【作者】 监丽媛；

【导师】 陈伟珂；

【作者基本信息】 天津理工大学 ， 技术经济及管理， 2012， 硕士

【摘要】 我国对于建筑施工安全监管一般采用立法和监督检查两种方式来约束建设各方的行为，而法律和法规覆盖的范围有限，无法预防所有事故的发生，这就需要发挥监管的作用。但是，目前我国建筑施工安全监管的内部控制机制并未对监管主体之间的权责关系进行制衡设计，且监管工作的实施缺乏系统化的、有约束力的、便于跟踪的手段，导致我国建筑施工安全监管出现失灵现象，进而引发监管不到位等问题。针对此问题，本文基于内部控制理论从事前划分责任、事中排查隐患、事后追究责任三个环节入手，构建了建筑施工安全监管的制衡机制，用来控制施工风险和安全事故发生。建筑施工安全监管的制衡机制由三大模块组成，即事前的权责分配方案的安排、事中的安全隐患排查路径的选择以及事后的安全事故责任追究程序的设计。其中，权责分配是建筑施工安全监管制衡机制的核心内容，其目的是让监管主体的权责分配达到一个较优的均衡状态，防止权力和责任的堆积；安全隐患排查作为隐患纠偏的一个重要手段，为制衡机制的有效发挥提供重要保障，其目的是通过建立预防机制确保各监管主体在实施监管权力时能够依法办事；而安全事故责任追究作为一种强有力的安全监督控制手段，为制衡作用的发挥提供补充措施，其目的是通过惩罚来提高安全监管主体的责任意识，强化控制活动的效率和效果。具体内容如下：首先，在充分研究立法的前提下利用WBS结构分解法识别出建筑施工安全监管主体的安全监管任务，同时借鉴内部控制理论中的不相容职务分离思想并采用责任矩阵表示方法构建出建筑施工安全监管的权责矩阵，然后利用内部控制“线线平行、环环相扣”的特点并采用接口管理这一手段建立起事前、事中、事后三个阶段的建筑施工安全监管主体之间的信息沟通流程。然后，依据建筑施工过程中可能发生的事故类型，选取施工现场重大危险源中最易发生的高处坠落事故作为研究对象，采用事故树分析法提取出高处坠落事故的安全隐患信息，进而采用定性分析方法确定高处坠落事故安全隐患的关键控制点，再结合HAZOP分析法设计出建筑施工安全隐患的排查流程。最后，针对高处坠落这一安全事故，从事故原因分析、事故责任认定以及事故责任追究这三个步骤设计出了建筑施工安全事故责任追究的一般流程。通过以上研究，本文将建筑施工监管过程中各参与主体的权责分配、隐患信息纠偏路径以及责任追究程序这三个环节集成起来，形成了一套集权责于一体且系统化的制衡机制，使其在建筑施工安全监管机制不尽完善或可能失灵的地方发挥补充作用。更多还原

【Abstract】 Construction safety supervision in China maily reflected in two aspects. On the one hand,some mandatory rules of law are fundamented to bind the behavior of construction parties. Onthe other hand, they will take action for regular traking and supervision. However, the currentlaws and regulation can only provide a minimus standard and it is impossible to prevent allaccidents, so the supervision is needed to play an important role. At present, the internalcontrol mechanism has not invole the power and responsibilities between the parities, andthere is no systematic, binding and easy way to take supervision. As a result, the constructionsafety supervision fails a lot, thus causing the inefficient of the supervision. To solve thisproblem, this thesis built the check and balance mechanism based on internal control theroywhich dealt with the problem by dividing responsibilities in advance, concurrent clearing thehidden trouble and finding out the one to be blamed after the accidents.The check and balance mechanism of the construction safety supervision is consist ofthree modules, namely, the design for dividing the responsibilities, the design for clearing thehidden trouble and program for finding out the one to take responsibility. Among them, theright allocation is the core, and it is designed to make the allocation at a better state and toprevent the accumulation of power and responsibilities. Investigating the hidden trouble is animportant mean to provide security, it is designed to ensure the subjects will implement inaccordance with the law. To blame the one in fault is a strong and complementary controlmeasure to improve people’s responsibility consciousness by punishing, thus strengthen theeffciency and effect of the control activities. The details are as follows:First, this thesis used WBS to identify the supervision tasks of each subject based on thestudy of the laws. Then build the responsibility matrix by the thought of incompatible dutiesin internal control theroy and established the communication between the parities before,induring and after the accident by interface management.Second, this thesis selected the hazards that are most prone to happen in the constructionas the object according to the accident type and extract the information about the security byWBS. This can fix the critical control point by qualitative analysis. Combined with theHAZOP, this thesis designed the process for clearing the hidded trouble.At last, this thesis takes the falling as an example, designed the process for investigationby analyzing the cause, accounting the accident liability and punishing the person in charge.Though the above research, this thesis formed the division of the responsibilities, theclearance of the hidden trouble and the investigation of the accident together to creat a checkand balance mechanism, this can play a complementary role when the supervison mechanismfails to take effect.更多还原