国家产业政策对煤炭工业的影响1

国家产业政策对煤炭工业的影响1

The Effects on the Coal Industry by National Industrial Policies Abstract

潘 克 西

摘要：

本文在系统论述中国建国以来国家煤炭产业政策发展变化的基础上，运用产业经济学理论和方法，分析、研究了国家产业政策对煤炭工业的作用和影响，论证了在不同时期国家采用两种完全相反的煤炭产业政策的必要性。并在借鉴西方市场经济国家煤炭产业政策实践经验的同时，提出了中国目前和未来一段时间内煤炭工业产业政策的基本方向。

This paper expounds systematically the developing trends of national coal industrial policies after the foundation of PRC. Then, the functions and the effects on the coal industry by national industrial policies are studied and researched with economic theories and methods. The rationality of the two completely reversing policies in coal industry by our country during different periods is discussed. By using the practical experiences of national coal industrial policies in western countries with market economics with references, the basic directions of coal industrial policies are put forward at present and in the future for the government of China.

正文：

产业政策是政府将宏观管理深入到社会再生产过程之内，按照经济发展中资源配置结构进化的客观规律，依据本国的国情及其经济发展的阶段，对国民经济运行中的资源配置结构及其形成过程，进行科学的、系统的和适当的干预、介入和参与，从而达到提高国民经济整体效益和实现整体协调的目的，并寻求最大限度的经济增长和经济发展的经济政策。产业政策的推行在西方市场经济国家已有近百年的历史了，而“产业政策”一词在中国官方文献中作为一系列的政府政策，只是近十几年的事情。在此，笔者试图运用产业经济学理论和方法就1949年中国建国以来国家有关煤炭工业政策的形成、发展、演变及其作用和影响做一全面、系统的分析研究，以期在客观、认真地总结以往经验教训的基础上，寻求中国未来煤炭工业产业政策的基本方向。

一、中国煤炭产业政策的类型与形成背景

1949年中国建国以来，国家对煤炭工业的政策总的来说可分为鼓励煤炭生产快速增长和限制煤炭盲目生产两种类型。在计划经济时期，由于煤炭供不应求，为保障煤炭供应，国家对煤炭工业采取鼓励生产快速增长的倾斜政策；改革开放以后，特别是进入九十年代，煤炭供应紧张局势逐步缓解，并转而走向生产过剩，97年开始煤炭市场持续供大于求，因此，国家对煤炭生产采取关井压产、调整结构、平衡总量的限制性政策，以控制煤炭生产盲目增产。

（一）、鼓励煤炭生产快速增长的政策

长期以来，煤炭工业在中国国民经济中始终占有举足轻重的地位，能源生产和消费都是以煤为主，在一次能源的生产和消费结构中，煤炭一直占总量的70%以上，特别是在五、六十年代，煤炭消费量甚至占到能源消费总量的80%～90%。

1本文中文在1999年世界华商管理大会上专题演讲，发表于《世界经济文汇》1999年第11期，英文在2000年第五届世界管理大会（加拿大）上专题演讲，并发表于大会论文集。

能源紧张，突出的表现就是煤炭供不应求。

建国以后，经过三年的经济恢复和“一五”到“五五”时期的大规模建设，中国工业化进程取得了巨大成就。伴随这一进程，产业结构也发生了重大变化。相对耗能低的农业、商业地位下降，耗能高的工业成为国民经济的主导部门。工业结构中高耗能的钢铁、建材、化工等部门增长很快、地位提高，高耗能的产业结构也就是高耗煤的产业结构。这种产业结构决定了煤炭工业的支柱性地位。有学者曾就1952年到1988年期间煤炭增长和社会总产值增长进行线性回归，用数学回归方程清楚、准确地得出了两者互为需要、互相影响的关联度。当煤炭产量为自变量，社会总产值为因变量时，计算结果为煤炭产量每增加一个百分点，社会总产值可增长1.2个百分点。将两者变换位置后，计算结果为社会总产值每增加一个百分点，就要求煤炭增长0.74个百分点。两个结果的测定系数高达0.9，表明方程较为可信。从而也说明了煤炭对国民经济的决定性作用。因此，煤炭供不应求就影响到国民经济的整体建设速度。为尽快改变这一状况，中国政府制定了“以钢为纲，以煤保钢”和“煤炭工业是国家工业化的先行工业”的方针战略，并采取了一系列加快煤炭增长和促进煤炭节约的政策措施。如：投资向煤炭工业倾斜、大力发展乡镇煤矿、建设五大露天煤矿、统配煤矿投入产出总承包，逐步调整和放开煤炭价格等等。后来的事实表明，前两项政策对煤炭工业的迅速成长起到了关键性的作用。

1、国家投资向煤炭工业倾斜

从1949年到1980年的三十多年时间里，中国处于计划经济时期，煤炭工业的建设与发展基本上依赖于国家的投资。其间，在国有煤矿基建投资的总量中国家拨款所占比例分别为：“一五”时期的92%、“二五”时期的88%、“三五”时期的97%、“四五”和“五五”时期的85%。而地方和企业自筹资金仅占总量的3%～15%。当时虽然也允许社队集体投资办矿，但其所占比重微乎其微，其煤炭产量占全国煤炭生产总量的比重也很小，1949年为4%、1960年为5%、1970年为9%、1980年为18%。

国家实施投资向煤炭工业倾斜政策后，煤炭工业的基建投资得到了国家的优先安排，其增长速度也很快。在1953年到1980年的二十七年时间里，国家对国有煤矿基建投资的总额由4.33亿元猛增到34.64亿元，年均增长8%以上。使得煤炭工业的基建投资在各个计划时期均占到全国工业基建投资总额的12%左右，特别是1963年～1965年的三年调整时期，比重更高。

