-I- 摘要 实现安全生产是企业的永恒主题，创新和改进安全管理方法途径是保证安全生 产的有效措施，因此建立起适合企业发展实际、运转顺畅高效的安全管理体系是保 证安全生产的重要课题。“树立安全发展理念”、“生命至上、安全第一”是全社 会的期盼，更是煤炭行业的目标，煤矿生产必须以保证员工安全为基本前提，这已 成为煤矿安全管理的共识。对于煤矿而言，建立和完善以风险管理为重点、过程管 控为核心安全风险管理体系，可以有效规避和化解安全生产隐患，提高安全管理成 效，保障企业安全生产。但是，受各种因素制约国内部分煤矿安全风险管理体系仍 不健全，运行效果不佳，因此，对安全风险管理体系的优化研究具有重要现实意义。 本文针对唐山开滦赵各庄矿现行安全风险管理体系存在的问题和不足，从完善 组织领导、加强技术管理、理顺管理流程、完善保证体系等方面，提出了问题解决 方案，优化了赵各庄矿安全风险管理体系。 首先，根据赵各庄矿作为煤炭企业安全生产需要和公司实际，阐明选题背景及 研究意义，介绍了国内外安全风险管理研究发展现状、相关理论，奠定了优化赵各 庄矿安全风险管理体系的理论基础。 其次，依据赵各庄矿有关部门相关管理数据和调查研究结果，对赵各庄矿安全 风险管理体系运转现状进行了全面分析总结，系统剖析了体系运行过程中存在的问 题及成因，为优化安全风险管理体系提供了现实基础。 再次，从公司安全生产现实需要出发，在确定优化原则的基础上，重新对赵各 庄矿安全风险管理体系关键要素进行了优化分析，从组织领导、技术指导、专业化 辨识流程管理、评估方法等方面重新进行了优化，理顺了赵各庄矿安全风险管理的 实施路径，明确了管理权限和责任分工，实现了赵各庄矿安全风险管理体系在企业 安全管理工作上的全过程管控。 最后，为保证优化效果，从组织建设、教育培训、技术服务和考核激励等四个 方面给出了安全风险管理体系优化的保障措施，为赵各庄矿安全风险管理体系顺畅 运转提供了制度体系支撑。 关键词：安全管理；安全风险管理；安全风险管理体系；煤炭企业燕山大学工商管理硕士学位论文 -II- Abstract Achieving safe production is the eternal theme of enterprises. Innovating and improving safety management methods is an effective measure to ensure safe production. Therefore, establishing a safe management system that is suitable for the actual development of enterprises and runs smoothly and efficiently is an important issue to ensure safe production. "Establishing the concept of safe development" and "life first, safety first" are the expectation of the whole society and the goal of the coal industry. The basic premise of coal mine production is to ensure the safety of employees, which has become the consensus of coal mine safety management. For coal mine, establishing and improve a safety risk management system with risk management emphasis and process control as that core can effectively avoid and resolve hidden dangers of safety production, improve the effectiveness of safety management and ensure the safety production of enterprises. However, due to various factors, the safety risk management system of some domestic coal mines is still not perfect and the operation effect is not good. Therefore, it is of great practical significance to optimize the safety risk management system. In view of the problems and deficiencies in the safety risk management system of Zhaogezhuang Mine in Kailuan, Tangshan, this paper puts forward solutions to the problems and optimizes the safety risk management system of Zhaogezhuang Mine from the aspects of perfecting organization and leadership, strengthening technical management, rationalizing management process and perfecting guarantee system. First of all, according to the safety production needs of Zhaogezhuang Coal Mine as a coal enterprise and the company's reality, this paper expounds the background and research significance of the topic selection, introduces the research and development status and related theories of safety risk management at home and abroad, and lays a theoretical foundation for optimizing the safety risk management system of Zhaogezhuang Coal Mine. Secondly, according to the relevant data and investigation of the relevant management departments of Zhaogezhuang Mine, this paper makes a comprehensive analysis and summary of the operation status of the safety risk management system inAbstract -III- Zhaogezhuang Mine, and systematically analyzes the problems and causes in the operation process of the system, which provides a realistic basis for optimizing the safety risk management system. Thirdly, starting from the actual needs of the company's safety production, and on the basis of determining the optimization principles, the key elements of Zhaogezhuang Mine's safety risk management system were optimized again from the aspects