of regulation.it is necessary to establish food safety supervision system with multi-facets. The short-term goal is to adjust the current responsibility division and strengthen the power of central government, downsize management layers, narrow management scope, perfect supervision network, the supervision responsibility shared by 8-9 departments should be centralized in agricultural departments, hygiene and health departments and quality control departments. The long term goal is to enroll the consumer associations, intermediary organizations, mass media, producers into the subjects of supervision bodies, just like the governmental organizations, thus to cover all the supervision bodies. Fourth, the strict food safety laws implemented. it is to strictly enforce the laws and regulations concerning food safety control. The enforcement of laws and regulations concerning food safety should be under the check of the National People’s Congress and its subdivisions, and strengthen the law enforcement to safeguard civil rights, eliminate the flexibility (optional) in law enforcement; Five further improve the small food businesses regulation policy. to explore supervision patterns that are in line with China’s national conditions. Based on China's national conditions, differentiated supervision should be adopted to small business and workshops, and flexible supervision policies should be adoped in different provinces and municipalities in accordance with the local reality. The Sixth, to strengthen food safety regulation performance evaluation is to establish supervision mechanism to check the monitoring performance of the supervision bodies. The supervision process of food safety should be a circling closed loop, containing four indispensable phases for planning, enforcement, checking and improvement. The policy-making for food safety should be transparent and public, and should have the extensive participation of consumers, produces and other related parties. A scientific and normative performance assessment system for food safety supervision should be employed to rationalize the allocation of supervision resources and improve the supervision capacity.
The last part of the dissertation is the conclusion and expectation. In this part , the research work is summarized and basic conclusion of this study is drawn. The inadequacy about the research was also pointed out and the directions for further study was predicted.