2、大力发展乡镇煤矿

改革开放以后，国家对煤炭工业采取了“大中小煤矿并举”的鼓励性政策。在继续加大国有煤矿投入、特别是加快国有重点煤矿建设的同时，大力发展乡镇小煤矿。1983年初，国家放宽了办矿政策，鼓励农民开办小煤矿。同年3月，国务院颁发了《关于加快发展乡镇煤矿的八项措施》等文件，倡导“有水快流”、“国家修路，群众办矿”。1985年1月，国家又制定了“国家、集体、个人一齐上，大、中、小煤矿一起搞”的发展煤炭工业新方针、新战略，同时采取了一系列措施，以充分调动各方办矿的积极性。如国家无偿划出可供开采的煤炭资源、发放低息贷款、对出省煤炭给予财政补贴等等。许多产煤省、自治区地方政府也给乡镇煤矿各种鼓励和优惠政策，如优先调拨钢材、木材等紧缺材料、给予实物补助等等。

（二）、限制煤炭产量盲目增长的政策

进入九十年代中、后期，社会对煤炭的需求严重不足、煤炭生产能力明显过

剩、库存急剧增加，煤炭市场疲软、竞争无序，煤炭价格过低、拖欠煤款严重，加之乡镇煤矿盲目发展，特别是非法开采的小煤矿违章经营，严重了扰乱市场的正常秩序、侵犯了国有煤矿的正当权益。进一步加剧了国有煤矿，特别是部分国有重点煤矿的困难，煤炭工业再度陷入困境。为此，国家采取限制性的政策，控制煤炭产量盲目增长，保持煤炭供求总量平衡。其主要做法有二，一是下放原煤炭工业部直属的全部94个国有重点煤炭企业；二是在下放国有重点煤矿的基础上，实行关井压产。下放，主要是解决煤炭管理体制不顺的问题；关井，主要是解决煤炭总量过剩的问题。二者是一个互相联系的有机整体，构成新时期的国家煤炭工业产业政策。

1、下放国有重点煤矿

1998年7月，国务院正式下发了《关于改革国有重点煤矿管理体制有关问题的通知》，将国有重点煤矿全部下放给所在的二十个省、自治区和直辖市的地方政府。地方政府统一领导和管理国有重点煤矿、国有地方煤矿和乡镇煤矿，缓解了原来中央和地方分级管理时，国有重点煤矿和地方煤矿在资源和市场等方面的矛盾，便于统一组织生产、安排运力和划分市场，为有效地控制煤炭产量的盲目增长奠定了基础。

2、关井压产、调整煤炭工业结构

在促使煤炭产量快速增长的同时，小煤矿的大量发展也带来了一系列的负面影响。主要表现为，技术装备和开采方法落后，生产安全伤亡事故多；回采率低，浪费资源、污染环境；低水平重复建设，非法、违法开采；不正当竞争，冲击破坏市场秩序。从而导致煤炭供求总量失衡，行业整体经济效益下滑，严重危害煤炭工业的可持续发展。

小煤矿的盲目发展，无序竞争，已导致国有大矿生产能力不能充分发挥，经营遇到前所未有的困难。截止1997年底，全国共有各类煤矿6.4万处，其中各类小煤矿就有6.1万处，占总数的93.8%。美国年产煤炭10亿吨，却仅有2196个煤矿。与先进产煤国家相比，我国煤矿数量多得惊人，是美国的30倍，俄罗斯的300倍，澳大利亚的700倍。小煤矿发展过快、过滥，导致国有大矿能力大量闭置。1997年，国有重点煤矿能力利用率仅为88%，富余能力高达9000万吨。特别是进入1998年以后，国有重点煤矿60%左右的矿井不能正常生产，有些处于停产、半停产状态。一些由国家投入巨资建设的现代化矿井，其技术装备优势和生产能力不能得到有效发挥，给国家造成极大的浪费。据统计，1997年全国二十七个产煤省、自治区、直辖市中，各类小煤矿共产煤炭6.22亿吨，占当年全国煤炭总产量13.3亿吨的47%，成为煤炭供大于求的主要根源。

小煤矿盲目发展，而国有重点煤矿生产能力严重放空，这不仅造成煤炭工业结构上的不合理，也是导致煤炭总量过剩的重要原因，要保持煤炭供求总量基本平衡，实现煤炭工业结构的优化，就必须将小煤矿非法和不合理的、乱采滥挖的产量压减下来。为此，国务院于1998年11月下发了《关于煤炭工业关井压产工作有关问题的通知》，并制定了一系列政策。关井压产的目标是要关闭非法开采、布局不合理、乱采滥挖以及生产高硫煤的各类小煤矿2.58万处，压缩产量2.5亿吨。确定这样一个目标的依据有二，一是按照煤炭市场的有效需求测算，压缩2.5亿吨产量就可以基本实现煤炭供求总量的平衡，解决总量过剩的问题；二是6.1万处小煤矿中，仅非法开采的就有5.12万处，再通过依法整顿煤炭生产经营秩序，关闭2.58万处是合理合法的，也是切实可行的。

