基于自然的解决方案视角下强化国际食品法典标准体系：治理模型和实践路径

doi:10.3864/j.issn.0578-1752.2026.19.014

摘要/Abstract

摘要：

在全球农业可持续发展面临高产需求与生态约束的双重挑战背景下，如何调和国际食品法典（Codex Alimentarius，Codex）以风险排除为核心的刚性治理逻辑与基于自然的解决方案（nature-based solutions，NbS）多目标系统优化的柔性实践之间的结构性差异，成为提升农业综合治理效能的关键议题。本文系统回顾了Codex与NbS的发展历程、核心特征和治理挑战，创新性提出“NbS视角下深化Codex韧性转型”的核心理念，基于国际制度光谱模型，揭示Codex作为成员国政府主导的“委托-代理”机制特征及NbS依托多元主体形成的“协调-中介”治理弹性格局。为克服治理碎片化，本文提出了Codex本位模式、NbS本位模式及双重心协同模式3种静态融合模式，并建立政府/市场双驱动的动态循环机制，关键阈值智能切换实现治理主体在“指令-协调”角色间的周期化动态转换结合我国国情，在四元简化治理范式下，研究提出了分层次治理战略，以实现“政策引导→技术转化→区域实施→反馈优化”的闭环循环。动态循环试点将在多元共治区内开展，该区域作为系统集成与动态调控的核心平台，协调Codex的统一性要求与NbS的本地适应性。同时，为应对主体角色高频转换和社区参与流于形式化的挑战，本文同步建立了渐进式风险防控机制。该机制确保当生态绩效和社会效益连续低于预警阈值时，系统将自动从柔性协调模式切换为政府强制干预模式，确保刚性底线合规。本文为调和Codex与NbS的结构性差异提供了理论范式，通过本土化治理结构重构，实现了NbS的柔性目标与Codex刚性基准的有机结合。该融合路径不仅为提升农业治理的韧性和可持续性提供了操作性方案，也为中国积极参与国际食品法典委员会及全球农业治理规则体系改革铺垫了实践路径。

关键词: 基于自然的解决方案, 国际食品法典标准体系, 国际治理光谱, 间接治理, 四元治理模型

Abstract:

Against the backdrop of dual challenges, high-yield demands and ecological constraints, in global sustainable agricultural development, reconciling the structural discrepancy between the rigid governance logic of the Codex Alimentarius (Codex), centered on risk exclusion, and the flexible practice paradigm of nature-based solutions (NbS), focused on multi-objective system optimization, has become a critical issue for enhancing comprehensive agricultural governance effectiveness. This study systematically reviewed the development trajectory, core characteristics, and governance challenges of both Codex and NbS, innovatively proposing the core concept of “deepening the resilience transformation of Codex from an NbS perspective”. Based on the international institutional spectrum model, it revealed Codex as a member-state government-dominated “principal-agent” mechanism and identified the “orchestrator-intermediary” governance framework of NbS formed by multiple stakeholders. To overcome governance fragmentation, three static fusion models, Codex-centric, NbS-centric, and Dual-centered synergy, were proposed, alongside a dynamic cyclic mechanism driven by both government and market forces. This mechanism utilized intelligent switching of critical thresholds to achieve periodic and dynamic role transitions between “command” and “coordination” for governance actors. Incorporating China’s national conditions, the study proposed a hierarchical governance strategy under a simplified quadripartite governance paradigm to achieve a closed-loop cycle of “policy guidance→technological conversion→regional implementation→feedback optimization”. Dynamic cyclic pilots were conducted within the multi-stakeholder co-governance zone, which served as the core platform for systemic integration and dynamic regulation to harmonize Codex’s uniformity requirements with NbS’s local adaptability. Simultaneously, to address challenges, such as high-frequency role transitions and the formalization of community participation, a progressive risk prevention and control mechanism was established. This mechanism ensured that when ecological performance and social benefits fell below warning thresholds for a sustained period, the system automatically switched from a flexible coordination mode to mandatory government intervention, ensuring compliance with rigid baselines. This study provides a theoretical paradigm for reconciling the structural differences between Codex and NbS, achieving an organic integration of NbS flexible goals and Codex rigid benchmarks through localized institutional reconstruction. This integration pathway offered an operational solution for enhancing the resilience and sustainability of agricultural governance and paved a practical path for China’s strategic participation in the reform of the Codex Alimentarius Commission and the global agricultural governance system.

