【作者】 樊红平；

【导师】 叶志华； 金发忠； 劳伦斯·布施；

【作者基本信息】 中国农业科学院 ， 农产品质量与食物安全， 2007， 博士

【摘要】 当前,农产品质量安全认证已成为确保农产品质量安全,并且能够降低政府管理成本的一项有效政策措施。本文在认识农产品质量安全认证的作用、特点和发展趋势等基本规律的基础上,运用系统论基本原理,从宏观体系构成和微观运行机制两个方面,分析了中国农产品质量安全认证体系现状和不足,并提出了相应对策建议,为积极推进我国农产品质量安全认证工作持续健康发展提供有益的决策依据和理论参考。本文主要取得以下结果:第一、认识了农产品质量安全认证的基本规律:(1)农产品质量安全认证具有披露质量安全信息的基本功能;(2)农产品本身的特殊性决定了农产品质量安全认证具有申请主体复杂性、认证周期强时效性、质量控制高风险性和认证机构高权威性等特点;(3)农产品质量安全认证的作用、发展历程、特点和信息经济学特征决定了其发展趋势:将逐渐成为政府管理农产品质量安全的一个重要手段;逐渐走向国际化;逐渐向体系认证与产品认证相结合的方向发展;认证机构将逐步以政府介入的第三方机构为主导。(4)农产品质量安全认证体系是由以法律体系为基础,标准体系为依据,检验检测体系为支撑,监督管理体系为保障,认证制度体系为核心,组织机构体系为实施主体构成的管理技术体系。(5)保障农产品质量安全认证体系正常运行的机制主要由生产者申请认证的动力机制、认证机构运行机制、认证信号传导机制、政府干预机制以及消费者反馈机制组成。第二、运用大量的实证和对比分析方法,较系统地分析了中国农产品质量安全认证体系6大构成要素的现状。(1)以法律、行政法规、部门规章以及地方法规和规章为核心的认证法律体系已初步形成,但对农产品认证的法律保障不足,在综合性法和专项法中对农产品认证都没有明确规定。(2)形成了以无公害农产品、绿色食品和有机食品等产品认证为重点,HACCP、GAP、GMP等体系认证为补充的认证制度框架,但没有建立强制性农产品认证制度,认证工作模式与农产品认证的特点以及中国农情结合不紧密。(3)认证组织机构主要以农业系统为主,但缺乏农产品认证培训和咨询机构;认证机构的专业技术人员不足;认证企业内检员的培训尚在起步阶段。(4)农业行业标准是认证的主要依据,但存在标准体系结构失衡、技术水平较低、定位不明确,针对性不强和国际化程度低等不足。(5)认证技术支撑的检测体系是以农业行业系统内的质检机构为主,但基本建设投入和运行经费不足,主要靠检测收费维持运行,机构管理缺乏制度化和规范化。(6)认证监督管理是以农业行业管理为主,监督保障体系的行政监管、认可监管、行业自律监管和社会舆论监督各要素功能没有充分发挥,认证后的监督管理较薄弱,最需要大力加强。第三、从认证体系中各利益方的角度,通过构建理论模型和计量模型,运用对比和实证分析了中国农产品质量安全认证的运行机制。得出以下结论:(1)中国生产者申请无公害农产品认证的驱动力主要是“政府管制”、“市场要求”和“模仿性”外驱动力,内驱动力明显不足。(2)文件审查、现场检查以及产地环境检测和产品检测等三项认证审查技术,是影响无公害农产品认证成本和认证质量的重要因素。(3)认证标志具有形象、直观、易标示、易辨别等优点,是认证信号传导最常用的方式。目前中国无公害农产品的标志使用率偏低,主要受产品种类和申请人类型等因素的影响。(4)中国政府发起了主要类型的农产品认证,但在法律法规建设、发展政策导向、技术研发推广和教育力度等方面干预在不足。(5)中国城市消费者在购买食用农产品时把安全性摆在第一位,大部分城市消费者对认证农产品有购买经历,愿意高价支付更安全的食品,但消费者愿意多支付的数额有限。第四、提出了完善中国农产品质量安全认证体系和优化运行机制的对策措施。(1)构建综合与专项法相结合、监管与扶持并举的法律体系;完善认证制度体系构架,坚持产地和产品认证相结合的工作模式;健全认证组织机构和提高人员素质,增强认证能力;调整农产品标准体系构架,提升标准科技水平;优化机构布局,加强管理和科学技术研究,增强检测体系运行能力;以标志和产品管理为重点,发挥监管体系的整体功能。(2)增加内外驱动力,提高生产者申请认证的意愿和能力;降低认证成本,提高认证质量,促进认证机构的高效运行;以认证标志为主,拓展农产品认证信号传递渠道;采取政策支持和监督管理相结合,加强政府干预力度;增加消费者的有效需求,形成正反馈机制,促进农产品认证的发展。更多还原

