Howarth S PDF

University of Western Sydney
in conjunction with
The Hong Kong Polytechnic University
Crane safety management:

enhancing compliance through
regular inspections.
By
John Stephen Howarth

A report submitted as partial fulfillment of the requirements for
Master Of Applied Science (Safety Management)
December, 2001
DECLARATION OF ORIGINALITY
The following work has been completed by the author, as coursework research
project report in the Master of Applied Science (Safety Management) at the
University of Western Sydney, Hawkesbury in conjunction with The Hong Kong
Polytechnic University, under the supervision of Mr. Patrick Poon.
I hereby declare that this submission is my own work and that, to the best of my
knowledge and belief, it contains no material that has previously been published
or written by another person nor material which to a substantial extent has been
accepted for the award of any other degree or diploma of the University or other
institute of higher learning, except where due acknowledgement has been made
in the text.
_______________________
John Stephen Howarth
ii
ACKNOWLEDGEMENTS
I would like to express my thanks to Emelyn for her support and forbearance
that allowed me total commitment in the project. I shall make up for the time of
neglect, upon completion of this project.
The helpful, yet firm approach in guiding me through various stages of the
project from my supervisor, Mr. Patrick Poon, is greatly appreciated. Without
his encouragement and guidance, I would have embarked on topic of a much
less meaningful and challenging nature.
Last, but not the least, I wish to thank all my staff, especially Teresa, Rocky and
Dennis, who have persevered through my bouts of depression, lack of patience
and bad temper, especially around submission deadlines. They have also given
their precious time and effort in support of this research, for that I am eternally
grateful.
Thank you all.
"Imagination is more important than knowledge.

Knowledge is limited. Imagination encircles the world."
-Albert Einstein (1879-1955)
iii
ABSTRACT
Background
Moving large and heavy loads is crucial to the efficiency of todays construction
industry. With construction periods becoming condensed and fast track
projects becoming the norm, the numbers of cranes and heavy lifting equipment
is on the increase and cranes working in close proximity with one another
increases the hazards already associated. The effect of a crane toppling over
across a highway or railway could be catastrophic.
On the two Projects that the Author is working on, Project A and Project B, there
have been 10 crane accidents, fortunately these accidents resulted in 1 minor
injury only and no serious damage. But since the Authors projects are railway
construction projects and most of the construction sites are located adjacent to
operating railways, highways, schools and public areas with a high volume of
pedestrian and vehicle traffic, the potential for injury and damage is enormous.
A number of accidents and incidents associated with cranes occur every year in
Hong Kong and in the rest of the world. According to Surudas research, more
than 500 US construction workers died on construction sites between 1984 to
1994 as a result of accidents involving cranes (Suruda 2000).
This project was written following a survey by the Hong Kong Labour
Department of a number of cranes on the Authors projects. The results showed
that over 30% of the cranes surveyed, failed to fully comply with the statutory
requirements. A situation which could not be tolerated and action had to be
taken to redress the situation.
A team of interested and affected staff were brought together to develop an
action plan and identify suitable measures to improve the statutory compliance.
iv
The Research
It was decided that a situation improvement and iterative evaluation (based on
Lewins action research cycle) style of action plan was required to ensure that
the measures proposed were workable, practicable, comprehensive and
effective. The plan and aim was to develop and implement a monitoring
enforcing system, on the two large scale railway construction projects, to ensure
cranes working on site comply with legal requirement. The hypothesis for the
project was Non-compliance to statutory requirements will decrease upon the
implementation of the inspection regime.
A team of safety officers (Surveyors) was invited to participate in the research
and meetings were held to develop an inspection checklist for the cranes to
ensure that the statutory requirements are being complied.
Six action research cycles were completed during the research. Within each
cycle, all the cranes on the site, including lorry mounted cranes delivering
goods, were inspected by the Surveyors according to the checklist. The result of
the inspections were collected and analysed. The Surveyors were invited to
review the actions which were implemented, recommendations for improvement
were collected and where appropriate, incorporated into the actions for the next
action research cycle.
During these 6 action research cycles, 2064 cranes were inspected. With a final
cumulative non-compliance rate for Project A of 5.71% a reduction of 6.61%
from the first action research cycle. Project B final cumulative non-compliance
rate was 7.14% a reduction of 9.43% from the highest cycle surveyed. The
table below shows the cumulative and monthly survey results for both projects.
Table : Summary Percentage Non-compliance Rates for the 2 Projects
Conclusion
The results from the surveys were analysed and the results showed a decline in
the cumulative and monthly non-conformance rates for both projects. These
findings suggest that the inspection regime is effective in reducing the rate of
non-compliance to statutory requirements. The detailed findings from the
surveys are discussed in the main report.
It is concluded that the hypothesis is factual and the Author and the Surveyors
are of the opinion, that it is worthwhile continuing the surveys as part of the
routine inspection regime to ensure compliance to the required statutory
standards for the cranes on site.
vi
However, to ensure that there is continued improvement and compliance to the

