山西煤炭产业政策演进研究68

发布时间：2016-09-16 17:17

本文关键词：山西煤炭产业政策演进研究，由笔耕文化传播整理发布。

华中科技大学博士学位论文；摘要；受经济社会环境和产业自身发展的影响，在不同时期，；首先，在国家和山西省经济社会环境、社会价值体系等；其次，在对山西煤炭产业政策演进影响因素进行分析的；第三，基于能动主义制度变迁理论，对山西煤炭产业政；华中科技大学博士学位论文；第四，山西煤炭产业在产业政策演进的促进下，实现了；第五，考虑到政策资源的有限性和政策过程中博弈行为；第

华中科技大学博士学位论文

摘要

受经济社会环境和产业自身发展的影响，在不同时期，形成了不同政策目标的山西煤炭产业政策，实现了产业政策的演进。论文以山西煤炭产业政策演进为研究对象，以政策的快速发展与转型发展阶段为主要研究范围，以政府过程理论中的问题界定、政策制定、政策实施、政策评价与反馈为研究主线，以制度变迁理论、政府管制理论、政府行为外部性理论为基础，以主成分分析法和层次分析法为研究方法，对山西煤炭产业政策的演进历程、演进过程中的主要影响因素、演进的动力机制和路径、演进绩效进行了研究与分析。研究内容主要包括：

首先，在国家和山西省经济社会环境、社会价值体系等宏观因素影响下，山西煤炭产业政策实现了由不同政策目标和政策内容构成的阶段性演进，形成了相对完整的产业政策体系。

其次，在对山西煤炭产业政策演进影响因素进行分析的基础上，采用主成分分析法构建山西煤炭产业政策主导因子分析模型对主导因子进行筛选，发现山西煤炭产业政策演进的主导影响因子是生态环境、安全形势、能源结构和经济增长方式，同时，在影响因素的作用下，形成了以可持续发展和安全发展为主线的山西煤炭产业政策演进空间。主导因子受自身的变化对山西煤炭产业政策演进从不同角度产生影响作用，并为政策演进动力的形成创造了条件。

第三，基于能动主义制度变迁理论，对山西煤炭产业政策演进动力机制进行研究。研究发现，山西煤炭政策演进的动力因素既包括来自于原有政策势差造成的产业势差所形成的推动力，也包括宏观环境的变化带来的拉动力，二者构成了政策演进的动力机制。在动力因素的影响作用下，山西煤炭产业政策以促进产业可持续发展和安全发展为目标，，实现了以促进产业规模化、注重资源综合利用和生态环境保护、构建政府部门对煤矿企业的规范化安全监督管理机制、加强对企业安全生产设备设施建设与投入管理、强化长效培训机制的建设、强化煤矿企业自身安全管理能力提升6个路径方向上的演进，形成了系统化的产业政策体系。

华中科技大学博士学位论文

第四，山西煤炭产业在产业政策演进的促进下，实现了在产业规模及结构和产业集中度、产业经济增长质量、产业循环经济建设以及生态环境治理4个方面对可持续发展能力的提高；实现了在煤炭企业安全投入、培训机制、政府监督管理3个方面对安全生产能力的提高，安全生产形势得到好转。

第五，考虑到政策资源的有限性和政策过程中博弈行为的存在，为保证山西煤炭产业政策演进效应分析的全面性，应用层次分析法构建包括政府、社会、企业3个层面11个二级指标的山西煤炭产业政策演进绩效综合评价指标体系，对山西煤炭产业政策演进绩效进行综合评价。研究表明，山西煤炭产业政策演进绩效综合评价等级为良好，但由于受到政策资源的有限性和政策过程中博弈行为的影响，政策演进过程中存在行政性干预度过高、政策内容对政策目标的扭曲等政策手段问题以及政府目标过重、短期利益目标偏重、社会效益目标重视程度不足、长期效应目标偏轻等政策目标重点的局部偏差问题。