Key words: nature-based solutions, Codex Alimentarius, spectrum of international institutions, indirect governance, quadripartite governance model

宁明皓, 路馨丹, 高芳, 徐上, 贾相平. 基于自然的解决方案视角下强化国际食品法典标准体系：治理模型和实践路径[J]. 中国农业科学, 2026, 59(19): 4358-4373.

NING MingHao, LU XinDan, GAO Fang, XU Shang, JIA XiangPing. Strengthening the Codex Alimentarius System from a Nature-Based Solution Perspective: Governance Models and Practical Approaches[J]. Scientia Agricultura Sinica, 2026, 59(19): 4358-4373.

图/表 11

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四元治理模型各区域权责边界与运作机制"

治理区域 Governance zone	核心主体 Core actors	核心权责 Core rights and responsibility	角色定位 Role positioning	运作与决策逻辑 Operation and decision logic
政府主导区 Government- dominant zone	中央/地方政府、监管部门Central/Local governments, regulatory departments	战略规划、强制性底线标准设定、财政引导 Strategic planning, mandatory baselines, and financial guidance	Codex刚性执行者与NbS宏观驱动者 Rigid Codex enforcer and NbS macro-driver	垂直“委托-代理”逻辑：通过行政指令与财政手段确保法典底线合规 Vertical P-A Logic: Ensuring baseline compliance via administrative orders and funding
企业自治区 Enterprise self- governance zone	农食企业、行业协会 Agri-food enterprises, associations	技术创新、供应链管理、企业标准设定 Technical innovation, supply chain management, and private standard setting	NbS实践者与合规升级者 NbS practitioner and compliance upgrader	市场激励机制：依托行业自律与私有标准驱动技术创新 Market incentives: Driving technical innovation via self-regulation and private standards
社会协同区 Social synergy zone	科研机构、消费者团体 Research institutions, consumer groups	提供在地知识、政策倡议、评估权衡 Providing local knowledge, policy advocacy, and trade-off evaluation	平衡权衡的倡导者与数据贡献者 Advocates for balance and data contributors	水平“协调-中介”逻辑：机构间的制度化对话，保障公民参与和地方适应性 Horizontal O-I Logic: Institutionalized dialogue between organizations, ensuring citizen participation and local adaptability
多元共治区 Multi-stakeholder Co-governance zone	跨部门/跨层级联合平台 Cross-sectoral/level joint platforms	解决跨界冲突、政策协调、系统集成 Resolving transboundary issues, policy coordination, and systemic integration	系统集成与动态调控的平台 Platform for systemic integration and dynamic regulation	集体共识机制：协调标准一致性与适应性 Collective consensus mechanism: Coordinating the consistency and adaptability of standards

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比较维度 Dimension of comparison	委托-代理模式 Principal-agent (P-A) model	协调-中介模式 Orchestrator-intermediary (O-I) model
间接治理模式 Indirect governance mode	授权：有条件授权 Delegation: Conditional grant of authority	协调：自愿性遵从 Orchestration: Voluntary enlistment
管理者 Governor	委托人：硬控制 Principal: Hard control	协调者：软激励/助推 Orchestrator: Soft inducements/nudging
第三方 Third party	代理人：外在补偿 Agent: Extrinsic compensation	中介：内在动机 Intermediary: Intrinsic motivation
主要问题 Primary limitation	代理松弛现象：代理人有能力但无主动性 Agency slack: Agent capable but unwilling	中介无能现象：中介有主动性但无能力 Intermediary incapacity: Intermediary willing but incapable

比较维度 Dimension of comparison	国际食品法典 Codex	基于自然的解决方案 NbS
类型Type	委托-代理Principal-Agent	协调-中介Orchestrator-Intermediary
控制度 Degree of control	高（硬法约束）：标准具法律强制力，违约面临制裁 High (hard law constraints): Standards possess legal force; non-compliance faces sanctions	低（软法引导）：依靠道德承诺与声誉机制，无强制纠偏手段 Low (soft law guidance): Relies on moral commitments and reputational mechanisms; lacks mandatory corrective measures
驱动力来源 Source of driving force	主权授权驱动：FAO/WHO理事会中成员国投票决定议程 Sovereign-grant driven: Agendas determined by member state voting within FAO/WHO governing bodies	多源压力驱动：社区诉求、市场偏好与民间倡导共同推动 Multi-source pressure driven: Collectively driven by community demands, market preferences, and civil advocacy
规则适应性 Rule adaptability	较低：技术更新周期长 Low: Long technical update cycles	较高：支持本土方案动态调整 High: Supports dynamic adjustment of localized solutions
问责有效性 Effectiveness of accountability	较强：委托人对代理人的双重监控 Strong: Dual monitoring of agents by principals	较弱：缺乏有效的问责机制 Weak: Lacks effective accountability mechanisms
SDG目标整合 Integration of sustainable development goals	单一维度聚焦：以食品安全为核心 Single-dimension focus: Centers on food safety as the core mandate	多维度协同：嵌套生态、经济与社会议题 Multi-dimensional synergy: Nests ecological, economic, and social issues

