【作者】 刘素霞；

【导师】 梅强；

【作者基本信息】 江苏大学 ， 管理科学与工程， 2012， 博士

【摘要】 中小企业在快速发展的过程中面临着工伤事故多发、职业危害严重等不容忽视的问题。通过分析发现,中小企业安全绩效差的主要原因是企业未落实安全生产的主体责任、安全生产水平低,表现在企业及其内部员工未采取安全生产行为。虽然基于行为来提升安全绩效已经得到了普遍认可,但研究集中在对员工不安全生产行为的矫正,少量关于企业组织安全生产行为的研究分析的是政府管制政策对企业产生影响后达到的效果(即管制效果)。然而企业组织安全生产行为直接影响着“人的安全行为”和“物的安全状态”,在事故致因中发挥着“基础性”的重要作用,企业组织安全生产行为与员工安全生产行为交互作用,共同影响安全绩效。但是,中小企业安全生产行为(包括企业组织安全生产行为和员工安全生产行为)对安全绩效的影响机理仍不清楚,如何强化中小企业安全生产行为才能提升安全绩效仍不明确。因此,需要对中小企业安全生产行为与安全生产绩效的关系进行深入分析,明晰安全生产行为影响安全绩效的关键要素、作用方式和途径,并通过对关键安全生产行为的深入剖析,制定具有针对性的措施以达到提升安全生产绩效的目的。在对中小企业安全生产相关问题进行理论分析与现状分析的基础上,主要取得以下几方面的创新性研究成果：(1)开发了面向中小企业的企业组织安全生产行为、员工安全生产行为、安全生产绩效测量量表,并证实了量表的可靠性和有效性。在文献综述和理论分析的基础上,借鉴已有研究成果,结合中小企业安全生产实际,经多次专家座谈讨论,形成了安全生产绩效和安全生产行为的初始测量量表。其次,选取企业员工35人(包括10名安全生产管理人员)进行了量表的前测工作,重点考察变量间的逻辑关系是否符合中小企业安全生产的现实情况,以及调查者对题项内容的理解是否存在偏差。之后,选取高危行业20家中小企业的220名员工进行了量表预测,通过项目分析对量表进行纯化。最终形成的企业组织安全生产行为量表包括安全培训行为、安全管理行为和安全预防行为三个维度,共计20条题项；员工安全生产行为量表包括安全遵守行为和安全参与行为两个维度,共计10条题项；安全生产绩效量表包括安全后果和安全系统运行效果两个维度,共计11条题项。选取中小企业员工1330人进行了正式施测,回收有效问卷867份,通过信度分析和效度分析,证实开发的量表具有良好的可靠性和有效性。(2)以中小企业为背景,分析并构建了企业组织安全行为、员工安全行为与安全绩效关系的结构方程模型,并证实了三者各因子之间的交互作用关系。在理论与文献分析的基础上,提出各因子之间关系的理论假设,构建安全生产行为影响安全生产绩效的结构方程模型,并在中小企业开展实证研究,对构建的结构方程模型进行拟合度分析并检验提出的理论假设。研究结果表明,安全预防行为对中小企业安全生产绩效提升具有极其重要的作用；安全遵守行为对中小企业安全生产绩效具有显著的积极影响；安全培训行为通过直接和安全遵守行为的部分中介作用同时对中小企业安全后果产生显著的积极影响；员工安全遵守行为在安全管理行为与安全后果之间具有完全中介效应,在安全管理行为与安全系统运行效果之间具有部分中介效应。提出,提升中小企业安全绩效,关键是强化中小企业组织安全生产行为和员工安全遵守行为。(3)明晰了中小企业组织安全生产违规行为形成过程、内外因及其作用机制。强化中小组织安全生产行为,关键是剖析企业组织安全生产违规行为的发生机制。因此,首先辨析中小企业组织安全生产违规行为的相关概念,探讨了中小企业组织安全生产违规行为形成过程。然后分析了中小企业组织安全生产违规行为的内因和外因。其中,企业的盈利本质是中小企业组织安全生产违规行为产生的内在根源,安全事故特征和安全效益特性使得中小企业预期安全事故损失和安全效益均偏低,从而使得中小企业在进行安全决策时,扭曲了安全投入关系,丧失了安全投入积极性。员工和政府安全生产监管部门的作用是中小企业组织安全生产违规行为的外因。构建了员工与中小企业的动态博弈模型,分析结果显示,在员工职业安全需求低的情况下,难以对中小企业组织安全生产违规行为形成约束。进而构建了政府安全生产管制对中小企业安全生产违规行为影响的演化博弈模型,分析了中小企业安全生产违规行为的演化规律。(4)辨识了中小企业员工安全生产违章行为成因,分析了安全生产违章行为的演化规律。在分析中小企业员工安全生产违章原因的基础上,构建了员工与中小企业交往的演化博弈模型,分析了中小企业员工安全生产违章行为的演化路径,指出采用违章罚金这种生硬的手段来约束员工违章行为的管理方式,短期内可能是有效的,但从长期来讲不利于系统向着预期方向演进,提出要使中小企业跳出“违章,检查”的“不良锁定”状态,在设计企业内部安全生产管理激励与约束机制时,需要降低安全遵守行为的劳动量、安全违章逞能的收益、员工群体中具有安全违章倾向的人员比例、预期事故损失和安全违章的负面影响以及采取人性化的安全管理方式等。在以上分析研究的基础上,提出了强化中小企业安全生产行为提升安全生产绩效的措施。政府层面的措施包括通过严格企业组织安全生产违规处罚和增加企业实际承担的事故损失来加大企业组织安全生产违规成本,严格安全生产市场准入制度,明确安全生产管制的重点,建立中小企业安全生产奖励机制。企业层面的措施包括明确企业安全生产工作的重点,强化新员工的岗前培训工作,优化安全生产操作规程和注重安全生产管理形式等。更多还原