第六，对山西煤炭产业政策演进的研究，不仅实现了对历史的追溯，同样可以为未来政策演进的优化和调整提供建议。通过对山西煤炭产业政策演进过程的分析，建议山西煤炭产业政策在未来演进中，应主要从更加注重政策之间的系统性与前瞻性、注重政策问题的全面性、更加注重政策目标的明确性、注重政策手段对政策目标的支撑、重视政策与市场的关系、强化政策对象的全面性以及注重政策演进周期的科学性和合理性7个方面进行优化和调整，以实现在政策演进的作用下，为山西煤炭产业实现可持续发展和安全发展提供良好的政策环境空间。

关键词：山西煤炭产业；产业政策；政策演进；政策环境

华中科技大学博士学位论文

ABSTRACT

Influenced by the economic environment, social environment and industry development in different period, forms the coal industrial policy of different objectives and realizes the evolution of industrial policy. The paper takes Shanxi coal industrial policy evolution as the object of study, the rapid development of policy and transition stage as the range of study, the problem definition policy formulation, policy implementation, policy evaluation and feedback of the government process policy as the main clue of the research, the institutional change theory, government regulation theory and government external behavior as the foundation, and the principal analysis method and analytic hierarchy process as the method of study to research and analyze the evolution progress, influencing factors, dynamic mechanism, evolution path and evolution performance of Shanxi coal industrial policy. Research mainly include：

Firstly, in the national and Shanxi Province's economic and social environment, social value system under the influence of macroeconomic factors such as Shanxi coal industry policy implemented by different policy objectives and content of periodic evolution, formed a relatively complete system of industrial policy.

Secondly, the evolution of Shanxi coal industry policy based on the analysis of the influence factors, the principal component analysis was used to construct the Shanxi coal industry policy leading factor analysis model to simulate the dominating factor screening, found that the evolution of Shanxi coal industry policy dominant impact factors is the ecological environment, security situation, energy structure and the way of economic growth, at the same time, under the action of impact factors, formed with the concept of sustainable development and safe development of spatial evolution of Shanxi coal industry policy. Dominant factor by itself on the evolution of Shanxi coal industry policy influence from different angles, and created the conditions for the policy evolution of dynamic formation.

Thirdly, based on the theory of activism institutional change, policy of Shanxi coal industry evolution dynamic mechanism are studied. Study found that Shanxi coal policy III

华中科技大学博士学位论文

includes both the evolution of power factor comes from the original policy potential difference caused by the industrial impetus, which is formed by the potential difference includes changes in the macro environment of a constitution, constitute the policy evolution of both dynamic mechanism. Under the action of dynamic factors, Shanxi coal industry policy to promote sustainable development of industry and security development as the goal, implements to focus on comprehensive utilization of resources and promote industrial scale, and ecological environment protection, build the standardization of the government departments to the coal mine enterprise safety supervision and management mechanism, to strengthen enterprise safety production facilities construction and investment management, strengthening the construction of the long-term training system, strengthening coal mine safety management ability to promote enterprise itself on the direction of six paths evolution, formed the systematic system of industrial policy.

Fourthly, Shanxi coal industry under the promoting of evolution of industrial policy, realizes the industrial layout and industrial concentration, industry economic growth quality, industry circular economy construction and ecological environment management four aspects to improve the ability of sustainable development; Achieved in the coal enterprise safety input, the training mechanism, the government supervision and management of the three aspects to improve the safety production capacity, production safety situation improved.

Fifthly, considering the limitation and policy resources game behavior in the process of policy, in order to ensure the comprehensive effect of evolution of Shanxi coal industry policy analysis, application of analytic hierarchy process , including the government, society, enterprise evolution of eleven secondary indexes of Shanxi coal industry policy performance comprehensive evaluation index system, to achieve the performance comprehensive evaluation of the evolution of Shanxi coal industry policy. Study shows that the evolution of Shanxi coal industry policy performance comprehensive evaluation is good, but due to the policy game behavior in the process of resource limitation and policy influence, exist in the process of policy evolution through administrative intervention, policy content high distortions of policy goals such as policy issues as well as the government's target is overweight, short-term interests focus on, social benefit target value IV

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