【作者】 汤道路；

【导师】 罗新荣；

【作者基本信息】 中国矿业大学 ， 安全管理工程， 2014， 博士

【摘要】 煤矿安全监管体制与监管模式是国家煤矿安全监管工作中的根本性问题。监管体制是否合理，监管模式是否适当，对煤矿安全监管的最终效果有着深远影响。研究我国煤矿安全监管体制与监管模式当前存在的问题、未来改革的目标与时机，并提出相应的政策性建议，是我国煤矿安全监管工作中长期规划不可或缺的内容。我国对煤炭行业设立了专门的安全监管机构并实行中央垂直管理，具有较好的独立性和专业性，为近年来我国煤矿安全形势的快速好转提供了组织保障。但经横向与纵向组织结构分析，现行煤矿安全监管体制仍存在事务管辖不清、级别管辖不明、机构职权重叠、区域管辖设置不经济、监察机构缺乏强制力等问题。参考国外经验，建议把非煤矿山也统一纳入监管范围，组建国家矿山安全监察局，实行跨越行政区划的大区制三级垂直管理，基层监察办公室负责实际的煤矿安全监管工作，中层的监察分局负责对地方政府的煤矿安全监管工作实施行政监察，真正落实“国家监察、地方监管”的工作体制。美国在经历过市场导向的信息服务监管模式、政府导向的强制服从监管模式以后，现正在向合作服务监管模式转型。对美国1900-2011年十万矿工死亡率进行HP滤波处理后，可以观察到每次监管模式改革前均有较明显的数据特征。南非的煤矿安全监管模式较好地体现了政府监管与企业负责的均衡，而印度的煤矿安全监管模式则充分展示了国有大型煤矿的自我管理能力优势。对国外煤矿安全监管模式的比较研究说明，监管模式的选择，深受政治、法律与社会治理思潮的影响，并与安全形势和监管绩效存在密切的关联关系。我国现行的“政府一元强制服从”监管模式在快速扭转我国煤矿安全恶劣形势方面起到了重要作用，但是是以庞大行政资源投入为代价的，且不符合现代社会治理理念。运用灰色预测方法可以预测到2020年我国煤矿百万吨死亡率将低至0.11，年事故死亡人数将在500人以内。这此种安全形势下，我国理应考虑监管模式的变革问题。经过PEST分析，论文提出应当将“多元合作”监管模式确立为我国煤矿安全监管模式的改革目标，并率先在国有大型煤矿企业的监管工作中尝试合作与自律的监管模式探索。我国应当深化煤炭行业结构调整，大力提高行业集中度；抓住当前有利的历史时机，加大小煤矿关闭力度；完善相关政策法律，保障和利用来自于劳动力市场、资金市场、保险市场、安全中介服务市场、企业社会责任等有利于煤矿安全的市场力量；强化煤矿安全信息系统建设；建立煤矿安全监管绩效评估与内控机制。通过以上政策与措施，全面保障和推动我国煤矿安全监管体制与监管模式改革的顺利进行。更多还原

【Abstract】 Coal mine safety administration structure and approach are fundamental issues of coal minesafety governance. The rationality of administration structure and the propriety of administrationapproach both have essential impacts to the regulation result. Therefore, it is critically necessaryfor coal mine safety regulation planning work to research the current problems, the reformtiming, the reform target, and relative policy suggestions.In China, a central governmental agency has been created exclusively for coal mine safetyadministration, which with its independent professional service abilities has providedorganizational incentives to the rapid improvement of coal mine safety in the past years. Butafter structural analysis, many problems still can be fund within the current administrativestructure such as the unclear division of jurisdiction, the organizational function overlapping, theneglect of economic considerations for offices location, and the lack of the compulsory executionpower, etc. Under the lights of foreign experiences, the dissertation suggests that non-coal minesafety administration should also be transferred to the agency of the State Administration of MineSafety, SAMS in abbreviation, which will maintain vertical management model and thejurisdiction territories may beyond the limits of administrative regions. Within the framework ofCentral Governmental Supervision and Local Governmental Administration, the grassrootsoffices of SAMS should take the responsibility of mine safety supervisions and the districtoffices of SAMS should take the responsibility of mine safety administrations.After the market-oriented Informational Service Approach and the government-orientedForced Compliance Approach, the United States mine safety regulation model is transferring toCooperative and Service Approach now. Meanwhile, distinct data characteristics before everyregulation reforms seems to be obvious after HP Filter Processing to the fatality rate per100thousands miners of U.S. from1900to2011. In other two main coal mining counties, the SouthAfrica’s coal mine safety administration approach shows the exact balance between governmentadministration and corporate safety management, while the India’s coal mine safetyadministration approach visibly demonstrates the abilities of state-owned large-scale coal mine’ssafety self-regulation. The comparative study of foreign coal mine safety administrationapproach indicates that there are intimated connections between the approach choice and thestatus of politics, economy, law, social governance ideology, mine safety trend, and theperformance of mine safety administration. Chinese current coal mine safety administration approach can be concluded asGovernmental Forced Compliance Approach, which actually dedicated to the successful changesto bad coal mine safety situations in begining of this century. However this approach is generatedby rather huge administrative resources and is not fit with modern society governance ideology.By2020, the fatality rate per million ton of coal mine will be under0.1while the fatalities ofcoal mine will be below of500in annual year analyzed by Gray Forecasting method. If suchcircumstances turn to be true in the future, the reform of coal mine safety administrationapproach will become an urgent consideration. After the using of PEST analysis, the dissertationadvises that the Multivariate Cooperation Approach will be the next choice of Chinese coal minesafety administration that should be put into test to the safety administration of state-ownedlarge-scale coal mine enterprises.In order to promote and safeguard the reform of Chinese coal mine safety administrationstructure and approach, the dissertation gives policy suggestions as follows: First, continuestrengthen the regulation of coal industry structure aiming at the rise of concentration ratio.Second, grab the best historic opportunity to close most small coal mines. Third, promulgatelaws and policies to promote and utilize all market elements that are conductive to coal minesafety from the labor market, the fund market, the insurance market, the safety intermediaryservices market, and the Corporate Social Responsibility Movement. Forth, perfect the use ofstate coal mine safety information system. Last, establish performance evaluation and internalreview mechanism to coal mine safety administration.更多还原