【作者】 杨从印；

【导师】 杨昌明；

【作者基本信息】 中国地质大学 ， 管理科学与工程， 2013， 博士

【摘要】 学习贯彻科学发展观是我国长期的战略任务,学习实践科学发展观的根本目的在于推进科学发展。煤炭作为能源支柱在我国社会经济中发挥着巨大作用。在未来相当长的时期内,我国以煤为主的能源格局不会改变,煤炭工业、企业能否科学发展关系着国家能源安全和国民经济的全局。近年来,煤炭工业、企业虽然取得了长足进步,但由于多种因素的影响,煤炭工业企业在发展过程中还存在着结构不合理、增长方式粗放、科学技术水平低、安全事故多发、资源浪费严重、环境治理滞后、行业管理能力差、历史遗留问题较多等突出问题,这些问题均不符合科学发展与科学发展观的要求。在新形势下,煤炭企业如何以邓小平理论、“三个代表”重要思想和科学发展观为指导,以保障国家煤炭资源稳定供给和能源安全为宗旨,认真贯彻落实煤炭工业“十二五”发展规划,不断提升煤炭企业科学发展能力,实现煤炭企业科学发展是煤炭工业领域、煤炭企业面临的主要课题。关于科学发展观、科学发展的研究成果非常丰富,但系统地研究煤炭企业科学发展的成果较少,对煤炭企业科学发展进行定量研究的成果更少。开展煤炭企业科学发展力评价系统研究无论是对煤炭企业高度重视贯彻落实科学发展观,推进煤炭企业科学发展理论体系的形成；还是对煤炭企业、煤炭工业管理部门开展煤炭企业科学发展能力的纵向、横向比较,分析与协调煤炭企业科学发展的影响因素,从而为提升煤炭企业科学发展能力提出相应的对策与建议都具有非常重要的现实意义与学术价值。因此,本文以煤炭企业科学发展力评价系统研究为主题,力争使煤炭企业科学发展力的理论与方法体系得到丰富和完善,为煤炭企业提升科学发展力提供理论和实践依据。本文完整、系统地阐述了煤炭企业科学发展力的概念、内涵,构建了煤炭企业科学发展力系统框架。建立了煤炭企业科学发展力评价指标体系,提出将层次分析法、模糊综合评价法以及FCM算法相结合对煤炭企业科学发展力进行评价。根据对义马煤业集团股份有限公司(简称：义煤集团,下同)问卷调查数据和历史发展数据,对该公司科学发展力进行了实证评价研究。最后提出了煤炭企业科学发展力提升的对策。全文共七章,具体研究内容如下第一章介绍了研究的背景、意义和研究方法。全面梳理了相关的理论、国内外相关研究进展。通过文献综述,总结了煤炭企业科学发展力评价研究的主要成果和存在的不足,明确了论文研究的主要内容、方法及创新点。第二章梳理了国外、我国及河南省煤炭资源概况,煤炭资源开发利用现状。对我国煤炭行业发展历程做了回顾,分析了我国煤炭企业的发展现状及存在的问题。目前,我国煤炭企业存在八个方面的主要问题：科学发展理念薄弱,管理水平不高；资源勘探能力不足,综合利用程度较低;产业结构比较单一,经济发展潜力不强;环境污染严重;从业人员素质低,分流困难；安全生产形势依然严峻。本章进一步明确了研究主题的现状与存在的问题,为以后章节研究我国煤炭行业、企业如何选择正确的发展道路打下了铺垫。第三章提出了煤炭企业科学发展力(Degree of Scientific Development of Coal-based Enterprises,简称DSDCE)的概念、内涵并建立了概念模型。煤炭企业科学发展力是指：煤炭企业以科学发展观为统领,统筹兼顾人的全面发展、经济效益好、资源可持续、环境污染少、安全有保障、管理创新强等目标,实现企业全面、协调、可持续发展的能力。煤炭企业科学发展力(DSDCE)的概念模型可表示为：DSDCE=F (u1u2. U3, U4, u5, u6)。其中,u1表示人的全面发展,u2表示经济发展水平,u3表示资源可持续能力,u4表示环境控制水平,u5表示安全保障能力,u6表示管理与创新能力。另外,构建了煤炭企业科学发展力系统框架,煤炭企业科学发展力系统是煤炭工业中一个复杂的具体系统,该系统由人的全而发展、经济发展、资源能力、环境保护、安全生产、管理与科技创新等六个子系统组成。第四章构建了煤炭企业科学发展力评价指标体系。指标体系包含日标层(煤炭企业科学发展力),准则层(6层,人的全面发展、经济发展水平、资源持续能力、环境控制水平、安全保障能力、管理创新能力),具体指标(28个)。在全面分析综合评价方法的基础上,提出将层次分析法、模糊综合评价法以及FCM算法相结合,对煤炭企业科学发展力进行评价。第五章对义煤集团的发展历程、发展现状进行了深入的分析总结,明确了企业发展的困难与问题。根据对义煤集团问卷调查的数据,采用AHP、模糊综合评价相结合的方法对义煤集团科学发展力进行了综合评价,得出义煤集团2012年科学发展力“较强”的结论。根据义煤集团1996年至2011年评价指标的原始数据,采用AHP、FCM、模糊综合评价相结合的方法,对其1996年至2011年的科学发展力进行了综合评价,得出的结论基本符合义煤集团发展的历程,结果具有一定的可信度。并对两种评价的结果进行了深入分析。提出了义煤集团“要把经济发展始终作为科学发展力提升的第一要义;要把资源扩张与节约放在最基础地位：要把安全生产作为科学发展力提升的保障：要把增强管理创新能力作为科学发展力的源泉；要把人才工作作为科学发展力提升的核心;要把全面协调可持续作为科学发展力提升的基本要求”六个方面的建议。第六章本章结合前面章节理论研究与实证研究的成果,从政府管理工作与企业自身两个方面提出了提升煤炭企业科学发展力的建议。政府应从加强法制建设、加强政策引导、加强监督管理三个方面加强对煤炭企业的引导,促进其科学发展力的提升。煤炭企业应根据国家产业政策的要求,按照深入贯彻落实科学发展观的要求,从“加强引才育才,完善考评机制；发展多种经营,转变经济发展模式；坚持资源扩张,提高资源利用率；减少矿区环境扰动,加强生态恢复;高度重视安全生产,落实保障措施；加强管理水平,重视技术创新”六个方面提升自身的科学发展力。第七章对全文的主要研究内容进行了总结、归纳,指出本研究的不足及今后研究的设想。更多还原

【Abstract】 Studying and implement of scientific development perspective are a long term strategic task in China. The fundamental purpose of studying and practice the scientific development perspective is to advacnce the scientific progress. As one of the most important energy resources in China, coal has a crucial role in the development of national economy. However, national energy structure relying mainly on coal temporary will not change in the long term future. Therefore, scientific development of coal-based enterprises is crucial to nantional energy security and social ecolomy. Recently, although some great progresses were obtained in coal-based enterprises, they are still facing such kind of problems like unresonable structure, extensive pattern of growth, low scientific and technological levels, frequenet security events, wasting resources, environmantal pollution, lax management, historical problems and so on. These problems are far away from the criterion of scientific development and its conception. In the new situation, how the coal-based enterprises can improve their degree of scientific development and make scientific development a reality have became a main issue, with the guiedes of Deng Xiao-ping theory, the important thought of " Three Representatives" and scientific development perspective. How the coal-based enterprises can improve their degree of scientific development and make scientific development a reality have became a main issue under new situation, with the guiedes of Deng Xiao-ping theory, the important thought of" Three Representatives", how can guarantee the coal energy stable supply and energy security, how can conscientiously imple the Twelfth Five-year Plan, continuesly improve the scientific develepment ability are the chanllages in coal-based enterprises.Studying results on scientific development and its conception are fruitful, but sytermatic studies on scientific development in coal-based enterprises are relatively scarce, particularly the quatitantive researches are ralatively rare. Researching the evaluation system on degree of scientific development in coal-based enterprises