【作者】 肖唐华；

【导师】 周德翼；

【作者基本信息】 华中农业大学 ， 农业贸易与农村金融， 2009， 博士

【摘要】 众所周知,转基因作物研究和应用在给人类带来福利的同时,也会存在风险。转基因作物研究阶段的风险主要是环境风险,造成风险发生的主要因素是研究者的操作规程、实验室设施是否合乎要求等。因此,为了对转基因作物研究的环境风险进行控制,现有的工作主要是制定技术人员实验室和田间操作规范。但是,由于这些操作规范的执行涉及到人力和物力的投入,因而,规则和制度的遵守涉及到研究人员遵守规则的激励问题。这可能是转基因作物研究阶段风险控制的主要问题,但现有的研究对此很少涉及。即将启动投资35亿美元的转基因生物研究重大专项,标志着我国广泛开展转基因生物研究的时代已经到来,因此对研究阶段的环境风险控制研究具有重要的现实意义。本研究主要研究四个方面的问题:首先对转基因技术的技术特性进行分析,从而推导出其经济特性;其次,基于商品品质属性的视角对转基因作物环境风险进行分类;第三,基于转基因技术的经济特性,推导出在现有的制度框架下我国转基因作物研究人员、行政监管人员和转基因检测中心人员的行为,并进行了实证调查;第四,通过问卷的方式对可能有效的监管政策的制度措施进行了核实。所采用的方法有:问卷调查、访谈和理论分析。根据我们的研究,得到以下几个结论:(1)按照转基因作物研究的技术特性,可以将转基因作物环境风险分为搜寻品、经验品和信用品,其中信用品属性是转基因风险面临的主要问题。转基因作物研究中的许多行为都会导致环境风险。其中,有些实验室操作的风险(包括实验室设备条件)容易识别,或者其发现成本相对较低,只要掌握了试验条件要求和操作规范的人员都能进行监管,外部行政监管是非常有效的方法。有些操作的风险或潜在风险,不可以立即预见到,只有在实施一段时间以后,才可以发现,具有经验品特征的风险,采用声誉机制和减少信息不对称(信息公开与共享)等进行治理,科研人员“自管”为主,行政监管为辅是较好的制度安排。更进一步,绝大多数的转基因作物研究操作风险,具有极强的信用品特征,一般在实验室内或在密封的温网室进行,同时操作过程的知识性很强,一般人很难判断其规范性;即使出现了环境安全问题,在环境中需要很长时间才能表现出来(效应严重滞后),也很难追溯到相应的责任人。转基因作物研究中的操作风险的识别成本高,再加上转基因环境风险控制中需要有物质和时间的投入,可能导致行为人可能有极强的机会主义激励,因此,要采用多种监管措施,如声誉机制、考核机制、市场竞争机制、法律措施等综合运用,对于转基因作物环境风险的控制,核心是这种极强信用品特性的风险控制。(2)从事转基因作物研究的科研人员的调查结果显示,影响我国科研人员转基因环境风险控制行为的3个主因子是风险认知和控制能力、行为意向和同行影响,存在机会主义行为动机和监管的信息不对称。我国科研人员对转基因作物环境风险的认知还不够,对转基因作物安全管理的政策法规了解就更少,而科研人员对风险的认知程度和行为意向均显著影响其对风险的控制行为。目前我国从事转基因作物研究的单位,其安全设施不到位,一部分研究单位没有规范操作。行政监管部门监管不得力,多数流于形式,其监督行为对科研人员的转基因风险控制行为影响没有达到显著水平。科研单位内部的监管更多也更有效,科研人员也普遍认为以研究单位自管或以研究单位自管为主,行政监管为辅更有效。(3)检测中心人员的调查结果显示,我国农业转基因生物检测中心主要依托于研究单位和大学,以副高级及正高级职称的人员为主。近三年来主要承担的任务是转基因成分检测,并且任务主要来源于政府委托。目前多数检测中心任务不饱满,一些设备条件还没有到位,运行经费不足。人才队伍知识结构不合理,缺乏既懂分子生物学又懂生物化学和分析化学的专门人才。目前我国没有专门研究经费支持检测技术研究工作,也未开展长期的监测研究工作。(4)通过对国外主要三种监管模式的分析,以及对我国现行监管体系的分析,提出了我国现行监管体系存在的不足:强调技术性而忽视了行为管理,国务院与主管部门的责任与知识配置不当,各部委之间的关系不清难以协调,中央主管部门与省级行政主管部门的责任配置不当,缺少政府管理绩效评价机制。基于本研究结果,提出了相应的政策建议:根据风险特点,采用分类管理;提高科研人员的风险认知和控制能力;加强科研单位风险防范设施建设;明确检测中心的地位和作用,建设专业化的检测机构;加强检测中心的条件和人才队伍建设,积极开展检测技术及监测研究;根据各相关机构的行为特征,采取相应的考核办法。更多还原