Regulation of food safety is facing a serious phenomenon of government failure, an urgent work is to take effective measures to improve the regulation performance level; food safety level is determined by three factors ,they are food producers, food consumers, the Government , food safety regulatory is a system engeneers, the system of any one element is missing or faulty operation will reduce the effectiveness of the entire system; reconstruction and innovation of China's food safety regulatory system should take six policy; Establish the mechanism constitute government, enterprises, consumers and other related regulatory organizations is the development direction to improve the regulation effectiveness.
由于食品具有信任品的特性,在食品安全供给上存在着外部性、信息不对称、公共产品问题,市场失灵就成为一种常态。解决食品安全“市场失灵”的办法就是用政府食品监管这只“有形的手”去弥补市场机制的缺陷。然而这些年的监管实践证明,政府监管的效果并不令人满意,“政府失灵”问题仍然困扰着社会各界。从理论上看,政府失灵的根本原因就在于我们对食品安全监管的机理还缺乏深刻认识,对食品安全概念的内涵和外延没有统一认识,食品安全的决定原理还不清楚,缺乏建立廉价高效的监管体制机制的途径和手段,特别是对如何建立适合我国国情的监管体系研究较少。诸如此类问题悬而未决,并已成为研究食品安全的重要课题。因而,研究我国的食品安全监管体系具有重要的理论和现实意义。
论文以公共管理理论和经济学理论等相关理论为指导,在我国社会主义市场经济体制建立和完善的实践背景下,从我国食品安全监管的现状出发,在借鉴发达国家和地区经验和做法的基础上,运用实证分析和理论分析相结合、定性分析和定量分析相结合等方法,参照系统工程原理,按照监管体系的构成要素(监管主体、监管客体、监管手段、监管效能改进)的逻辑结构,系统地分析食品安全监管的机理、模式与路径。按照逻辑关系,将论文分为10章。
第1章导论。本章介绍了论文的研究背景、目的及意义。在食品安全供给问题上存在着严重的市场失灵。为了纠正市场机制的缺陷,需要政府进行监管。然而实践证明,政府监管也存在“失灵”问题。本论文按照系统工程思路研究食品安全监管存在的“政府失灵”问题,目的是找出问题症结,提高监管效能。
第2章食品安全监管体系研究的理论基础。食品安全的概念是研究食品安全监管问题的逻辑起点。论文对食品安全的内涵和外延进行了重新界定,厘清了食品安全与食品质量、食品卫生的关系,认为食品安全是食品质量的组成因子,食品安全是一个相对的动态概念,食品安全水平与社会经济发展水平相适应。分析食品安全监管要以公共管理理论、经济学理论、政府监管理论为基础。食品安全监管的社会理由是解决食品供给中存在的信息不对称、不完全和负的外部性问题。食品安全监管的本质属于社会性监管。
第3章食品安全监管体系的国际比较。本章从监管体制和监管制度(政策法律和技术标准体系)两个维度对美国、欧盟、日本、丹麦等发达国家和地区的食品安全监管经验进行分析。通过比较研究,提出要按照食品生产、加工、流通、消费的自然过程和监管部门履行职责的专业能力整合我国监管机构职责分工。同时,我们应当借鉴并吸收发达国家和地区的先进经验,尽快建立与国际接轨、高效、科学的食品安全法律法规、技术法规和技术标准体系,以适应食品安全问题监管国际化的需要,用严密的监管体系筑起食品安全的“堤坝”。
第4章食品安全监管体系构成及其决策模式分析。食品安全监管体系由三类外部要素和四类内部要素构成。我们假定外部因素是给定的,内部因素是监管者可以影响的因素。根据利益相关者理论,食品安全水平是由生产者、消费者、政府监管机构三个基本因素决定的。本章在生命价值理论和消费者意愿支付(wilingness to pay)实证研究的基础上,运用成本—收益分析和博弈方法,分析安全食品的生产者和需求者的决策模式,以及政府监管的决策模型。消费者追求效用最大化,生产者追求利润最大化,政府追求社会福利最大化,三种力量互相制约、互相依赖,共同决定了一个具体社会的食品安全水平。
第5章我国食品安全监管客体分析。本章分析了我国食品行业发展和食品安全现状,用“三聚氰胺”事件案例剖析了我国食品安全存在着企业缺乏自律、监管制度漏洞、技术法规和标准不完善、产品责任模糊、监管体制弊端、法律执行不力等六个方面的困境。
食品行业的总体特征与监管模式存在着密切的关系。我国食品行业的总体集中度不高,只有啤酒、饮料等少数产业集中度较高。产业集中度高的行业,可以实行高度集中的管理模式,全国制定统一的监管政策,监管部门对这些行业应主要实行以HACCP认证为主的监管政策;对于产业集中度低的行业,应该以分散监管为主,各地区可以根据自己的实际制定市场准入监管政策,把食品安全风险控制在可以容忍的范围内。
第6章我国食品安全监管主体分析。食品安全监管的效果取决于监管机构之间的科学分工,还依赖于工作努力程度(Vigorous)和和能力强度(Capacity),即:监管绩效=监管态度×监管能力=监管态度×(监管者专业素质+技术装备+其他设施),用函数式表示为:P=f(V,C),式中的P代表绩效水平,V代表积极性、努力程度、责任心,C代表能力。
我国食品安全监管机构由9个相关部门组成,其中最主要的有5个部门。这些部门的职能配置在横向上存在着交叉和重叠,在纵向上存在着垂直、半垂直和分级管理混合的现象,基层存在监管真空。
我国目前食品安全监管体制导致监管资源配置效率低下。原因首先在于我国的监管机构职能存在横向过宽、纵向层次过多的问题,人为地加大了监管成本,降低了监管效率;其次是一些监管机构特别是对食品安全“负总责”的地方政府工作懈怠;其三是因为监管机构能力建设滞后。因此,要提高监管成效,应在国家一级强化监管职能,整合各部门的资源。缩窄横向监管幅度,调整部门职能分工。按照食品安全问题发生机制和从“农田到餐桌”的安全控制理念,将以“过程监管为主,品种监管为辅”的监管策略,调整为“以品种监管为主,过程监管为辅”的监管策略。同时,要从理顺体制、提高人员素质、增加经费保障、提高技术装备水平四个方面加强监管机构的能力建设。