required standards, the overall crane safety management system of the
Contractors needs to be reviewed and revised. The surveys prompted a
response by the Contractors to a situation identified by an outside organization.
The Contractors own monitoring and inspection regime should have identified
these deficiencies. In addition, the underlying question is why, after being
trained and tested in the statutory requirements during their crane operators
courses, did the operators continue using a machine which was not compliant.
This points to human error and human behavior and is an issue out of the scope
of this report, but should be included in further studies.
vii
TABLE OF CONTENTS
Page
DECLARATION OF ORIGINALITY
ii
ACKNOWLEDGEMENTS
iii
ABSTRACT
iv
TABLE OF CONTENTS
viii
GLOSSARY OF TERMS
xxi
CHAPTER 1
1.
INTRODUCTION
1.1
Construction Industry Performance General
1.2
Construction Industry Performance Lifting Appliances
CHAPTER 2
12
2.
OBJECTIVES AND SCOPE OF THE RESEARCH
12
2.1
Scope of The Research
12
2.2
Objectives of The Research
13
CHAPTER 3
14
3.
LITERATURE REVIEW
14
3.1
Summary Findings
14
viii
TABLE OF CONTENTS (Contd)
Page
3.2
Legislation General
16
3.3
Hong Kong Legislation Cranes and Lifting Appliances
18
3.3.1
19
Form 1. Report of Results of Weekly Inspection of

Lifting Appliances
3.3.2
Form 2. Certificate of Test and Thorough Examination
19
of Anchoring or Ballasting of Cranes

3.3.3
19
of Cranes, Crabs and Winches

3.3.4
20
of Lifting Appliances (Except Cranes, Crabs and Winches)

3.3.5
Form 5. Lifting Appliances Certificate of Thorough
20
Examination in the Preceding Twelve Months
3.4
3.3.6
ASLI not Fitted or not Functioning Properly
20
3.3.7
Obstructed View
21
3.3.8
Safe Working Loading Markings
21
3.3.9
Jib Angle Indicator
21
3.3.10
Anti-collision Device
21
3.3.11
Over Hoist Limit Switch
21
3.3.12
Safety Latch Fitted on the Hook
22
Brief Summary of Other Countries Crane and Lifting Appliance
22
Legislation
3.4.1
The Peoples Republic of China
22
3.4.2
Macau
23
3.4.3
United Kingdom
23
ix
3.5
Page
3.4.4
Singapore
23
3.4.5
Canada
24
3.4.6
Australia
24
3.4.7
New Zealand
25
3.4.8
Taiwan
25
3.4.9
Ireland
25
3.4.10
Bangladesh
26
3.4.11
Fiji
26
3.4.12
India
26
3.4.13
Indonesia
26
3.4.14
Republic of Korea
27
3.4.15
The Philippines
27
3.4.16
Papua New Guinea
27
3.4.17
Sri Lanka
27
3.4.18
Solomon Islands
28
3.4.19
United State of America
28
Comparison of Other Countries Lifting Appliance Legislation
29
With Hong Kong

