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Relevant literatures and researches mainly focus on technologies of risk management in coal production,without a theoretic system about risk identifications and warning methods.As a powerful tool in integrated risk control,ERM will assist the systemic research on risk management,which is still at a preliminary stage.Currently,plenty of research and practice have been carried out in sub fields of risks with ERM framework,such as risk identifications and warning methods.
Compared with the international researches concentrating on risk management of enterprises,the researches in China mostly discuss about production safety of coal mine.This is mainly because states overseas pay much attention to risk control and prevention.Besides,with less coal coverage,they prefer to study about petroleum production.However,focused on safety of coal mine,researchers in China are attracted by those details in coal production rather than the risks in management.
Following paragraphs are current research situation of the elements in ERM framework.
(1)Internal environment of enterprise
The concept of internal control environment was put forward by ASB of AICPA for risk control of finance and accounting in 1980s.With the development of internal control theory,three breakthroughs were made successively.They were Internal Control — Integrated Framework , Sarbanes — Oxley Ac t,and Enterprise Risk Management — Integrated Framework .Then the discussion about internal control environment was expanded to the whole internal environment.It included the working environment,institution structure,enterprise culture,obligation division,relationship between administration and personnel,as well as policies and procedures of human resources.Currently,domestic researches focus on the theoretical framework and deficiency study of internal environment,not involved in the production safety of coal mine enterprises.Moreover,few systemic achievements were obtained and confined in studies about institution,environment or management.There are some practical problems to be solved in internal environment of coal production,such as its current situations,contents,influences,external impacts and internal relationships.Besides,its evaluation method should also be addressed,as well as the construction institutions and measures.
(2)Objective setting
The concept of MBO(Management by Objective)was put forward by management expertise Drucker in The Practice of Management in 1954 ［17］ .MBO included objective setting,realization process and achievements evaluation ［18］ .Its application in safety management of coal enterprise was to set objective in safety production of coal mine.Overseas research about objective setting focused on models and theories.Specifically,it included objective setting theory ［19 －20］ ,high performance computing(HPC) ［21］ ,organizational decision-making model,resource allocation model and multi-level programming model ［22］ .However,domestic research concentrated on application ［23 －24］ ,technologies ［25］ and evaluation methods ［26］ .Besides,these studies were confined by given methods and researches of evaluation effect,obtaining little achievement.There were some systemic studies to be analyzed,such as the influences,contexts,risks evaluations and supervision methods of objectives in coal production.Moreover,measures of setting economic,reasonable and scientific objectives should also be addressed from economics and institution perspective.
(3)Risk identification
Overseas research about risks in production mainly focused on the following part.They were identification methods and technology of general risk ［27 －29］ ,special risks identification in some parts like roofs ［30 －32］ and influence factor of safety ［33 －35］ .Despite the late start of domestic research,plenty of achievements were obtained by methods of system analysis engineering,psychology,behavior science,mathematics and economics.For example,Chen Baozhi ［36］ classified the risk sources from accident causing theory into two categories.One is physical,and the other is derived abnormality.Jiang Bing ［37］ ,Bai Qinghu ［38］ et al.distinguished the risk sources into innate and triggered types.The former decided and triggered the later ones.Zhang Guangjian,Wang Lijie ［39］ et al.proposed a DSS(decision support system)model of risk identification of natural disasters in coal mines.They analyzed the multiple sources directly causing these disasters with the model.Song Xuefeng,Li Xinchun ［40 －42］ et al.argued that risk source identification in coal mine should systematically concern human,machine,environment and management.Thus the comprehensiveness and systematization of outcomes would benefit risks control.Current researches are vital in instructing the identification and control of risks in coal mine.The achievements can be divided into two categories.One focused on certain risks,such as gas explosion,flood,fire,roof and dust disaster.The other one derived from the studies about four elements in accident causing theory.Despite of the detailed and targeted risk identification,the management risk in production safety were ignored.Some further studies were necessary,such as the identification and classification of management risks,connection between management risks and potential hazard,database improvement of risks in coal production.
(4)Security risk assessment and warning technology
Security risk assessment was appeared in 1930s with the development of insurance.Overseas researches about security risk assessment in coal production focused on three parts.They were advocacy of computer technology ［43,,44］ ,mine evaluation based on risk probability ［45 －47］ and,development of partially crucial technologies.Research achievements about assessment methods of coal mine safety prevailed in China.Plenty of qualitative methods have been applied in the literature ［50,51］ of coal production.Meanwhile,owing to complicated production of coal mine,many researchers turned to quantitative measures for assistance,such as grey cluster ［52］ ,nonlinear dynamics ［53］ ,fuzzy mathematics ［54 －56］ ,neural network ［57］ ,SPA ［58］ and GRE model.