第7章食品安全监管的手段与工具。食品安全监管的政策工具主要有法律手段、技术法规和食品标准手段、行政手段三类。在比较分析三者关系的基础上,提出了建立我国食品安全技术法规体系的构想,进一步明确三者之间的职能定位,建立层次清晰、相互配合、运转协调的食品安全监管政策体系和运行机制。在实际监管过程中,食品安全监管能否取得预期效果取决于各种手段的运用。按照系统工程的原则,只有遵循整体化原则、优化与可行原则、决策科学化原则、组合效应原则进行比较分析,才能制定符合中国国情,创造科学、适用、有中国特色的政策模式。本章着重分析了食品安全监管中的难点问题—小企业、小作坊监管的政策模式,运用风险决策矩阵进行分析,认为对食品小企业小作坊应进行规范整顿,准许其限时间限地域生产,最符合社会整体利益最大化的要求,也是最符合便利性、安全性目标要求的选择。提出了明确监管责任、创新监管制度、分级分类监管的政策思路。
第8章食品安全监管的运行机制。本章运用激励—控制理论分析了食品安全监管机构运用监管政策影响监管对象的实际过程。提出运用执法力度系数来衡量我国行政执法力度,我国质检系统2005年、2006年、2007年的执法力度系数仅为0.33、0.37和0.58,远远低于1.0的基本要求。由于食品安全监管的法律法规不健全,政策设计不完善,常常导致“大棒不痛、胡萝卜不甜”的局面。
本章还分析了制约我国食品安全监管效能的危机管理理论模式和实践模式。我国已经进入食品安全危机高发期,食品安全危机具有突发性和紧急性、高度不确定性、信息的有限性、边界的模糊性、发展的非线性等特点,分析食品安全危机管理的理论模式和我国的实践模式,提出从4个途径加强我国的食品安全危机管理工作。一是加强食品安全危机理论研究与宣传,用科学的理论指导食品安全危机管理;二是加快食品安全危机管理法制化进程;三是构建完善的食品安全危机管理组织体系;四是优化危机管理流程,实现危机管理的标准化、制度化。
第9章提高监管体系运行效能的方法探讨—绩效评估。政府监管机构领导不断被问责的事实启示我们,食品安全监管的有效性较低。为了督促地方政府有关部门认真履行职责,使其避免出现工作懈怠、玩忽职守、渎职等问题,论文研究筛选了一套监管绩效评估指标体系。这些指标体系应用政府绩效评估的一般理论和各地实践经验,结合我国食品安全监管实际,并按照德尔菲法用SPSS分析软件对指标体系进行了筛选,形成了包含三个维度、六个业绩领域、20个指标的地方食品安全监管绩效评估指标体系,从而为加强对监管部门的监督提供了科学有效的工具。
第10章加强我国食品安全监管体系建设的政策建议。有效的食品安全监管是一个系统工程,提高食品安全监管的有效性,应当从以下六方面采取措施。一是进一步完善我国食品安全监管的法律法规体系,《食品安全法》与原来已经存在并继续发挥作用的《产品质量法》、《食品卫生法》、《消费者权益保护法》、《生猪屠宰管理条例》等相关法律之间的协调性还比较差,需要将各个法律法规统一起来。此外还需要制定产品责任法,解决执法过程中对执法者的监督问题。二是建立我国的食品安全技术法规体系。改革食品安全标准体系,将其中涉及安全的内容分离出来,建立食品安全法律、食品安全技术法规、食品安全技术标准三个层次定位明确、功能完备的制度体系;三是将政府部门独自监管转变为以政府部门为主,社会相关力量共同参与的协作监管机制。短期目标是先对现在的分工进行调整提高中央权威,减少管理层次,缩窄管理幅度,完善监管网络;将8-9个部门承担的监管职责集中到农业、卫生(食品)、质检三个部门;长期目标是将消费者联盟(协会)、社会中介组织、舆论媒体、生产者纳入监管主体范围,实现监管对象的全覆盖。四是严格食品安全法律和法规的实施。将食品安全法律和法规的实施,纳入人大执法监督范围,加大民事维权执法力度,消除弹性(选择性)执法现象;五是进一步完善食品小企业监管政策。从我国国情出发,对小企业、小作坊实行差异化监管,由各省(自治区、直辖市)根据当地情况,制定灵活有效的监管政策;六是加强食品安全监管绩效评估,建立督促监管机构认真履行职责的监督机制。食品安全监管过程要按照计划、执行、检查、改进的循环模式实现闭环管理,四个环节缺一不可。食品安全政策的制定要坚持透明、公开的原则,吸收消费者、生产者等利益相关方广泛参与;运用科学、规范的食品安全监管绩效评估体系,合理配置监管资源,提高监管能力。
结论和展望。食品安全监管面临着严重的政府失灵现象,亟需采取有力措施提高监管绩效水平;食品安全水平是由食品生产者、食品消费者、政府三种因素或三方力量共同决定的;食品安全监管是一个系统工程,这一系统中的任何一个要素缺失或运转失灵都会降低整个系统的功效;重构与创新我国食品安全监管体系应该采取6条政策;结合国情建立政府、企业、消费者和其他组织协作监管的机制是提高监管效能的发展方向。
Occurred in 2008, the "melamine" poisoning event of our food safety cause to examine the regulation system effectiveness again.China's food safety has been considered as weakest link in social life. Food safety is not only crucial to the national economy and livelihood of the masses, but also an important indication of life quality of a nation and a state. Along with the rapid development of science and technology and the acceleration of globalization, food safety has growing impact on human society, and tens of thousands of people every year have contracted infectious or non-infectious food-borne disease because they ate contaminated foods. These diseases are seriously affecting people's health and debasing the social welfare and production efficiency.