静态融合类型 Static fusion type	Codex本位模式 Codex-centric mode	NbS本位模式 NbS-centric mode	双重心协同模式 Dual-centered synergy mode
上层管理模式 Upper-level mode	委托-代理 Principal-Agent	协调-中介 Orchestrator-Intermediary	委托-代理 Principal-Agent
下层管理模式 Lower-level mode	委托-代理 Principal-Agent	协调-中介 Orchestrator-Intermediary	协调-中介 Orchestrator-Intermediary
核心优势 Core advantages	政策执行力度强，标准覆盖率高，监管成本低；适用于需要硬控制和高效率的场景 Strong policy enforcement, high standard coverage, and low regulatory costs; Suitable for scenarios requiring hard control and high efficiency	创新活力强，本地适应性高，社会接受度好；适用于发挥内在动机和柔性治理优势 Strong innovation vitality, high local adaptability, and good social acceptance; Suitable for leveraging intrinsic motivation and flexible governance advantages	兼具政策统一性与地方灵活性，系统韧性高；在刚性框架下引入适应性管理 Balancing policy uniformity and local flexibility, with high system resilience; Introduces adaptive management within a rigid framework
适用场景 Applicable scenarios	食品安全管理、强制性公共产品供给 Food safety management and mandatory public goods supply	地域特色明显的农业生态系统、社区主导的生态修复 Agricultural ecosystems with distinct regional characteristics and community-led ecological restoration	跨区域生态敏感区 Trans-regional ecologically sensitive areas

阈值层级 Threshold level	目标 Objective	内容和标准 Content and standard
基础阈值 Basic threshold	不可逆生态效益 Irreversible ecological benefits	强制性底线：涉及生态系统的健康和完整性，确保长期可持续性。基础阈值的设定应与NbS的核心原则相符，即在应对社会挑战的同时，必须带来生物多样性净增益 Mandatory baseline: Pertains to ecosystem health and integrity to ensure long-term sustainability. The setting of basic thresholds must align with the core principles of NbS, which require delivering net gains in biodiversity while simultaneously addressing societal challenges
中间阈值 Intermediate threshold	区域特性及经济合规性 Regional characteristics and economic compliance	区域特征差异化设定：与地区农产品质量安全和农户生计直接挂钩。农产品质量合规性直接呼应Codex以风险分析为基础的刚性标准要求 Differentiated regional settings: Directly linked to local agri-product quality safety and farmer livelihoods. Compliance with agri-product quality directly echoes the rigid standard requirements of Codex based on risk analysis
弹性阈值 Elastic threshold	地方适应性及社会参与度 Local adaptability and social participation	根据实际情况动态调整：旨在激发地方主体的内生动力和创新活力 Dynamic adjustments based on actual conditions: Aimed at stimulating the endogenous motivation and innovative vitality of local actors

预警颜色Warning color	状态 Status	触发条件 Trigger condition	治理模式 Governance mode
绿色 Green	正常运行 Normal operation	关键指标维持在阈值100%及以上，并持续一个季度 Key indicators maintained at or above 100% of the threshold for one quarter	保持协调-中介模式：市场和社区享有高度自主权，政府提供支持和引导 Maintain O-I mode: Market and community enjoy high autonomy; government provides support and guidance
黄色 Yellow	预警/观察 Warning/Observation	关键指标降至阈值80%—100% Key indicators drop to between 80% and 100% of the threshold	保持协调-中介模式，但政府增强软性干预 Maintain O-I mode, but with enhanced soft intervention
红色 Red	失效/紧急干预 Failure/ Emergency intervention	关键指标连续两个季度低于阈值80% Key indicators fall below 80% of the threshold for two consecutive quarters	切换至委托-代理模式：政府收回部分或全部自主权，启动强制性干预 Switch to P-A mode: Government reclaims partial or total autonomy and launches mandatory interventions