从政府管理到社会治理:食品安全监管的政府职能转变与实践逻辑

经济调节、市场监管、社会管理和公共服务作为现代政府的四大职能,其实现程度对于提升国家治理能力,实现治理现代化有着重要意义。本文从建设监管型政府角度出发,对1949—2014年的历年政府工作报告进行内容分析发现,社会性监管,特别是食品药品安全监管成为近些年的重点,市场性监管、行政性监管领域逐渐走向成熟。监管手段逐渐由"加强监管"的口号层面,发展到提出依法监管,监管的基本手段、标准和方式的方法层面,再到提出构建监管体系,完善机制的制度层面。同时,选择处于改革中的食品安全监管领域的案例作为分析对象,试图展现政府监管职能转变过程的基本特征和实践逻辑,并提出构建社会治理体系对社会性监管的重要意义。     

我国药品监管机构设置和职能配置的优化——基于药品安全的视角

从1998年到2008年十年时间,中国药品监管机构设置和职能配置出现多次调整甚至反复,现行的制度安排有诸多不尽合理之处,表现在地方各级药监部门归同级卫生行政部门领导难以保证药品安全监管的独立性;将食品、化妆品的部分监管职能配置给药监部门忽视了监管产品的差异,难以体现监管的专业性;各级地方政府也难以对药品安全负责等方面。因此,建议药监部门实行中央到地方的垂直领导,剔除药监部门保健食品以外的食品、化妆品监管职能,对药品及相关产品的监管职能进行同类整合。     

西方国家治理变革及对我国行政改革的启示

当代西方国家行政改革的基本趋势是治理型的公共行政,与传统的行政模式相比较,治理不仅具有全新的内涵,而且正在成为指导行政改革的一种新理念。在治理理论指导下,西方国家掀起了公共行政改革的浪潮。中国有必要借鉴西方发达国家行政改革的实践和经验,以先进的行政理念重塑政府,构建与现代社会相适应的政府行政模式。     

中国式“监管国家”的问题与反思:以食品安全为例

监管国家的兴起是当代社会发展的重要趋势。在中国,有限准入的市场理念使监管者将发证看作是监管的主要途径,同时,以大企业标准设立的过高准入标准下,监管者将大量精力投放于围堵无证生产经营活动,获得许可进入市场的厂商缺乏有效监管,再加上低端市场的广泛存在诱发厂商的机会主义行为,监管者陷入管不胜管、防不胜防的困局。破解中国食品安全监管的困局,不只是监管机构撤并的问题,更承载着政府与市场关系建构的重要使命。     

整合与协同:我国食品安全监管体制改革的方向

整体性治理、协同治理是现代政府管理的特点和发展趋势.近年来,一系列食品安全事件频发甚至升级,暴露出我国食品安全监管中存在的问题,政府为主体的单一监管以及政府系统内碎片化的监管体制的弊端逐渐凸显.构建政府系统内整合监管以及政府与社会协同监管体制将是我国食品安全监管体制改革的方向.     

族际和谐治理模式下的当代中国少数民族干部政策发展

少数民族干部政策是我国民族政策的重要内容,制定科学完善的少数民族干部政策,是落实民族政策的关键,是实现族际和谐治理的关键.族际和谐治理模式下的当代中国少数民族干部政策是指在多民族国家运用国家权力将国内各个民族结合成一个统一的政治共同体,并维护这个共同体的政治过程中的少数民族干部政策的发展.本文主要研究当代中国少数民族干部政策的成效和不足,以及在构建族际和谐治理模式下的当代中国少数民族干部政策的发展趋势、相关问题和少数民族干部政策的发展建议、制度建设等.     

