【作者】 芦慧；

【导师】 陈红；

【作者基本信息】 中国矿业大学 ， 管理科学与工程， 2014， 博士

【副题名】以国有大型煤矿作业人员为例

【摘要】 安全管理制度对各类主体行为具有引导、规范和控制作用，是煤矿企业遏制事故发生的重要手段。然而现实情况并不乐观，重大事故致因中的人因比率及人因发生特征反映出，无论国家层面还是企业层面，安全管理制度都未有效引导煤矿生产活动中行为人的安全行为。企业人员的自主行为安全是煤安全生产的关键，最大化企业人员的制度遵从程度是提升煤矿安全的主要途径，可见，如何设计合理的安全管理制度以有效引导行为人的安全行为，进而实现自主行为安全和最大化制度遵从行为是煤矿安全管理迫在眉睫的问题。本研究遵循“实践－理论－实践”的循环思想主线，从实践问题中提炼并验证新理论思想，同时又用新理论思想来指导实践。具体来讲，本研究针对制度自身结构性矛盾引发的安全管理制度失效问题，创新提出组织文化“二元”结构是引发该矛盾的重要原因，综合制度、组织文化和组织价值观等理论，提出基于“名义-隐真”文化错位的组织文化新内涵，进而从该错位视角系统研究煤矿作业人员安全管理制度遵从特征与规律。聚焦国有大型煤矿作业人员群体，主要运用调查研究、多元统计分析和二次响应面回归分析等方法，研究组织文化“二元”结构理论构建、“名义-隐真”文化错位与制度遵从选择关系的质性研究、煤矿企业“名义-隐真”文化的维度开发与结构验证、“名义-隐真”文化错位与制度遵从选择关系实证研究和煤矿企业安全管理制度设计的相关建议等五个内容。通过实证分析不同维度下国有大型煤矿作业人员制度遵从行为选择规律，剖析基于“宣称-执行”价值观的煤矿“名义-隐真”文化“可纳错位”范畴，同时纳入煤矿安全与发展目标，创新煤矿安全管理制度设计思想，系统构建制度设计策略体系，以驱动作业人员主动和高效的制度遵从。本研究主要得出以下结论：（1）组织文化内部横向错位与纵向错位共同形成“名义-隐真”文化错位形态，该形态是组织文化内部结构的自然属性，“可纳错位”是两类文化错位的可接纳形态。（2）煤矿企业“名义-隐真”文化维度包括八个维度，37个价值观条目。八个维度分别是卓越取向、人本取向、团队取向、伦理取向、精益取向、社会取向、平等取向和规则取向。（3）安全管理制度遵从分为内源性制度遵从和外源性制度遵从两种类型。安全管理制度的“名义-隐真”文化特征主要表现在“制度宣称-个人执行”价值观错位与“制度宣称-制度推行”价值观错位两方面，分别代表了“名义-隐真”文化的横向错位与纵向错位。（4）所调研代表性国有大型煤矿企业的安全管理制度的设计、推行或执行环节确实存在制度的“名义-隐真”文化错位形态，实践中确实存在“言行不一”，且在年龄、入职年限、学历以及职称等人口统计特征方面，制度宣称、制度推行和个人执行价值观三类体系中均有不同维度存在显著性差异。（5）煤矿企业“名义-隐真”文化错位与制度遵从存在线性或非线性关系，基于总维度的煤矿企业“名义-隐真”文化错位与制度遵从均存在非线性关系，且制度宣称、制度推行和个人执行价值观三类体系中八个维度的权重排序各不相同。（6）自主行为安全与制度遵从最大化是两个独立目标，制度设计需要“刚柔并济”，从动态和平衡视角设计煤矿安全管理制度遵从行为“动-衡”调控体系，以调节组织文化、价值观建设和制度自身中非平衡状态，来积极影响作业人员制度遵从选择。更多还原

【Abstract】 As an important way to prevent accidents in coal mining enterprises, safetymanagement system(SMS) plays a significant role of guiding, regulating andcontrolling on all kinds of subject behavior. However, the current situation does notseem optimistic, human factors out of the reasons attributing to major accidents andhuman-factor characters indicate that SMS haven’t shown an effective impact onguiding human safety behavior in coal and mine producing whatever on national levelor enterprise level. The safety of the enterprise personnel’s autonomic behavior is thekey point to coal and mine safety producing. What’s more, maximizing the degree ofpeople’s SMS compliance is the main way to improving coal mine safety. Therefore,how to design a reasonable SMS which can effectively guide people to conduct safebehaviors and finally fulfill independent safety behaviors is a very urgent problem.The search followed the circle logical line of practice-theory-practice, refine andcheck the new theory from practical problems, but also guide practice with the newtheory. Specifically, this study focuses on the invalidation problem of SMS occurreddue to the system’s structural contradictions, and put forward an idea that binaryorganizational culture structure is an important cause of the contradiction. So weintegrated system, organization culture and organization value theory, and proposedthe new connotation of MingYi-YinZhen cultural dislocation, then we studied the coalmine workers SMS compliance and regularity from the perspective of dislocation.Focusing on large state-owned coal mining enterprises, we mainly used theinvestigation research, multivariate statistical analysis and response surface regressionanalysis method, and researched on organization culture structure theory building,relationship between MingYi-YinZhen culture dislocation and SMS compliancechoice, MingYi-YinZhen cultural dimensions development and verification in coalmining enterprise, practice research on relationship between MingYi-YinZhen culturaldislocation and SMS compliance choice and suggestion about coal mining enterprisesSMS design aspects. With practice research on choices regularity of Largestate-owned coal mining enterprise workers SMS, along with the study on thecategory of MingYi-YinZhen cultural dislocation, we considered the goals of safetyand development, systemic building of SMS to promote SMS compliance of workers.The conclusions are as follows:（1） The internal transverse and verticaldislocation of organizational culture make up the misplace shape of MingYi-YinZhenculture, which is the natural character of the inner structure of organizational culture. The available dislocation is an acceptable form of the two kinds of cultural dislocation.（2）MingYi-YinZhen culture dimension of Coal mine enterprise includes eightdimensions and37value items. The eight dimensions are overstepping-oriented,people-oriented, team-oriented, ethics-oriented, perfectness-oriented, social-oriented,equity-oriented and rules-oriented.（3）SMS compliance can be divided into in-forcedsystem compliance and out-forced system compliance. The MingYi-YinZhen culturalcharacteristics of SMS mainly reflect on two aspects: the ‘institutionespoused-individual enacted’ value dislocation and the ‘institutionespoused-institution implementation’ value dislocation.（4）There is MingYi-YinZhenculture dislocation in SMS design, enacting and expounding part in investigatedenterprises. Meanwhile, there is significant difference in three values between age,work age, education and position.（5）Empirical study has found that there is a linearor nonlinear relation between the MingYi-YinZhen culture dislocation and SMScompliance in coal mining enterprises, and MingYi-YinZhen culture dislocation havea non-linear relationship with SMS compliance, and three values have differentweight order for own.（6）Autonomous behavior safety and SMS compliancemaximization are independent goals. The SMS design should consider availabledislocation so that it can get a balance between autonomous behavior safety and SMScompliance maximization. It is necessary to design homeostasis regulation systemcoal Mine SMS compliance behavior to get a balance between organization culture,value construction and system and influence workers’ system compliance choice.更多还原