has important practical significance and academic values, not only for the implement of scientific development perspectiveion, promoting the forming of scientific development theoretical system, but also for the vertical and horizontal comparisions between managerial departments, analyzing and concerting impact factors of scientific developement in coal-based enterprises. The main purposes of the dissertation are:1) to take evaluation system of degree of scientific development in coal-based enterprises as the main topic,2) to improve the theory and methodology of degree of scientific development in coal-based enterprises, and3) to provide a theoretical and methodological basis for the improvement of degree of scientific development in coal-based enterprises.This dissertation comprehensively summarized the conception and intention of degree of scientific development in coal-based enterprises, constructed a scientific development systematic framework for coal-based enterprises, also built an evaluation index system of degree of scientific development, combined different kinds of methods including analytic hierarchy process (AHP), fuzzy comprehensive evaluation (FCE) and Fuzzy C-Means (FCM). The study also investigated both the questionnaire and documentary archive data in Yi-Ma Coal Company of Limited Liability in Henan Province, focusing on the degree of scientific development evaluation. Finally, some advices on the ways to improve scientific degree of development in Chinese coal-based enterprises were proposed.The dissertation include seven chapters, details are as following:Chapter1is introduction section, summarized the studied background, significance, and methods. This chapter also comprehensively reviewed the relative theory, the latest progress, and essential problems in researches of scientific development perspective in coal-based enterprises. The thesis outlines, methods and innovations were also illustrated in this section.Chapter2briefly introduced coal resources and exploration in abroad, domestic and Henan Province. The brief history of coal-based enterprises development was reviewed. There are six main problems in the development of coal-based enterprises:weakness of scientific development view, lacking of exploration ability, low degree pf comprehensive utilization, weak developing potential of economy, serious environmental pollution, unprofessional skills of workers, and pessimistic security situations.Chapter3given the definition, intension and models for Scientific Degree of Development of Coal-based enterprises (DSDCE). The meaning of DSDCE is that take scientific development perspective as a guide. considering the aims include:full development of human beings, high economic returns, sustainable resources, healthy environment, constitutional security, and management innovation. The purpose of these aims are to achieve a comprehensive, coordinated and sustainable development. The model of DSDCE can be expressed as following: DSDCE=F (u1,u2, u3,u4,u5,u6). Here u1is the full development of human beings, u2is developing levels of economy, u4is sustainable ability of resources, u4means the environmental healthy, u5is constitutional security, u6is management innovation. In addition, a scientific development systematic framework for coal-based enterprises was built, analyzed and explained.Chapter4contains an evaluation index system of degree of scientific development in coal-based enterprises. This index system includes the target layer (degree of scientific development in coal-based enterprises), the criterion layer (full development of human beings, high economic returns, sustainable resources, healthy environment, constitutional security, and management innovation), and specific target (in which28individual index were included). Based on a comprehensive summarizing different methods, this dissertation combined analytic hierarchy process (AHP), fuzzy comprehensive evaluation (FCE) and Fuzzy C-Means (FCM) to evaluate the degree of scientific development of coal-based enterprises.Chapter5is the assessment on degree of scientific development in Yi-Ma Coal Company of Limited Liability. According to the data of questionnaire, an comprehensive evaluation on degree of scientific development in this company was carried out using AHP and FCE methods. The results indicated that degree of scientific development of this company is relatively strong in2012. Further, according to the assessing index data in documentary archives from1996to2011, this study assessed degree of scientific development of the company by using the methods of AHP, FCE and FCM. The results