The University of Hong Kong
MSc (CPM)/(RE) 2009/2010
Construction Safety Management (RECO6040)
Introduction of
Safety Management System
By
Professor Steve Rowlinson/Dr. Raglan H. C. Lam
Date: 12th January 2010
Time: 18:30 hours – 21:30 hours
Venue: The University of Hong Kong, Pokfulam Road, Hong Kong
Muster Point : The Entrance of Library
Accident in Construction Site Dated
13/09/2009
From: Apple Daily
Accident in Construction Site Dated
13/09/2009
From: Oriental Daily
Case Study
What is the possible cause of the
problem?
Development of Occupational
Health and Safety
Year Event
1913 the first Secretary for Chinese Affairs was
appointed to deal with labour matters in
Hong Kong.
1922 Industrial Employment of Children
Ordinance
1929 Industrial Employment of Women, Young
Persons, Children Amendment Ordinance
1937 Factories and Workshop Ordinance
Development of Occupational
Health and Safety
1955 Factories and Industrial Undertaking
Ordinance
1956 - A series of subsidiary Regulations
1973
1974 Construction Sites (Safety) Regulation
1989 General Duty Clauses
1995 Consultation Paper on the Review of
Industrial Safety in Hong Kong
Development of Safety Management
System
Hong Kong Industrial Safety Review in
1995
- to achieve high standards of safety and
health at work.
Pointed out - “the tradition of industrial safety
culture in Hong Kong has been weak”
Suggested - encouraging self-regulation
through a safety management system.
Construction Safety Legislation
Safety Legislation Based on the UK
Practice:
and Industrial Undertakings (Safety
Factories
Management) Regulation
It imposes obligations on the duty holders to
implement an appropriate safety management system
for improving the safety performance of the
workplace. It also prescribes the requirements to
conduct safety audits or reviews periodically.
Development of Safety Management
System
The general duties of employers were laid out
in the Health and Safety at Work Act (1974)
in the United Kingdom and were further
enforced by the requirements of the
Management of Health and Safety at Work
Regulations 1992. This Regulation, which
came into operation in 1993, required
proprietors to set up a safety management
system in their workplaces.
Development of Safety Management
System
In U.K. from Enforcement Approach (Before
1974 Establish Regulation to Focus on
Specific Operation) Trend to Self-regulation
Approach (General Duties in 1974 & Safety
Management System in 1992).
In H.K. from Enforcement Approach (Before
1989 Establish Regulation to Focus on
Specific Operation) Trend to Self-regulation
Approach (General Duties in 1989 & Safety
Management System in 1999)
Development of Safety Management
System
Self-regulation is defined as “the active
involvement of the employers and employees,
with minimum government intervention, to
look after the safety and health matters in
their own workplaces by implementing a
safety management system in order to
identify hazards, to work out preventive
measures and to implement controls”.
Dawson, Poynter & Stevens (1983)
Development of Safety Management
System
Pees, J. (1988) divided self-regulation
into three categories -- total self-
regulation (or voluntary self-regulation),
mandated full self-regulation and
mandated partial self-regulation.
Development of Safety Management
System
Total self-regulation involves the
establishment of codes of practice and
enforcement techniques within
industries or professions which are
quite independent from the
government.
Development of Safety Management
System
In mandated full self-regulation, the
government requires industries to
establish a regulatory system with
details of the regulations and the
methods of enforcement determined by
the industries.
Development of Safety Management
System
In mandated partial self-regulation,
industries are required to specify at
least some of the rules and / or to carry
out some of the enforcement actions.
Development of Safety Management
System
Introducing the Safety Management
Regulations in Hong Kong, is pushing
forward a move from mandated partial
self-regulation to mandated full self-
regulation.
Development of Safety Management
System
The legislation aims to foster self-regulation and
enhance co-operation between employers
and employees. Proprietors of specific
industrial undertakings and construction
contractors of construction sites are required
to implement safety management systems
and conduct safety audits or safety reviews.
This idea has come into operation with the
introduction of the Factories and Industrial
Undertaking (Safety Management) Regulation
in April 2002.
Safety Management System
A systematic approach is need to
address three key questions:
Where are we now?
Where do we want to be?
How do we get there?