3.6
Safety Management
36
3.7
Risk Perception
38
3.8
Human Behavior
41
3.9
Senior Management Role
42
3.10
The Supervisors Role
44
CHAPTER 4
46
4.
46
HYPOTHESIS
Page
CHAPTER 5
47
5.
RESEARCH METHODOLOGY AND FRAMEWORK
47
5.1
Participatory Action Research
51
5.2
Research Process
54
CHAPTER 6
56
6.
THE INSPECTION FORM DEVELOPMENT PROCESS
56
6.1
Cycle One
56
6.1.1
Review
56
6.1.2
Plan
56
6.1.3
Act
57
6.2
6.3
Cycle Two
57
6.2.1
Review
57
6.2.2
Plan
59
6.2.3
Act
59
Cycle Three
60
6.3.1
Review
60
6.3.2
Plan
61
6.3.3
Act
62
xi
6.4
6.5
6.6
Page
Cycle Four
62
6.4.1
Review
62
6.4.2
Plan
63
6.4.3
Act
63
Cycle Five
63
6.5.1
Review
63
6.5.2
Plan
65
6.5.3
Act
65
Cycle Six
65
6.6.1
Review
65
6.6.2
Plan
67
6.6.3
Act
67
CHAPTER 7
68
7.
ANALYSIS OF THE DATA GATHERED FROM THE SURVEYS
68
7.1
Overall Percentage Non-compliance to
71
Statutory Requirements
7.2
Form 1 Percentage Non-compliance
73
7.3
74
7.4
75
7.5
76
7.6
77
xii
7.7
ASLI Fitted and Functioning Correctly, Percentage
Page
78
Non-compliance
7.8
Over Hoist Limit Switch Fitted and Functioning Correctly,
79
Percentage Non-compliance
7.9
Safety Latch Fitted on the Hook, Percentage Non-compliance
80
7.10
Un-obstructed View, Percentage Non-compliance
81
7.11
SWL Marking on Jib, Percentage Non-compliance
82
7.12
Jib Angle Indicator Fitted, Percentage Non-compliance
83
7.13
Anti-collision Device Fitted and Functioning Correctly,
84
7.14
Summary of the Survey by Item
85
CHAPTER 8
87
8.
CONCLUSIONS AND RECOMMENDATIONS
87
8.1
Conclusions
87
8.2
Recommendations
89
8.3
Suggestion for Further Study
90
CHAPTER 9
91
9.
91
REFERENCES
CHAPTER 10
97
10.
97
BIBLIOGRAPHY
xiii
APPENDICES
1.
APPENDIX 1 - INITIAL INSPECTION CHECKLIST
2.
APPENDIX 2 - REVISED INSPECTION CHECKLIST
3.
APPENDIX 3 - INSPECTION LABEL
4.
APPENDIX 4 - EXAMPLES OF THE COMPLETED INSPECTION

CHECKLIST
5.
APPENDIX 5 - HKRC SAFETY PROCEDURE
xiv
LIST OF TABLES
TABLE TITLE
Page
Table 1
Types of Fatalities Involving Cranes in the

U.S. Construction Industry 1984 -1994 (OSHA)
Table 2
Major Root Causes of Hoisting and Rigging

Incidents (US Department of Energy, 1996)
Table 3
Root Cause of Hoisting and Rigging Incidents

(US Department of Energy, 1996)
10
Table 4
Comparison of Other Countries Lifting Appliance

Legislation With Hong Kong
29
Table 5
Relative Magnitude of Everyday Risks

(Hong Kong Annual Digest of Statistics, 1996)
39
xv
LIST OF CHARTS
CHART TITLE
Page
Chart 1
Number of Construction Sites and Value of Work

(Hong Kong Construction Site Safety Management)
Chart 2
Industrial Accidents in the Construction Industry

Hong Kong (1990 -1999)
Chart 3
Industrial Accidents in Hong Kong Major Industries

(1990 -1999)
Chart 4
Summary of the Percentage Non-compliance
49
Chart 5
Result of the 1st Survey
58
Chart 6
Result of the 2nd Survey
60
Chart 7
Result of the 3rd Survey
62
Chart 8
Result of the 4th Survey
64
Chart 9
66
Chart 10
67
xvi
CHART TITLE
Page
Chart 11
Number of Lifting Appliances Inspected
68
Chart 12
Numbers and Types of Cranes Inspected by Project
70
Chart 13
Overall Percentage Non-compliance
71
Chart 14
73
Chart 15
74
Chart 16
75
Chart 17
76
Chart 18
77
Chart 19
ASLI Fitted and Functioning Correctly,

78
Chart 20
Over Hoist Limit Switch Fitted and Functioning

Correctly, Percentage Non-compliance
79
Chart 21
Safety Latch Fitted on the Hook,

80
Chart 22
Un-obstructed View, Percentage Non-compliance
81
xvii
CHART TITLE
Page
Chart 23
SWL Marking on Jib, Percentage Non-compliance
82
Chart 24
Jib Angle Indicator Fitted, Percentage Non-compliance
83
Chart 25
Anti-collision Device Fitted and Functioning