Food products have the features of credence goods. Being a kind of public goods, there exist externalities, information asymmetries in food supply, so market failure is quite common. To address the market failure in food safety, the fundamental solution lies in the governmental regulation----the“visible hand”, to offset the limitations of market mechanism. However, years of regulatory practices show that the effect of government regulation is not satisfactory, the malfunctioning of governmental regulation is still plaguing the whole society. Theoretically, the fundamental reason for government failure is that we still do not have a profound understanding of the food safety supervision mechanism, All these are the important issues concerning food safety and need to be clarified. The understanding to connotation and extension of food safety concept has not reached unanimity, the decision mechanism of food safety is not yet clear, and have not the ways and means to construction cheap and efficient regulation mechanisms,especially on how to create conditions suited to China's regulatory system less. Therefore, the study of China's food safety monitoring system has great theoretical and practical significance.
Under the guiding principles of public administration theory and economic theory and other related theories , given to the practice of establishing and improving the China's socialist market economic system, this dissertation, based on the current status of China's food safety regulation and the experiences in developed nations and regions, using theoretical and empirical analysis methods, qualitative and quantitative analysis approaches, systematically explored the mechanism and patterns of and approaches for food safety supervision in accordance with the principles of systems engineering and the logical structure of system constituents developed countries and regions, foreign experience and practices based on the use of and theoretical analysis, qualitative analysis and quantitative analysis methods, in accordance with the systems engineering principles, based on the constituent elements of the regulatory system (the main body of supervision, supervision regulations and policies , supervision mechanism and the improvement of supervision efficacy ). The dissertation is divided into 10 chapters according to the logical relations and structures.
Chapter I: Introduction.