F&IU (Safety Management) Regulation
Enacted on 24th November 1999
Implement on 1st April 2002 (Part I &
Part II)
10 Elements Only
Part III (Other 4 Elements) Review
afterward
Safety Management
What is “Safety”
Safety is described as a control of loss
What is “Management System”
The classical approach:
– plan
– organise
– lead
– control
“Getting things done through others”
Safety Management
Safety Management System
means a system to provides safety
management in an industrial undertaking
Safety Management
Planning, developing, organising &
implementation of a safety policy
Measuring, auditing or reviewing of the
performance
F&IU (Safety Management) Regulation
Proprietors & Contractors of
Construction Site Required to have SMS
– 50 workers to 99 workers - Implement 8
elements & Conduct Safety Review every 6
months by Safety Review Officer
– 100 workers or more - Implement 14 (10
only Today) elements & Conduct Safety
Audit every 6 months by Registered Safety
Auditor
F&IU (Safety Management) Regulation
Proprietors & Contractors of Shipyard,
Factory & Designated Undertaking
Required to have SMS
– 50 workers to 99 workers - Implement 8
elements & Conduct Safety Review every
12 months by Safety Review Officer
– 100 workers or more - Implement 14 (10
only Today) elements & Conduct Safety
Audit every 12 months by Registered
Safety Auditor
Safety Management System
Elements of Safety Management System - 14
Elements:
Part 1
1. Safety Policy
2. Safety Organisation
3. Safety Training
4. In-house Safety Rules
5. Safety Inspection Programme
6. Personal Protective Equipment Programme
7. Accident & Incident Investigation
8. Emergency Preparedness
Safety Management System
Elements of Safety Management System - 14
Elements:
Part 2
9. Evaluation, Selection and Control of Sub-contractors
10. Safety Committees
Part 3
11. Evaluation of Job Related Hazards
12. Safety Promotion
13. Process Control Programme
14. Occupational Health Programme
Duties of Proprietor & Contractor
Safety Audit & Safety Review Report
Proprietor or Contractor should read
and countersign the report with date
Draw up a Action Plan within 14 days
Submit to Commissioner within 21 days
Keep copy of report at least 5 years
F&IU (Safety Management) Regulation
Registered Safety Auditor - means a
person registered as a safety auditor to
conduct safety audit
Safety Review Officer - means a person
who appointed to conduct safety review
F&IU (Safety Management) Regulation
Duty of Registered Safety Auditor:
Submit audit report within 28 days to
Proprietor or Contractor
Keep copy of report at least 5 years
Submit copy of report to Commissioner
within 21 days upon written request
Give audit plan to the Commissioner not
less than 14 days before the audit
F&IU (Safety Management) Regulation
Duty of Safety Review Officer:
Submit safety review report within 28
days to Proprietor or Contractor
Keep copy of report at least 3 years
Submit copy of report to Commissioner
within 21 days upon written request
Registration Information of Registered
Safety Auditor
Registration Information
Up to end of December 2008, Over
1,500 persons have been registered as
Registered Safety Auditor by Labour
Department.
F&IU (Safety Management) Regulation
How to be Registered Safety Auditor?
RSO under F&IU (SO & SS) Reg.
3 years Managerial Post within 5 years
Recognised/Registered Course by L.D.
e.g. PolyU, CityU, CITA, NOSA, DNV. And
etc.
Understand Hong Kong Safety Legislation
F&IU (Safety Management) Regulation
How to be Safety Review Officer?
Theoretical and Practical Training to
ensure a person competency for
conducting safety review efficiently &
effectively.
