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论文编号：	3940
作者编号：	1120080740
上传时间：	2011/12/8 10:56:34
中文题目：	煤矿安全风险集成管理成熟度提升原理与方法研究
英文题目：	Research on the Principle and Method of Improvement of Coal Mine Safety Risk Integration Management Maturity
指导老师：	戚安邦
中文关键字：	煤矿安全 风险集成管理 成熟度提升
英文关键字：	coal mine safety risk integration management maturity ascension
中文摘要：	我国层出不穷的重大恶性煤矿安全事故，不仅给国家的国际形象带来了负面影响，而且直接对国民经济造成了巨大损失。引起煤矿安全事故的直接原因是人的不安全行为或物的不安全状态，但是“人的失误”或“物的不安全”往往都是由于管理的失误所造成，因此提高努力煤矿企业的安全管理水平对降低我国矿难发生频率有着重要的作用。从煤矿安全管理的发展历程来看，从事后分析到事前预防的思想转变，已经预示着煤矿安全管理从事故管理到风险管理的转变趋势。因此，借鉴风险管理和系统集成的思想，研究如何提升煤矿的安全风险集成管理成熟度将有着理论和实践上的重大意义。论文首先使用规范性分析和实证分析的方法确定了煤矿安全风险集成管理成熟度提升的影响因素，接着研究了提升的原理、路径、周期模型和技术方法，最后使用Z煤矿的案例研究检验了理论探讨的有效性。论文得出的结论是：煤矿安全风险集成管理成熟度的提升需要考虑两大方面的因素：安全风险管理过程控制因素和组织因素；前者包括安全风险管理计划、安全风险识别、安全风险分析、安全风险应对计划和安全风险监控五个过程；后者包括组织保障、管理机制、人员能力、安全投入和安全文化五个方面；组织要素对安全风险管理过程控制要素提供了支持作用，因此，成熟度的提升需要做好这两方面内部和相互之间的集成工作。本文的创新点包括以下方面： 1. 将煤矿安全管理从事故管理升级为风险管理煤矿安全管理方面现有的大部分文献均从事故致因理论的角度出发去认识煤矿安全管理中存在的问题，而事故致因论仍属于事故学的分支，是“事后型”的认识论。这种方法有着认识不全面、不彻底、不够追根溯源的极大可能性，容易在应对罕见性、未预见性状况时出现管理失灵，因此不能满足日益增长的安全需求。本文提出了煤矿安全风险集成管理的概念，意将原来仅以防范事故为主的安全管理方法升级到以控制风险为目的安全风险集成管理，是更超前一步、更源头性的安全管理方法。 2. 分析了煤矿安全风险集成管理成熟度提升的影响因素本文通过规范性分析和实证性分析的方法确定了煤矿安全风险集成管理成熟度提升的影响因素，并将这些因素分成两大类：安全风险管理过程控制因素和组织因素。其中，对组织因素的考虑将煤矿安全风险管理的重要性上升到战略层次，突出强调了要提升煤矿安全风险集成管理成熟度水平，不仅需要对安全风险管理的过程进行控制，还必须有来组组织层面的支持。 3. 通过成熟度提升的关键实践和能力来构建提升路径在得到成熟度提升影响因素的基础上，本文进一步确定了提升的关键域、关键实践和能力，并设计了成熟度提升的路径。其中，对于各过程域来说，其由低到高等级的关键实践便形成了该过程域提升的路径，而路径上各等级的关键实践，则通过完成一系列的能力来达到。支持域的提升则通过实现其关键实践的能力来完成，而这些能力也形成了其提升的路径。此外，在单个过程域或支持域的提升路径上，某些关键实践或能力的达到可能需要以其它过程域或支持域的能力为前提，这样两条单独的提升路径便产生了关联，形成了整个成熟度提升的路径。这样的提升原理设计突破了之前研究的过分宏观性和缺乏集成性的不足。 4. 构建成熟度提升的周期模型并设计测评的技术方法以实现持续提升在之前煤矿安全管理的研究中，较少考虑到持续提升相关管理能力的问题，也没有对提升效果的检验，而本文中提出了煤矿安全风险集成管理成熟度提升的周期模型，通过由成熟度测评和提升构成的改进环，来不断提升煤矿的相关成熟度水平。其中，测评功能不仅为提升提供了依据，还能检验提升实施后的效果，是必不可少的一个环节。在成熟度测评的技术方法研究上，本文开发了成熟度提问单这一工具，通过测评可以得到各过程域和支持域能力的具体实现状况。提问单经过转化得到的测评指标体系，还能进一步计算出煤矿的安全风险管理过程控制成熟度、组织运行潜能和总的安全风险集成管理成熟度水平。通过测评可以获得企业目前成熟度水平的全方位信息，以便从中找出安全风险管理的弱势，来进行有针对性的提升。 5. 成熟度提升的技术方法研究在提升的技术方法研究中，本文开发了成熟度提升计划检索表。该检索表给出了达到每个关键实践所必须的按优先顺序排列的能力核查表，其中既有该关键实践自身所包含的能力，也有作为其实现前提条件的其它关键实践的能力。各关键域的提升路径可以通过成熟度提问单的反馈结果和检索表来共同确定，而提升顺序则取决于它们的测评得分和权重的比值。结合关键域提升的顺序和路径，最终可以得到成熟度提升的整体计划。这样的提升方法具有很强的针对性和可逐步实现性。
英文摘要：	The continuing occurrence of severe and malignant coal mine accidents, not only has had a negative impact on our country's international image, but also caused tremendous national economic loss. The apparent reason for the coal mine safety accidents is unsafe behavior of the workers or unsafe conditions, however, "human error" or "conditional problem" is often caused by management errors. Thus, making efforts to improve safety management plays an important role in reducing the coal mining accidents in our country. From observation of the development of coal mine safety management research, the transformation from accident analysis to risk prevention has already indicated the trend that coal mine safety management is changing from incident management to risk management. Therefore, drawing on risk management and system integration ideas, research on the principle and method of improving coal mine safety risk integration management maturity will have a great significance in safety management theory and practice. Firstly, the paper used standardized analysis and empirical analysis to determine the factors affecting the ascension of coal mine safety risk integration management maturity, and then analyzed the ascension principle and path, constructed the cycle model of maturity ascension, and discussed the specific technical ascension approach. Finally, the paper used the case of the Z coal mine to examine the validity of theoretical discussion. The conclusion of this paper includes that: two factors must be considered in the ascension of coal mine safety risk integration management: safety risk management process controlling factor and organizational factor; The former includes safety risk management planning, safety risk identification, safety risk analysis, safety risk response planning and safety risk monitoring processes; The latter includes organizational indemnification, management mechanism, the resources investment, safety culture and personnel capabilities; Organizational elements provide supports for the process controlling elements, therefore, maturity ascension should consider both and also their integration mechanism. The paper is distinguished as: 1. Upgrade the coal mine safety management from incident management to risk management Most existing literature of coal mine safety management recognize the problems from the perspective of incident causes theory, but incident cause theory is still belong to the branch of incident theory, which is an afterthought epistemology. This approach has a strong possibility that knowledge gained will not be comprehensive, can not trace the source and may cause management failure when facing rare and unpredictable conditions, so it can’t meet the growing security needs. This paper puts forward the concept of coal mine safety risk integration management, and its purpose is to upgrade the previous safety management which only intends to prevent accidents to safety risk integration management which aims at controlling risk. It is a more advanced safety management method, which can control the risk from the source. 