我国煤矿安全“内部监管”有效性研究——基于监管者视角

The Effectiveness of Internal Supervision in China Coal Mine:Based on Perspective of Supervisors

本文从监管者视角,研究了中国煤炭安全监管体系中"内部监管"的有效性。通过构建"关系压力"下监管者的模型,本文发现,为了有效激励安监员,一线工人的选择必须同时纳入系统考虑。进一步,通过搜集10家煤矿企业2012—12013年的安全监察数据,对"内部监管"有效性进行了实证检验。结果表明,由于激励设置的不当,工作数量即出勤天数和安监员的岗位级别对安监员收入有显著影响。而反映监管质量的不安全行为查处和处罚,对安监员的收入都没有显著性影响。"关系压力"下的安监员选择了最小监管量,导致了"内部监管"流于形式,与煤矿的安全生产水平关系不明。

In recent years,the safety production records（mortality per million tons） in coal mines of China has made tremendous progress,which was owing to the advanced mining technology and the renewed production facilities such as safety monitoring and remote control technology.However,large gap still exists between China and other advanced coal- producing countries.The improvement in safety brought by technology and rapidly is starting to diminish gradually.Thus the next leap of safe production should acquire from the soft environment in which employees especially front- line staffs＇ safety awareness and officers＇ safety supervision system count the most.In this paper,we study the effectiveness of the ＂internal supervision＂ which in China＇s coal safety supervision system from the perspective of supervisors.First,by introducing relationship stress into the supervisors＇ models,we found in China the supervisors＇ moral hazard more from ＂ the guan-xi costs＂ caused by the punishment brought to its regulatory pressure.This makes it hard for Supervisor in strict accordance with the implementation of the client＇s intentions,in particular when monitoring and penalties closely.In order to encourage supervisor work harder,incentive setting must compliance with workers＇ gains,achieving a stable supervision balance.Second,by collecting data,we found the relationship between coal mine safe production levels and their internal safety regulatory system is not clear.The safe production days and the most important means of monitoring,unsafe behavior investigation are not statistically relevant.The mines with more days of safe production may have more unsafe behavior or very little,the same is true to other mines with less safety production days as well.During the survey,we found the amounts of unsafe behavior were just related to the target.If the target was set high,the corresponding amount of unsafe behavior investigation was large.Therefore,we are unable to judge the status of production safety just from the amount of unsafe behavior of the mines.Finally,based on data of ten coal mines monitoring in 2012—2013,the paper examines ＂internal supervision＂ effectiveness from the perspective of incentive to supervisors.We found that,current internal safety supervision system of China coal mine enterprises which is executed by internal safety monitoring division in the coal mine itself is invalid.Supervisors＇ income has very little or no relationships with the amount of unsafe behavior caught and punishment intensity.Their target is to complete the minimum target.The attendance days rather than the quality of work count more for their salary.One more day of attendance will bring the monthly wages an increase by 234 Yuan.In addition,the position is also an important index.Higher position makes the monthly salary grow 600 Yuan more.However,the amount of unsafe behavior investigation and fines has very little influence on safety officers＇ income.Only 34 Yuan for one more unsafe behavior investigation will increase the monthly wage;a 1000-Yuan increase of penalties for unsafe behaviors makes another29 Yuan for Supervisors.Through the above analysis,we argued,current internal safety supervision system of China coal mine enterprises which is executed by internal safety monitoring division in the coal mine itself is invalid.Supervisors under guan-xi pressure selected minimum regulatory amount,it led to the ＂internal controls＂ a mere formality,and the level of coal mine production safety unknown relationship.Incentives to supervisors improperly are very important factor of this situation.By re designing the incentive mechanism,this makes supervisors＇ income reflecting the quality of their work.Through the introduction of the income distribution of workers,reduce the supervisors＇ regulatory guan-xi pressure,achieving a stable supervision balance.If this step is not given enough attention and executed effectively,there will still be a long way to go for safe production in coal mines of China.