本文關(guān)鍵詞：山西煤炭產(chǎn)業(yè)政策演進(jìn)研究，由筆耕文化傳播整理發(fā)布。

華中科技大學(xué)博士學(xué)位論文；摘要；受經(jīng)濟(jì)社會環(huán)境和產(chǎn)業(yè)自身發(fā)展的影響，在不同時期，；首先，在國家和山西省經(jīng)濟(jì)社會環(huán)境、社會價值體系等；其次，在對山西煤炭產(chǎn)業(yè)政策演進(jìn)影響因素進(jìn)行分析的；第三，基于能動主義制度變遷理論，對山西煤炭產(chǎn)業(yè)政；華中科技大學(xué)博士學(xué)位論文；第四，山西煤炭產(chǎn)業(yè)在產(chǎn)業(yè)政策演進(jìn)的促進(jìn)下，實現(xiàn)了；第五，考慮到政策資源的有限性和政策過程中博弈行為；第

華 中 科 技 大 學(xué) 博 士 學(xué) 位 論 文

摘 要

受經(jīng)濟(jì)社會環(huán)境和產(chǎn)業(yè)自身發(fā)展的影響，在不同時期，形成了不同政策目標(biāo)的山西煤炭產(chǎn)業(yè)政策，實現(xiàn)了產(chǎn)業(yè)政策的演進(jìn)。論文以山西煤炭產(chǎn)業(yè)政策演進(jìn)為研究對象，以政策的快速發(fā)展與轉(zhuǎn)型發(fā)展階段為主要研究范圍，以政府過程理論中的問題界定、政策制定、政策實施、政策評價與反饋為研究主線，以制度變遷理論、政府管制理論、政府行為外部性理論為基礎(chǔ)，以主成分分析法和層次分析法為研究方法，對山西煤炭產(chǎn)業(yè)政策的演進(jìn)歷程、演進(jìn)過程中的主要影響因素、演進(jìn)的動力機(jī)制和路徑、演進(jìn)績效進(jìn)行了研究與分析。研究內(nèi)容主要包括：

首先，在國家和山西省經(jīng)濟(jì)社會環(huán)境、社會價值體系等宏觀因素影響下，山西煤炭產(chǎn)業(yè)政策實現(xiàn)了由不同政策目標(biāo)和政策內(nèi)容構(gòu)成的階段性演進(jìn)，形成了相對完整的產(chǎn)業(yè)政策體系。

其次，在對山西煤炭產(chǎn)業(yè)政策演進(jìn)影響因素進(jìn)行分析的基礎(chǔ)上，采用主成分分析法構(gòu)建山西煤炭產(chǎn)業(yè)政策主導(dǎo)因子分析模型對主導(dǎo)因子進(jìn)行篩選，發(fā)現(xiàn)山西煤炭產(chǎn)業(yè)政策演進(jìn)的主導(dǎo)影響因子是生態(tài)環(huán)境、安全形勢、能源結(jié)構(gòu)和經(jīng)濟(jì)增長方式，同時，在影響因素的作用下，形成了以可持續(xù)發(fā)展和安全發(fā)展為主線的山西煤炭產(chǎn)業(yè)政策演進(jìn)空間。主導(dǎo)因子受自身的變化對山西煤炭產(chǎn)業(yè)政策演進(jìn)從不同角度產(chǎn)生影響作用，并為政策演進(jìn)動力的形成創(chuàng)造了條件。

第三，基于能動主義制度變遷理論，對山西煤炭產(chǎn)業(yè)政策演進(jìn)動力機(jī)制進(jìn)行研究。研究發(fā)現(xiàn)，山西煤炭政策演進(jìn)的動力因素既包括來自于原有政策勢差造成的產(chǎn)業(yè)勢差所形成的推動力，也包括宏觀環(huán)境的變化帶來的拉動力，二者構(gòu)成了政策演進(jìn)的動力機(jī)制。在動力因素的影響作用下，山西煤炭產(chǎn)業(yè)政策以促進(jìn)產(chǎn)業(yè)可持續(xù)發(fā)展和安全發(fā)展為目標(biāo)，，實現(xiàn)了以促進(jìn)產(chǎn)業(yè)規(guī)模化、注重資源綜合利用和生態(tài)環(huán)境保護(hù)、構(gòu)建政府部門對煤礦企業(yè)的規(guī)范化安全監(jiān)督管理機(jī)制、加強對企業(yè)安全生產(chǎn)設(shè)備設(shè)施建設(shè)與投入管理、強化長效培訓(xùn)機(jī)制的建設(shè)、強化煤礦企業(yè)自身安全管理能力提升6個路徑方向上的演進(jìn)，形成了系統(tǒng)化的產(chǎn)業(yè)政策體系。