Requirement of Safety Audit or Review
F&IU (Safety Management) Regulation
Penalty
– Proprietor or Contractor fails his duties -
HK$200,000 & Imprisonment for 6 months
– Registered Safety Auditor fails his duties -
HK$100,000 & Imprisonment for 3 months
– Safety Review Officer fails his duties - HK$100,000
& Imprisonment for 3 months
– Scheme Operator fails his duties - HK$50,000
– Any person obstructs for assessing - HK$50,000
Question
Safety Management Models
BS8800 – 5 Key Management Principles:
Policy
Organisation
Planning & Implementing
Measuring Performance
Audit & Reviewing Performance
The Key Elements of the HS(G) 65 Model
Safety Management Models
BS EN ISO 14001-International
Organisation for Standardization:
Initial Status Review
Occupational Health & Safety Policy
Planning
Implementation and Operation
Checking & Corrective Action
Management Review
Continual Improvement
The Key Elements of the ISO 14001
Model
Safety Management Models
Continuous Improvement Model-NSC
1994:
Management Commitment and Involvement
Establish a Baseline
Set Goals
Implement Strategies
Review and Adjust
The Continuous Improvement Model of
National Safety Council
AS/NZS4804-1997
Commitment
Policy
Planning
Implementation
Measurement and evaluation
Management review and improvement
The OHSMS Model of AS/NZS 4804:1997
Labour Department Safety
Management Model
Planning
Developing
Organising
Implementing
Measuring
Auditing / Reviewing
Safety Management Model in HK
5 Principles Vs 14 Elements
“A Guide to Safety Management”, it lists
the essential principles of a safety
management system, and it is not
statutory requirements.
The 14 elements listed in the Factories
and Industrial Undertaking (Safety
Management) Regulation are statutory
requirements.
Safety Management Models
Useful Site Address:
http://www/ilo.org/public/english/protection
/safework/cis/managmnt/ioha/index.htm#
top
Case Study
What is the Similarities and
Difference of Safety
Management Systems?
Similarities and Difference of Safety
Management Systems
Management Initial Statue Goal / Organizing / Operating / Checking / Audit / Continuous
Involvement / Review Policy Planning Implementing Measurement Review Improvement
Commitment
BS8800
HS(G)65
BS EN ISO
14001
NSC 1994
AS/NZS
4804
Hong
Kong’s
Model
Similarities and Difference of Safety
Management Systems
Management Initial Statue Goal / Organizing / Operating / Checking / Audit / Continuous
Involvement / Review Policy Planning Implementing Measurement Review Improvement
Commitment
BS8800 * * * * *
HS(G)65 * * * * * *
BS EN ISO * * * * * * *
14001
NSC 1994 * * * *
AS/NZS * * * * * * *
4804
Hong * * * *
Kong’s
Model
Question
What is the Safety Plan?
Development Bureau (previously named Works
Bureau, then Environment, Transport and Works
Bureau) defined a “Safety Plan” to mean the plan
submitted by the Contractor to the Architect or
Engineer in accordance with the Special Condition
of Contract which includes the policies and
detailed procedures and requirements which,
when implemented, will achieve compliance with
the Contractor’s safety and health obligations and
responsibilities under the Contract.
Requirements in Safety Plan?
– The Contractor’s Safety Plan shall describe in
detail:
What the works entail?
How the Contractor will undertake the operations?
What measures the Contractor will take to prevent
exposure to any health or safety risk?
What is required to ensure safe working conditions
(safety procedures)?
How those safe conditions will be achieved (method
statements)?
Requirements in Safety Plan?
– Risk assessment will form the basis of all
monitoring activities undertaken by the
Architect/Engineer.
– Safety Plan should include 14 elements of
Safety Management System
Contractual Requirement of Safety
Plan?
Principal contractors often have a general
Safety and Health Plan on hand for various
projects.
After the preparation and submission of the
Plan, there is insufficient follow up action to
monitor the implementation of the plan
because of a shortage of human resources
and a lack of safety awareness.
What should be included in
Safety Plan?
A Safety Plan should be developed to be a
part of the tender documentation and it :
includes risk assessments prepared by the
contractors
incorporates the approach to be adopted for
managing health and safety by everyone involved
in the construction phase
incorporates common but necessary
arrangements (including emergency procedures
and welfare facilities)
What should be included in
Safety Plan?
includes arrangements for fulfilling the principal
contractor’s duties
includes arrangements for monitoring compliance
with health and safety laws
includes, where appropriate, rules for the
management of the work for health and safety
which can be modified as work proceeds
according to the experience and information
received from the contractors
Safety Management System
Peterson, D., 1978, Techniques of Safety
Management “ Accidents, Unsafe Acts,
Unsafe Conditions: are all symptoms that
something is wrong with the SMS.”
