“高额”还是“高频”?——我国煤矿监管处罚的选择及有效性研究  

“High Fine”or “High Frequency”: Research on the Selection and Effectiveness Penalty for Violation of Coalmine in China

作　　者：罗鹏[1] 钱永坤[1] 徐建博[1] LUO Peng;QIAN Yong-kun;XU Jian-bo(School of Management,China University of Ming and Technology,Xuzhou,Jiangsu,221116,China)

机构地区：[1]中国矿业大学管理学院,江苏徐州221116

出　　处：《经济管理》2018年第9期92-106,共15页Business and Management Journal ( BMJ )

基　　金：神华集团"神华集团煤炭生产安全经济激励机制优化研究"(CISE12022090)

摘　　要：违章处罚是我国煤矿普遍采用的一种负向激励方式。为了增加处罚的威慑,煤矿更多采用较高处罚金额的手段,而忽略了惩罚概率这一同样重要因素。本文通过构建一个不确定惩罚下的矿工期望收益模型,分析了矿工安全投入的影响因素和具有威慑力的最优处罚。利用Logistic模型实证了"高额"和"高频"两种模式对矿工实际的威慑效果。进一步,深入煤矿内部安全监管制度从源头寻找效果不同的原因。本文的结论是:违章处罚理论上会增加矿工生产过程中的安全投入;处罚的力度和频度共同影响着处罚的威慑力;现实中,"高频处罚"对于矿工的威慑力显著,而"高额处罚"并没有显著改变矿工行为;煤矿设置的最低查处任务,未能有效激励安监员,退变成为其努力目标,导致矿工违章被抓概率极低,大幅降低矿工的违章成本,是"高额处罚"效果欠佳的重要原因。For the illegal behavior in the production process,through internal supervision and corresponding punishment is the main negative incentive means widely used in coalmine in our country.The safety supervisors inside the coalmine complete the investigation and punishment.Corresponding punishment be carried out according to the seriousness of the act.In order to increase the deterrent of punishment,coalmine more often use the means of higher penalty amount,while ignoring the equally important factor of punishment probability.Through constructing a model of miners expected income under uncertain punishment,this paper analyzes the influencing factors of miners safety investment and the optimal punishment with deterrent force.Because our country coalmine generally adopts the piecework wage system,to the coal output incentive is bigger.Under the other condition invariable situation,the worker s optimal reflection is increases the labor input.In the case of constant total labor input,the safety input is reduced,which is not conducive to the production safety of coalmine.Especially in the period of rising coal prices,coalmines are more inclined to formulate policies to stimulate production.Other conditions unchanged,the greater the punishment for violation of regulations,the safety of miners will increase.When an accident occurs,if the coalmine can be clear about responsibility,it will encourage miners to invest more in safety.Further,through in-depth analysis of coal mine safety management documents and violations of investigation and punishment account,this paper discusses the background of the two supervision models,and points out the possible problems in the process of supervision.Finally,this paper uses logistic model to demonstrate the deterrent effect of“high punishment”and“high frequency punishment”on miners.The main conclusions of this paper are as follows.First of all,the more incentive the coalmine adopts piece-rate system for coal production,the less conducive to the safety of coalmine production.In or

关 键 词：煤矿 安全监管 高额处罚 高频处罚 

分 类 号：X924.1[环境科学与工程—安全科学]