政府食品安全规制与企业社会责任的耦合研究
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摘要
伴随着经济社会的发展,社会公众对食品安全的需求呈现出递增的态势。然而,现实中,食品安全的现状并不乐观;理论研究方面,大多学者将与食品安全有关的政府行为和企业行为作为两个相对独立的问题进行研究。因此,对于食品安全规制与企业社会责任耦合问题的研究具有较强的现实意义和理论意义。论文以新的视角研究与食品安全有关的政府规制和企业社会责任,运用实证分析与规范分析相结合的研究方法,在嵌套式规则体系的分析框架下,以合作治理机制作为政府规制与企业社会责任耦合的组织基础,在此基础上还构建了实现耦合的关系模型,揭示了实现耦合的路径及模式选择,最后不仅提出了推进政府食品安全规制与企业社会责任耦合的政策建议,而且还提出了针对转型期中国食品安全规制与企业社会责任耦合的政策建议。全文分为四个部分,共包括七章内容。
     第一部分构建了食品安全规制与企业社会责任耦合的理论框架,包括第一、二章。第一章主要分析了食品安全规制与企业社会责任的耦合逻辑,认为,根据社会契约理论,企业需要履行其社会责任。但是由于企业“经济人”的本性使然,食品生产经营企业的社会责任存在自然流失,需要政府实施规制,而且政府拥有规制优势。然而,由于政府的有限理性,又会出现“规制俘获”等问题。可见,食品安全问题的解决政府和企业缺一不可。但是二者既不是非此即彼、相互替代的关系,也不是相互独立、互不干预的关系,而是需要二者实现耦合。本章对“耦合”以及“耦合效应”的概念进行了界定,还交待了论文的研究目的、基本思路及方法。第二章梳理了前人的食品安全规制和企业社会责任的相关研究,对于包括食品市场信息不对称问题、食品安全规制过程中的责任认定问题、食品安全规制的成本与收益问题;食品安全规制的实证研究;利益相关者理论、社会契约理论;企业社会责任的演化阶段;企业社会责任的研究中有关企业与政府的关系问题等方面的文献资料进行了深入的理解和分析。在此基础上,说明论文研究问题的由来,论文讨论的基础,进而导出论文的研究对象。
     第三、四、五章构成了论文的第二部分,是论文的主干部分,阐述了食品安全规制与企业社会责任耦合的制度基础、理论模型以及实现耦合的路径及模式选择。
     第三章首先阐述了论文研究的制度性分析框架——嵌套式规则体系。在社会性规制与企业社会责任的耦合过程中,参与者包括政府、企业、公民社会组织及其他相关主体,其中宪法层次规则的供给者是政府(即社会性规制的法律化);集体选择规则受宪法规则的制约,是在政府指导下由企业做出的履行社会责任的规则体系;操作规则受到集体选择规则的制约,是企业履行社会责任、政府实施规制以及公民社会组织进行监督及信息传递所采用的具体规则。不同行为主体的行动发生在不同的规则层次,不同层次规则呈现出“嵌套”式特征。一般而言,宪法层次的规则最为稳定并处于整个规则体系的核心,其他主体在宪法规则的限制内行动,形成集体选择规则,同时激励下一层决策主体的集体行动,即本层决策者在上一层规则制约下集体行动产生本层规则,依次递推,本层的规则不仅制约下一层决策者的行动,也制约下一层的规则,同时通过评估下一层行动规则的实践效果,本层也会对其规则体系做出调整,进而,新一轮的互动又会开始,周而复始。嵌套式规则体系既保证了宪法选择规则的权威性,又考虑到了行为主体的能动性,从根本上实现了操作规则的灵活性和多样性,可从制度上保证社会性规制与企业社会责任的有效耦合。在此基础上,本章还从企业、政府以及社会三个方面分别分析了二者耦合的经济环境、法律环境以及道德规范。
     社会性规制与企业社会责任的耦合不仅需要合理的制度安排,而且还需要一个可行的组织平台,合作治理模式便是一种可行性选择。本文提出,公共需求的满足仅依靠企业的自觉意识无法完全得以满足,仅是依靠政府也是无法完全解决的,需要企业、政府以及社会的协同合作方能解决。企业与政府需要相互影响、相互作用,实现合作治理。在此基础上,本章还分析了企业履行其社会责任的三种方式,即政府或民间组织的认证方式、基于博弈之上的契约方式、自愿履行社会责任的方式,三种方式都需要政府规制的嵌入。
     第四章首先分析了政府规制与企业社会责任的耦合关系。一方面,企业社会责任的履行影响政府绩效的高低,另一方面,政府规制是实现企业社会责任的必要保障。在此基础上,论文试图构建二者耦合的关系模型,并试图对于二者耦合的适度性从理论上进行界定。提出,政府需要运用成本与收益分析方法,对政府规制的程度、规制方式以及规制资源的配置等情况进行权衡,适时地调整不同规制方式之间的资源配置,在政府与企业之间的重复博弈中,政府规制一定能够接近于最优边界目标。