Main Elements of Safety Management
Safety Policy - Contractor’s commitment to
safety and health at work
Safety Organization - Contractor’s structure
to assure implementation of the commitment
to safety and health at work
Safety Training - Training to Contractor’s
personnel with knowledge to work safely and
without risk to health
Main Elements of Safety Management
In House Safety Rules - Contractor’s
instruction & arrangements for
achieving safety management
objectives
Safety Inspection Programme -
Contractor’s workplace inspection
programme to identify hazardous
conditions and for the rectification of
any such conditions at regular intervals
Main Elements of Safety Management
Personal Protective Equipment
Programme - Contractor’s programme
to identify hazardous exposure or the
risk of such exposure to the workers and
to ensure the use of suitable personal
protective equipment as a last resort
when engineering control methods are
not feasible
Main Elements of Safety Management
Accident & Incident Investigation -
Investigation of accidents or incidents
to find out the cause of any accident or
incident and to develop prompt
arrangements to prevent recurrence
Emergency Preparedness -
Contractor’s preparedness in
development, communication and
execution against emergency situations
Main Elements of Safety Management
Evaluation, Selection and Control of
Subcontractor - Contractor’s
management system to evaluate, select
and control subcontractors for the
safety awareness and obligations
Safety Committees - Discussion,
communication and feedback of safety
and health matters
Main Elements of Safety Management
Evaluation of Job Related Hazards -
Identification, evaluation and control of
related hazards or potential hazards by
Contractor
Safety promotion - Contractor’s
programme to develop, promote and
maintain safety and health awareness in
workplace
Main Elements of Safety Management
Process Control Programme -
Contractor’s programme for protecting
workers from hazards and accident
Occupational Health Programme -
Contractor’s programme to protect
workers from occupational health
hazards
OHS Policies and
Procedures
Commitment
What is the policy?
A safety Policy is the Commitment of the
Proprietor or Contractor to Safety at Work
What should be included in the
policy?
Top Management Commitment:
Provide a Safe Working Environment
Achieve Higher Standard
Set Safety Target
Comply with Relevant Safety Requirements
What should be included in the
policy?
Top Management Commitment:
Key Responsibilities
Arrangement for Communication
Inspect by Occupational Safety Officer
How the Policy will be Reviewed and Updated
Safety Organisation
An Organisation Chart Showing the
Name & Position with Clear Authority &
Communication Lines for Safety
Performance Management
Safety Organisation Chart includes Team
Members in Different Sections and
Safety Section and Current
Subcontractors’ Safety Representatives
Safety Organisation
A Director Accountable for Leading Safety &
Health in an Organisation
Appoint Director or Senior Person for Overall
Coordination & Implemention of the Safety
Policy
Written Down an Individual Responsibility such
as Director, Project Manager, Site Agent,
Safety Personnel, Engineer, Foreman and etc.
in the Safety Plan
Also Clearly Defined the Responsibility of
Subcontractor in Safety Plan & Subcontract
Safety Organisation
Sufficient & Competent Safety Officers,
Safety Advisors, Safety Supervisors &
Safety Representatives Appointed and
Engaged in an Organisation
Arrangement to Assign Competent Person
to Keep Up-to-date Safety Information
such as Notice Board, Safety Handbook
& etc.
Safety Training
The five elements of training:
decide if training is necessary;
identify training needs;
identify training objectives and
methods;
deliver training;
evaluate effectiveness.
Safety Training
Training Plan Includes the Information of
Type of Training, Training Syllabus, Targeted
Attendees, Trainer, Tentative Date & Training
Venue
Green Card Training in May 2001
Attend Safety Induction Training
Safety Training
Safety Management Training
Supervisory Training
Specific Training for High Risk
Safety Working Cycle Training
Training Summary
In-house Safety Rules
Survey Identify Safety Working Procedure
Safety Working Rule Specify in Safety
Plan
General & Specific Safety Rules Displayed
in the Workplace
Disciplinary Action to Comply Rule
Regular Review Safety Rules
Safety Inspection Programme
Prepare Inspection Checklist
Senior Management Inspection, Weekly
Safety Walk, Pre Site Safety Committee
Inspection, SO & SS Regular Inspection
Follow-up Action Taken
Inspection Statistics & Discuss in SSC
Regular Internal Safety Audit
Personal Protective Equipment
Programme
Arrangement for Selection & Procurement of
PPE
Sufficient Stock of PPE
Issuing & Replacement of PPE to workers
Personal Protective Equipment
Programme
Training & Instruction for Proper Use of PPE
Provision of Store Area for PPE
Monitor Subcontractor’s PPE Brought into Site
Accident & Incident
Investigation
Avoid Recurrence
What is Accident/Incident
Dangerous Occurrence/Near Miss?