【Abstract】 There are many problems that can not be ignored during the rapid development of Small and Medium-sized Enterprises(SMEs):the frequent injury incurred during work, serious professional impairment, illegal production and the lack of the uniform rules and regulations in high-risk industries. The key reason of bad safety performance of SMEs is that they have not implemented the main responsibility for production safety. SMEs and their employees failed to take safe production behavior. Although improving safety performance by safety behavior has been generally recognized, scholars’research has focused on the correction of unsafe behavior. There are only small amounts of literature on enterprise organization safety behavior, and they focus on regulation policies’effect. However, enterprise organization safety behavior directly affects’human’s safety behavior’and’matter’s safety status’. It plays a fundamental role in accident causation. So enterprise organization safety behavior and employee safety behavior affect safety performance together. However, the influence mechanism of production safety behavior of SMEs including the enterprise organization safety behavior and employee safety behavior on safety performance is not clear. How to strengthen production safety behavior of SMEs is not clear too. Therefore, it is necessary to analyze the relationship between production safety behavior and safety performance in SMEs deeply, to affirm the key factor, ways and methods of production safety behavior affecting safety performance, and to put forward specific measures to strengthen safety performance through analyzing the key production safety behavior deeply.Based on theoretical analysis and status quo analysis, the main innovative research results are as follows:(1) Developed enterprise organization safety behavior scale, employee safety behavior scale and safety performance scale of SMEs, and confirmed the reliability and effectiveness of scales. Firstly, based on the literature review and theoretical analysis, lessoning from existed research results, considering the actual production safety of SMEs, formed the initial scale of the safety performance and production safety behavior by some experts panel discussion. Secondly, a pretest is conducted with the scales among 35 employees which include 10 safety officers. The emphasis of pretest is to test the logical relationship of all variables whether in line with the reality of SME production safety or not, as well as whether there is a deviation or not about investigators’item understanding. Thirdly, scale forecast is done among 220 employees in 20 high-risk SMEs. Forecast’s purpose is to purify scale. The enterprise organization safety behavior formal scale has three dimensions: safety training behavior, safety management behavior and safety precautions behavior, 20 items in total; the employee safety behavior formal scale has two dimensions: safety compliance behavior and safety participation behavior,10 items in total; the safety performance scale have two dimensions:safety consequences and Security system running effect,11 items in total. The formal measurement is done among 1330 employees in SMEs.867 valid questionnaires are returned. Scales’reliability and validity are confirmed by reliability analysis and validity analysis.(2) Taking SMEs as the background, the structure equation model for the relationship of the enterprise organization safety behavior, employee safety behavior and safety performance is built. And the interactive relationships of factors of the above three variables are confirmed. Based on theoretical and literature analysis, the relation assumptions of factors are put forward, and the structure equation model is built. Then the empirical research in SMEs is carried for testing model fitness index and assumptions. The empirical result shows that:safety prevention behavior is best important to safety performance; safety compliant behavior has significant positive impact for safety performance; safety training behavior affects safety consequence directly, at the same time, it affects safety consequence indirectly by the intermediary role of safety compliant behavior; safety compliant behavior have fully mediated effect between the safety management behavior and safety consequences; safety compliant behavior have fully mediated effect between the safety management behavior and safety system running effect. So to improve safety performance, it is key to strengthen enterprise organization safety behavior and employee safety compliant behavior.(3) The formation process, internal and external causes of SMEs’safety violation behavior and their action mechanisms are clarified. Strengthening enterprise organization safety behavior, it is the key to analyze the genesis mechanism of enterprise organizations safety violations behavior. Therefore, the related concepts and formation process of enterprise organizations safety violations behavior are analyzed firstly. Then the internal and external causes of enterprise organizations safety violations behavior of SMEs are probed. SMEs’profit nature is the internal underlying cause. Special characteristics of safety accident and safety benefit causes expected accident loss and expected safety benefit all lower than actual result. So safety input-output relationship is twisted in the process of safety decision. Which cause SMEs being lack of enthusiasm for safety investment. The effects of employee and government are the external causes. The game model of employee and SMEs on occupational safety is build. The model result showed that employee is difficult to constraint SMEs’safety violations behavior in the case of lower occupational safety need of employee. Then the evolutionary game model between SMEs and government is built. The evolutionary law of safety violations behavior of SMEs is analyzed.(4) The cause of employee safety violation behavior SMEs is identified. The evolution law of employee safety violation behavior SMEs is analyzed. Based on the analysis of reasons of employee safety violations behavior, evolutionary game model between employee and SMEs is built. Evolution law of employee safety violation behavior SMEs is analyzed. The model result showed that it is effective for illegal fine to restrain employee safety violations behavior in short-term. But it is adverse for the evolutionary system in long-term. To conduct evolutionary system to be out of the bad lock state, the followings should be followed in the design of safety management incentive and restraint mechanisms:to reduce the labor amount of safety compliance behavior, income of safety violation behavior, proportion f safety violation tendency persons amount of employee groups, expected accident loss and negative impact of safety violation behavior, and to take human-based safety management methods and so on.Based on the above analysis, the countermeasures for strengthening safety behavior to improve safety performance of SMEs are put forward. Government level measures including strict enterprise organization safety violation penalties and increase enterprise actual accident loss to increase safety compliance costs, strict production safety market access system, clarify focus of safety regulation, establish incentives system for production safety, The enterprise level measures including clarify focus of safety management, strengthen pre-service training of new employees, optimize the safety production rules and take human-based safety management methods.更多还原