【Abstract】 Agro-food quality and safety certification (AQSC) was one of the most effective measures to ensure the quality and safety of agro-food, and to reduce the governmental management cost. In order to promote the development of Chinese AQSC soundly and constantly, the system of AQSC in china was analyzed from the two aspects of macro system elements and micro system operating mechanisms, on the base of researching the basic theory, such as the characteristics, the role, the development of AQSC. The results were summarized as followed.1. The basic principles of AQSC were found. (1) The basic functions of AQSC was transmit signal of agro-food quality and safety in the market. (2) AQSC owned the following features: the complexity of the applier, the currency of the certification period, the uncontrollability of the certificated quality and the authority of the certification agency. (3) The development trend of AQSC was deduced from the role, the development course and characteristics. It will gradually become an important government measure of controlling agro-food quality and safety, gradually be globalized, progress in the direction of combining system certification and product certification, and the AQSC agency will mainly be third-party organizations with government intervention. (4) The system of AQSC included the law sub-system which was the base of the system, the standards sub-system which was the guideline of the system, the inspection sub-system which was the technique support of the system, the supervision management sub-system which was the guarantee of the system, the certification frame sub-system which was the core of the system, the organization sub-system which was the executor of the system. (5) And from the certification flow’s point of view, the operation mechanism had five contents: the simulation mechanism for the producer applying certification, the operation mechanism of the certification agency, the transmitting mechanism of the certification signal, the intervention mechanism of the government and the feedback mechanism of the consumer.2. The development status of six sub-systems of AQSC in China was analyzed by lots of case studies and comparative studies. (1) The legal sub-system has been set up, which was composed of the related laws, regularities, regulations and local regulations. But the legislation guarantee of AQSC in China was not sufficient. Nether comprehensive nor special law did not be involved in AQSC. (2) The system frame of AQSC was composed of the production certification which included no-hazard agro-food, green food and organic food certification, and the management system certification which included HACCP, GAP and GMP. But the compulsive certification of agro-food was not initiated, and the certification mode of QASC in China did not tightly combine with the characters of AQSC and was not very suitable for the Chinese agricultural situation. (3) The AQSC bodies mainly belong to agricultural administrational department. The training agency and consulting agency were deficiency, and professional censors and experts of certification bodies were not enough. The technical training of enterprise inner-inspectors for AQSC had still been at the beginning. (4) The standards that AQSC was according to mainly were agricultural industrial standards. But the standard system was imbalance, the technical level of the standards was low, and standard localization was not prominent and its direction was not so clear. (5) The inspection institutes of AQSC mainly were the institutes belonging to the agricultural administrational department. But there were short of the fund of infrastructure and operation for the inspection institutes, so the institutes operation mainly depended on the charge of testing. And there was lack of regulations for inspection institutes. (6) The agricultural administrational departments were mainly responsible for the management and supervision of AQSC. The government administration supervision, accreditation supervision, self-discipline and public media supervision did not totally play their function. The supervision on the certified agro-food was the weakest, which was needed to strengthen.3. The operational mechanism of AQSC system was analyzed by setting up theoretic mold and statistic mold. The 5 operational mechanisms were analyzed respectively. (1) The main driving force of producer applying no-hazard agro-food certification was outer-force, such as government management, market requirement and imitative motivate. And there was lack of inner driving force. (2) The document review, the spot check and inspection of agro-food and produce environment were the main influence factors of the certification cost and quality. (3) The certification sign was visual, direct, easy to print and distinguish, and it was the most common model of certification signal transmit. The use of the certification sign was greatly affected by the category of the product and the type of the applicant. (4) Chinese government initiated the main types of certification, but was insufficiency in the construction of the law, the development direction, the education and technical extension of AQSC. (5) The city consumers placed food safety on the top of their shopping list when buying edible agro-food. And most of them had the buying experience, and were willing to pay a higher price for safer food, while the extra amount of money they were willing to pay was limited.4. The Measures of perfecting the system structure and optimizing the operational mechanism of AQSC were proposed. (1) The legislation sub-system with comprehensive and special law should be set up, included supervision and support. The system frame of AQSC should be perfected, and the mold of certification which combines the produce environment certification and product certification should be insisted. The organization sub-system of AQSC should be developed, and the ability of censor should be enhanced. The standards sub-system should be adjusted and the technical level of standards should be increased. The operational ability of inspection sub-system should be enhanced by strengthening management and science research. The supervision management sub-system should play the integrated function, and the supervision and management should focus on the certification sign and certified production. (2) The producer applying certification ability and willing should be enhanced by increasing the outer and inner driving force. The certification agency should be operated with high efficiency by reducing the certification cost and raising the certification quality. The signal transmit channel should be added. The degree of government interference should be increased through combining the support and supervision. The actual requirement for certificated agro-food should be increased to form the positive feedback mechanism, and accelerate the development of AQSC.更多还原