基于整体性治理的食品安全监管体系探究

目前中国食品安全监管模式主要是分段监管为主,品种监管为辅。这种模式细化了监管领域和监管环节,有利于提高专业化行政能力,但不可避免地导致了监管的"碎片化"。整体性治理着眼于政府内部机构的整体性运作,主张从分散走向集中,从破碎走向整合。以整体性治理的视角检视食品安全监管体系构成、运作逻辑以及存在的问题,有利于重塑中国食品安全监管体系。     

技术监管：智慧社区大脑新型风险监测与处置模式建构

传统的政府社会监管模式是一种基于信息不对称和信息收集过程缓慢、部门沟通与协作困难的孤岛式人工处置模式。智慧社区大脑系统通过构建基于"家庭—楼道—小区"的"神经元"式风险感知系统、基于条块协作的"神经中枢"式全面联动响应系统以及基于流程再造的高效事务处置系统,推动了集风险感知、联动响应、高效处置于一体,融事先预防、事中处置、事后改善于全过程的新型政府社会监管技术化监测与处置模式的建构。基于技术手段的运用,以区域化治理为中心,技术监管通过搭建技术化的综合监管平台,推动了技术工具与科层组织的深度融合与双重再造,打通了线上和线下的分割状态,实现了信息支撑数据、数据引导流程再造的动力机制重构,进而促成了块块主导、条线融入、条块协作、多方参与、硬件与软件配套的新型基层治理体系与政府社会监管模式的生成。     

中国食品安全监管——基于体制变迁与绩效评估的实证研究

自新中国成立以来,中国食品安全管理体制经历了一个怎样的历史变化过程?从历史制度分析的方法论出发,如何从监管者、监管对象以及监管过程三个角度来界定这样的历史变化过程?现行的食品安全监管体制绩效如何?根据不同时期食品安全管理主体、对象以及政策工具的差异,将建国以来我国食品安全管理体制区分为指令型体制、混合型体制与监管型体制三个阶段,同时对不同阶段的发展脉络、具体特征以及体制利弊进行了归纳总结。此外,选择了四个具有代表性的指标,对1990年至今的中国食品安全变化态势进行了测量,发现我国食品安全的形势经历了一个明显的V型曲线发展过程,并据此对这一过程提出自己的解释假设,以此为中国食品安全监管的历史和现状提供一个白描式的描述图景。结合历史制度主义的分析范式,从四个方面综合分析出制约中国食品安全监管绩效优化的四大结构性因素,从而将其监管绩效的现状与历史制度根源联系起来,提出未来中国食品安全监管体制的改革方向。     

安全生产的政府监管深度与多元政策调适

安全生产的政府监管存在治理深度与事故风险严重程度失衡与错位的问题,即监管政策应用中出现的对重大风险轻微处置、对轻微风险严苛规制的现象,这会导致政策实施的低效,不利于发展与安全的统筹,甚至诱发外延风险,带来社会问题。为把握地方政府安全生产监管与风险治理的内在逻辑,以需求溢出理论为观察视角,构建“公共风险—治理深度—监管效能”分析框架,并结合T市开展“包容审慎监管”的案例,依照差异化的事故风险定位监管深度,形成“审慎—包容”两种治理深度不同的监管政策,同时推行监管效能的内部调适政策,在安全生产的同时,也对执法措施冲击群体利益的公共风险予以有效化解。     

The Politics of Regulation: A Comparative-Historical Study of Occupational Health and Safety Regulation in Australia and the United States

Australia and the United States adopt radically different approaches to occupational health and safety regulation, even though their ultimate objectives in this policy area are effectively the same. The US regulatory style is more centralised, legalistic and adversarial, in contrast to Australia's state-based and more consensual approach. This difference in regulatory approach dates from the 1970s: for the 100 years prior to that, workplace health and safety regulation in both countries took a similar legal, institutional and administrative form. The reasons for the contemporary regulatory divergence lie in the distinct national configurations of state and societal institutions in the two countries and the different constellation of political actors involved in regulatory design and reform.     