are generally consistent with the historical development of the coal company, which indicated that the this study is reliability. Assessment results by two different methods were compared. Thus, some advices to the company are given:putting strengthen resource sustainability in the first place, enhancing security capabilities, increasing ability of management innovation, and improving degree of scientific development.Chapter6given some advices on how to improve degree of scientific development in coal-based enterprises, considering both the two sides of government control and company operation. For government regulating roles, they should continuously perfect the related laws and policy systems in coal industry, enhance conduction on scientific development for coal-based enterprises, and strengthen supervision on coal industry. For coal-based enterprises roles, they should comprehensively consider the full development of human being, economic development, sustainable development of resources, environmental control, security guarantee, administration and innovation.Chapter7summarized the full text of this study, perspectives and future works were illustrated in this section, Some shortages were also pointed out. The main innovations of this study are as following:1. Systematically analyzed the degree of scientific development of coal-based enterprises, explained the conception and intension of degree of scientific development in coal-based enterprises. The degree of scientific development in coal-based enterprises should take scientific development perspective as a guide, comprehensively consider the aims like full development of human being, high economic returns, sustainable resources, healthy environment, constitutional security, and management innovation. On this basis, to make comprehensive, coordinated, sustainable development a reality. The new conception promoted a new view for studying and evaluating the development of coal-based enterprises, and in addition, provided a new direction for the self-development of coal-based companies. More importantly, it promoted a new way for studying and evaluation the development problem. It is a new exploration for the changes of developing conception according to the times movement. It is a deeper improvement for the perspective of scientific development in coal-based enterprises.2. Built an assessment index system for degree of scientific development in coal-based enterprises. The index system includes the target layer (degree of scientific development in coal-based enterprises), the criterion layer (six layers:full development of human being, high economic returns, sustainable resources, healthy environment, constitutional security, and management innovation), and specific target (28individual index). This is a new assessing system for scientific evaluation in coal-based enterprises. The index system cited the managers leading ability of scientific development as an index, which on one hand can overcome the disadvantage of quantities proxies in most evaluation systems, on the other hand can show the important roles of managers in company development. This index system is an new exploration for evaluation index. In short, the index system provided a new view on a more scientific and comprehensively evaluation for coal-base companies.3. This dissertation combined analytic hierarchy process (AHP), fuzzy comprehensive evaluation (FCE) and FCM to evaluate the degree of scientific development of coal-based enterprises. A fuzzy evaluation matrix was obtained using the FCM method. The degree of scientific development of Yi-Ma Coal Company of Limited Liability during last16years was assessed using this method. It is a new approach to obtain the FEM by using of FCM and the original data set in company, which can make the study more scientific and deeper when assess the same topic according to different origins of data and its relative assessing methods. In addition, the evaluation system uses different assessing methods according to different origins of data, which make the assessment more scientific and powerful. The long term assessment not only can show the detail results of the evaluation, but also can compare the developing trends of companies and its relations to the assess index. Using FCM to obtain Fuzzy membership according to the original data in the companies is a new approach. It is an to an implication diversion assessing method for the development of coal based enterprises, and new exploration of FCM in evaluation systems as well. To sum up, the study made more exploration on evaluation methods in coal-base enterprises.更多还原