二、中国煤炭产业政策的作用与效果

（一）、鼓励性产业政策的作用与效果

在计划经济时期，由于国家全面实施投资向煤炭工业倾斜的扶持性产业政策，煤炭工业获得了高速的增长。全国年产3万吨以上矿井的生产能力由1952年的1302万吨/年猛增到1980年的47549万吨/年，28年间平均年增生产能力1651万吨，增长35倍。全国煤炭总产量由1949年的3243万吨增长到1980年的62018万吨，31年间增长18倍，年均增长率为10%。使中国一跃成为仅次于美国和前苏联的第三大产煤国。

在改革开放时期，国家大力发展乡镇煤矿的鼓励性产业政策，极大地调动了地方和农民办矿的积极性，加上一系列有力的措施，为乡镇煤矿的发展创造十分有利的条件，掀起了大办乡镇煤矿的热潮。“八五”时期，煤价逐步放开，煤炭价格逐渐上扬，乡镇煤矿利润更为丰厚，又给其发展增加了新的动力。

1982年，全国有乡镇煤矿1.6万多处，当年产煤1.46亿吨，占全国产量的21.9%；1983年，乡镇煤矿数量剧增到3万多处，产量增至1.7亿吨，占全国产量的23.8%。一年间，乡镇煤矿数量增加约87.5%，产量增加16%，占全国总产量的比重增加1.9个百分点，并为后几年的高速发展打下了基础。1985年，乡镇煤矿数量增加到 6.3万处，产量增加到 2.83亿吨，占全国产量比重增加到32.5%，比1982年产量增加了将近一倍，占全国总产量的比重增加10.58个百分点。1995年，乡镇煤矿数量达到7.29万多处，产量达到5.79亿吨，占全国煤炭总产量的48.42%。在1982年到1995年的十三年间，乡镇煤矿数量增加了3.5倍，产量增加4.33亿吨，增长近3倍，平均年增长3330万吨，占全国煤炭总产量的比重增加了26.5个百分点。十三年间，乡镇煤矿增加的年产量占全国煤矿增加的年产量的62.3%，由此，乡镇煤矿一跃成为煤炭工业的重要组成部分，对中国煤炭产量的增长起了决定性的作用，并使中国成为名列世界首位的产煤大国。

实践表明，国家鼓励性煤炭产业政策的实施，对煤炭工业的高速发展和煤炭产量的快速增长都起到了重大的推动作用，其效果是极为显著的。煤炭工业由弱变强、由小变大，煤炭供求紧张局势逐步缓解，满足了国民经济和社会发展的需要。九十年代初期实现了煤炭总量供求基本平衡，中、后期就形成了煤炭供大于求的局面，煤炭供求关系从根本上发生了变化。

（二）、限制性产业政策的作用与效果

按照国家的有关政策，各产煤省、自治区和直辖市人民政府与国家有关部门密切配合，仅用了一个多月的时间就完成了煤炭企业下放交接工作。随后，许多地方政府就采取行政手段或组织措施干预煤炭市场，维护本地区煤矿利益，特别是国有大矿的利益。有的要求本地区用煤企业必须优先采购本地煤；有的对进入本地的外地煤加收管理费，以增强本地煤的竞争力。不久，煤炭产量的宏观调控趋势明朗了。1998年全国煤炭总产量为12.23亿吨，比上年减少1.07亿吨，实现了关井压产的初期目标。

三、西方市场经济国家的煤炭产业政策及其作用和影响

在西方市场经济国家，政府对煤炭的政策主要集中在保持总量平衡、维护公平竞争和建设与管理煤炭运输基础设施等三个方面。鉴于中国目前和未来一段时期煤炭产业政策的取向，在此重点介绍和探讨有关保持煤炭供求总量平衡的产业政策。

（一）、引导政策

在美国，由于煤矿均为私营、煤价全部放开，煤炭供求关系完全依靠市场和

价格机制来调节，政府对煤炭产业的管理和调控主要是通过政策法规和信息服务来加以引导。

事实上，美国政府有关煤炭的产业政策和研究开发计划，对煤炭的供求格局以及品种和地区结构的变化产生着重大的影响。例如，九十年代初期颁布的《大气净化法修正案》曾规定到2000年全国二氧化硫排放量比1990年减少10万吨。因此，生产低硫煤的西部煤矿产量大幅度增长，而生产高硫煤的东部煤矿大量关闭，政府每年拨款2.5亿美元用于失业矿工的转岗培训，从而有效引导了产煤地区结构的大转换。

美国能源部能源信息局是世界上规模最庞大、技术最先进、服务领域最广泛的政府能源信息机构。该局定期出版权威性的有关全国煤炭生产及消费的周报、月报、季报和年报，发表国际国内煤炭需求年度和中、长期预测报告，成为政府和煤炭生产、消费企业进行决策的主要依据。

（二）、直接干预政策

在西欧和日本，由于煤炭生产成本过高，为保护本国煤炭产业，各国政府都采用直接干预政策来保持煤炭供求总量平衡。较为常用的方式有：

1、对国产煤炭进行配售和价格补贴

英、德、法、西班牙等欧共体产煤国，煤矿开采条件差，生产成本远高于国际市场价格。如德国国内煤炭平均生产成本比进口煤炭平均到岸价格每吨要高出100美元以上。因此，这些国家的政府只得采用国产煤配售和价格补贴的政策，以使本国的煤炭产业维持一定的生产水平。

