【作者】 何笑；

【导师】 陈富良；

【作者基本信息】 江西财经大学 ， 政治经济学， 2009， 博士

【摘要】 社会性规制从本质上来说是为了纠正因外部性和内部性等市场失灵而引致的资源配置的非效率性和分配的不公正性,以及维持社会秩序及经济社会的稳定,从而实现社会总体福利水平的增进。但是,社会性规制与经济性规制一样都存在着失灵的可能,与后者不同的是,由于社会性规制的一个重要特点在于它的横向制约功能,它涉及到我们所有产业生产和社会生活中的各个领域,这就决定了我们很难通过设立一个具有各方面知识和专业技术的独立性规制部门来加以规制,从而形成了一个庞大的横向职能分工、纵向层级节制的社会性规制体系。在这个组织体系之中,各部门之间不可避免地会存在着各种各样的矛盾和冲突,而这无疑会大大影响到规制政策的效率,从而导致社会性规制的失灵。因此,研究社会性规制中的部门冲突与协调问题,不仅有助于丰富和完善现有的社会性规制理论体系,对于我国政府社会性规制效率的改进同样也有着积极的现实意义。本文的一个基本命题是:社会性规制横向制约的重要特征,决定了在社会性规制中通常需要形成一个庞大的横向职能分工、纵向层级节制的规制体系。由此,我们必须综合运用以规则与权威为核心的程序化协调机制和以信任与合作为核心的非程序化协调机制来消除或缓解不同规制主体之间的各种矛盾和冲突,从而提高社会性规制的有效性。也就是说,树立一种以“合”为本质的协调理念应当是解决规制主体间冲突进而增进社会性规制效率的根本之道。围绕这一基本命题,本文综合应用了社会性规制理论、委托代理理论和组织协调理论等多学科的知识和工具,力求得以更好地揭示社会性规制中各规制主体间的各种矛盾和冲突关系,并通过协调机制的合理选择和设计来妥善地化解这些矛盾和冲突。为了系统地阐述这一基本命题,作者在全文的结构方面做了如下安排:第一章是导论部分,主要是介绍本文的选题背景与意义,研究的主题与方法,研究的思路与框架,以及可能的创新与不足之处,以便大家对全文的研究主旨和内容能有一个大致的了解。第二章是文献评述与分析框架。由于目前很少有学者对社会性规制中的协调问题进行较为系统的研究,因此,本章的目的是首先对社会性规制理论的内容做一个全面的阐述,其次对组织协调理论、委托代理理论等领域学者在相关方面所做的研究进行大致的梳理和评析,最后在综合三个学科相关知识的基础上,提出社会性规制协调机制的基本分析框架,从而为全文的研究提供一个理论上的支撑,并使大家能够较为清晰地把握全文的基本脉络。第三章是社会性规制协调的必要性与可行性分析。这是本文正式提出问题的部分,主要是分析什么是社会性规制协调以及为什么需要在社会性规制中强调协调的意义。在对本文所定义的社会性规制协调的概念和内涵做出明确解释的基础上,作者指出各规制部门之间在利益目标、价值观、信息、政策、组织结构等方面存在的冲突是导致社会性规制效率降低的重要原因。因此,必须通过合理的协调机制设计来消除或缓解这些冲突性因素。当然,在协调机制的选择和设计过程中,我们也必须考虑到协调的可行性问题。所以,树立一种基于成本收益分析的效率理念同样是非常重要的。第四章和第五章是本文分析问题的部分,主要是对社会性规制中利益冲突和结构冲突这两种最重要的冲突形式进行深入的分析并由此得出相应的结论。在第四章中,本文将社会性规制中的利益冲突大致分为政治家和规制者之间的纵向利益冲突和不同规制者之间的横向利益冲突两种类型。其中,又将前者细分为规制者追求部门预算结余最大化和规制者追求规制权和自由裁量权这两种冲突形式,将后者细分为前向性冲突和后向性冲突这两种冲突形式,并运用委托代理模型对此进行了一般化的分析,同时也基于委托代理理论的视角提出了一些解决冲突的基本策略。在第五章中,本文首先将目前的组织结构大致区分为公共官僚制和新公共管理这两种基本模式,并且具体分析和比较了这两种模式背景下的结构冲突及协调机制的明显区别,指出官僚制模式下的组织通常存在着比较严重的纵向结构冲突与横向结构冲突问题,而且其过于强调利用程序化协调机制来协调组织成员内部冲突的方式也很难取得令人满意的效果。相对而言,新公共管理模式下的组织则能够更好地消解组织本身的结构性冲突问题。而且,后者在协调方式上也更加注重了对非程序协调机制的应用。然后,以我国水环境规制的具体情况为例,分析了社会性规制中的结构冲突与协调问题。第六章是本文解决问题的部分,主要是在前面的研究基础上提出社会性规制协调机制的选择和设计问题。本文根据二分法的分析框架,将社会性规制协调机制大致分为两种基本形式:一种是以规则与权威为核心的程序化协调机制,另一种是以信任与合作为核心的非程序化协调机制。同时,文中也指出两种协调机制事实上是不可分割、相互影响和共同发挥作用的,而且我们还必须根据具体的情况来考虑两种协调机制方式的作用程度和作用形式,从而更好地发挥出协调机制的整体功能。最后,本文指出我国在社会性规制协调机制的选择和设计过程中,主要应考虑信息技术和社会转型这两方面的现实约束条件,并提出了协调机制设计时的一些基本思路。第七章是理论应用部分,主要是将社会性规制协调机制理论运用于目前广受关注的中国食品安全规制领域,尝试对中国食品安全规制中的规制冲突问题进行尽可能深入细致的分析,并且提出在规制协调机制设计方面的一些政策性建议。更多还原

