企业安全绩效测评体系研究

Accident prevention is the main task of safety science, and the safety performance refers to the result of accident prevention. "Self-regulation of health and safety by enterprises" is recognized as a basic policy in developed countries, and safety performance assessment has been regarded as the key character of the self-regulation. Now, safety management model is being changed from supervision-driven, compliance-based to self-regulation in Chinese enterprises, safety performance measurement is of importance for assessing how safe the accident prevention has been done. However, the measure instrument herein is based on lagging indicators which is hysteretic for accident prevention, therefore, a tailored safety performance assessment instrument for Chinese enterprises should be built whereas fewer research has focused on it. Our objective is to identify key dimensions and indicators of safety performance and develop a tailored instrument to assess safety performance in Chinese enterprises. In this study, safety performance model will be built based on occupational health and safety management systems and accident causation models, then dimensions of safety performance were drawn through literature review. The third step is to develop safety performance indicators through the incorporated research methods of field survey and Delphi. At last, empirical study will be conducted to review and revise the proposed safety performance dimensions and indicators. The methods of structural equation modeling (SEM) and data envelopment analysis (DEA) will be used to enhance the reliability of the instrument. This instrument will explore the nature of safety science and be verified in several different approaches. So it is reliable and can be used in broad industries. The instrument will also be of value to providing a systematic way of measuring how well accident prevention is being managed in Chinese enterprises.

安全科学的根本任务在于事故预防，事故预防的效果称为安全绩效。当前企业管理模式逐渐由监管驱动、被动法规遵守向自主管理过渡，安全绩效测量凸现重要，然而现行的绩效测量主要是基于事故后的结果指标，对事故预防具有局限性和滞后性，企业亟需基于事故预防过程的绩效测评工具。基于此，本研究拟以安全管理体系和事故致因理论为切入点建立过程安全绩效模型，通过标准比对、信息沉淀法确定绩效维度，再通过企业调研及德尔菲法确定绩效测评指标，形成安全绩效测评体系；研究还将采用结构方程模型、数据包络分析及实证研究等方法对测评体系进行多循环验证。本研究采用系统的方法尝试探究安全科学最为本质的属性，所得测评体系超越行业的特点，具有普遍适用性和科学实用性；该测评体系是在事故发生前，对企业整个事故预防过程的绩效测量，不仅有利于企业识别管理中的缺陷、主动进行事故预防，而且有利于促进企业自主管理、持续改进。

安全科学的根本任务在于事故预防，事故预防的效果称为安全绩效。当前企业管理模式逐渐由监管驱动、被动法规遵守向自主管理过渡，安全绩效测量凸现重要，然而现行的绩效测量主要是基于事故后的结果指标，对事故预防具有局限性和滞后性，企业亟需基于事故预防过程的绩效测评工具。基于此，本研究以事故致因理论和安全管理体系为切入点，通过事故致因逆推法和管理体系标准比对、信息沉淀的方法建立适合于我国企业的安全绩效维度，采用结构方程模型、数据包络分析及实证研究等方法验证安全绩效指标体系的科学性与适用性。本研究在传统的链式事故致因理论的基础上，基于Accimap、HFACS和系统思考等系统观点的事故致因理论对我国典型事故进行个例分析以及行业事故进行趋势分析，通过事故致因逆推的方式确定了企业事故预防的组织因素；与此同时，研究采用文献综述法梳理了西方发达国家安全管理体系的起源与发展及其在我国企业的应用，通过标准比对及信息沉淀的方法确定了包括包安全文化、风险管理（反映过程）与事故管理（反映结果）三个一级维度、十个二级维度、44个指标的安全绩效测评体系；在此基础上，本研究应用结构方程模型的方法对指标的科学性进行验证；通过企业调研、德尔菲法对企业安全绩效指标进行修正；并应用数据包络分析法对指标体系的适用性进行验证，建立了适用于我国企业的安全管理绩效测评指标体系及企业安全绩效测评工具。本研究进一步应用该工具对某区域（含36家企业）安全绩效测评进行了实证研究。本研究采用系统的方法探究安全科学最为本质的属性，所得的测评体系超越行业的特点，具有普遍适用性和科学实用性；该测评体系是在事故发生前，对企业整个事故预防过程的绩效测量，不仅有利于企业识别管理中的缺陷、主动进行事故预防，而且有利于促进其企业自主管理、持续改进。