In this chapter, the backgrounds, purpose and significance of this research were introduced. There is a serious market failure in the issue of food supply safety. In order to correct the deficiencies of market mechanisms, the Government regulation is need . But practice has proved that there is government regulation "failure" problem.The malfunctioning of governmental supervision and regulation in food safety was explored under the guiding principle of systems engineering, and the purpose of the research is to identify the sticking points and solutions, thus to improve the efficacy of supervision.
Chapter II: Basic theories for food safety supervision.
The concept of food safety is the starting point of logic to the issue of food safety control .the connotation of food safety was re-defined and the relations among food safety , food quality and food sanitation were clarified. That food safety is an integral factor of food quality, food safety is a relatively and dynamic concept, the level of food safety will match socio-economic development level. All these have laid a foundation for theoretical analysis. Based on theories in public management, economics and governmental administration, the paper expounded the social reasons for food safety supervision and the basic approaches, thus formulated the basic theoretical framework for thesis research. Analysis of food safety supervision is based on the public management theory, economic theory, and the government regulation theory. The social reasons of food safety regulation is to solve the problem existet in the food supply of the information asymmetry, incomplete and the issue of negative externalities. The essense of Food safety regulation is social regulation .
Chapter III: Comparison of food safety monitoring systems between home and abroad.
The food safety practices in the United States, European Union, Japan, Denmark and other developed countries and regions were analyzed from two dimensions, namely the regulatory systems and legislations (policies, laws and technical standards). The comparison indicated that it would be necessary to integrate the responsibility divisions of the food safety regulatory bodies in our country, according to the natural process of food production, food processing, food circulation and food consumption, and the specialized capacities of different supervision bodies. It should that it was ideal to put the whole supervision of most of the single product under one department. At the same time, we should learn advanced experience from developed countries and regions, and establish highly effective and scientific food safety rules, technological regulations and standards that are in line with international practices, thus to meet the need of the internationalized supervision of food safety and to construct a safeguard for food safety through perfect supervision system.
Chapter IV: Analysis on food safety regulatory system factors and the decision-making mechanisms model.
Food safety system regulatory is make up by from the three major categories of external factors and four internal elements. We assume that external factors are given, regulator can affect the internal factors. According to stakeholder theory, food safety level is determined by the food producers, food consumers, government regulatory bodies within the three basic factors.
Based on the exploration of theories about life value and the willingness of consumers to pay, the decision-making patterns of both producers and consumers of safe food products and the decision-making patters of governmental monitoring bodies were investigated through cost - benefit analysis and game methods. Food safety supervision system consists of three external factors and four kinds of internal factors, all the factors, on the principle of system engineering, formed a complete closed-loop with different running mechanisms, such as the driving force, policy transmission and effect feedback mechanisms.
The consumers pursuit is obtain utility maximization ,the producers seek to maximize profits, the Government seeking to maximize social welfare, the three forces of each other, are mutually dependent on ,they decision a specific community food safety level.
Chapter V: Analysis of the main body of China's food safety supervision
The efficacy of food safety supervision depends on the scientific duty division among the various regulatory bodies, also on the work effort (Vigor) and strength and capacity (Capacity), namely: performance = attitude towards supervision×supervision capacity = attitude towards supervision×(regulators’professional Quality + technology and equipment + other facilities), expressed as a function type: P = f (V, C), P standing for performance, V for enthusiasm, effort, responsibility, C for capacity.
China's food safety regulators formed by nine departments, of which there are five main departments. The functions dispose of these departments in the vertical there are horizontal cross and overlap, semi-vertical and hierarchical management of the phenomenon of mixed,but grass-roots level have exists a vacuum.