2. Analyze the factors that affect the improving process of coal mine safety risk integration management maturity This paper confirmed the factors that affect the improving process of coal mine safety risk integration management maturity by standardized analysis and empirical analysis, and divided these factors into two categories: process controlling factors of safety risk management and organizational factors. Consideration of the latter attaches great importance to safety management from the organizational level. It emphasizes that the improvement of coal mine safety risk integration management maturity not only needs the control of security risk management process, but also the supports from the up level of the company. 3. Establish the Improvement path of the maturity with key practices and key capabilities This paper constructed key areas, key practices and key capabilities of maturity ascension on the basis of its influencing factors, and then designed the improvement path. As for each key process area, the gradually ascending level of its key process forms its improvement path, and the key practice of each level on the path is achieved by the completion of a series of capabilities. Improvement of Key Support Area is also achieved by the completion of capabilities of each key practice, which form the improvement path. In addition, on the improvement path of each single key process area or key support area, the achievement of some key practices or capabilities may be on the premise of other key process or support areas’ capabilities. Therefore, two separate improvement paths can be connected, and form the whole maturity improvement path. This design of improvement method overcomes the deficiencies of previous research, which is over macroscopic and lack of integration. 4. Build the maturity improvement cycle and design the technical approach of maturity assessment to achieve continuous improvement In the previous study of coal mine safety management, less consideration is given to the issue of continuous improvement of management competence and the efficiency of improvement is also untestified. This paper proposed an integrated coal mine safety risk management maturity ascension model, and continuously improved the maturity level of coal mines through the circulation of maturity ascension and its evaluation. Among them, evaluation function, as an essential part, not only provides the basis for ascension, but also tests the implementation results of the ascension.In the research of maturity assessment method, we developed the tool of maturity questionnaire, by evaluating which we can get realization degrees of all the capabilities of key process and support areas. Through the conversion of maturity questionnaire we can obtain evaluation index system, furthermore, we can calculate the coal mine safety risk management process controling maturity, organization enablers and total safety risk integration management maturity. By evaluation we can gain comprehensive information about the coal mine’s current maturity level, then find out the weakness exists in the safety risk management and enhance it on purpose. 5. Study on the technical approach of maturity ascension In the research of maturity ascension method, we have developed the tool of maturity ascension planning key, which gives an capability checklist of each key practice in priority order. Among these capabilities, there are not only the capabilities of the key practice itself, but also the capabilities of others, which are prerequisites for their realization. Improvement path of each key area can be determined by the feedback from the maturity questionnaire and together with maturity ascension planning key, and order depends on the ratio of their evaluation score and weight. With the Improvement paths and orders of all the key areas, we can get an overall maturity improvement plan finally. This ascension method is highly pointed and can be achieved gradually.
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