【作者】 潘跃飞；

【导师】 吕永波；

【作者基本信息】 北京交通大学 ， 系统工程， 2010， 博士

【摘要】 能源是现代文明的基础,富煤少油贫气的能源资源禀赋决定了煤炭在我国能源结构中的重要地位,在未来相当长的时期内,我国仍将是以煤为主的能源结构。改革开放以来,煤炭行业虽然取得了长足发展,但仍然存在着结构不合理、增长方式粗放、科技水平低、安全事故多发、资源浪费严重、环境治理滞后、历史遗留问题较多等突出问题。煤炭行业管理体制改革创新将对这些问题的解决具有重要的理论和实践意义。本文的主要研究及创新工作如下：(1)煤炭是不可再生资源,煤炭行业具有基础性、高危性和分布不均衡性。本文从政府规制理论、博弈理论、可持续发展理论以及系统分析和评价方法等方面,分析了煤炭行业的经济属性,研究了作为管理主体的政府在煤炭行业管理中的地位和作用,从而为建立促进煤炭行业可持续发展的管理体制奠定了理论基础。(2)体制的创新就是着眼于利益的合理分配，以形成良性的激励机制。本文通过利益相关者理论,分析了我国煤炭行业的利益相关者及其利益关系,研究了当前煤炭企业整合过程中的中央政府、地方政府和煤矿企业的博弈行为和策略,建立了政府与小型煤矿企业的策略博弈模型,通过模型求解分析了实现煤炭行业重组的可能性及条件。(3)煤炭行业区域管理模式与该区域煤炭行业的经济特征具有关联性,主要影响因素包括煤炭行业生产规模占全国份额、煤炭工业总产值占区域经济比重、区域煤炭行业的集中度以及企业平均产量,构建了基于霍尔三维结构的煤炭行业区域管理体制模型,为区域煤炭行业管理模式的选择提供了重要依据。(4)煤炭行业管理体制应当兼顾集中统一、制衡协调、专业权威、适应市场、宏观监控、区域差异的目标,构建了包括国家宏观和区域多样性的两级煤炭行业管理体制框架,并具体分析了相应的机构设置、权限配属及相互间的协调制衡关系。(5)构建了包括经济发展、社会进步、环境保护和资源开发为主要内容的煤炭行业区域可持续发展评估指标体系,给出了和谐度评估模型的基本原理和一般步骤。针对我国重点煤炭区域山西省进行了实证研究,并提出了加强区域煤炭管理体制建设的政策与建议。更多还原

【Abstract】 The basis of modern civilization is energy, the prosperous of coal and the absence of petroleum and natural gas is the cause of the important role that coal play in the energy structure of our country. The coal-based energy structure of our country is the long-term persistence. Since reform and opening up, coal industry of our country has made considerable progress, but there still exist many outstanding problems, such as irrationality of structure, extensive growth mode, weak scientific and technological level, excessive security incident, huge waste in resource, hysteretic environmental management and excessive issues left over from history. The innovation of coal industry regional management system is of great significance in both theory and practice for these problems.The main research and originality is as follows:(1) The coal resources are non-renewable resources. Coal industry is fundamental, high-risk and balanceless. This paper analyzes the economic attribute of coal industry, the status and power of the government which at the dominant position in coal industry management in such four aspects as government regulation theory, game theory, theory of sustainable development and methodology of system analysis and system assessment for the theoretical basis establishing of the management system which promote the sustainable development for coal industry.(2) The aim of innovating on a system is to properly distribute the benefits and thereby to form a benign incentive system. This paper analyzes the stakeholders of the coal industry and their benefit-based relationships through the Stakeholders Theory; investigates the tactics and behavior of game among the National government, the local government and the coal company in the company combination process; founds a strategic game model between the government and the small-sized coal companies, and analyzing the possibility and the condition for the Chinese coal industry to recombine by it.(3) As there exists relevance between the area management mode of the coal industry and the economic features of the very area, such as the percentage which the scale of production of the coal industry occupied in the national market, the rate which the total output value of the coal industry occupied in the area economy, the concentration of the coal industry in a certain area and the average output of the companies, based on the Hall three dimension structure, this paper structures a model to manage the coal industry in a certain area, and to offer the management mode a basis.(4) Coal industry management system should take account of centralization and unification, coordination and restriction, proficiency and authority, market adaptation, macroscopic supervision, regional difference. This paper not only establishes a two-level coal industry management system include both national macroscopic and regional diversity but also analyzes the organization establishment, rights configuration and their balance relationship.(5) The paper forms a structure which considering the development of the economy, the improvement of the society, the protection of the environment and the exploration of the resource to evaluate the norm of the sustainable development of the coal industry in a certain area, and it also shows the fundamental and basic procedure of a model to evaluate the harmony of a industry. It does an investigation on an important area in Shan Xi Province and provides several policies to strengthen the coal management.更多还原