China's current food safety regulatory system led to inefficient allocation of resources. First of all, the reason lies in the fact that the function of regulatory bodies in our country is too broad horizontally and multi-layered vertically, thus increased the supervision costs and lowered the supervision efficacy. Secondly, there exists the capacity-building lag of the regulatory organizations. Followed by a number of regulatory bodies, in particular the local government in charge of food safety "total responsibility." Have Slack work phenomennons; The third cause is institutional capacity-building for a regulatory lag To improve the effectiveness of supervision, the supervision function should be strengthened at sate level and the resources of different departments should be integrated. The supervision power of should be narrowed horizontally and the function of each regulatory department be divided specifically. According to the mechanism of food safety and the ideology of food safety control that is to oversee the food production from the farm field to the table, the strategy should be adjusted from the process-oriented supervision with species supervision as the secondary to the species-oriented supervision with process monitoring as its supplement. At the same time, we should rationalize the regulatory system, improve the quality of the regulatory personnel, increase the funding and improve the level of technology and equipment, thus to strengthen the capacity of regulatory bodies.
Chapter VI: The analysis of China's food safety regulatory object
The current status and existing problems of food industries in China were studied by using empirical study and case study of the "melamine" incident. The main problems concerning food safety were as follows: the lack of self-discipline, the loopholes in the regulatory system, the imperfections in technological codes and standards, the fuzzy product liability, the defects in the regulatory system and the impotency in law enforcement.
Between the overall characteristics of the food industry and the regulatory model exist of a close relationship. China's food industry overall concentration ratio is not high, only beer, soft drinks and a small number of relatively industrial has in high concentration ratio. Industries with high concentration ratio of industry, can be highly centralized management style. the development of a unified national regulatory policies, Policies of implementing HACCP-based certification should be drawed up by regulatory authorities to these industries .To the industries with low concentration ratio , should be dispersed supervision of the main regions can be formulated in accordance with its own regulatory policies on market access, only if the food safety risk controled in the tolerance limit .
Chapter VII : Policy tools of food safety regulation.
The policy tools for food safety regulation mainly include legal means, technological legislations and standards, administrative means. Based on thorough analysis of the relations among the above three, a novel conception for the construction of technological legislations was put forward, and the relations among the three were further clarified to facilitate the establishment of a more effective and coordinated policy system and running system for food safety supervision. In real practice, the desired results of food safety supervision depend on the proper use of various means. In accordance with the principles of systems engineering, only through integral planning, the principles of optimization and feasibility, making decisions scientifically, can we choose a scientific and effective policy patterns with typical Chinese characters. This chapter focuses on the difficult problems in food safety control– the policy models for small businesses and small workshops, Application of risk analysis in decision-making matrix ,that small business or small workshops of food should be regulated to rectify its behaviour, the To allow its doing beseness in a limit regional and time , is the best to maximize the overall interests of society but also can convenience and protect people safety mostly.and puts forward policy thinking for their regulations, that is to clarify regulatory responsibility, renovate the regulatory system and conduct supervision according to the grade and the category.
Chapter VIII: Operation mechanism of food safety supervision.
This chapter, using incentives - control theory of management science, analyzed the actual process, in which the supervision bodies affected the subjects to be supervised through supervision polices. The law enforcement coefficient was employed to measure the administrative law enforcement in China, the law enforcement coefficient of China's quality control system was only 0.33 and 0.37 in year 2005 and 2006 respectively, it was far less than the basic requirement of 1.0. Due to the imperfection in legislation and policy making with regard to food safety control, the malfunctioning of supervision of food safety often occurred.
The theoretical and practical models for risk management that restrains the potency of food safety supervision in our country were also explored in this chapter. China's food safety crisis has entered peak period, food safety crisis have the features of abruptness, emergency, high uncertainty, information finity, the ambiguity of the border, non-linear characteristics of the development. The theory model and practical model of the food safety crisis management in China were analyzed, put forward four solutions to strengthen the food crisis management in out country. The first is to strengthen theoretical research in food crisis and its advocacy, use scientific theories to guide food safety crisis management; the second is to speed up the legalization process for food safety crisis management. The third is to perfect the organizations for food safety crisis management, the last is to optimize the management procedure for food safety crisis, and achieve standardization and institutionalization of food safety crisis management.
Chapter IX: Performance assessment—how to improve the efficacy of the supervision system.