Correctly, Percentage Non-compliance
84
Chart 26
Summary of Item Percentage Non-compliance

by Project
85
Chart 27
Summary of Item Percentage Non-compliance,

as a Cumulative of the 2 Projects
86
xviii
LIST OF PHOTOS
PHOTO TITLE
Page
Photo 1
Example of a Crane Incident

in the U.S.
Photo 2

in the U.S.
Photo 3

on the Authors Project
11
xix
LIST OF FIGURES
FIGURE TITLE
Page
Figure 1
HS(G) 65
38
Figure 2
Lewins Cyclic Model
51
Figure 3
Research Cycle
53
xx
GLOSSARY OF TERMS
The following terms are extracted from the Factories and Industrial
Undertakings (Lifting Appliances and Lifting Gear) Regulations, 1997 and give
explanations as to the terminology included in the Regulations and used in the
inspection form.
Automatic safe load indicator (ASLI)
A device fitted to a crane that automatically gives an audible and visible warning
to the operator thereof that the crane is approaching its safe working load and
that automatically gives a further audible and visible warning when the crane
has exceeded its safe working load.
Competent examiner
A person who is(a)
appointed by the owner required by these regulations to ensure that the

tests and examinations ire carried out;
(b)
a registered professional engineer registered under the Engineers

Registration Ordinance (Cap 409) within a relevant discipline specified by
the Commissioner, and
(c)
by reason of his qualifications, training and experience, competent to carry

out the test and examination.
Competent person
A person who is(a)
appointed by the owner required by these regulations to ensure that the

duty is carried out by a competent person, and
xxi
(b)
by reason of training and practical experience, competent to perform the

duty.
Construction site
A place where construction work is undertaken and includes any area in the
immediate vicinity which is used for the storage of materials or plant used or
intended to be used for the purpose of the construction work.
Crane
Any appliance equipped with mechanical means of raising and lowering a load
and for transporting the load while suspended.
Lifting appliance
A crane, crab, winch, teagle, pulley block or gin wheel used for raising or
lowering, and a crane, sheerlegs, excavator, pile driver, pile extractor, dragline,
aerial ropeway, aerial cableway transporter or overhead runway, and also any
part of any such appliance.
Lifting gear
A chain sling, rope sling, ring or similar gear, and a link, hook, plate clamp,
shackle, swivel or eyebolt.
Owner
In relation to any lifting appliance or lifting gear, includes the lessee or hirer
thereof, and any overseer, foreman, agent or person in charge or having the
control or management of the lifting appliance or lifting gear and, in the case of
a lifting appliance situated on or used in connection with work on a construction
site, also includes the contractor responsible for the construction site.
xxii
Safe working load (SWL)

Means the appropriate safe working load for operating the lifting appliance as
specified in the current certificate of test and thorough examination delivered in
the approved form by a competent examiner in respect of that lifting appliance
or lifting gear for the purposes of these regulations.
xxiii
J.S. Howarth
CHAPTER 1
1.
Introduction
Hong Kong is one of the most densely populated areas in the world, with a
population growth forecast to rise to more than 8 million in 2011 (Territorial
Development Strategy Review, 1998). The North West New Territories is
experiencing a rapid population growth and is projected to grow by about 70%
by 2011, to 1.4 million.
To meet the needs of Hong Kongs highly mobile population, the Government
has developed a long-term transport strategy, with railways being the preferred
passenger transport system (The Second Railway Development Study, 2000).
This development strategy requires large scale construction projects which in
turn, requires an extensive amount of labour, plant, cranes and equipment over
a prolonged period. Inherent with any construction project, large or small, is the
risk of injury to the workforce, members or the public and damage to equipment
or property.
The use of cranes and lifting appliances is a fundamental part of any
construction project and moving large, heavy loads is crucial in today's
construction industries. Much technology and safety measures have been
developed for these operations, including strict statutory requirements, safe
work procedures, operator training and extensive workplace precautions. But
there are still significant safety issues to be considered, both for the operators of
the diverse lifting devices and for workers in proximity to them.
In the UK, according to the HSEs Health and Safety Statistics for 1999/2000,
out of the 10,002 dangerous occurrences reported in the construction industry,
25% were for a failure of lifting appliances. In addition, in 1999 there were 1,089
failures, collapse or overturning of cranes or pile driving frames. In 1999 the
Page 1 of 98
J.S. Howarth
HSE issued 175 Improvement Notices and 92 Prohibition Notices under the
Lifting Operations and Lifting Equipment Regulations 1998, with total fines of
GBP21,400.
1.1
Construction Industry Performance - General
Occupational injuries and illnesses impose an enormous burden on society.