英、德两国的具体做法是，政府主持全国的煤炭公司与电力公司签订五年以上的长期煤炭购销协议，规定电力公司购买国产煤炭的数量和价格，政府给予担保。在英国，国产电煤的价格和相应的数量分为三个档次，第一档以国产煤生产成本为定价基准；第二档以进口燃料油和动力煤价格为定价基准；第三档以国际市场煤炭价格为基准。政府据此按照有关原则给煤炭公司财政补贴，补贴金额为国内煤炭生产、销售成本与国际煤炭市场价格之间的差额。在各项补贴中，动力煤价格补贴金额最大。在德国，国产动力煤价格补贴由电力用户承担。政府向电力终端用户征收附加费组成专项基金。煤矿按协议规定的国产煤价格向电力公司供煤，与进口煤的价差由专项基金支付给电力公司。

2、对煤矿进行财政补贴

七十年代以后，西欧和日本的煤炭工业逐步进入衰退时期。为减缓煤矿倒闭对社会的冲击，保持国产煤炭在能源供应中的比例，各国政府均对煤炭工业采取扶持和保护政策，在进行财政拨款、政策性融资和转移支付的同时，还给予煤矿巨额的财政补贴。

各国政府对煤矿的财政补贴一般有直接补贴和间接补贴两种。直接补贴包括投资补助、矿工津贴、偿付债务、关矿补助等；间接补贴包括煤价补贴、加速折旧、社会保险、科研补助等。

3、控制煤炭产量和价格

日本煤炭工业陷入严重危机时期，煤矿大量倒闭，煤炭堆积如山。政府及时颁布了《煤炭工业合理化临时措施法》采取限产、限价等措施。煤炭管理部门根据煤炭生产成本、进口煤和其他燃料价格，确定年度煤炭标准售价，向煤炭生产企业下达限价和限产指标，同时向有关煤矿和销售商下达调整煤炭销售区域和销售数量的指标，以保证用户用煤的稳定性，最大限度地减少由于煤炭限产给用户造成的不利影响。

此外，为促进煤矿经营和煤炭流通合理化，日本政府还设立了煤炭工业合理化事业团，以代表政府实施合理化计划，所需资金或由日本开发银行提供政策性贷款，或由民间银行提供信贷，由事业团进行担保。用于矿井建设和技术改造项目的政策性融资均为无息贷款，还贷期一般为20年和15年。用于改善煤矿经营和煤炭流通设施的款项也均为优惠贷款。

四、中国未来煤炭工业产业政策的基本方向

同西方市场经济国家一样，由于煤炭工业自身的特点和国家对煤炭工业的政策，使得煤炭工业毫无例外地成为一个极为脆弱的产业部门。当将其选作主导产业时，需要国家鼓励性产业政策的扶持和培养，以促使其快速增长，从而满足国民经济整体发展的需要。当其成为衰退产业时，宜需要国家撤让性产业政策的引导和保护，以防止其过剩生产能力之间的过度竞争，缓和其可能造成的劳动力大量流动带来的社会矛盾，并将其稳定在一定的生产水平上。根据国际的经验和中国近几年的实践，应该客观地看到煤炭工业属于难于完全市场化的产业，煤炭企业不可能作为主要的投资主体，在比较长的时期内，投资主体仍应由政府担任。理论和实践都已证明，煤炭工业执行指令性计划的效率损失比放弃后的要小得多。这些就是我们在选择煤炭工业产业政策方向时，应该首先把握的一些基本问题。

近年来，煤炭工业逐步走入困境之中，其根本原因是煤炭市场需求的萎缩。目前，煤炭工业已显现出衰退产业的主要特征，外部具有较强的撤让压力，内 部的维持成本已成为国家和地区经济的净亏损，进行产业撤让的时机已经成熟。政府在制定煤炭工业产业撤让政策时，应着重考虑以下几方面的问题。

（一）、实施有计划的撤退，以调整煤炭生产结构为起点。

目前进行的关井压产，其本质目的就是关闭非法和布局不合理的小煤矿，以增加国有煤矿的市场份额，充分发挥国有重点煤矿的作用，让技术装备先进的现代化矿井开足马力生产，以调整煤炭生产结构为起点，进而通过对煤炭工业资产的重组和生产技术的改造，使其现有资源发生流动，延长煤炭工业的寿命周期，并为其重新获得发展奠定基础。日本在战后就是将煤炭工业确定为衰退产业，并制定了一系列调整和援助政策及专项法律。如由政府提供补助，拆除过剩旧设备，或由政府金融机构提供优惠贷款，拆除过剩旧设备。以促使煤炭工业适应国内外条件的变化，实现内部结构的合理化，进而重新焕发生命力。

（二）、准确把握撤让的尺度，稳固煤炭工业的基础性地位。

衰退产业决不是即将消亡的产业，特别就煤炭工业而言，其基础性作用是永远不可忽视的。在制定和实施国家煤炭工业产业撤让政策时，准确把握撤让的尺度是指要根据各地区的具体情况来确定其撤让的生产能力的数量和质量，确定经过产业的地区转移和改组后，本地区煤炭工业的新的规模和结构。最终在全国范围内确定煤炭工业的整体结构和规模，从而稳定煤炭工业的基础性地位。

（三）、降低撤退成本、维护经济和社会的稳定。

一方面，在国家实施关井压产政策期间，被关闭矿井现有的固定资产必须全部撤退，撤退成本主要是固定资产的净值。而又由于煤炭工业处于整体撤让之中，因此很难指望这些固定资产找到合适的买主；另一方面，在煤炭工业大发展时期，建设一个大煤矿就会带动当地交通运输、建筑工程和生活服务等一系列活动的兴起。而当这一煤矿生产规模减少或终止开采时，这些相关的活动都将部分地停止。停止相关活动的成本就是产业撤退的社会成本。为此，政府制定的产业撤让政策就必须能够指导降低撤退成本。可以首先淘汰产业中那些落后的资产和已经收回

