摘要
综合运用安全系统工程、技术经济分析、数理统计等理论方法,对中美煤矿安全管理体制机制等进行了系统深入的比较研究,归纳了美国18世纪至今煤矿安全经历的三个不同时期和我国解放以来经历的五个时期,分析了不同发展时期中美煤矿安全水平与社会发展阶段的关系及产生原因,提出了中美不同时期煤矿安全的管理特征以及煤矿安全管理模式；比较研究了中美煤矿安全立法演化及历史背景,提出了实现煤矿安全状况根本好转的三大动力,结合我国煤矿安全管理现状,提出了建立煤矿安全与健康技术标准等为主的保障体系,基于激励相容理论,分析了煤矿安全责任关系,提出了利益攸关方的责任共担机制；探讨了煤矿工人在煤矿安全中的特殊地位,提出了矿工“紧急停绳”把好现场安全生产最后关口的观点。
In the dissertation, safety system engineering, techno-economic analysis and mathematical statistics for a deep and systemic comparative study are used on the way coal mine safety has been managed in China and the United States of America. Outlined in the dissertation are three phases since the eighteenth century in the USA and the five stages since liberation in China for coal mine safety, where the linkage with economic maturity and the characteristics/models of its management are analyzed and defined. As part of the analysis on the three drivers for fundamentally improved mining safety, the two countries in the legislation on coal mine safety and its evolution against different historical and social backdrop are compared; the regulatory structure and proposes ways of organizing safety efforts are reviewed. The incentive compatibility theory is then employed to determine the responsibility matrix for mine safety and a mechanism for shared responsibility among stakeholders is raised. Emergency braking is proposed for the miners after their special position is investigated in coal mine safety.
引文
1.中国科普博览,中国的能源资源的结构分布http://www.kepu.net.cn/gb/technology/new energy/web/ al_n5_nnl7.html,2010-7-6
2.百度文库,BP Statistical Review of World Energy 2007, BP Statistical Review of World Energy.2007, 2010-11-9
3.胡锦涛.《高举中国特色社会主义伟大旗帜为夺取全面建设小康社会新胜利而奋斗——在中国共产党第十七次全国代表大会上的报告》.北京：人民出版社,2007：41
4.张德江在2010年8月31第五届中国国际安全生产论坛暨安全生产及职业健康技术与装备展览会开幕式上的讲话
5.安全管理网,我国2010年煤矿百万吨死亡率,http://ask.safehoo.com/?q-249.html,2011-06-03
6. Xinjuan Li. Coal Mine Safety on Environmental Sustainability Based on Behavior Science. Proceedings of the 2009 International Conference on Environmental Science and Information Application Technology. Vol. Ⅲ, Session 1, Global Environment Change and Ecosystems Management Ⅲ. The China:Wuhan,2009:31-33
7.中国新闻网,山西王家岭矿难已有115人成功获救,http://news.sina.com.cn/c/2010-04-05/1617326109s. shtml,2010-04-15
8.黄盛初.国内外煤炭发展趋势与发展战略http://wenku.baidu.com/view/65fcc63767ecl02de2bd89a6.html
9.百度百科,安全,http://baike.baidu.com/view/4547.htm
10.李新娟.山地景区旅游安全风险评价与控制.河南理工大学学报(社会科学版),2010,11(2)：158-162
11.百度百科,管理,http://baike.baidu.com/view/18841.htm#l
12. Merriam-Webster's Collegiate Dictionary (Tenth Edition). Merriam-Webster, Incorporated Springfield. Massachusetts,2001:1194
13. Cambridge International Dictionary of English. Cambridge University Press. London,1995:1482
14.夏征农,陈至立.辞海.上海：上海辞书出版社,2010：1168