Their immediate result, the pain and suffering experienced by workers and their
families, is sufficient reason in itself to promulgate an effective safety
management system. However, the effects of occupational injuries and
illnesses of all kinds, extend far beyond their immediate, short-term impacts.
Loss of self-esteem, disruption of family life and feelings of anger and
helplessness are the frequent consequences of any disabling occupational
illness or injury.
The US National Safety Council, (Report on Injuries in America, 1999), reported
that in 1998, 3.8 million American workers suffered from disabling injuries on
the job and work injuries cost Americans US$125.1 billion, equivalent to nearly
triple the combined profits reported by the senior 5 Fortune 500 companies in
1998. The report stated that there is a fatal injury at work every 103 minutes
and a disabling injury every 8 seconds. In 1992, according to the Annual
European Bureau of Labour Statistics data (1999), the lost-workday case rate
for the construction industry in Europe was 57 per 1000 full-time workers, the
highest of any major economic sector.
The UK Health and Safety Executive (HSE) conducted a study (1997) on costs
of accidents based on the cost iceberg theory of Heinrich (1931). The survey
concluded that uninsured costs were between 8 and 36 times the insurance
premium paid for the industries being studied. The same study also found that
the total cost of accidents for a construction site amounts to 8.5 % of the
contract tender price. The HSE reported in their Health and Safety Statistics
Report for 1999/2000, that for the construction industry a substantial rise of 9%
in the number of reported over-3-day injuries to 10,013 with 781,000 man-days
Page 2 of 98
J.S. Howarth
being lost, compared with 9,195 in 1998/99. This is the highest figure since the
introduction of RIDDOR 95. The number of fatal injuries was 59, the highest
number since 1996/97, when 66 fatalities were recorded.
In recent years the Hong Kong construction industry has become one the most
important industries in Hong Kong and one of the major supporters of the Hong
Kong economy. According to the Report of the Construction Industry Review
Committee (2001), in 1999, the construction industry accounted for 5.6% of the
GDP and 40% of gross domestic fixed capital formation. With 9.2% of the
workforce being employed by the construction industry in that year. Chart 1
below, illustrates the number of construction sites and the value of construction
work for the Hong Kong construction industry from 1986 to 1995.
50
45
40
35
30
25
20
15
10
5
0
1500
No. of
1400
Construction 1300
Sites
1200
1100
1000
HK $b
1986 1987 1988 1989 1990 1991 1992 1993 1994 1995
No. of Construction Sites
Value of construction work (HK$b)
Chart 1: Number of Construction Sites and Value of Work

(Hong Kong Construction Site Safety Management)
Previously,
construction
activities
were
primarily
focused
on
property
development but with the downturn in the property market and the construction
of major projects such as the projects for the Kowloon-Canton Railway
Corporation and Mass Transit Railway Corporation, with a combined
expenditure of approximately HK$130billion, civil construction projects are now
Page 3 of 98
J.S. Howarth
the major employers with over 25,000 workers. This trend is expected to
continue over the next 5-6 years with the further development of infrastructure.
Although injury and fatality rates in the Hong Kong Construction Industry have
declined significantly over the past 9 years (Chart 2 below), accident rates are
still high. According to the accident statistics provided by the Hong Kong Labour
Department (1999) there were 16,469 reportable accidents and 51 fatalities on
construction sites in 1999. Despite the construction industry employing only
10% of the work population, the industry accidents accounted for 41% of the
total occupational accidents in Hong Kong.
30000
400
Number of Accident
300
20000
250
15000
200
150
10000
100
5000
No. of Accident
Acc. Rate/1000 Workers
350
25000
50
0
1990 1991 1992 1993 1994 1995 1996 1997 1998 1999
Chart 2 : Industrial Accidents in the

Construction Industry Hong Kong (1990 - 1999)
Construction workers are exposed to a wider variety of hazards and face a
greater risk of work-related injury or fatality than employees in any other
industry. In Hong Kong the number of accidents per 1000 workers has been
repeatedly higher in the construction industry (Chart 3 below) than in other
industries and for 1999, the rate was 200 per 1000 workers, 10 times higher
than the manufacturing industry.
Page 4 of 98
J.S. Howarth
30000
400
350
25000
Number of Accident
250
15000
200
150
10000
300
20000
100
5000
50
0
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
No. of Accident
Construction Industy
Catering Industry
Manufacturing Industry
Acc. Rate/1000
W k
Construction Industy
Catering Industry
Manufacturing Industry
Chart 3 : Industrial Accidents in