投资的固定资产，经过企业间生产能力的重组，利用现有的但经过组合后效率更高的资产继续在适当的规模的基础上进行生产，以降低撤退成本。同时，政府要事先就安排好替代产业的发展，以降低产业撤退的社会成本。

另外，在规划产业撤退时不但要考虑其成本损失的影响，还需要考虑撤退可能造成的其他影响。其中最主要的影响是对经济和社会稳定的影响。特别是大量失业的出现会引起国民对政府的反感情绪，甚至出现对抗性行为。为此，在制定和实施产业撤退政策前就必须预计到可能形成的劳动力产业转移的规模和时间，并预先规划好对劳动力的培训和产业转移的疏导，只有这样才能最大限度地控制产业撤退对经济和社会稳定的冲击。

ASAC x IFSAM 2000 Conference Montreal, Quebec

Canada Pan Kexi Fudan University

THE EFFECTS ON THE COAL INDUSTRY BY

NATIONAL INDUSTRIAL POLICIES

Based on the change of national coal industrial policies after the founding of PRC, we applied the methods and theories of Industry Economics to analyze and

discuss the effects on the coal industry by national industrial policies. Then, we

demonstrated that it is necessary for a country to adopt different coal industrial

policies opposite to each other in different historical periods. We also put forward the

proper direction of coal industrial policies in PRC next period with the reference of

the practical experiences of national coal industrial policies in the west

market-economy country.

Industrial policy is a kind of economic policy. For the purposes of improving the integrated benefit of national economy, making each part assorted with each other and achieving the fastest economic growth and economic development at the same time, the government applied the macro-management deeply into the course of social reproduction. It is in light of the natural Law of evolution on resource allocated structure in the course of economic development and with the national situation and the stage of its own economic development concerned that some scientific, systemic, proper interference, involvement and participant have been made. The actions were taken into the structure and the formation of resource allocated structure in the national economic movement. The application of Industrial policies has a history of about 100 years in the west market-economy countries. However, in China, the word “industrial policies” appeared as a series of official policies in the official documents was happened ten years ago. We try to apply the methods and theories of Industry Economics to give a general and systemic analysis on the formation, development, evolvement, effects and influences of national coal industrial policies

since the founding of PRC in 1949. We expect to find a proper way for the future development of Chinese coal industry in the basis of summarizing the experiences and lessons of the past carefully and impersonally.

The Background and Types of Chinese Coal Industrial Policies

Since the founding of PRC in 1949, the national coal industrial policies can be dived into two types. They are policies encouraging fast growth on coal production and policies limiting blind coal production. In the age of planned economy, due to demand exceeds supply of coal, in order to assure the supply, the government adopted an special policies on encouraging the fast growth of coal production. After the Open and Reform, especially in the 1990s, the tight situation of demand exceeds supply on coal loosed gradually, and production began to be surplus. The continuous over supply of coal in 1997 made the government have to adopt some limited policies like closing mine reducing production, adjusting structure, balancing the quantity on the production of coal.

Policies Encouraging Fast Growth of Coal Production

For a long time, the coal industry has taken a very important position in the national economy of PRC. The production and consumption of energy always relied on coal. In the structure of production and consumption of non-renewable resource, coal always take more 70 percent of the sum of the resource expended, especially in the 1950s and 1960s, it even take 80-90 percent of the sum. The symbol of the shortage of energy is the demand exceeds supply of coal.

After the founding of the country, via a three-year economic recovery and the large-scale construction from “first five-year plan” period to “fifth five-year plan” period, the process of Chinese industrialization had achieved great successes. Great changes had taken place in the structure of industry in this period: with the descent of low-energy-cost Agriculture and Commerce, the higher-energy-cost Industry had become the dominant department of national economy. In the structure of Industry, the high-energy-cost departments like steel, construction material and Chemical grew very fast. The industrial structure of high-energy cost was actually the industrial structure of high coal cost. The industrial structure destines the backbone position of coal industry. Some scholars computed on the increasing value of coal production and general social production from year 1952 to 1988 with line-regress equation, and figured out the relation they need each other and affect each other clearly. When the quantity of coal acts as independent variable and general social production act as the dependent variable, per percentage increment of coal quantity would cause 1.2 percent increment of general social production. With their position interchanged, per percentage increment of general social production would ask for 0.74 percent increment of coal quantity. The two outcomes have a credible coefficient of 0.9, so the equation is quite reliable. It also illustrated the vital effects of coal on the national economy. Hence, the demand exceeds the supply of coal will delay the speed of the whole national economy. To improve the situation, Chinese government established strategies of “develop steel first and guarantee steel production with coal”, “coal industry is the pioneer industry of National Industrialization”, set a series of policies to accelerate the coal production and promote the

retrenching of coal. Such as leaning investment to coal industry, boosting the development of coal mines in towns, setting up five large open coal mine, allocating the input and output of coal mine uniformly, adjusting and unloosening the price limit gradually, etc. Proved by the facts, the former two policies played a significant role in the rapid growth of coal industry.

Leaning investment from government on coal industry

In the thirty year from 1949 to 1980, PRC was in the age of planned economy, the construction and development of coal industry relied heavily on the investment of government. During the period, the state-invested proportion of total investment in state-owned coal mine was: 92% in “first five-year plan”, 88% in “second five-year plan”, 97% in “third five-year plan”, 85% in “forth and fifth five-year plan”. The local governments and the enterprises raised only 3-15 percent of the sum. Though it was allowed that the aggregation of individuals can invest in coal production, the scales were tiny, and the percentage their productions in the general domestic coal production were very small: 4% in 1949, 5% in 1960, 9% in 1970, 18% in 1980.