     第五章分析了食品安全规制与企业社会责任耦合的路径及模式选择。论文从两个角度分析了二者耦合的实现路径,一是运用政府与企业之间的博弈探讨耦合的路径。一方面,政府利用其制度供给优势及其对非正式制度演进的影响,规范企业文化及伦理道德,实现社会性规制的企业化和企业社会责任的普适化;另一方面,企业在社会性规制的指导下主动承担其社会责任,能够通过自身竞争力的提升,进而推进企业社会责任运动,这便能够通过企业社会责任的履行实现社会性规制的目标,推进社会性规制的变革。二是通过非政府组织的信息提供及传导机制为社会性规制与企业社会责任的耦合提供外部监督机制和信息平台。在此路径下,论文提出了三种可供选择的耦合模式:一是授权型自我规制,即规制者强制被规制企业决定和实施企业内部规则和程序,进而实现规制者的政策目标;二是共同规制,即企业、政府性组织和非政府组织共同促成标准的制定、监督、报告、审计、认证以及与利益相关者之间的对话;三是回应型规制,即背景依托型的规制,应根据当前规制环境的变化而产生不同的方案。
     第六章构成了论文的第三部分,与之前的理论分析相对应,本章属经验分析。以中国为例,分析了当前中国与食品安全有关的企业社会责任、政府规制以及政府食品安全规制与企业社会责任耦合的现状、存在的问题及其成因。
     第四部分是论文的第七章,主要是提出了实现政府食品安全规制与企业社会责任耦合的政策建议,认为,第一,需要构建政府、企业与社会“三位一体”的合作治理机制,为食品安全规制与企业社会责任的耦合提供组织平台;第二,需要规制政府行为,改进政府治理,为政府食品安全规制与企业社会责任的耦合提供有效的制度平台;第三,需要规范企业行为,改善治理结构,构建良好的企业文化和企业伦理观,形成实现二者耦合的长效联动机制;第四,需要推进非政府组织的建立与成长,为政府食品安全规制与企业社会责任的耦合提供外部条件。本章还针对中国当前食品安全规制与企业社会责任耦合中存在的问题提出有针对性的政策建议。
     通过本文的研究,理论方面,期望通过综合运用公共管理理论、产业经济学、制度经济学等多个学科的知识展开分析,突破传统的规制经济学的研究思路;通过对耦合关系的研究,将新的变量引入到企业行为的研究中去,这样也可以在一定程度上丰富企业理论。在实践中,期望更好地推动企业积极主动地承担其社会责任;更好地推进政府管理体制的改革,提高政府规制的绩效,加快服务政府、责任政府和效能政府的建立;更好地适应国际经济一体化,应对全球社会责任运动的冲击,稳固并强化中国在国际竞争中的比较优势。然而,由于受当前研究资料以及本人研究能力的限制,论文的研究仍存有一些不足:论文数理部分的分析稍显薄弱,需要进一步深化;对于政府规制与企业社会责任耦合“度”的分析只是停留在理论层面,对于实践的适用性仍需做进一步的研究。这些不足将是笔者进一步研究的方向。
Along with economic and social development, public demand for food safety has shown increasing trend. However, in reality, the status of food security is not optimistic. In theoretical studies, most scholars regard government food safety-related behavior and corporate behavior as relatively independent problem. Therefore, the research on food safety regulation and corporate social responsibility coupling has strong practical and theoretical significance. This paper researches on government regulation of food safety and corporate social responsibility from a new perspective, using empirical analysis and normative analysis. Under the framework of nested system of rules, paper uses cooperative governance as coupled organizational foundation, and it also builds the relational model which is to achieve coupling, and reveals the path and mode selection. Finally, it recommends policies to promote coupling. The thesis can be divided into seven chapters.