Accident - Personal Injured
Incident - Property Damaged
Dangerous Occurrence - Collapse of
Crane, Fire and etc.
Near Miss - No Human Injure &
Property Damage
Accident & incident Investigation
Accident Investigation & Reporting
Procedures in Safety Plan
Conduct Accident Investigation Report to
Prevent Recurrence of Accident
Set up Accident Investigation Panel
Conduct Accident Analysis
Examples of Poor Applications
of System Safety
Pipe Alpha (UK) 1974 - offshore oil platform fire
(PTW system failure)
– 167 fatalities
King’s Cross underground railway station fire
(London) 1987 - fire broken out
– 31 fatalities
Examples of Poor Applications
of System Safety
Fatalities Case in Passenger Hoist
–12 fatalities in North Point 1993
Emergency Preparedness
Establish the Emergency Programme
Set up Emergency Team – Appoint
Emergency Coordinator & Deputy
Display Emergency Contact Telephone
List
Emergency Preparedness
Emergency Drills conduct Every Six
Months Interval & Prepare Report
Demonstration of use of Fire
Extinguishers
Appointment of Sufficient First Aiders
Evaluation, Selection & Control
of Subcontractor
Evaluation, Selection & Control Subcontractor:
Pre-award & Pre-work Meeting
Evaluation of Subcontractor
Selection of Subcontractor
Evaluation, Selection & Control
of Subcontractor
Evaluation, Selection & Control Subcontractor:
Assessment of Subcontractor
Penalty/Award of Subcontractor
Control Subcontractor Through Inspection
Safety Committees
Safety Committees
Company Safety Management
Committee
Safety Policy Review Meeting
Safety Committees
Safety Committees
Site Safety Management Committee
Site Safety Committee
Ensure Two-way Communication
Minutes Record all Information
Evaluation of Job Related Hazards
Method Statement versus Risk
Assessment
Survey of all Anticipated Activities
Conduct Risk Assessment
Conduct Method Statement
Think?
SIMPLE RISK ASSESSMENT
H PROBABILITY L
H SEVERITY L
Safety Promotion
Safety Promotion
Publish Safety Bulletin
Erect Notice Board
Post Safety Sign & Poster
Select Site Safety Model Worker
Award Best Subcontractor
Erect Accident Statistics Board
Process Control Programme
Process Control Programme
Programme for Accident Control &
Elimination of Hazards in order to
Protect Workers
Maslow’s Hierarchy of Individual Needs
1.Physio- 2. Safety 3. Social 4. Self- 5. Self-
logical (Emotional (Group esteem realisation
(Basic) & physical ) affinity) (Ego) (Fulfilment,
maturity,
wisdom)
Belonging
Food Security Self-respect Growth
to group(s)
Personal
Drink Protection Social Status development
from danger activities
Sleep Recognition Accomplishment
Love
Sex
Friendship
Continuing Nature of the Management Effort
The “Site Safety Cycle” (SSC) scheme
implemented by Works Bureau is a good
example in explaining this. SSC, modelled on
the basis of “Safety Working Cycle” in Japan,
was introduced to the voluntary contractors
of government projects by Works Bureau in
September 2000 (Works Bureau Technical
Circular No. 28/2000 - Trial Implementation
of Site Safety Cycle).
Continuing Nature of the Management Effort
The activities of SSC are now modified to suit
for local industry under the Pay for Safety
Scheme and classified into three categories;
they include Daily Cycle, Weekly Cycle and
Monthly Cycle (Environmental, Transport and
Works Bureau Technical Circular No. 30/2002
in July 2002 – Implementation of Site Safety
Cycle and Provision of Welfare Facilities for
Workers at Construction Sites).