The Globalization of Pharmaceutical Regulation

Drugs have long been among the most extensively regulated of all consumer products. Not only do all governments closely supervise virtually every aspect of their development, testing, production and marketing, but many also regulate their pricing and distribution. The pharmaceutical industry is highly globalized, with over half the sales of the fifty largest drug companies made outside their home country (Tarabusi and Vivkery 1993). However, until recently, drug regulation was virtually synonymous with national sovereignty. Firms were required to conduct separate tests, submit separate applications, and meet distinctive criteria to enter each national market.
Because drugs are so extensively regulated and have such significant health and safety impacts, drug policy coordination has proven extremely difficult. Nonetheless over the last decade, national regulatory agencies have begun to cooperate more closely with one another. The European Union has established a centralized drug approval system, the United States Food and Drug Administration has become more willing to cooperate with its foreign counterparts, and the United States, the EU and Japan have made substantial progress in harmonizing drug approval requirements under the auspices of a new international body, the International Conference on Harmonization of Technical Requirements for the Registration of Pharmaceutical Products (ICH). This article describes and assesses the implications of the increase in international coordination of national drug approval policies. It argues that the undermining of national regulatory sovereignty has improved both the effectiveness and efficiency of government regulation.     

Missing links between regulatory resources and risk concerns: Evidence from the case of food safety in China

Do resources available to regulatory agencies matter for public perceptions of social risks? In this paper we use the case of food safety in China to empirically examine the relationship between regulatory resources and risk concerns. The multilevel model estimates suggest that neither regulatory revenue nor personnel is significantly related to public concerns over food safety. There is also no significant interaction effect between regulatory resources and food scandals. Despite the fact that sufficient fiscal revenue and manpower are the prerequisites of effective food safety regulation, they do not elicit more favorable public perceptions. These are the two missing links leading to the insignificant effect of regulatory resource inputs. First, ineffective distribution and deployment of resources and the lack of external participation retard the growth of regulatory capacity. Second, underinvestment in risk communication and the amplification effect of risks undermine regulatory legitimacy. We discuss the theoretical and policy implications of the results, and conclude with research limitations and suggestions for future research.     

Managing Risk and Regulation in European Food Safety Governance

This article focuses on the state of European food safety governance and offers a view on possible future courses of regulatory policymaking. We begin by examining the deficiencies of the current multilevel governance system in European Union (EU) food safety policy, with an empirical focus on Hazard Analysis and Critical Control Point (HACCP) systems. We then submit that a regulatory agency model (centralization) might perform better than multilevel governance or renationalization in terms of reducing business uncertainty, promoting food safety enhancing innovation, and improving consumer trust in the food supply. Hence it would make European food markets more resilient to recurrent food safety crises. We also argue that the EU's precautionary approach as applied to some areas of food safety risks is tied to legitimacy enhancing objectives of EU institutional actors. Assuming that supply‐side rents will change over time, we submit that emphasis of regulatory impact analysis (i.e., cost benefit considerations) is likely to increase.     

Tracing and periodizing China's food safety regulation: A study on China's food safety regime change

How has China's food safety administrative system changed since it was founded in 1949? How can we periodize the process of this historical transformation in terms of regulators, regulatees, and regulatory tools? This review article offers an analytical framework that distinguishes three regimes in the history of China's food safety governance: an old regime of command and control (1949–1977), an intermediate regime of mixed instruments (1978–1992), and a new regime of regulatory governance (1993–ongoing). In the article the regimes' features, advantages, disadvantages, and development tracks are discussed, and the groundwork is laid for an analysis of China's emerging regulatory state. Finally, a new notion of “transitional regulatory state” is used to define the current Chinese regulatory state based on its food safety regulation.     

