习惯性违章行为演化机理与治理研究
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摘要
瓦斯事故波及面广、伤害力大,是煤矿安全治理的重点。瓦检员习惯性违章行为(HVB)不仅影响瓦检员行为决策,而且影响煤矿组织安全功能,是煤矿企业安全稳定时期的重要隐患。沿着“分类、辨识和评价——影响因素静态分析——形成机理动态分析——治理(机制、措施)”的逻辑主线进行研究。主要结果和结论如下：
(1)开发了瓦检员HVB分类、辨识和评价工具。采用MDS法得出瓦检员HVB属性及分布特征四分图——无知型、性格-工作不匹配型、趋利型和环境不可控型。构建了基于因子分析的瓦检员HVB多维辨识流程,将瓦检员HVB划分为14级。最后用多期混合多属性决策法,从过去行为、波动性、安全自制力和安全意识四方面评价了HVB惯性度。
(2)从静态角度构建了瓦检员HVB影响因素的ISM和SEM模型。结果表明：各影响因素对瓦检员HVB的影响效力是不同的,且因素间相互影响作用也不同。直接因素(由大到小)是：示范性规范度、安全知识技能、生理疲乏、物理环境特征、机器装备特征、受教育程度、工龄；间接因素是：安全意识、安全自制力、安全自觉性、安全监管制度、作业流程及规程、安全教育培训；深层因素是：安全氛围和组织承诺。
(3)从动态角度构建了瓦检员HVB形成机理的动力学模型并进行了仿真实验。结果表明：瓦检员HVB是可以不断克服的,随着HVB改善水平提高,其提高难度越大；同期内,作业环境水平提升最容易,瓦检员自身水平其次,组织管理水平提升难度最大；调高组织管理水平对管理者和瓦检员安全意识的影响系数后,HVB改善水平的前期得到有效提高；当增加煤矿企业的组织承诺度、安全氛围和示范性规范度后,瓦检员HVB改善水平、瓦检员自身水平和作业环境水平在短期内都有上升,且提升作用存续时间较长。
(4)提出了瓦检员HVB治理机制和措施。提出瓦检员HVB治理的止动力是煤矿企业基础管理水平,牵引力是班组安全氛围,推动力是激励机制和监管机制,阻力是作业环境压力和瓦检员惰性。明确了治理机构及其相互协作方式,并提出了HVB事前管理模式——精细化管理、双重激励和超越目标。根据治理阶段,提出心理、制度、行为、反馈的四轮驱动治理模式。心理方面以“让瓦检员有‘快乐’情感体验→主动参与快乐管理→心理行为训练系统”为主线,提出了心理评估和心理行为训练方式；制度方面以制度契约和关系契约相结合,提出了改善安全教育培训和领导行为的方式；行为方面主要通过瓦检员不同班组间互查互助方式实现；反馈方面通过考核瓦检员行为,及时反馈和调整治理策略。最后通过安全环境塑造保障治理后的习惯性违章行为得以固化。
Gas accident has become the most significant factor in coal mines'safety governance in account of its magnitude consequences and extensive damages. Gas inspectors'habitual violation behaviors (HVB) are the hidden danger to the coal mine enterprises which are in the period of security and stability. HVB not only affect gas inspectors'behavior decision, but also affect the coal mine organization's security features. There is a consistent thread running through the total research "classification, identification and evaluation-static analysis-the formation mechanism based on dynamic analysis-the governance (mechanisms, measures)". The main results and conclusions are as follows:
(1) Developed tools used for gas inspectors'HVB classification, identification and evaluation. Through MDS method can reckon gas inspectors'HVB attributes and the distribution characteristics quarters figure-ignorance type, character-work not match type, seeking profit type and uncontrollable to environment type. And proposed multidimensional identification process based on the results of the factor analyses, divide gas inspectors'HVB into1-4degrees. Finally, using multi-stage hybrid multiple attribute making method to evaluate HVB inertia degree from aspects of past behavior, volatility, self-control security and safety awareness.