For the sake of national leaning policies on coal industry, the basis investments on coal industry were arranged first by the government, the rate of industrial growth was fast. From 1953 to 1980, totally 27 years, the sum of total investment in state-owned coal mine from the state had increased to 3.464 billion RMB from 433 millions RMB at an annual rate of over 8%. It made the coal industry occupy about 12% of the national basic investment in every five-year plan period. The percentage was much higher in 1963-1965, the three-year adjustment time.

Boost the development of mine in town

After Open and Reform, the government adopted an encouraging policy of developing the large, middle and small coal mines altogether. While kept investing in state-owned coal mines especially the major coal mine, boosted the development of small coal mine in town. At the beginning of 1983, the government loosed the limits on the policies of mine exploitation and encouraged farmers to set up small coal mines. March of the same year, the announcement “ Eight measures on boosting the development of coal mines in town” was issued by the state council, it called for “where there is water, there should has flows”, “government get the roads built, individuals get the mines opened”. In Jan. 1985, new strategies and new polices to develop coal industry: “Government, groups and individuals work together, large, middle and small coal mines run at the same time”, was made. A series of measures had been take to call for active involvement in building coal mines, such as, the government ranges the coal mines available for operation, providing the low interest rate loan, paying financial allowance to provincial coal mines, etc. Many coal-producing provincial governments also offered kinds of encouraging and favorable polices to coal mine in towns, such as allocating short materials like steel and wood prior, aiding with goods and products, etc.

Policies Limit the Blind Increasing of Coal Production

In the middle and later 1990s, the social demand for coal had dwindled, the capacity had became superfluous. The inventory increased sharply. The market dwindled, competition was in no order. The price was too low, the delay of payment lengthened. Adding up the blind exploitation of coal mines in towns, especially the illegal operation of outlaw exploitation, all these disturbed the normal order of the market, encroached the interest of the state-owned coal

mines. That also took the state-owned coal mine, especially the major coal mines into a deeper difficulty. The coal industry fell in trouble again. To deal with the situation, the government adopted limiting policies to control the blind increment of coal production and keep the balance between demand and supply. There were two method: one is to hand out the right of operation of all the 94 state-owned coal mines, the other is based on the former policy and to close some mine and reduce the production. The objective is to solve the problem of surplus coal quantity. The two methods are an entire. It formed the national coal industrial policies in the new period.

Hand out the operation right of the major state-owned coal mine

In July 1998, the state council sent out the “notice on the relevant issues of reformation the managerial system of major state-owned coal mines” and handed out the right of operation of the mines to the local government. The major state-own mines, the local state-owned mines and coal mines in towns were all operated by local government at the same time. That solved the conflict between major state-own mines and local mines in the factors of market and resource when central government and local government had implemented a level management. And made it easier to organize the production, arrange transportation and divide the market, found a basis for efficient control on the blind increment of the production.

Closing mines, adjusting coal industrial structure

The gross development of small mines caused a series of negative influences while pushing the rapid growth of coal production. They are following: laggard equipment, technology and exploitation method; caused too much death and injures; low exploitation rate; pollution; resource wasted; low-level duplicated construction; illegal exploitation; unfair competition; disturbed the order of market. The balance between demand and supply was broken, the integrated profit of the industry went down and hurt the sustainable development of coal industry.

The blind development and the disorder competition of small mines made the capacities of large state-own coal mines can’t perform properly, their operation encountered a unprecedented difficulty. Till the end of 1997, there are 64 thousand coal mines all over the country. Among them, 61 thousand is the small ones, take 93.8% of the sum. Annual coal production in America is one billion tons, however there are only 2196 coal mines totally. Compared with the advanced coal-producing countries, the number of mines in PRC is amazing. It is the 30 times of America, the 300 times of Russia, the 700 times of Australia. The unlimited growth of small coal mines made the capacities of large state-owned mines have to be idle. In 1997, the rate of usage of major state-owned coal mines’ capacities was 88%, the surplus capacities were total 90 million tons. Especially, in 1998, about 60% of major state-owned coal mines can’t work properly, some were in the status of stop production or semi-stop production. Due to the inefficient working of the advanced equipment and productive capacity of the modernized mines which the state had invested a lot, a huge waste had incurred. The statistic number showed in 1997, the total production of all kinds of small coal mines allover the country was 622 million tons, took 47% of the general domestic coal production (1.33billion tons). That was the source of supply exceeds demand of coal.

The blind growth of small coal mines and the idle capacity of state-owned coal mines is not only the reason for illogical structure of coal industry but also the reason for surplus coal production. To make the supply on coal equals the demand and realize the optimum of the coal

industrial structure, it is necessary to reduce the illegal, illogical and non-plan production of small coal mines. In 1998, the state council sent out “notice on issues about closing mines and dwindling the production of coal industry” and a series of policies were made. The object of closing mines and dwindling production was to close 25.8 thousands of illegal, illogical and non-plan exploiting coal mines and to dwindle a 250 million tons’ production. There were two reasons attach to this object: first, according the actual demand, a productive reduction of 250 million could realize the balance between demand and supply, and solve the problem of surplus. Second, among the 61 thousand small coal mines, the amount of illegal mines were total 512 thousand. Through reorganized the order of coal production according to the law, to close 258 thousand is legal, logical, and feasible.