Gorillas in the closet? Public and private actors in the enforcement of transnational private regulation

This paper examines to what extent the background presence of state regulatory capacity – at times referred to as the “regulatory gorilla in the closet” – is a necessary precondition for the effective enforcement of transnational private regulation. By drawing on regulatory regimes in the areas of advertising and food safety, it identifies conditions under which (the potential of) public regulatory intervention can bolster the capacity of private actors to enforce transnational private regulation. These involve the overlap between norms, objectives, and interests of public and private regulation; the institutional design of regulatory enforcement; compliance with due process standards; and information management and data sharing. The paper argues that while public intervention remains important for the effective enforcement of transnational private regulation, governmental actors – both national and international – should create the necessary preconditions to strengthen private regulatory enforcement, as it can also enhance their own regulatory capacity, in particular, in transnational contexts.     

企业政治行为对管制动态均衡的隐蔽性影响

随着现代管制理论和管制实践的不断发展,研究管制均衡的动态性变化和企业影响管制均衡的隐蔽性行为,对于提高政府管制政策的合理性有着十分重要的意义.因为这些隐蔽性行为处在合法性的边缘或是范围以内,在实践中也越来越多地被企业所运用.从管制过程中的三个利益相关者--消费者、企业和政府之间的现实关系、各自追求不同的目标和相互作用入手,运用Stigle-Peltzman的管制均衡模型研究了政府管制机制从初始设计到现实执行结果之间的演变轨迹,并在此基础上通过对该模型进一步的推理分析和案例研究得出结论,企业运用政治行为对管制动态均衡进行隐蔽性影响,使其向有利于自身的方向发生动态的偏离,从而获取超额利润的机制和作用方式.主要有:利用管制政策的相对静态性,通过隐蔽信息产生管制错位;削弱消费者的影响力,改变政府边际效用替代率.进一步阐述了管制错位和政府失灵的经济学机理,对现有的管制理论和企业政治行为理论进行了拓展,这对提高经济转型时期的我国政府管制政策的合理性具有积极的意义.     

Deregulation and Participation: An International Survey of Participation in Electricity Regulation

Amidst the wave of privatization and "deregulation" across the globe, a new set of regulatory structures is being created. The fact that deregulation actually involves "re-regulation" has been acknowledged in the recent literature, but the tension between regulation and public participation has been understudied in these new structures. While some private markets need effective regulation to reduce transactions costs and ensure stable market rules, consumers need regulation that is responsive to, and protective of, their interests. Consumer participation, therefore, is an important component of effective regulation. Effective regulation must also consider collective national or public interests, including the well-being of corporations. Therefore, regulatory agencies need to be both independent from, and responsive to corporate, consumer, and public interests. This article will briefly examine the tension among the competing goals of regulatory independence and responsiveness, and then conduct a broad survey of the status quo of public participation in national regulatory structures for electricity in the Americas. Our case studies demonstrate a wide variety of institutional mechanisms for participation, yet we find that no existing system seems to embrace direct participation by a wide set of consumers. The problems are even more acute in developing countries. We conclude by looking at recent experiments and proposals to improve the levels of participation in regulatory decision making.     

The Bio-economy and the Competition State: Transcending the Dichotomy between Coordinated and Liberal Market Economies

This article examines the role of the state in the emerging bio-economy. The starting point is that state interventions, including supportive regulatory arrangements and the shaping of public attitudes, constitute core assets in the evolution of bio-industrial complexes. Public policy in the bio-economy, across advanced industrial countries, is well captured by the “competition state” concept. This type of state takes different forms, analogously with the historical variants of the Keynesian welfare state. The article compares patterns of governance of the biotechnology sector in Finland and Sweden, the USA and the UK, and Australia. It is concluded that the bio-industry sector does not fit with the “models of capitalism” paradigm which postulates coherence within, and systemic divergences between, national models of economic governance. The bio-economy displays trends toward convergence, in particular mounting public investments in health care and in research and development. On the other hand, countries differ in their approach to market regulation, industrial support, and ethical restrictions. These differences do not follow the dichotomy between “liberal” and “coordinated” models of capitalism.