The fact that many leaders of governmental regulatory agencies have been asked the accountability shows that the effectiveness of food safety control is lower. In order to urge the relevant governmental departments to avoid the slackness of work, dereliction of duty, malfeasance and other issues, a set of supervision performance evaluation index was put forward. This index system adopted the general theories for governmental performance assessment and the practices in different places, taking the practicality of our country into consideration, using Delphi method to conduct analysis through SPSS software, a new performance assessment index system including 20 indicators ranging within 6 areas of performance from 3 three dimensions was selected for local food safety supervision performance assessment, thus provide a powerful and scientific tool to strengthen the supervision over the regulatory agencies.
Chapter X: Policy suggestions for strengthening China's food safety regulatory system
Effective food safety control is systematic project. To improve the effectiveness of food safety regulation, measures in the following six aspects should be taken. The first is to establish and perfect institutional systems for food safety. First, further improve China's food safety regulation system of laws and regulations, The coordination within "Food Safety law" and the original already exists laws such as the "Product Quality Law," "Food Sanitation Law," "Consumer Protection Law" and "pigs slaughtered management Ordinance "are relatively poor,there are need to unify the various laws and regulations. In addition, there need to draw up product liability law. Take action to solve the law supervision of food safety law enforcement. It is quite necessary to improve the legal and regulatory systems for China's food safety supervision system, to transform the departmental legislation into legislation at state level to achieve the unification of laws and regulations; Secondly,reform the food safety standards system, and leave out the contents relating to food safety, establish specified and self-contained institutional systems containing three levels, namely the food safety laws, technological regulations for food safety and technological standards. Third, turn regulation by government departments alone into the government departments regulation mainly, take community-related forces in the regulatory force,make up coopration mechanism of regulation.it is necessary to establish food safety supervision system with multi-facets. The short-term goal is to adjust the current responsibility division and strengthen the power of central government, downsize management layers, narrow management scope, perfect supervision network, the supervision responsibility shared by 8-9 departments should be centralized in agricultural departments, hygiene and health departments and quality control departments. The long term goal is to enroll the consumer associations, intermediary organizations, mass media, producers into the subjects of supervision bodies, just like the governmental organizations, thus to cover all the supervision bodies. Fourth, the strict food safety laws implemented. it is to strictly enforce the laws and regulations concerning food safety control. The enforcement of laws and regulations concerning food safety should be under the check of the National People’s Congress and its subdivisions, and strengthen the law enforcement to safeguard civil rights, eliminate the flexibility (optional) in law enforcement; Five further improve the small food businesses regulation policy. to explore supervision patterns that are in line with China’s national conditions. Based on China's national conditions, differentiated supervision should be adopted to small business and workshops, and flexible supervision policies should be adoped in different provinces and municipalities in accordance with the local reality. The Sixth, to strengthen food safety regulation performance evaluation is to establish supervision mechanism to check the monitoring performance of the supervision bodies. The supervision process of food safety should be a circling closed loop, containing four indispensable phases for planning, enforcement, checking and improvement. The policy-making for food safety should be transparent and public, and should have the extensive participation of consumers, produces and other related parties. A scientific and normative performance assessment system for food safety supervision should be employed to rationalize the allocation of supervision resources and improve the supervision capacity.
The last part of the dissertation is the conclusion and expectation. In this part , the research work is summarized and basic conclusion of this study is drawn. The inadequacy about the research was also pointed out and the directions for further study was predicted.
Regulation of food safety is facing a serious phenomenon of government failure, an urgent work is to take effective measures to improve the regulation performance level; food safety level is determined by three factors ,they are food producers, food consumers, the Government , food safety regulatory is a system engeneers, the system of any one element is missing or faulty operation will reduce the effectiveness of the entire system; reconstruction and innovation of China's food safety regulatory system should take six policy; Establish the mechanism constitute government, enterprises, consumers and other related regulatory organizations is the development direction to improve the regulation effectiveness.
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