Effects and Results of Chinese Coal Industrial Policies

Effects and Results of Encouraging Industrial Policies

In the age of planned economy, the coal industry grew rapidly, because the government implemented fully of supporting policies on coal industry. The total capacity of mines with a annual capacity of over 30 thousand tons increased from the 13.02 million tons in 1952 to the 475.49 millions, with a average augment of 16.51 million tons per year in 28years, and grew 35 times. The general domestic production of coal increased from the 32.43 millions in 1949 to the 62.018 millions tons in 1980, grew 18 times in 31 years, the increasing rate is 10% per year. That made PRC the third biggest coal-producing countries next to USA and former USSR in the world.

During the Open and Reform, the encouraging policies of state boosted the development of coal mines in town, stimulated the enthusiasm of local government and farmers. A great wave of launching coal mines in town swept the whole nation with the favorable conditions created by a series of efficient measures. During the period of the “eighth five-year plan”, the price of coal kept going up with the unloosening price, the profit of coal mines in towns were quite high, that injected flesh power in the development of themselves.

In 1982, there were 16 thousand coal mines in towns all over the country. Their production was 146 million tons, took 21.9% of the general production. In 1983, the amount of mines increased to more than 30 thousand, the production increased to 170 millions, took 23.8% of general production. During the year, the amount made a 87.5% growth, and made a 16% growth in production, took a 1.9 percent increment in the general production. That built themselves a foundation for the rapid growth in the later years. In 1985, the amount of coal mines in towns increased to 63 thousand, the production of them increased to 283 million tons, took 32.5% of the general production. The production was nearly twice of that in 1982, and 10. 58 percent’s augment in the general production also occurred at the same time. In 1995, the amount of coal mines reached 72.9 thousand, the production was 579 million tons, 48.42 percent of the general production. In the 13 years from 1982 to 1995, the amount of coal mines had a 3.5 times’ increment, the production had a 3 times’ increment with a 433-million-ton addition that is an average growth of 33.3 million tons per year. The percentage in the general production increased 26.5 percent. In the 13 years the increment of annual production of coal mines in towns was the

62.3% of that of general production. Hence, the coal mines in towns became the important components of the coal industry. It contributed a lot to the increment of Chinese coal production, and made PRC the top coal-producing Countries in the world.

It is proved by the practice, the implement of encouraging policies on coal industry have made great effort to the rapid growth of coal industry and the swift increment of the coal production, the effects are obvious. The coal industry grew from weak to strong, from small to large, the tighten situation was loosed gradually. The demand of national economic growth and the social development was fulfilled. At the beginning of the 1990s, the balance in the demand an supply on coal had been achieved. The situation of supply exceeds the demand appears in the middle and the later 1990s. The relationship between demand an supply changed.

Effects and Results of Limited Industrial Policies

According to the relevant policies, with the close cooperation between local governments and the relevant departments, the hand out and hand-in task on coal mines had been accomplished in only one month. Later, many local governments influences the market of coal by the administrative or organizational method, to protect the interest of local coal mines especially the interest of large state-owned mines. Some of them required the local enterprises needs coal must buy coal from local mines, while some taxed administrative fee on the coals from outside to enhance the competitive force of local coal. Before long, the macro-allocation on coal production trended to be obvious. In 1998, the general production was 1.223 billion tons, 107 million tons less than the previous years, achieved the initial object of closing mines and reducing production.

The Coal Industrial Policies of West Market-Economy Countries

and Their Effects and Influences

In the west market-economy countries, the policies for coal industry focus on three aspects: keeping the balance of quantity, maintaining fair competition, building and managing the basic equipment of coal transportation. As far as the direction of the Chinese coal industrial policies from now on is concerned, we pay more attention to policies of keeping the balance of quantity.

Guiding Policies

In USA, the coal mines are all private possessions, the price of coal has no limits, the relationship between demand and supply runs after the Market Law and the Price System. The administration and allocation of government on coal industry is through the policies and providing information service.

In fact, the industrial policies about coal and plans of exploitation of The USA government can affect the situation of demand and supply, structure of products and location in a high degree. For instance, the “ mended edition of law on air purification” announced at the beginning of the 1990s, prescribed that the amount of SO2 given out in year 2000 should be less 100 thousand tons than in 1990. Hence, the productions of the west coal mines producing low-sulfur coal increased

fast, while many east coal mines producing high-sulfur coal closed. The government allocates 250 million US dollars per year for the career training of the lay-off workers, and guided the changes in the structure of location of coal effectively.

The Energy Information Bureau of USA is the largest official institution with most advanced technology and a widest rang of service in the world. The authoritative reports about general coal production and consumption issued by the bureau gave out the annual, middle and long-run prediction on the international and domestic demand of coal. It has become the major factor of the decision of governments and enterprises producing coal or consuming coal.

Polices of Direct Intervening

In Japan and Western Europe, the cost of coal production is too high, to protect the domestic coal industry, the governments all adopt policies of direct intervening to keep the balance of quantity. The methods in common uses are:

1. Allocating the sales of national coal and paying price allowance

The E.E.C. coal producing countries such as British, France, Germany and Spain, the conditions of coal exploiting are very laggard, the cost of production is much higher than the international market price. The average cost of coal production in Germany is 100 US dollars per ton more than the average current price of import coal. Hence, these countries have to allocate the sales and pay out allowances to maintain a certain level of coal production.