15. Merriam-Webster's Collegiate Dictionary (Tenth Edition). Merriam-Webster, Incorporated Springfield. Massachusetts,2001:719
16. Cambridge International Dictionary of English. Cambridge University Press. London,1995:881
17.吕叔湘.现代汉语词典.北京：商务印书馆,2006：1338
18.黄盛初.2009中国煤炭发展报告.北京：煤炭工业出版社,2010：15-55
19.钱鸣高,缪协兴,许家林等.论科学采矿.采矿与安全工程学报,2008,25(1)：1-10
20.颜烨.新中国煤矿安全监管体制变迁.当代中国史研究,2009,(3)：26-38
21.李红,李喜云.煤矿安全监管研究.煤炭经济研究,2010,30(6)：38-39
22.周华.煤矿安全监察体制运行中的问题与对策.江西煤炭科技,2001,(2)：11-11
23.张鹏.当前我国煤炭管理体制存在的问题分析内蒙古煤炭经济,2009,(4)：10-12
24.张柏林.我国煤矿安全行政监管问题研究.北京：中国政法大学,2007
25. Zhu, Songli, Cherni, Judith A. Coal mining in China:Policy and environment under market reform. International Journal of Energy Sector Management,2009,3 (1):9-29
26.郑言.对我国煤矿安全生产监察监管的反思.山东工商学院学报,2009,(8)：31-34
27.刘素冬,于秀琴.我国煤矿安全监管深层次问题及解决思路.煤炭经济研究,2009,(2)：41-44
28.胡文国,吴栋,李乐夫.我国煤炭行业管理体制研究.煤炭经济研究,2007,(6)：22-25
29.雷燕.关于健全安全监管体制的探讨.煤炭科学技术.2005,33(12)：64-66
30.张德信.中国公共行政案例教程.北京：国家行政学院出版社,2004：18-32
31.李洪彦.关于创新安全管理体制机制的探索与实践.煤炭技术,2010,29(6)：33-36
32.张道震,张敬萍.提高工程监理成效的探讨.山东水利职业学院学刊,2006(9)：25-27
33.易光藕,简千如.改革煤矿安全监察体制建立适应煤矿安全生产的监察职能.煤矿安全,2001(8)：33-36
34.张彦军.乡镇煤矿安全监察体制初探.煤矿安全,2001,27(10)：17-19
35.桂来保,汪云龙.强化乡镇煤矿安全监察工作的几点建议.煤矿安全,2003,34(11)：22-26
36.陈晓辉.完善贵州省小煤矿安全监管体制工作的初步设想.贵州工业大学学报(自然科学版),2005,34(2)：6-9
37.付亚平.论煤矿安全监察管理工作中地方政府的作用.华北科技学院学报,2005,2(1)：33-34,40
38.董四辉.煤矿安全监察支持系统研究.阜新：辽宁工程技术大学,2002：28-31
39.王显政.美国煤矿安全监察体系.北京：煤炭工业出版社,2001：10-220
40.吴征艳,蒋曙光,金双林.简述目前我国煤矿安全管理.矿业快报,2004,(4)：14-16
41.高勤社.日本煤矿安全考察之所见.陕西煤炭科技,2000,(4)：6-11
42.窦永山,王万生.英国的煤矿安全监察体制.当代矿工,2002,(4)：34-35
43.安全文化网.德国煤矿安全管理的经验.http://www.anquan.com.cn/Wencui/jingan/Class30/200903/112177
44.潘红樱.南非的矿山安全管理体制.当代矿工,2002,(8)：24-25
45.宁远.捷克的煤矿安全管理.劳动保护，2006,(7)：100-101
46. 国家安全监管总局国家交流合作中心.澳大利亚煤矿安全管理经验.中国职业安全与健康,2006,(7)：66-67
47. Wilson, N.. Safety management-A multifaceted approach. Proceedings of International Mine Management. Australasian Institute of Mining and Metallurgy Publication Series,2006:289-291
48. F.R.A Coolen, P.R.Mertens, M.J.Newby. A Bayes-competing risk model for the use of expert judgment in reliability estimation. Reliability Engineering and System Safety,1992,(35):23-30
49. David S.Salkever, Judith A.Shinogle, Mohankumar Purushothaman. Employer Disablility Management Strategies and Other Predictors of Injury Claims. Journal of safety research,2001:157-185
50.董维武.印度煤矿的安全考察.现代职业安全,2004,(4)：60-61
51.中国煤炭信息网.俄罗斯煤矿安全生产现状http://www.coalcn.com/News/NewsHtml/45/100414
52.刘丽君,王越.加拿大矿业管理体制及税费政策.中国矿业,2006,15(5)：14-16
53.世界煤炭工业发展报告课题组.乌克兰煤炭工业.煤炭科学技术,1999,27(8)：51-53
54.周梁.中美煤矿安全生产管理现状分析.煤炭技术,2005,24(6)：1-3
55.江虹.美国煤矿安全管理启示.理论实践,2009,11：50-52
56.王峰,张彦丽.美国煤矿安全生产经验及其对我国的启示.中国煤炭,2007,33(9)：82-83
57.刘新军,傅贵.中外煤矿事故预防策略的对比.煤矿安全,2008(11).：112-116
58.刘秋实,李翠平,李仲学.美国矿山安全健康管理与标准体系特征.中国安全生产科学技术,2008(4)：38-41
59.陈伟超.对《生产安全事故报告和调查处理条例》的若干思考.现代职业安全,2009,(6)：74-76
