摘 要 近年来，我国煤矿安全生产形势得到了明显好转，但仍未达到社会可接受风险水平，安全生产压力依然较大。当前的研究主要是基于“事故”和“风险”的“逆向”研究和“中间”研究，而基于“系统”的正向研究较少。立足于煤矿安全生产形势的变化，基于企业系统的正向研究视角，研究煤矿企业安全系统演化的影响因素及其相互作用机制是非常必要的，可为煤矿企业安全生产决策和我国煤矿安全生产形势的进一步好转提供依据。主要内容及成果如下： 基于企业系统的研究现状和经济性功能目标，结合安全系统思想，建立了企业安全系统的概念；通过理论分析，确定了企业安全系统所具有的5个系统特性，即演化特性、自组织特性、他组织特性、极限特性、复杂适应特性。 通过对进入21世纪后的煤矿企业系统演化过程进行分析，认为煤矿企业安全系统在这一时期的演化特征总体表现为进化，且当前我国煤矿安全生产所处的阶段为法制监管下的安全保证阶段；针对我国煤矿企业安全系统进化的动力因素进行了分析，并通过结构方程建模进行了验证。 在现有事故致因因素研究的基础上，考察了近十年煤矿企业安全系统物质条件、人员安全素质、系统性因素和社会性因素4个因素7个方面的进化趋势，提出了基于事故系统观的进化模型。 对煤矿企业安全系统适应性学习机制进行研究，提出了基于业务范围和组织结构的主体划分方式；并在个体学习的行为模型基础上，运用组织成员个体学习的聚集和标识机制，提出了煤矿企业安全系统主体的学习模型。 分别从系统整体、工作环境、个体三个角度对煤矿企业安全系统的逐级分叉演化过程进行了分析；分析了煤矿企业安全系统在演化过程中的突变现象，得到了系统不同层次不同控制变量下的突变路径；结合对系统安全状态的语言描述习惯和尖点突变条件，提出了煤矿安全系统演化过程中尖点突变模型的定量化表征方法。 借助于系统科学中涌现的研究成果，分析了煤矿企业安全系统在演化过程中的涌现现象，研究了煤矿企业安全系统涌现现象的产生机制，提出了煤矿企业安全系统涌现的概念模型。 为科学认识煤矿企业安全系统各要素相互作用的结果，从系统整体功能涌现的角度提出了功能涌现评价的五要素，构建了煤矿企业安全系统功能涌现评价的评价指标体系，应用层次分析法确定了各评价指标的权值。 总体上，本文拓宽了安全生产领域的研究视角，构建了基于系统的正向研究框架，具有重要的理论价值，同时，也为煤矿企业的安全生产实践提供参考依据。

ABSTRACT In recent years, safety production situation of china's coal mine has been significantly improved, but has not reached the level of social acceptance of risk. And the pressure of safety production is still large. The current research is mainly based on the accident and the risk, but the research based on the system of the positive research is less. Based on the changes of coal mine safety production situation in recent years, in view of the enterprise perspective, it is very necessary to research the evolution of coal mine enterprise safety system and the interaction mechanism, which can provide the basis for further improvements in safety production of coal enterprise. The main contents and results are as follows: Based on the characteristics of the enterprise system and the economic function goal of enterprise system, the concept of enterprise safety system is established. According to the theoretical analysis, the 5 system characteristics of the enterprise security system are determined. i.e., the evolution characteristics of self organization characteristics, characteristics of his organization, limit properties, complex adaptation characteristics. Through the analysis of the evolvement of the coal mine enterprises after entering the 21st century, it is considered that the evolution characteristics of the coal mine enterprise safety system in this period is generally shown as evolution, and the current stage of China's coal mine safety production is a safety guarantee under the supervision of the legal system. Based on the research of “accident” and “risk”， the 7 major factors leading to China's coal mine accidents are summed up. The changes of the 7 factors in the recent ten years are analyzed. And an evolutionary model of coal mine enterprise safety system based on the view of accident system is put forward. In the study of the adaptive learning mechanism of safety system in coal mine enterprise, the division of agent are proposed based on business scope and organizational structure. And on the basis of behavior model of individual learning, the study model of agent of coal mine enterprise safety system is put forward by using the aggregation and identification mechanism of individual learning. The evolution process of the step by step bifurcation in the coal mine enterprise safety system is analyzed from three aspects of the whole system, the working environment and the individual. The abrupt change of the safety system in the coal mine enterprise is analyzed, and the change path of the system under different levels of control variables is obtained. Combined with the language description habit and the point mutation condition of the system safety state, the quantitative description method of the cusp catastrophe model in the evolution process of the coal mine safety system was put forward. With the aid of in system science emerging research results, the emergent phenomena of the coal mine enterprise safety system is analyzed. The mechanism of emergence of safety system in coal mine enterprise is studied, and the concept model of the emergence of safety system in coal mine enterprise is put forward. In order to recognize the interrection results of each element of the safety system in coal mine enterprise, the five elements of the emergence function evaluation of coal mine safety system is proposed. The evaluation index system of it is constructed, and the weight of each evaluation index is determined by the analytic hierarchy process. In general, this paper broadens the perspective of research in the field of safety production, and builds a positive research framework based on the system, which has important theoretical value. And the same time, it provides a reference for safety production practice of coal mine enterprise.