     The first part builds up the framework of coupling, including chapter I and II. Chapter Ⅰ analyzes the coupled logic, that, according to social contract theory, companies need to fulfill their social responsibility. However, due to the nature of "economic man" dictates, there is natural wastage of corporate social responsibility on food production and management, so we need government to implement regulation and the government has a regulatory advantage. However, because of the government's limited rationality, itwould give rise to "regulatory capture" and so on. Government and enterprises are indispensable to the visible solution to the problem of food security. But the relationship between the two is neither one nor the other, nor is it alternative, nor is it independent of each other, but need both to achieve coupling. This chapter defines the concept of "coupling" and "coupling affection", and also explains the purpose of the research paper, and the basic ideas and methods. Chapter Ⅱ combines the previous research on food safety regulation and corporate social responsibility, including the food market information asymmetry problem, food safety regulatory responsibility in the process of problem identification, costs and benefits issues of food safety regulation, and empirical research of food safety regulation, stakeholder theory, social contract theory; stage of the evolution of corporate social responsibility, study of corporate social responsibility on the relationship between business and government issues and so on. On this basis, the paper indicates the origin of the research problem, the basis for discussion, and then exports the object of the study.
     Chapter III, IV and V constitute the second part of the paper, which is the main part of the paper, explains the coupled system base, theoretical models and the path and mode selection of the realization of coupling.
     Chapter Ⅲ begins by describing the thesis research of institutional analysis framework---ested system of rules. The coupling process of social regulation and corporate social responsibility, involves government, business, civil society organizations and other related subjects. Constitutional-level rules which the suppliers of the government (i.e., social regulation of the law). Collective choice rules constrained by constitutional rules, which is under the guidance of the government, promote the corporate to make their social responsibility. Operating rules which are constraints by the collective choice rules, is specific rules used by corporate social responsibility, government regulation and the implementation of civil society organizations to monitor and information transmission. Actions of different actors are in different levels, and different rules show different levels of "nested" type features. In general, the rules of the constitutional level are the most stable and they are also the core of the whole system of rules. The actions of other subjects are within the limits of the constitutional rules, and form the collective choice rules, while urging the collective action of the next level decision-making body. So that decision-makers in this layer carry out collective action under the constraints of prior level rules and generated in the rules of this layer. Followed by recurrence, the rules of this layer not only restrict the actions of decision-makers of the next layer, but also restrict the rules of the next layer. At the same time, this layer will make adjustments to its system of rules by assessing the effect of the rules of practice in this layer. Then, will begin a new round of interaction, again and again. Nested system of rules can not only guarantee the constitutional authority of selection rules, but also take into account the actors of the initiative. This can achieve the flexibility and diversity of the fundamental rules of operation, and can also ensure the coupling of social regulation and corporate social responsibility effectively from the system. On this basis, this chapter analyzes the economic environment, legal environment, and ethics rules of coupling from the aspects of business, government and society.
     The coupling of social regulation and corporate social responsibility not only need reasonable institutional arrangements, but also need a viable platform for the organization, and co-governance model is a feasible option. In this paper, in order to meet the public demand, we can not only rely on self-consciousness or government. We need business, government and community together to solve. Business and government need impact each other, and achieve governance. On this basis, this chapter analyzes the company to fulfill its social responsibility in three ways, namely, government or private organizations authentication, contract based on the way of game, a voluntary social responsibility approach. All of them require the embedding of government regulation.