(2) Constructed ISM and SEM models in static which were about the impacting factors on gas inspectors'HVB. The results showed that:different influencing factors on gas inspectors' HVB had various effects and the interaction between different factors is not the same. Direct factors (large to small):demonstration norms, safety knowledge and skills, physical fatigue, physical environmental characteristics, machinery and equipment characteristics, level of education, length of service; Indirect factors:security awareness, self-control security, safety consciousness, safety control system, operating processes and procedures, safety education training; Underlying factors:safety climate and organizational commitment.
(3) Constructed dynamic model in dynamic perspective which was constructed from HVB formation mechanism and then carryed on simulation experiments. The results showed that:gas inspectors'HVB could be overcomed constantly,but the higher level of HVB's improving, the greater of its difficulties; over the same period, it was the easiest thing to enhance the level of the operating environment, level of gas inspectors'quality was the second, organizational management level was the most difficult to lift; increased influence coefficient through the level of organizational management playing a part in the safety awareness of managers and gas inspector, the early stage of HVB improved level had lifted; when organizational commitment of coal mining enterprises, safe atmosphere and exemplary specification degree increased, the level of gas inspectors'HVB improved, gas inspector of their own level and the operating environment level would improved in the short term, and the effectiveness will exist in a longer time.
(4) Proposed gas inspectors'HVB governance mechanisms and solutions. Proposed the ended force of gas inspector HVB governance was the basic level of management of coal mining enterprises, the tractive force was team safety atmosphere, the driven force was incentives and regulatory mechanisms,the resistant force was operating ambient pressure and inert of gas inspector. Making it clear about governance institutions and their mutual cooperation, put forward the HVB prior management mode-meticulous management, dual excitation and exceeding targets. According to management stage, proposing four-wheel drive governance model of psychology, system, behavior, feedback. Psychological aspect:"let gas inspector had 'happy' emotional experience→participate in happiness Management initiatively→psychological behavior training system", base on that psychological main line to propose psychological assessment and psychological behavioral training methods. System aspect: combined system contract and relational contract to offer the way to improve safety educational training and leadership behavior. Behavior aspect:through mutual check mutual mode in different gas inspector groups to achieve mutually supportive manner. Feedback aspects:through examine gas inspector behavior for timely feedback and adjust the governance strategy. Finally, after security environment in shaping security governance, the HVB can be cured.
(1)开发了瓦检员HVB分类、辨识和评价工具。采用MDS法得出瓦检员HVB属性及分布特征四分图——无知型、性格-工作不匹配型、趋利型和环境不可控型。构建了基于因子分析的瓦检员HVB多维辨识流程,将瓦检员HVB划分为14级。最后用多期混合多属性决策法,从过去行为、波动性、安全自制力和安全意识四方面评价了HVB惯性度。
(2)从静态角度构建了瓦检员HVB影响因素的ISM和SEM模型。结果表明：各影响因素对瓦检员HVB的影响效力是不同的,且因素间相互影响作用也不同。直接因素(由大到小)是：示范性规范度、安全知识技能、生理疲乏、物理环境特征、机器装备特征、受教育程度、工龄；间接因素是：安全意识、安全自制力、安全自觉性、安全监管制度、作业流程及规程、安全教育培训；深层因素是：安全氛围和组织承诺。
(3)从动态角度构建了瓦检员HVB形成机理的动力学模型并进行了仿真实验。结果表明：瓦检员HVB是可以不断克服的,随着HVB改善水平提高,其提高难度越大；同期内,作业环境水平提升最容易,瓦检员自身水平其次,组织管理水平提升难度最大；调高组织管理水平对管理者和瓦检员安全意识的影响系数后,HVB改善水平的前期得到有效提高；当增加煤矿企业的组织承诺度、安全氛围和示范性规范度后,瓦检员HVB改善水平、瓦检员自身水平和作业环境水平在短期内都有上升,且提升作用存续时间较长。
(4)提出了瓦检员HVB治理机制和措施。提出瓦检员HVB治理的止动力是煤矿企业基础管理水平,牵引力是班组安全氛围,推动力是激励机制和监管机制,阻力是作业环境压力和瓦检员惰性。明确了治理机构及其相互协作方式,并提出了HVB事前管理模式——精细化管理、双重激励和超越目标。根据治理阶段,提出心理、制度、行为、反馈的四轮驱动治理模式。心理方面以“让瓦检员有‘快乐’情感体验→主动参与快乐管理→心理行为训练系统”为主线,提出了心理评估和心理行为训练方式；制度方面以制度契约和关系契约相结合,提出了改善安全教育培训和领导行为的方式；行为方面主要通过瓦检员不同班组间互查互助方式实现；反馈方面通过考核瓦检员行为,及时反馈和调整治理策略。最后通过安全环境塑造保障治理后的习惯性违章行为得以固化。