More details about the policies in British and Germany are: the government makes a five-year-long contract of coal sales signed between the coal corporation and the electronic power corporation, with a certain quantity at a certain price, the government offers the assurance. In British, there are three levels in the price and quantity of the coal used to generate electronic power. First level, based the price on the cost of national coal; second level, based the price on the price of import fuel and coal used for power; third level, based the price on the international market price of coal. Based on that the government pay allowance to coal enterprises according to relevant policies. The amount is the difference between the national cost and the international price. The amount for the coal used for power is the largest. In Germany, the public burdens the allowances of national coal. The government taxed a additional special fund on the final consumer of electric power. The coal enterprises provide coal for the electronic power corporations, the price difference with the import coal paid back by the special fund.

2.Financial support on the coal mines

After the 70s, the coal industry had declined. To reduce the strike to the society by the close of coal mines and maintain a certain percentage of energy accommodate from the national coal, the governments adopted polices of support and protection. Not only the money allocation, administrative financing and exchange payment were paid, but also offered huge financial allowance.

There are two kinds of financial allowance from the governments: direct allowance and indirect allowance. The direct allowance included the investment allowance, mine worker allowance, liabilities payment, exploitation allowance. The indirect allowance contained price

allowance, accelerate accumulation, social insurance and research allowance.

3.Contol on the production and price of coal

At the time of Japanese coal industry slumped, many mines closed, coal piled up. The “ temporary measures on neatening the coal industry” announced in time by government. The measures like limiting the production and limiting the price were adopted. The department of coal industry concerning the productive cost of coal, the price of import coal and the other fuel, set a standard of annual sales of coal and gave limits of price and production. The limits on the location and quantity sold were also given to the mines and enterprises of coal sales to assure the stability of coal use and minimize the influence to the users caused by the productive limits.

To promote the logical operation on coal mines and coal transportation, the Japanese government also established a committee of coal industry affairs, to implement the neatening plan. The money needed provided by the Japan development Bank or commercial banks, assured by the committee. The fund on the mines’ construction and technique improvement were all free loans, the term of payment usually was 15 or 20 years. The loans for improving operation and equipment of coal transportation were also low interest.

The Basic Direction of Future Development on Chinese Coal Industrial Polices

The same thing with west market-economy countries, the national policies on coal industry and the features of coal industry itself made the coal industry one of the weakest industry without exception.

Chosen as the leading industry, it needs the support of encouraging policies of the government to promote its growth and meet the requirement of integrated development of the national economy. Once being a decline industry, it needs the country the guiding and protection from the retreating policies of the government to avoid the excessive contend of surplus production and avoid the social problem may possibly caused by the overflows of labor, and maintain a certain level of production. According to the experience and the practices in China, to be honest, the coal industry is an unmarketable industry. The coal enterprises could not be the source of investment, in a quite long term, the investment should be burdened by the government. The theory and the practices have proved implementing a plan caused less loss than abandoning for the coal industry. These are the basic issues we should learn at first when choosing the direction for the development of coal industry.

In recent years, the coal industry stepped into difficulty, the major reason was the dwindling of the demand on coal. At present, the characters of “sunset” industry had been seen in the coal industry, the powerful force from outside and the internal cost of maintain caused a net loss of national and local economy. It is time for the industry to retreat. When setting the retreat policies, the government should pay attention to the following aspects.

Implementing a Planned Retreat, Focus on Adjusting the Structure of Coal Production The goal of closing mines and reducing production is to close the illegal and illogical small

coal mines to enhance the market share of state-owned mines and make full use of the capacity of the major state-owned mines, let the modernized mines with advanced technique works fully. Focus on adjusting the structure of coal production, make the present resource flowed to last the life of coal industry and build a new foundation for its later development through assets reorganization and technical improvement on the industry. After World War II, Japan treated coal industry as “sunset” industry, and set a series of policies of adjustment and aiding as well as special law. For an instance, tearing down surplus old equipment with financial support from government or favorable loans offered by official finance organization to make the coal industry adapt to the change of external and internal conditions, realized the reasonable internal structure and activate the industry.

Make the situation of coal industry stable by holding a proper measure

“Sunset” industry is not a dying industry, especially for coal industry, its basis role can never be neglected. When making and implementing the retreat policies of national coal industry, the point of holding a proper measure is to decide how much quantity and capacity to retreat according to the actual situation of the areas. And ensure the structure and the scale of local coal industry by industrial reform and reorganization. Finally, set the whole structure and scale of coal industry countrywide, and stabilized the basis position of coal industry.

Reducing the cost of retreat, maintain the order of the economy and the society

During the period of government implementing a closing mines and reducing the production, the fixed cost of these mines must be taken back. The major cost of retreat is the net value of fixed assets. Due to the decline of the whole industry, it is hard to find a buyer for these assets. On the other hand, at the moment of the growing period of the coal industry, the construction of a large mines would bring up a series local activities like transportation, architecture and life services. When the mines reduces its capacity or stop running, the relevant activities would partly terminate. The cost of the terminal business is the social cost of retreat. Hence, the policies of retreat must give a direction to reduce the cost of retreat. First, wash out the laggard assets and the fixed assets had gain the return in the industry, then via the reorganization of capacity among the enterprises to reduce the cost of retreat, with the current assets that works more effectively after reorganization to produce at a proper scale. The government must arrange the development of substitutive industry in advance to reduce the social cost of retreat.

On the other hand, not only the effects of cost loss but also the possible effects caused by the retreat should be considered when planning the retreat. Among the effects, the major effect is the effects on the economy and the society. A mass of unemployment might caused the public antipathy towards the government, even the opposite behaves. the scale and the timing of the transition of labor intensive industries must be considered in advance when making and implementing the policies of retreat. The training for the unemployed and the guiding for industrial transition should be also planned. Only in this way can minimize the shock to the economy and the society caused by the retreat of the industry.