     Chapter IV analyzes the coupled relationship between government regulation and the corporate social responsibility firstly. On the one hand, the fulfillment of corporate social responsibility affects the level of government performance, on the other hand, government regulation is necessary to achieve corporate social responsibility to protect. On this basis, the paper attempts to build coupled relation models between the two, and tries to define the modest nature of coupling theoretically. The paper considers that the government need to use cost-benefit analysis, and balance the degree and methods of government regulation, and the allocation of regulation resources, etc., and adjust the allocation of resources between different ways of regulating. The government regulation must be close to optimal border goals during the repeated games between the government and enterprises.
     Chapter V analyzes the coupled path and mode selection of food safety regulation and corporate social responsibility. This paper analyzes the realization of coupling between the two paths. First, we use the game between the government and enterprises to explore the coupling path. On the one hand, government can use its advantages of supplying system and its influence on the evolution of the informal system, and standardize the corporate culture and ethical, so as to achieve social regulation enterprise and the universality of corporate social responsibility; On the other hand, enterprises can undertake their social responsibilities under the guidance of social regulation, they can be able to enhance their competitiveness, and thus to promote corporate social responsibility movement, which will be able to achieve the goal of social regulation through fulfilling corporate social responsibility and promote social regulation changes. Second, we can provide external oversight of the coupling mechanism and information platform through non-governmental organizations in order to provide information and transmission mechanism of social regulation and corporate social responsibility. In this path, the paper presents three alternative coupling mode:first, enforced self-regulation, that the regulator decides to force companies to be regulated and implements internal rules and procedures, thus achieving the regulator's policy objectives; Second, co-regulation, that business, government organizations and non-governmental organizations promote the development of standards, monitoring, reporting, auditing, certification and stakeholder dialogue; Third, responsive regulation, which relies on context-based regulation should be based on the current regulatory environment, and changes resulting from different scenarios.
     Chapter VI constitutes the third part of the paper, corresponding to the previous theoretical analysis, there is an empirical analysis in this chapter. The paper analyzes China's current corporate social responsibility and government regulation of food safety, and researches on the coupled status quo, problems and their causes.
     The fourth part of the thesis is the chapter Ⅶ. It mainly puts forward to policy recommendations of achieving the government food safety regulations coupled with corporate social responsibility. First, we need to build "Trinity" co-governance for food safety between government, business and society and provide organizational platform for the coupling of corporate social responsibility and government regulation; second, we need to regulate government behavior, and improve governance, and provide an effective system of coupled platform for coupling of the government food safety regulation and corporate social responsibility; Third, we need to standardize enterprise behavior, improve governance, build good corporate culture and ethics, and form long-term linkage between the two coupling mechanisms; Fourth, we need to promote the establishment of NGOs and growth, and provide the external conditions of coupling of the government food safety regulation and corporate social responsibility. This chapter also put forward to targeted policy recommendations for the existing coupling issues of China.
     The paper expects to break through the traditional regulatory economics research ideas through the integrated use of public management theory, industrial economics, institutional economics and other disciplines of knowledge; it can rich the theory of corporate to some extent by the research on coupling relationship and introduce new variables into enterprise behavior to the study. In practice, it expects to promote the enterprises to take the initiative to assume their social responsibility actively; to better promote the reform of government management system, to improve the performance of government regulation, to speed up the establishment of service government, responsible government and efficient government; to better adapt international economic integration to deal with the impact of global social responsibility movement, sound and strengthen China's comparative advantage in international competition. However, due to my current research data and research capacity constraints, the research paper still has some drawbacks:Sub-analysis of papers are slightly weak, and need to be deepen; the analysis of the "degree" of coupling stay at the theoretical level, and the applicability in practice remains to be done for further research. These deficiencies will be the further research of the author.
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