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Specific to the situation of coal production in China,this work took advantage of multiple disciplines,as well as management idea and systematic methods of ERM.According to the eight elements of ERM framework(internal environment,objective setting,event identification,risk assessment,risk response,control activity,information communication and surveillance),the work analyzed and identified the risks in coal production,as well as risk warning methods,referring to relevant mathematical research measures.
(1)Through the review of ERM theory,the work analyzed the mechanism of accident causing theory,namely the basic theory of risk management in coal production.Four causal chain models were involved.They were energy transfer theory,causal models based on information process,dynamics theory,track-Cross theory and causal models of complex system by Reason.Thus the foundation of accident causing models was laid in coal production.
(2)According to the internal environment element in ERM framework,safety system engineering and systematic evaluation analysis were applied for the internal environment analysis in coal enterprises.The current situations and problems of coal enterprises in China were revealed on the aspects of regulation operation,regulation content and management system.The work also concluded various influential factor and their mechanism on internal environment in coal production.In addition,an evaluation system with relevant assessments was also built up by theories and methods from safety engineering and management science.
(3)In terms of objective setting and event identification,the work analyzed the process features of coal exploitation,excavation,mining and transportation.According to ERM frameworks,the external environments,management faults and improper behaviors,as well as an unsafe status of environment and equipment,were analyzed for risk source identification and assessment.
(4)As to risk assessment and response in ERM framework,the forms and characteristics of risk source in coal production were analyzed in the work.Then all the risk sources from environments and behaviors were listed by the classification of innate and triggered sources.Meanwhile,risk factors weight and risk frequencies index were applied for comprehensive assessment of major risk sources including gas,water,fire,dust,roof and equipment.
(5)As to control activity and continued surveillance in ERM,a warning model was built up based on risk identification and classification in coal production of China.The assessment of management results(value at risk)were used as independent variables,and the consequent production hazards were dependent variables.Then,warning level system of general management risks were proposed for risk prediction.Particular solutions were also studied for different risk levels.Therefore,proper actions and plans could be taken actively for accidents prevention of different levels.
(6)Based on the risk response,control activity and continued surveillance in ERM,systematic solutions to management risks were proposed.Specific management measures on related behaviors and staffs were invented to avoid recurrence of the same accidents.Moreover,the award and punishment system in coal enterprise was built up,and its mathematical model of game theory was also studied for best allocation plan.
It was planned that an empirical study would be carried out in cooperating organizations.The research results of ERM framework would be applied and advocated in cooperative mines for long term.Effect of the integrated risk management would be observed for improvement in time.
Fig.1.4 showed the work followed and confirmed the elements of ERM for the internal control and risk management in coal mines.
Firstly,the work referred to the primary data from enterprise survey as well as relevant domestic and overseas literatures.The previous research experience in risk identification,assessment and warning was concluded,and certain research approach were learnt.
Secondly,a framework of risk management in coal production was integrated based on the ERM elements.The work analyzed and set the safety production objectives of coal enterprises,then clarified the internal environments of production risk.Besides,the work also analyzed the information of production risks,and clarified the risk identification and classification of coal production management.A warning model of risk assessment was built up by the integration of actual internal environment and research results on risk identification.Moreover,based on the vital prevention and control node of the warning model,systematic solution and an awardpunishment system were established.
Finally,as to the information communication,control activity and continued monitoring in ERM,the work checked previous production objectives and research conclusions on internal environment.Thus the management and internal environment of coal production could be developed continuously.The whole management system in production safety could also be improved and completed.
Fig.1.4 Thesis research ideas framework
The work adopted the following research methods.
(1)Integration of regulation studies and empirical studies
Following the analysis procedure of“Regulation-ExampleRegulation”,the work evaluated the management risks in coal production combined with regulation and example.Thus,corresponding suggestions were proposed based on the obtained convergent conclusions.Then,with actual enterprise situation previous theoretical assumptions,following empirical study was carried out integrating with previous theoretical assumptions,risk identifications and warning measures from argumentation study.
(2)Integration of qualitative research and quantitative research.
Based on the qualitative research,the work also referred to some quantitative measures with relevant mathematical analysis,such as simple diagrams and complicated models.Mathematical methods assisted in theory generality and explicit expression.