60. Hong Fang, Junjie Wu, Catherine Zeng. Comparative study on efficiency performance of listed coal mining companies in China and the US. Energy Policy. Available online,2009,8
61. A.M. Esteves. Mining and social development:Refocusing community investment using multi-criteria decision analysis. Resources Policy,2008,33(1),39-47
62.王显政.安全生产与经济社会发展报告.北京：煤炭工业出版社,2006：218-219
63.周心权,徐敏.经济杠杆把好高危行业事故防治关.安全,2004,(4)：4-6
64.许国林.美国社会转型期社会政治经济问题论析.许昌学院学报,2006,25(4)：98-103
65.吴惠敏.19世纪末20世纪初美国社会政策剖析.云南师范大学学报(哲学社会科学版),2005,37(6)：49-52
66. Susan Lee. A New Economic View of American History. New York,1979
67. Arthur S. Link. American Epoch:A History of the United State Since 1900. New York,1980
68. Arthur M. Schlesinger Jr.. The Cycles of American History. Boston,1986
69.曾凤婵.20世纪30年代经济危机对美国高等教育的影响.比较教育研究,2009,(9)：48-51
70. Gerald S. Poplin, Hugh B. Miller, James Ranger-Moore, etal. International evaluation of injury rates in coal mining:A comparison of risk and compliance-based regulatory approaches. Safety Science, 2008,(46):1196-1204
71.郑莹.20世纪60年代黑人利益集团的崛起与美国政府的应对.井冈山学院学报(哲学社会科学),2008,29(1)：93-97
72. David Laurence. Safety rules and regulations on mine sites-The problem and a solution. Journal of Safety Research,2005,(36):39-50
73. X.J.LI. Safe development of coal mine enterprises based on Endogenous Growth Theory. Proceedings of Management of Natural Resources, Sustainable Development and Ecological Hazards Ⅱ. Section 1, Development Issues. The South Africa:Cape,2009:65-73
74.中国煤炭资源网http://www.sxcoal.com/mtzy/index.html
75.王彦凯,李新娟.潞安矿区低透气性松软单一煤层立体化瓦斯抽采技术探索.煤炭工程,2010,381(8)：49-50
76. Patrick J. Coleman, John C. Kerkering. Measuring mining safety with injury statistics:Lost workdays as indicators of risk. Journal of Safety Research,2007,(38):523-533
77. Dragan Komljenovic, William A. Groves, Vladislav J. Kecojevic. Injuries in U.S. mining operations-A preliminary risk analysis. Safety Science,2008,(46):792-801
78.李新娟.煤矿安全风险管理体系与基本模式研究.煤矿安全,2009,40(12)：115-119
79.中国安全环境能源网,美国安全管理经验研究,http://www.chinaahn.com/zb/jingzhong/content. jsp?messageId=7884&messageTypeId=49,2009-06-19
80. B. Mutter. Development of a web-based course in miner safety training. Conference Proceedings of 2009 ASEE Annual Conference and Exposition. ASEE Annual Conference and Exposition:162-165
81. Christopher J. Bise, Kyle L. Peck. Microcomputer-based instruction for miner safety-training programs. Computers & Industrial Engineering,2008,21 (1-4):413-417
82. Hickman, Jeffrey S., Geller, E. Scott. A safety self-management intervention for mining operations. Journal of Safety Research,2003,34 (3):299-308
83.中国百科网,新中国煤炭工业管理体制的沿革二, http://www.chinabaike.com/z/yj/746010.html,2011.4.17
84.史宗保.煤矿事故调查技术与案例分析.北京：煤炭工业出版社,2009：1-4
85.周心权,邬燕云,朱红青等.煤矿灾害防治科技发展现状及对策分析.煤炭科学技术,2002,30(1)：1-6
86.张柏林.我国煤矿安全行政监管问题研究[D].北京：中国政法大学,2007：33-58