Gas accident has become the most significant factor in coal mines'safety governance in account of its magnitude consequences and extensive damages. Gas inspectors'habitual violation behaviors (HVB) are the hidden danger to the coal mine enterprises which are in the period of security and stability. HVB not only affect gas inspectors'behavior decision, but also affect the coal mine organization's security features. There is a consistent thread running through the total research "classification, identification and evaluation-static analysis-the formation mechanism based on dynamic analysis-the governance (mechanisms, measures)". The main results and conclusions are as follows:
(1) Developed tools used for gas inspectors'HVB classification, identification and evaluation. Through MDS method can reckon gas inspectors'HVB attributes and the distribution characteristics quarters figure-ignorance type, character-work not match type, seeking profit type and uncontrollable to environment type. And proposed multidimensional identification process based on the results of the factor analyses, divide gas inspectors'HVB into1-4degrees. Finally, using multi-stage hybrid multiple attribute making method to evaluate HVB inertia degree from aspects of past behavior, volatility, self-control security and safety awareness.
(2) Constructed ISM and SEM models in static which were about the impacting factors on gas inspectors'HVB. The results showed that:different influencing factors on gas inspectors' HVB had various effects and the interaction between different factors is not the same. Direct factors (large to small):demonstration norms, safety knowledge and skills, physical fatigue, physical environmental characteristics, machinery and equipment characteristics, level of education, length of service; Indirect factors:security awareness, self-control security, safety consciousness, safety control system, operating processes and procedures, safety education training; Underlying factors:safety climate and organizational commitment.
(3) Constructed dynamic model in dynamic perspective which was constructed from HVB formation mechanism and then carryed on simulation experiments. The results showed that:gas inspectors'HVB could be overcomed constantly,but the higher level of HVB's improving, the greater of its difficulties; over the same period, it was the easiest thing to enhance the level of the operating environment, level of gas inspectors'quality was the second, organizational management level was the most difficult to lift; increased influence coefficient through the level of organizational management playing a part in the safety awareness of managers and gas inspector, the early stage of HVB improved level had lifted; when organizational commitment of coal mining enterprises, safe atmosphere and exemplary specification degree increased, the level of gas inspectors'HVB improved, gas inspector of their own level and the operating environment level would improved in the short term, and the effectiveness will exist in a longer time.
(4) Proposed gas inspectors'HVB governance mechanisms and solutions. Proposed the ended force of gas inspector HVB governance was the basic level of management of coal mining enterprises, the tractive force was team safety atmosphere, the driven force was incentives and regulatory mechanisms,the resistant force was operating ambient pressure and inert of gas inspector. Making it clear about governance institutions and their mutual cooperation, put forward the HVB prior management mode-meticulous management, dual excitation and exceeding targets. According to management stage, proposing four-wheel drive governance model of psychology, system, behavior, feedback. Psychological aspect:"let gas inspector had 'happy' emotional experience→participate in happiness Management initiatively→psychological behavior training system", base on that psychological main line to propose psychological assessment and psychological behavioral training methods. System aspect: combined system contract and relational contract to offer the way to improve safety educational training and leadership behavior. Behavior aspect:through mutual check mutual mode in different gas inspector groups to achieve mutually supportive manner. Feedback aspects:through examine gas inspector behavior for timely feedback and adjust the governance strategy. Finally, after security environment in shaping security governance, the HVB can be cured.
引文
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