我国食品安全监管体系研究

发布时间：2018-06-14 13:04

本文选题：食品安全 + 政府监管　；参考：《西北农林科技大学》2009年博士论文

【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。
[Abstract]:The "melamine" poisoning incident in 2008 caused the effectiveness of our food safety supervision system to be examined again. Food safety has been listed as the worst part of our social life. Food safety is the life problem related to the national economy and the people's livelihood, and is also an important symbol of the quality of life of a nation and a national people. With the rapid development of science and technology, the rapid development of globalization and the rapid development of globalization, food safety has a growing influence on human society. Thousands of people suffer from contaminated food and non infectious food borne diseases every year. These diseases seriously affect the health of people and reduce the society. Welfare and production efficiency.
As food has the characteristics of trust products, there are externalities, information asymmetry and public product problems in the food safety supply. Market failure is a normal condition. The way to solve the "market failure" of food safety is to use government food supervision as a "tangible hand" to make up for the defects of the market mechanism. The management practice has proved that the effect of government supervision is not satisfactory, and the problem of "government failure" still plagued the community. In theory, the fundamental reason for the failure of the government lies in our lack of profound understanding of the mechanism of food safety supervision, the lack of unified understanding of the internal and extension of the concept of food safety and the decision of food safety. The principle is not clear, there is a lack of ways and means to establish a cheap and efficient regulatory system, especially on how to establish a regulatory system that is suitable for the national conditions of our country. Such issues are still unresolved, and have become an important subject for the study of food safety. Therefore, it is important to study the food safety supervision system in China. And the real meaning.
Guided by the theory of public management and the theory of economics and so on, under the background of the establishment and perfection of the socialist market economy system in China, it is based on the present situation of food safety supervision in our country. On the basis of the experience and practice of developed countries and regions, the empirical analysis and theoretical analysis are combined, and the qualitative analysis is made. According to the principle of system engineering, according to the principles of system engineering, according to the logical structure of the constituent elements of the regulatory system (supervision subject, supervision object, supervision means and improvement of supervision effectiveness), the mechanism, mode and path of food safety supervision are systematically analyzed. According to logical relationship, the paper is divided into 10 chapters.
First chapter introduction. This chapter introduces the research background, purpose and significance of the paper. There is a serious market failure in the supply of food safety. In order to correct the defects of the market mechanism, the government needs to be supervised. However, the practice has proved that there is a "failure" problem in the government supervision. This paper studies the food safety according to the system engineering idea. The purpose of monitoring the existence of "government failure" is to find out the crux of the problem and improve the effectiveness of supervision.
The second chapter is the theoretical basis of the research on the food safety supervision system. The concept of food safety is the logical starting point for the study of food safety supervision. The paper redefines the connotation and extension of food safety, clarifies the relationship between food safety and food quality, food hygiene, and believes that food safety is a component factor of food quality, and food safety is a component of food quality. Safety is a relative dynamic concept, and the level of food safety is adapted to the level of social and economic development. The analysis of food safety supervision should be based on public management theory, economic theory and government supervision theory. The social reasons for food safety supervision are to solve the information asymmetry, incomplete and negative externality in food supply. The essence of food safety supervision is social supervision.
The third chapter is the international comparison of food safety supervision system. This chapter analyses the experience of food safety supervision in developed countries and regions such as the United States, EU, Japan and Denmark from the two dimensions of regulatory system and regulatory system (policy, law and technical standard system). At the same time, we should draw on and absorb the advanced experience of developed countries and regions, and establish the laws and regulations on food safety with international standards, efficient and scientific, technical regulations and technical standards system as soon as possible to adapt to the regulatory state of food safety problems. We need to build a "dam" for food safety with strict supervision system.
The fourth chapter is the constitution of the food safety supervision system and its decision-making model. The food safety supervision system is composed of three kinds of external factors and four kinds of internal elements. We assume that the external factors are given and the internal factors are the factors that the regulators can affect. In this chapter, on the basis of the life value theory and the wilingness to pay (wilingness to) empirical study, this chapter analyzes the decision-making model of the producers and the needs of the safe food and the decision model of the government supervision by using the cost-benefit analysis and game method. The producers pursue the maximization of profit, the government seeks the maximization of social welfare. The three forces restrict each other and depend on each other, and together determine the level of food safety in a specific society.
The fifth chapter analyses the object of food safety supervision in China. This chapter analyzes the development of food industry and the status of food safety in China. With the case of "melamine", the paper analyzes the lack of self-discipline, loopholes in the regulatory system, the imperfect technical regulations and standards, the fuzzy responsibility of the product, the malpractice of the supervision system and the poor execution of the law. And other six aspects of the dilemma.
The overall characteristics of the food industry are closely related to the mode of supervision. The overall concentration of the food industry in China is not high, only the concentration of beer and beverages is high. The industry with high concentration of industry can implement a highly centralized management mode, the national unified regulatory policy is formulated, and the regulatory authorities should be main to these industries. We should implement the regulatory policy based on HACCP certification. For industries with low industrial concentration, we should focus on decentralized supervision. Each region can formulate market access regulatory policies according to its own reality and control the risk of food safety within the range of tolerance.