【Abstract】 Transgenic crop has been expanded rapidly since the appearance of first transgenic tomato in America market in 1993. It is common knowledge that there are risks in this area just like all other new technologies, and the existing regulation and policy need to be updated to adapt to these new technologies. While taking the most advantages of this transgenic technology and keeping the accompanied risk under control is becoming one of the most important issues around the world.There is limited number of publications related to the classification of these risks, and less was reported regarding to the combined effect of the risk characteristics and the management. The management of the risk is more to do with the proper management of related stuff and their activities. From our investigation of individual cases, such risk classification is very important in control the risks, and there are little report in risk classification in the world. Scientific research institutes can be the original source of these risks. The inspection and detection centre for transgenic security is the most important force in finding, assessing and analyzing any risks. According to above information, we first adopted theory of Planned Behavior, Goal-setting theory and Information Asymmetry and designed examinations to test the behavioral characteristics of research scientists. In the mean time, we also studied the current condition of the inspection and detection centre for transgenic security. From these results, we found the characteristics and the deficiency of administration.The major results are:1. Risk characteristics of transgenic crops have shown the knowledgeable, uncertainty, lagging relatively stagnates, public externality, irreversibility and credence characteristics, and the effect of government management has also shown the credence characteristics. These risks can be classified into three groups the risks with the attribute of search goods, risks with the attribute of experience goods and the risks with the attribute of credence goods, and the governance mechanism should be correspondence to the attributes of the risks. The risks with the attribute of search goods which can be called the operation risks were caused by the improper operations. Administration regulation can be effective, because the risks are easy to be indentified. The risks with the attribute of experience goods which are indentified more difficult than the risks with search goods attribute should be adapted reputation mechanism to reduce information asymmetry. So, internal management of the research institute, or administration management as an assistant should be the best regulation method which can be use the scientists’ knowledge effectively. The last group of risks which is the most difficult to be indentified and most important and popular should be adapted integrated mechanism, such as reputation, examining, market competition, law and so on.2. We first collected and analyzed the behavioral pattern of scientists in transgenic crop research area. The results indicated that their attitude are rather cautious and risk preventive, but not enough knowledge to recognize the early risks and understand little about the regulations. Their knowledge and understanding about the potential risks can influence their behavior in controlling those risks. At present the security control and management is not sufficient in our research institutes. These security regulations haven’t been implemented and enforced efficiently. The security administration is not effective in monitor research activities. The internal supervision of research institute can be effective. Research scientists believe that the best security system should have internal supervision as the major force plus administration assistance.3. Investigation result of the inspection and detection centre for transgenic security indicated that they strongly rely on the research institutes and universities, the stuff members mostly are senior research scientists. In the last three years, the major task is to detect the transgenic component, and these tasks are mainly from government. Currently their work load is well under their capacity and some of their equipments are still to be placed and the funding is not sufficient. There are also lack of specialists who have strong background both in biochemistry and genetic biotechnology. At present there is no specific funding to support the research of technology in risk testing and evaluation.4. After analyzing and testing three existing models of regulatory system for transgenic organisms in the world, and regulatory system of China, we identified the problems in our regulatory system. We often over emphasized the characteristics of new technologies and overlooked the behavioral management. The responsibility and understanding of State Department and administration sector of Agricultural Ministry are mismatched and some major adjustments are needed. The relationship and responsibility need further clarification among associated departments, and the government management needs to be regularly evaluated.Based on above results, we suggest:1. according to the risk characteristics, adopting risk classification management, to help research scientists to recognize the potential risks and their risk control ability2. to provide appropriate equipment in risk prevention in research institutes. 3. to identify and clarify the role and function of the inspection and detection centre for transgenic security, to improve the condition and to build an effective team, and to support some project for studying the detect technology of transgenic crops and building a sustainable system in place to manage these potential risks.4. according to the behavioral characteristics, to adopt pertinent examinationsThe material, data and researcher of this study has special feature and advanced and expanded the research area in this subject.1. due to the risk characteristics, the risk management and study need solid background knowledge of the researcher in both science and economy, and the researcher happen to have extensive experience in both areas.2. the data are random and collected from a wide range research individuals, can best present the current situations in risk management in transgenic crop development. All related procedure of transgenic crop were examined first hand, the behavioral pattern of research scientists were investigated and analyzed.3. from the research results, the risk characteristics were first identified and classified, adopted theories of Planned Behavior and Goal-setting to obtain the behavioral patterns and to identified the key factors influencing those behaviors. It clarified the role, function and identified the problems of the inspection and detection centre for transgenic security. After analyzing these results, the problems in current administration and risk inspection were also identified.These findings have expanded the research area in transgenic security management and provided reliable information for establishing an efficient security system.更多还原