Implementation of Site Safety Cycle
Daily Cycle
Pre-work Exercise and Safety (PES) meeting;
Hazard Identification Activity (HIA) meeting;
Pre-work Safety Checks (PSC);
Safety inspection by Site Agent or his/her
representative;
Guidance and supervision during work;
Safety co-ordination meeting;
Daily cleaning and tidying up of the Site;
Checking of the Site after each day’s work
Implementation of Site Safety Cycle
Weekly Cycle
Site Safety Walk by Site Agent and
Safety Officer in company with
Architect/Engineer’s Representative;
Weekly co-ordination meeting with Site
Agent and the Architect/Engineer’s
Representative;
Weekly overall cleaning and tidying up
of the Site
Implementation of Site Safety Cycle
Monthly Cycle
Site Safety Management Committee
meeting (including pre-meeting
inspection); and
Site Safety Committee meeting.
Site Safety Cycle
Challenge to Basis of HK Construction Industry
HK method combines self regulation and legislation
– does not work
5 weakest areas in process control programme match
3 most common reasons for accidents
Audits taken from Public Works projects and “pay
for safety” scheme. Even worse if paid by contractors
Safety budget often used for profits
Self regulation policed by Trade Union: weak in HK
Legislation – does not suit organic nature of
construction industry
Development of Safety Management
System
The legislation aims to foster self-regulation and
enhance co-operation between employers
and employees. Proprietors of specific
industrial undertakings and construction
contractors of construction sites are required
to implement safety management systems
and conduct safety audits or safety reviews.
This idea has come into operation with the
introduction of the Factories and Industrial
Undertaking (Safety Management) Regulation
in April 2002.
Development of Safety Management
System
Legislation can only be written in vague terms
(the performance-based terms) that attempts
to cover virtually all situations, this then
creates another problem, the problem of
interpretation, for contractors and
proprietors.
Create the problem for interpretation and
discretion, and therefore, leads to loopholes
in the legislation. Also, legislation is written in
a format that is not so user-friendly to
layman, and so contractors can use it as an
excuse to escape from the legal liabilities.
Challenge to Hong Kong’s Safety
Management System
Current approach relies on legislation and
self-regulation
Appropriate or not ?
Challenge to Hong Kong’s Safety
Management System
Organic Organization Wilson (1989)
Legislative approach in accident prevention is
more suited to mechanistic organizations than
to organic types
Mechanistic organizations are designed to suit
relatively stable environments whilst organic
types are best suited to unstable ones.
Organisation Theory
Tom Burns
The construction project team could be
described as an organic organisation. Organic
organisations tend to have no firmly set
procedures or rules of conduct laid down,
greater scope in decision making roles and
the use of discretion by the workforce, non-
standardization of operations and are
organisations which can react rapidly to
changes in the environment.
Organisation Theory
Mechanistic organisations, the opposite
of organic organisations, do not need
such devices as their procedures and
rules are clearly set down and, when
used in a stable environment function
quite automatically.
Implementation of Self-regulation
Legislative control is not suitable for
organic organization like the
construction industry.
Self-regulation does not work before
the safety culture in Hong Kong has not
yet been mature enough to handle the
system.
5 Key Points for Successful SMS
Participation
Partnering &
Commitment
Successful SMS
Responsibilities
&
Accountability
Resources
Conclusion
Five keys for successful health and safety
management:
Development of partnering amongst the
government, developers, training authorities,
contractors, safety professionals and workforce;
Participation and commitment;
Clear responsibilities and accountability;
Appropriate resources allocation to safety and
health; and
Effectiveness and efficiency of consultation from
employees and Labour Union.
Case Study
Comparison of Conducting Safety Audit
between Private & Government
Project?
Safety Audit
Management tools to identify the
strengths & weaknesses of SMS
– Independent Safety Audit - Government
Contracts in every 3 months by Accredited
Safety Auditor
– F & IU Safety Audit - Government & Private
Contracts over 1 billion or 100 Workers
conduct 14 elements, less than 1 billion &
50-99 Workers conduct 8 elements
Effective Safety Management
System
The Steve & Raglan Model 2006 (Mah-jong Theory)
Safety Job
Safety Safety In-house Safety Safety
Policy Hazard
Organisation
Training Rules Committee Inspection
Analysis
Failure one Domino can lead to failure of the whole system
Personal Accident/ Health Evaluation, Process
Emergency Safety Selection &
Protective Incident Assurance Control
Investigation
Preparedness Promotion Control of
Equipment Program Subcontractor Program
Question
Thank You