【作者】 李磊；

【导师】 田水承； 邓军；

【作者基本信息】 西安科技大学 ， 安全技术及工程， 2014， 博士

【摘要】 我国煤矿安全生产形势虽有好转，但依然严峻。调查统计近30年国内的重大事故结果表明：由人的不安全行为而导致的事故占事故总数的96.5%以上。由此可知，减少煤矿重大事故发生的根本途径是预防和控制矿工不安全行为的发生。本文的研究有利于进一步揭示矿工不安全行为发生规律，有利于提升煤矿安全管理水平。本文的主要研究内容和成果如下：首先，本文对不安全行为从概念、理论基础、形成机理、影响因素、测量研究和干预对策六个方面的国内外研究现状进行文献综述研究，总结目前国内外研究存在的不足，提出了论文的研究目的和路线。其次，以综述研究为基础，分析矿工不安全行为的形成原因，从内因和外因两个因素层面提出假设，构建矿工不安全行为形成机理初步模型。运用结构方程对矿工不安全行为形成机理初步模型进行验证，最终得到矿工不安全行为形成机理的最终模型。依据该模型总结提出矿工发生不安全行为的三条路径，并为后续矿工不安全行为影响因素指标体系的构建和组合干预研究提供理论依据和支撑。再次，以矿工不安全行为形成机理模型为依据，分别从内在和外在两个层面对影响矿工不安全行为的因素进行深入分析，并对各因素之间的相互关系提出假设，进而根据假设，构建矿工不安全行为影响因素概念模型。运用结构方程模型对矿工不安全行为影响因素概念模型进行验证，最终得出矿工不安全行为影响因素指标体系。采用层次分析法计算所构建指标体系中各指标的权重，并进行重要度分析。最后，以矿工不安全行为形成机理模型和影响因素指标体系为基础，针对不安全行为影响因素指标提出矿工不安全行为组合干预模型。从内因、外因、干预对策和行为前、行为中、行为后两个层面构建组合干预策略集。在对矿工不安全行为干预系统的因果作用关系分析的基础上，构建了矿工不安全行为组合干预模型和矿工不安全行为“行为前-行为中-行为后”组合干预模型；应用系统动力学原理，分别构建矿工不安全行为组合干预和“行为前-行为中-行为后”组合干预的SD模型，为仿真模拟研究奠定基础。并运用Vensim PLE软件对模型进行了仿真模拟研究，通过分析矿工不安全行为水平在干预下变化趋势，对比矿工不安全行为“行为前-行为中-行为后”的干预效果。本文的研究在理论上提出了矿工不安全行为的形成机理，并通过实证加以验证，一定程度上丰富了煤矿领域对不安全行为研究的理论体系；在实践上构建了矿工不安全行为组合干预模型，提出组合干预对策集。实践应用表明该组合干预模型能够有效的控制矿工的不安全行为；同时提出了强调行为前预控不安全行为的理念，有利于改善矿工不安全行为干预对策的体系。更多还原

【Abstract】 Nowadays in China, safety in coal mine production has been improved, but it is stillsevere. According to a survey conducted over the past30years showed that above96.5%coalmine accidents are caused by human unsafe behavior. Thus, the key point to reduce majorcoal mine accidents happening is preventing and controlling human unsafe behavior. Thispaper can help us has a further clear understanding on certain law that may cause unsafebehavior occurrence and provide a theoretical basis for enhancing the level of coal minesafety. The main contents are as follows:Firstly, this paper reviewed related study and researches of unsafe behavior from thefollowing6aspects: conception, theory, formation mechanism, influencing factors,intervention countermeasures. Summarized the current lack of research with national andinternational, proposed a thesis purposes and lines of this study.Secondly, on the basis of literature review, this paper analyzed causes of miner’s unsafebehavior, giving a hypothesis from internal and external causes. Then, building a preliminaryformation mechanism model of coal miners’unsafe behavior. After tested and verified bystructural equation, this paper finally formatted the miner’s unsafe behavior mechanismmodel. Meanwhile, the author summarized three processes about how did miners’unsafebehavior happen and provided a theoretical basis for the following intervention research andportfolio construction of unsafe behavior index system.Thirdly, based on the model constructed above, this paper gave a depth analysis, fromintrinsic and extrinsic aspect, on factors which can influence coal miners’ unsafe behavior andput forward corresponding assumptions between the influencing factors. Then, building aconceptual influencing factors model of miners’ unsafe behavior. After tested and verified bystructural equation, by using Analytic Hierarchy Process, this paper draw an index system and calculated all weight, according to superiority.Finally, based on the miners’unsafe behavior mechanism model that seeks to influencingfactors for unsafe behavior, this paper proposed corresponding intervention model whichconstructed by4parts: internal causes, external causes, intervention strategies,before-now-after unsafe behavior strategies; then, analyzed the causal relationship betweenminers’unsafe behavior and intervention system, building a “before-now-after” interventionmodel; This paper constructed coal miners’unsafe behavior intervention model and“before-now-after” SD intervention model which based on system dynamics methodsrelatively and laid a foundation for simulation studies. Meanwhile, the author gave asimulation study on the models above by using Vensim PLE, analyzing the miners’unsafebehavior trend under the intervention countermeasures, comparing its influence duringprophase, metaphase and anaphase.Conceptually, this paper proposed and validated the formation mechanism ofminers’unsafe behavior and enriched the theoretical system of unsafe behavior study. Itconstructed a miners’ unsafe behavior intervention model which can reduce the frequency ofunsafe behavior occurrence and proposed corresponding combination intervention practically.Meanwhile, this study stressed the importance of behavioral control during prophase and willhelp coal mine industry improve the total miners’ unsafe behavior countermeasures system.更多还原