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華 中 科 技 大 學(xué) 博 士 學(xué) 位 論 文

第四，山西煤炭產(chǎn)業(yè)在產(chǎn)業(yè)政策演進(jìn)的促進(jìn)下，實現(xiàn)了在產(chǎn)業(yè)規(guī)模及結(jié)構(gòu)和產(chǎn)業(yè)集中度、產(chǎn)業(yè)經(jīng)濟(jì)增長質(zhì)量、產(chǎn)業(yè)循環(huán)經(jīng)濟(jì)建設(shè)以及生態(tài)環(huán)境治理4個方面對可持續(xù)發(fā)展能力的提高；實現(xiàn)了在煤炭企業(yè)安全投入、培訓(xùn)機(jī)制、政府監(jiān)督管理3個方面對安全生產(chǎn)能力的提高，安全生產(chǎn)形勢得到好轉(zhuǎn)。

第五，考慮到政策資源的有限性和政策過程中博弈行為的存在，為保證山西煤炭產(chǎn)業(yè)政策演進(jìn)效應(yīng)分析的全面性，應(yīng)用層次分析法構(gòu)建包括政府、社會、企業(yè)3個層面11個二級指標(biāo)的山西煤炭產(chǎn)業(yè)政策演進(jìn)績效綜合評價指標(biāo)體系，對山西煤炭產(chǎn)業(yè)政策演進(jìn)績效進(jìn)行綜合評價。研究表明，山西煤炭產(chǎn)業(yè)政策演進(jìn)績效綜合評價等級為良好，但由于受到政策資源的有限性和政策過程中博弈行為的影響，政策演進(jìn)過程中存在行政性干預(yù)度過高、政策內(nèi)容對政策目標(biāo)的扭曲等政策手段問題以及政府目標(biāo)過重、短期利益目標(biāo)偏重、社會效益目標(biāo)重視程度不足、長期效應(yīng)目標(biāo)偏輕等政策目標(biāo)重點的局部偏差問題。

第六，對山西煤炭產(chǎn)業(yè)政策演進(jìn)的研究，不僅實現(xiàn)了對歷史的追溯，同樣可以為未來政策演進(jìn)的優(yōu)化和調(diào)整提供建議。通過對山西煤炭產(chǎn)業(yè)政策演進(jìn)過程的分析，建議山西煤炭產(chǎn)業(yè)政策在未來演進(jìn)中，應(yīng)主要從更加注重政策之間的系統(tǒng)性與前瞻性、注重政策問題的全面性、更加注重政策目標(biāo)的明確性、注重政策手段對政策目標(biāo)的支撐、重視政策與市場的關(guān)系、強化政策對象的全面性以及注重政策演進(jìn)周期的科學(xué)性和合理性7個方面進(jìn)行優(yōu)化和調(diào)整，以實現(xiàn)在政策演進(jìn)的作用下，為山西煤炭產(chǎn)業(yè)實現(xiàn)可持續(xù)發(fā)展和安全發(fā)展提供良好的政策環(huán)境空間。

關(guān)鍵詞：山西煤炭產(chǎn)業(yè)；產(chǎn)業(yè)政策；政策演進(jìn)；政策環(huán)境

II

華 中 科 技 大 學(xué) 博 士 學(xué) 位 論 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

華 中 科 技 大 學(xué) 博 士 學(xué) 位 論 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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  本文關(guān)鍵詞：山西煤炭產(chǎn)業(yè)政策演進(jìn)研究，由筆耕文化傳播整理發(fā)布。