【作者】 高璐；

【导师】 赵建国；

【作者基本信息】 东北财经大学 ， 行政管理， 2010， 硕士

【摘要】 我国化石能源“富煤、贫油、少气”的资源结构特征决定了煤炭在我国能源消费中处于主体地位。煤炭作为我国主要的基础能源和重要的化工原料,在我国一次性能源生产和消费中的比例占70%以上,比国际水平高41%,随着国民经济的快速发展,预计到2020年我国对煤炭的需求量为35-40亿吨。因此,在未来的10年里,我国以煤炭为主的能源结构将不会改变。近年来,我国煤矿“矿主暴富、矿工丧命、政府买单”的特大安全生产事故频频发生,矿工的悲惨遭遇引起了社会民众的广泛关注,现已成为转型期中国经济社会发展的一个顽疾和建设和谐社会进程中的不和谐因素之一。我国煤矿安全生产不仅直接关系到矿工的生命安全和切身利益,关系到我国煤炭工业的健康发展,更关系到整个社会的和谐与稳定。本文以西方国家成功实践的“多中心治理”理论为基础,以“矿难”频发的事实层面分析为切入点,聚焦我国煤矿安全生产监管领域的实际情况,来探究我国煤矿安全监管失灵的深层次制度和体制性诱因,揭示我国目前以政府为唯一治理主体的“单中心治理”模式存在失灵,并且我国煤矿安全监察“自上而下”的垂直管理体制存在弊端。由于这种监管体制缺少独立的第三方“自下而上”的监督,加之监察机构对地方政府的虚假治理辨别力度不够,导致中央宏观监管趋于疲软,出现权力监督的真空和监管执行的低效率。我国煤矿安全生产中涉及中央政府、地方政府、矿主、矿工等多重利益主体之间复杂且相互联动的关系。矿难的治理困境主要根源于国家、资本方和矿工三者之间的权责失衡,单单依靠政府为主体的“单中心治理”模式,各个利益群体无法通过协商的方式实现利益平衡,最终导致矿难治理困局的出现。本文以“多中心治理“理论作为研究的理论基础,以煤矿重特大安全事故为现实依据,采用文献研究法、比较研究法、系统分析法等,系统地收集我国煤矿安全生产的相关资料和文本,尤其对我国自1949-2009年煤矿事故死亡人数和百万吨死亡率进行了详尽的梳理,指出无论是我国煤矿事故死亡人数,还是百万吨死亡率都呈逐年下降趋势,但与西方产煤国相比还存在较大差距,尤其我国百万吨死亡率仍然偏高,不能盲目乐观。接着,着重对国内外煤矿安全及监管现状进行比较分析,详细描述了我国政府治理政策的演变和煤矿安全事故的主要类型,并对我国矿难频发进行成因分析,提出借鉴美国、印度等国煤矿安全监管的成功经验。然后,从多角度分析我国政府现行煤矿安全监管模式的治理困境,包括单中心治理模式下煤矿安全监管存在的主要问题,单中心治理模式下煤矿安全监管不力的深层次原因以及单中心治理模式下煤矿安全监管中的利益关系分析。最后,针对我国目前煤矿单中心治理模式的弊端,提出多中心治理视野下的煤矿安全监管模式。在多中心治理模式下,进一步创新政府煤矿监管策略,建立煤矿企业安全生产诚信机制,发挥工会职能,维护矿工合法权益以及加强第三方对煤矿安全生产的监督力度,来进一步完善煤矿安全监管运行机制。本文的创新之处是以多中心治理理论为视角,把它与我国煤矿安全生产的监管、治理相结合,构建以“政府、矿主、矿工和第三方为主体的多中心治理模式,充分考虑到相关利益主体的诉求,形成独立于政府的第三方社会性的治理监管力量,希冀为扭转我国煤矿安全生产事故频发的严峻形势,完成党的十七大所提出的“安全发展”目标和构建社会主义和谐社会安全生产保障提供一种新的理论视角。更多还原