【Abstract】 Social regulation is to correct inefficiency of resource allocation and unjust of distribution caused by market failure in essence, such as external and internal, and maintain social order and social stability, accordingly realize the social welfare level increasing. However, social regulation may be failure the same as economic regulation. Compared with economic regulation, social regulation has an important feature of the lateral restricts function, and involves all fields of our industrial production and social life, therefore, it is difficult for us to set up an independent regulation department with various aspects of knowledge and professional skills, thus form social regulation system with a huge transverse functions and longitudinal hierarchy. In this organization system, there will exist various contradictions and conflicts which will affect the efficiency of regulation policy between departments, thus lead to the failure of social regulation. Therefore, the study on the problem of department conflicts and coordination in social regulation not only helps to enrich and prefect the existing social regulation theory system but also has positive significance for improving the efficiency of government social regulation in China.This is a basic proposition of the paper: the important features of lateral restricts of social regulation decides that it is necessary to form regulation system with a huge transverse division of functions and longitudinal hierarchical. Therefore, we must comprehensively use the procedural coordination mechanism with the core of rules and authority and the non-procedural coordination mechanism with the core of trust and cooperation to eliminate or alleviate various contradictions and conflicts between different regulation departments, accordingly improve the effectiveness of social regulation. Namely, it is a fundamental way for solving the conflicts between departments and increasing the efficiency of social regulation to establish an idea of "harmony" as its essence. According this proposition, the paper comprehensively uses multidisciplinary knowledge and tools, such as social regulation theory, principal-agent theory and organization coordination theory, and strives to reveal various contradictions between departments of social regulation and the relationship of conflicts, and properly resolves the contradictions and conflicts through reasonable choice and design of coordination mechanism.In order to systematically expound the basic proportion, the paper is divided into the following sections:Chapter one is the general, provides an introduction to the background of study and why study the subject, topics and relevant of study, path and framework of study, contuibution and shortcoming, and lets people have a general understanding of main idea and content of the paper.Chapter two provides an introduction to common of literature and framework of analysis. Since few scholars systematically study the problem of coordination in social regulation, therefore, this chapter will explain this problem from three aspects in order to provide a theoretical support for the study and letting everybody can more clearly grasp the basic path. First of all, it will comprehensively explain the content of the theory of social regulation. Secondly, it will roughly evaluate and analysis the relevant study made by organization coordination theory and principal-agent theory. Finally, it will put forward the framework of analysis of social regulation coordination based on comprehensive related knowledge of three subjects.Chapter three provides an introduction to the necessity and feasibility analysis of social regulation coordination. The paper formally puts forward questions in this part, mainly analysis that what is social regulation and why we need to emphasize the importance of coordination in social regulation. The paper also points out that the conflicts between regulation departments about the goal of interest, values, information, policy and organizational structure is the main cause of leading to low efficiency of social regulation based on having a clear explanation of concepts and meanings which the paper defined of social regulation coordination. Therefore, rational coordination mechanism must be designed to eliminate or alleviate these conflicts. Meanwhile, we must also consider the feasibility of coordination in the process of choosing and designing the coordination mechanism. So, it is also very important to establish an idea of efficiency based on cost and benefit analysis.The paper starts to analysis the problem in chapter four and chapter five. The two parts deeply analysis the two most important forms which are interest conflicts and structural conflicts in social regulation, and obtain the corresponding conclusion. In chapter four, the paper considers that conflicts of interest can be divided into longitudinal conflicts of interest between politicians and regulators and transverse conflicts of interest between different regulators in the social regulation. The longitudinal conflicts of interest can be divided into interest conflicts of regulators pursuing maximizing department budget surplus and interest conflicts of regulators pursuing regulatory powers and discretion. The transverse conflicts of interest can be divided into forward conflicts and backward conflicts. This part uses principal-agent model to analysis the conflicts, meanwhile, proposes some basic strategies to solve the conflicts based on principal-agent theory.In chapter five, the paper considers that present organizational structure can be divided into two basic modes which are public bureaucracy and new public administration, and concretely analyzes and contrasts the structural conflicts under the two kinds of mode and the obvious difference between coordination mechanisms, and points out that the organization under the mode of bureaucracy usually exists serious longitudinal and transverse structural conflicts, and that it is very difficult to obtain satisfactory results due to overly emphasis on using procedural coordination mechanism to coordinate the internal conflicts between the members. Relatively, the organization under the new public management mode is better to solve the organization structural conflict problem. Then it analyzes the structure conflicts and coordination problem in social regulation with the case of water environment regulation in China.Chapter six is to solve the problem. It puts forward the problem of selection and design of social regulation coordination mechanism based on the front studies. Social regulation coordination mechanism can be divided into two basic types based on the analysis framework of dichotomy. One is procedural coordination mechanism with the core of regulation and authority. Another is non-procedural coordination mechanism with the core of trust and cooperation. Meanwhile, it also points out that the two kinds of coordination mechanisms are indivisible, influence each other and work together in fact. We must consider degree and form of function of the two kinds of coordination mechanism according to the specific situation, in order to develop the whole function of the coordination mechanism. Finally, the paper points out that we should mainly consider two realistic constraint conditions which are information technology and the social transformation in the process of selection and design of social regulation coordination mechanism in China, and puts forward some basic path for mechanism design.Chapter seven is to apply the theory. In this chapter, social regulation coordination mechanism theory will be applied to the field which is noticed by most people of food safety regulation in China. It also in-depth and meticulous analyzes the problem of regulation conflicts of food safety regulation in China, and proposes some policy suggestion about regulation coordination mechanism.更多还原