87. M. Makai. Best Estimate Method and Safety Analysis Ⅱ. Reliability Engineering and System Safety.2006,91:222-232
88. O. Yadav, N. Singh. Reliability Demonstration Test Planning:A Three Dimensional Consideration. Reliability Engineering and System Safety,2006,91:882-893
89. B. N Singh. Safety and health hazards in mines. The Indian mining and Engineering Journal,1994,33(8):56-59
90. Straeter. Human Reliability Analysis:Data Issues and Errors of Commission. Reliability Engineering& System Safery,2004,83(2):106-109
91. Tore J. Larsson, Andrew R Hale. Aspects of Risk Assessment, Control and Prevention. Safety Science Monitor,2000,4(1):1-8
92. Surry. J. Industrial Accident Research.A Human Engineering Appraisal. Canada:University of Toronto,1969.
93. David M. Siegel, Vasilios H. Frankos and Marvin A. Schneiderman. Formaldehyde risk assessment for occupationally exposed workers. Regulatory Toxicology and Pharmacology,1983,3(4):355-371.
94. Robert A.Bari. Decision making and probabilistic risk assessment. Nuclear Engineering and Design,1986,93(2-3):341-348.
95. Denby B, Kizil M.S. Application of expert systems in geotechnical risk assessment for surface coal mine design. International Journal of Rock Mechanics and Mining Science & Geomechanics Abstracts,1992,2(2):110.
96. P.Webera.L.Jouffeb. Complex system reliability modeling with Dynamic Object Oriented Bayesian Networks(DOOBN).Reliability Engineering and System Safety,2006,91(2):149-162.
97. Wiggle sworth, E. C. A Teaching Model of injury Causation arid a Guide for Selecting Counter measures, Occupational Psychology,1972(45):2.
98. Anantha Ramu, V. T. Johnson. Damage assessment of composite structures-A fuzzy logic integrated neural network approach. Computers& Struetures.1995 (3):491-502.
99.武予鲁.煤矿本质安全管理.北京：化学工业出版社,2009：37-40
100. Randolph, Robert F., Peters, Robert H. Management and behavioral strategies for improving mine safety and productivity. American Mining Congress Coal Convention,1991:361-374
101.国家安全生产监督管理总局,国家煤矿安全监察局关于组织开展煤矿建设项目安全专项监察的通知,http://www.chinacoal-safety.gov.cn/mkaj//jgjc/mkaj_jgjc.htm,2010.3.26
102.赵巧明.IMO安全监管模式对我国安全生产监管的启示—从“安全秩序控制”走向“安全利益调整”.复旦大学,2007：34-43
103. Xinjuan Li. Coal Mine Safety on Environmental Sustainability Based on Behavior Science. Proceedings of the 2009 International Conference on Environmental Science and Information Application Technology. Vol. Ⅲ, Session 1, Global Environment Change and Ecosystems Management Ⅲ. The China:Wuhan,2009:31-33
104.康国峰.煤矿安全隐患排查与治理分级分类管理机制探索.煤矿安全,2011,42(10)：158-160
105.孙广忠.木桶原理在煤矿安全管理中的应用.山东煤炭科技,2010,(3)：228-230
106. Gudela Grote. Understanding and assessing safety culture through the lens of organizational management of uncertainty. Safety Science,2007,45 (6):637-652
107.李毫峰,高鹤.我国煤炭生产安全监管的博弈分析.煤炭经济究,2004,(7)：75.
108.彭成.美国煤炭工业发展趋势.中国煤炭,2005,(10)：23-25.