【Abstract】 China’s fossil "rich coal, oil-poor, less gas" the resources structural feature have decided the coal is at the main body position in our energy. Coal as the main basis of our energy and important chemical raw material, in our one-time energy production and consumption accounted for more than 70%,41% higher than the international level. With the rapid development of the national economy, China’s coal demand is expected to 35-40 million tons. Therefore, in the next 10 years, coal will be the main energy in a long run. In recent years, China’s coal mines, "mine owner flourished, miners killed, the government pay" and the frequent occurrence of accidents in production, coal miner’s bitter experience has aroused widespread public concern. It has become a stubborn ill of socioeconomic development in the Chinese social transition period, and one of the disharmonious factors in the construction of the harmonious socialist society. The coal mine safety production not only related to miner’s life safety and vital interests, related to the healthy development of China’s coal industry, is also related to the social harmony and stability.In this paper, the successful practice of poly-centric governance theory in Western country, the frequency sends the fact stratification plane analysis take "the mining accident" as the breakthrough point, focused coal mine safety production of the actual situation of supervisory and regulatory areas, to explore the failure of China’s deep coal mine safety supervision levels of system and institutional incentives to reveal China’s current government as the only subject in the "single center of control" mode of existence of failure, and China’s coal mine safety supervision "top down" vertical management system disadvantages. Because this lack of independent third-party monitoring system," bottom-up" oversight, combined with the monitoring body of the local governments have not done enough to distinguish the false governance, macro-regulation tends to lead the central weakness in a power vacuum in supervision and regulation and the low efficiency. Whereas, the coal safety production involves the complicated and linked relationships among multiple interest bodies, such as central government, local government, mine owners, miners. The plight of mine management rooted in the rights and responsibilities among them are unbalanced, solely depends upon the government for the main body "the single central government" pattern, all interest groups fail to realize the balance through consultation. This article takes "the poly-centric governance theory" as the theoretical basis, takes the extraordinarily serious coal accidents as the reality basis, uses the literature methodology, the comparison methodology, the system analysis, etc., and collects relevant data and text of coal mine safety production systematically. It has carried on exhaustive combing to coal mining accident mortality rate and million tons mortality rate from 1949 to 2009, pointed out that regardless of a coal accident in China death toll, or million tons mortality, were tested declining trend, however, compared to the West country also had the big disparity, especially million tons mortality rates were still high, cannot not be blindly optimistic. Then focusing on domestic and international regulatory status of coal mine safety and comparative analysis, a detailed description of the evolution of our governance policies and the main types of coal mine safety accidents, and China mine disaster to cause analysis, learn from the United States and India coal mine the successful experience of safety supervision. Analyzing governance dilemma of our country present coal mine safety supervision pattern from the multiple perspectives, including central government pattern under coal mine safety supervision existence subject matter, under single central government pattern coal mine safety supervision not strength deep level reason as well as under single central government pattern in coal mine safety supervision interest relations analysis. Finally, in view of our country present coal mine single center government pattern’s malpractice, proposes under the poly-centric governance vision of coal mine safety supervision pattern. Under the poly-centric governance pattern, further innovates the government coal mine supervision strategy, establishes Safety Production Credit System of coal enterprise, display labor union’s function, defends the miner’s legitimate rights and interests as well as strengthens the supervision of safe production in coal mine from third party, so as to further consummates the coal mine safety supervision operational mechanism.This article occupying of innovation take the poly-centric governance theory as an angle view, it with our country coal mine safety production supervision, establishes "government, mine owners, miners and third-party as the main body poly-centric governance pattern, considered fully the demands of the relevant stakeholders, forms the independence in government’s third party social government supervision strength. Hoping to reverse the production of coal mine safety accidents the grave situation, the completion of a large of 17 proposed "safe and development"goals and building a socialist.harmonious society to protect safety and provide a new theoretical perspective.更多还原