Warning management was derived from the crisis management and risk management theory.Overseas researchers focused on economy ［60］ ,food ［61,62］ ,bank ［63,64］ and finance ［65］ ,without much attention to production safety of coal mine.In terms of technologies,a warning model ［66］ was built up by discriminated analysis,logistic logarithm linear analysis,decision-making tree,fuzzy evaluation,artificial neural network and Engle’s ARCH model.There were more related researches in China.For example,Gong Yunhua ［67］ discussed the concept of crisis warning and management in production safety.Su Dongliang ［68］ proposed a warning system of major risk sources,promoting risk supervision.Chi Chunjie ［69］ built up a warning model of Chinese energy security with improved BP neural network method.Xiao Renxin ［70］ studied the prediction information model of gas accidents.He constructed relevant information platform for safety warning in coal mine,arousing active discussion about coal safety waning.Guided by principles of safety engineering,Li Chunmin ［71］ et al.combined drugs monitoring and staff management,providing a solution to supervision warning and management system of coal.
The risk assessments and warning models in domestic researches mainly adopted single method with limitation.Because of the complex form of data,there were massive high frequency statistics with uncertainty,ambiguity and subjectivity.Therefore,various risk information should be integrated to establish a new,complete and efficient assessing and warning system.
(5)Risk response and control
Domestic and overseas researches both emphasized the integration with regulations.For example,in 2004,the Mine Safety and Health Administration in US Department of Labor shared its experience in risk response and control of coal production in America.The content included safety culture,technology improvement and safety training.In 2006,some mining tragedies promoted France to actively respond to Miner Act by coal mine improvements and new emergencies.Managers of coal mines were required to make emergency plans for accidents preparation and response.Moreover,Homer Andrew,an American scholar,analyzed the differences between safety regulations of coal mine in China and US,and explained the causes of the differences in aspect of regulation system.Compared with overseas researches,domestic studies about risk response and control in coal mine were systematic and complete.There were studies about specific techniques,such as gas and dust explosions by FeiGuoyun ［74］ and Shi Shiliang ［75］ ,and transportation accidents by Zhang Shengli ［76］ and Lu Jianbao ［77］ .Besides,studies about unsafe factors were also involved.For example,through system engineering theory,Yu Dianbao et al.［78］concluded that the constant occurrence and vicious circle of accidents resulted from management deficiency and disorder.Precautions and control measures were hence put forward.In addition,Zhou Dehong ［79］ et al.analyzed the reason of coal accidents,and proposed 5E control polices to prevent accidents.Moreover,Wang Zhe and Bai Yunjie ［80］ suggested management measures based on safety behavior mode,and Cao Zuoyong ［81］ came up with a safety behavior mode in coal mine based on monkey effect.Among them research results of unsafe behavior stood out,such as relevant literature combined with psychology and behavior management science.Admittedly,current responses and control methods of production risks in coal mines were comprehensive,focused and systematic.However,there was no further development on the causal relationship between risks and management issues.So were the specific measures of management improvement and control for production safety.
(6)Information communication and monitoring
The most effective and efficient way to realize information communication and surveillance is to develop an information management system using computer network.A series of systems have been developed by domestic scholars,such as the information management system of coal mine production ［86］ ,safety supervision ［87,88］ ,intelligent inspection ［89］ ,ventilation ［90］ ,security ［91,92］ ,emergency rescue ［93］ and risk warning ［94 －97］ .From the point of system development and application,the whole coal mines in China had been turned into a Digital Mine.The computerization,network and database of management information in coal production were basically realized.Nevertheless,in terms of system function and application,further study and development was necessary for the safety management theory and technology.Besides,a management system was not started yet to focus on risks and behaviors of managers.
In conclusion,though with some research results in risk management of coal production,there are still few studies about complete internal control and risk management system.Further analysis is necessary to the involved elements and their relationships.Moreover,comprehensive and systematic study was also required to construct the internal environment in coal production.Attention should also be paid to basic management improvements and transformations from extensive to refined ones,and passive to active ones.Besides,a scientific and complete mechanism of risk identification and operation should be further studied,as well as safety inspection,process control,information rectification,and communication management mechanism.