The sixth chapter analysis of the subject of food safety supervision in China. The effect of food safety supervision depends on the scientific division of labor between the regulators, and also depends on the degree of work effort (Vigorous) and capacity intensity (Capacity), that is, regulatory performance = regulatory attitude * regulatory capacity = regulatory attitude * (supervisor professional quality + technical equipment + other facilities), and a letter of use The number expression is: P=f (V, C), P in the form represents performance level, V represents enthusiasm, effort level, sense of responsibility, C representative ability.
China's food safety regulatory agency is composed of 9 relevant departments, the most important of which have 5 departments. The functions of these departments are cross and overlapping horizontally, vertical, semi vertical and graded management are mixed in the vertical, and there is a regulatory vacuum at the grass-roots level.
The current food safety supervision system in China has led to low efficiency in the allocation of regulatory resources. The reason is that the function of China's regulatory agencies has a wide horizontal and excessive vertical level, which has artificially increased the cost of supervision and reduced the efficiency of supervision; secondly, some local governments, especially the local governments that have "negative responsibility" for food safety. In order to improve the supervision effectiveness, we should strengthen the regulatory function at the national level, integrate the resources of various departments, narrow the horizontal regulation range, and adjust the division of division of labor. The regulation strategy, which is the main course supervision, the variety supervision is supplemented, is adjusted to the supervision strategy of "mainly variety supervision and process supervision, supplemented by process supervision". At the same time, it is necessary to strengthen the capacity construction of the supervision mechanism from four aspects: straightening up the system, improving the personnel quality, increasing the funds guarantee and improving the level of the technical equipment.
The seventh chapter is the means and tools of food safety supervision. The policy tools of food safety supervision mainly include legal means, technical regulations and food standard means, and three kinds of administrative means. On the basis of comparison and analysis of the relations between the three, the paper puts forward the construction of the system of China's food safety technology and regulations, and further clarifying the position of the functions between the three. In the process of actual supervision, whether food safety supervision can achieve the desired effect depends on the use of various means. In accordance with the principles of system engineering, only following the principle of integration, optimization and feasibility principle, scientific principle of decision-making, combination effect According to the principle of comparative analysis, we can make a policy model which is in line with China's national conditions and create science, application and Chinese characteristics. This chapter focuses on the analysis of the difficult problems in food safety supervision - small enterprises, small workshop regulatory policy mode, and the use of risk decision matrix to analyze the small workshop of small food enterprises. To allow its limited time limit for regional production, which is most in line with the requirement of maximizing the interests of the society as a whole. It is also the best choice to meet the requirements of the convenience and safety. It puts forward the policy ideas of clear supervision responsibility, innovation supervision system and classification and classification supervision.
The eighth chapter is the operation mechanism of food safety supervision. This chapter uses incentive control theory to analyze the actual process of the regulatory policy of food safety regulators to influence the target of supervision, and puts forward the use of law enforcement coefficient to measure the strength of administrative law enforcement in China. The law enforcement coefficient of China's quality inspection system in 2005, 2006, and 2007 is only 0.33,0.3 7 and 0.58, far below the basic requirements of 1. Because the laws and regulations of food safety supervision are not perfect and the policy design is not perfect, it often leads to the situation of "the stick is not painful and the carrot is not sweet".
This chapter also analyzes the theoretical and practical mode of crisis management which restricts the effectiveness of food safety supervision in China. China has entered a high crisis of food safety crisis. The food safety crisis has the characteristics of sudden and emergency, high uncertainty, limited information, fuzziness of the boundary, nonlinear development, and the analysis of the food safety crisis. The theoretical model of management and the practice model of our country put forward 4 ways to strengthen the food safety crisis management in China. One is to strengthen the theoretical research and propaganda of food safety crisis, to guide the food safety crisis management with scientific theory, two to speed up the legal process of food safety crisis management, and three to build a perfect food safety. The four is to optimize the crisis management process and realize the standardization and institutionalization of crisis management.
The ninth chapter is the method to improve the operational effectiveness of the regulatory system - performance evaluation. The fact that the leaders of the government regulators are constantly being accountable shows us that the effectiveness of food safety supervision is low. In order to supervise and urge the relevant departments of local governments to conscientiously perform their duties and to avoid problems such as work slack, dereliction of duty, and dereliction of duty, the paper studies and filters the paper. This system uses the general theory of government performance evaluation and the practical experience of various localities, combined with the practice of food safety supervision in China, and screening the index system by the Delphi method with SPSS analysis software, and forms a local food containing three dimensions, six performance fields and 20 indicators. Product safety supervision performance evaluation index system, thus providing a scientific and effective tool for strengthening supervision of regulatory departments.
The tenth chapter strengthens the policy proposals for the construction of China's food safety supervision system. Effective food safety supervision is a systematic project to improve the effectiveness of food safety supervision and regulation, and measures should be taken from the following six aspects. One is to further improve the legal and regulatory system of food safety supervision in China, "food safety law".
【学位授予单位】：西北农林科技大学
【学位级别】：博士
【学位授予年份】：2009
【分类号】：F203

【引证文献】