of organization and leadership, technical guidance, professional identification process management, evaluation methods, etc., which straightened out the implementation path of Zhaogezhuang Mine's safety risk management, defined the division of management authority and responsibility, and realized the whole process management of Zhaogezhuang Mine's safety risk management system in enterprise safety management. Finally, in order to ensure the optimization effect, the guarantee measures of safety risk management system optimization are given from four aspects, such as organization and leadership, education and training, technical services and assessment incentives, which provide institutional support for the smooth operation of safety risk management system in Zhaogezhuang Mine. Keywords: Safety management; Safety risk management；Safety risk management system；Coal enterprises目 录 -V- 目 录 摘要.......I ABSTRACT............................ II 第 1 章 绪 论......................1 1.1 研究背景及意义...........1 1.1.1 研究背景................1 1.1.2 研究意义................1 1.2 国内外研究现状...........2 1.2.1 国外研究现状........3 1.2.2 国内研究现状.........4 1.2.3 国内外研究评述....7 1.3 研究内容及研究方法....7 1.3.1 研究内容.................7 1.3.2 研究方法................8 第 2 章 相关理论..................10 2.1 安全管理.....................10 2.1.1 安全管理定义......10 2.1.2 安全管理对象......10 2.1.3 安全管理方法......11 2.2 安全管理基础理论....11 2.2.1 杜邦安全管理理论.............................11 2.2.2 本质安全理论......13 2.2.3 系统安全理论......13 2.2.4 安全风险管理理论.............................13 2.3 安全风险管理.............14 2.3.1 风险管理与安全风险管理.................14 2.3.2 安全风险管理内涵.............................15 2.3.3 安全风险管理方法.............................16 2.4 安全风险管理体系.....17 2.4.1 安全风险管理体系指导思想.............17 2.4.2 安全风险管理体系特征.....................18 2.4.3 安全风险管理体系运转机制流程.....18燕山大学工商管理硕士学位论文 -VI- 2.4.4 安全风险管理体系推进模式.............19 2.5 本章小结.....................20 第 3 章 赵各庄矿安全风险管理体系现状及问题分析....................21 3.1 赵各庄矿概况.............21 3.1.1 赵各庄矿基本情况简述.....................21 3.1.2 赵各庄矿组织机构设置.....................23 3.1.3 赵各庄矿员工基本状况.....................24 3.2 赵各庄矿安全风险管理体系现状分析.....27 3.2.1 赵各庄矿现有安全风险管理体系.....27 3.2.2 赵各庄矿安全风险管理体系运转情况调查分析............31 3.3 赵各庄矿安全风险管理问题及成因分析37 3.3.1 赵各庄矿安全风险管理存在问题.....37 3.3.2 赵各庄矿安全风险管理问题成因.....40 3.4 本章小结.....................42 第 4 章 赵各庄矿安全风险管理体系优化设计.43 4.1 赵各庄矿安全风险管理体系优化原则....43 4.1.1 层级化管理原则..43 4.1.2 专业化技术指导原则.........................44 4.1.3 分类化辨识原则..44 4.1.4 周期化评估原则..44 4.2 赵各庄矿安全风险分析优化....................45 4.2.1 员工行为安全风险分析.....................45 4.2.2 采掘作业安全风险分析.....................46 4.2.3 通防作业安全风险分析.....................47 4.2.4 机电作业安全风险分析.....................47 4.2.5 地面作业安全风险分析.....................49 4.3 赵各庄矿安全风险管理流程优化............50 4.3.1 组织管理系统......50 4.3.2 技术指导系统......51 4.3.3 模块式管理流程..53 4.4 安全风险管理评估优化............................62 4.4.1 安全风险因素评估范围.....................62 4.4.2 安全风险评估基本流程.....................63 4.4.3 安全风险管理评估优化实施.............63目 录 -VII- 4.4.4 安全风险评估方法及应用优化.........64 4.5 本章小结.....................66 第 5 章 赵各庄矿安全风险管理体系优化实施保障........................67 5.1 组织领导保障.............67 5.1.1 组建专门领导机构.............................67 5.1.2 完善层级管理职能.............................68 5.1.3 明确专业职责分工.............................69 5.2 教育培训保障.............69 5.2.1 细化员工教育培训制度.....................70 5.2.2 健全班长履职管理制度.....................70 5.2.3 强化专项引导促进制度.....................70 5.2.4 丰富辨识技能提升制度.....................71 5.3 技术服务保障.............72 5.3.1 实施重大危险源专项监管.................72 5.3.2 实施较大风险源规范管理.................73 5.4 考核激励保障.............73 5.4.1 改进安全风险考核兑现机制.............73 5.4.2 完善班组安全风险激励机制.............74 5.5 本章小结.....................74 结 论.....75