Hong Kong Major Industries (1990 - 1999)
Since the start in 1998, the Authors projects have accumulated 55milion manhours worked, had 574 reportable accidents, 1 fatality and 10 crane and piling
rig incidents, resulting in 7,643 lost working days. The majority of the accidents
have been minor, with finger injuries being the most prevalent.
1.2
Construction Industry Performance - Lifting Appliances
The type and number of injuries related to lifting appliances are difficult to
quantify, because reported statistics on work-related injuries usually group lifting
appliances in larger categories such as "industrial vehicles and equipment" or
"equipment and machinery". According to the Bureau of Labor Statistics (BLS),
the category "industrial vehicles and equipment" accounts for 17% of fatal
injuries in US construction (Bureau of Labor Statistics 1993). But the proportion
of injuries actually involving construction vehicles and equipment is probably
greater. For instance, "electrocution," "falls," and "struck by objects", all of which
might include lifting appliances and are significant sources of fatal injuries in
construction, are separate categories not included in "industrial vehicles and
equipment."
Page 5 of 98
J.S. Howarth
According to the Bureau of Labor Statistics, (1995), in the US, more than
250,000 crane operators and a very large but undetermined number of other
workers and the general public are at risk of serious and often fatal injury due to
accidents involving cranes, derricks, hoists, and hoisting accessories. There are
approximately 125,000 lifting appliances in operation today in the US
construction industry as well as an additional 80,000-100,000 in general and
maritime industries.
Photo 1. Example of a Crane Incident in the U.S.

A study of OSHA reports by Hinze and Bren (1996) found that lifting appliances
were reported to be involved in 108 (38%) of 284 fatal electrical injuries in the
construction industry that involved heavy equipment. In the UK, lifting
appliances reportedly are involved in 17% of fatal injuries in construction
(Health and Safety Executive, 1978). A study in Finland showed that about 12%
of accidents involving lifting appliances result in death or permanent disability
(Hakkinen 1978).
Page 6 of 98
J.S. Howarth
Photo 2. Example of a Crane Incident in the U.S.

More than 500 U.S. construction workers died on construction sites between
1984 to 1994 as the result of accidents involving lifting appliances (Suruda,
2000). Based on the report; U.S. Construction Industry 1984-94 (OSHA), there
were 480 separate incidents involving lifting appliances and 502 deaths.
Electrocution as the result of power line contact was the leading cause of death,
with 198 lives claimed; 58 deaths occurred during crane assembly or
dismantling. Of the 502 fatalities, 65 were lifting appliance operators; the rest
mostly were other workers on the job. Lifting appliance operators were most
likely to be killed when the crane toppled over or overturned. Twenty-three lifting
appliance operators died in such accidents, followed by 17 operator deaths as
the result of power line contact. See Table 1.
Page 7 of 98
J.S. Howarth
Class of Incident
Operator
Unknown
Worker
Total
Overloading
14
22(4%)
Hoist limitation
7(1%)
Two-blocking
10
11(2%)
Kikker hooks
3(1%)
Boom buckling
34
41(8%)
Upset/overturn
23
12
37(7%)
Control confusion
1(<1%)
Access/egress
2(<1%)
Power line contact
17
179
198(39%)
Assembly/dismantling
51
58(12%)
Rigging failure
33
36(7%)
Struck by a moving load
21
22(4%)
Related to man lifts
21
21(4%)
Working with swing

radius of cab
17
17(3%)
Other
22
23(5%)
Unknown/insufficient info.
2(<1%)
Total
65(13%)
426(85%) 11(2%)
502(100%)
Table 1: Types of Fatalities Involving Cranes in the

U.S. Construction Industry 1984-1994 (OSHA)
The US Bureau of Labor Statistics, Census of Fatal Occupational Injuries,
reported 79 fatal occupational injuries related to cranes, derricks, hoists and
hoisting accessories in 1993 (57 FR 47746, 1992). OSHA's analysis (NIOSH
1995), also identified the major causes of crane accidents to include: boom or
crane contact with energized power lines (nearly 45% of the cases), under the
hook lifting device, overturned cranes, dropped loads, boom collapse, crushing
by the counter weight, outrigger use, falls, and rigging failures. In 1992 OSHA
Page 8 of 98
J.S. Howarth
published an Advance Notice of Proposed Rulemaking (57 FR 47746, 1992)

and request for comments on crane safety in general industry and construction.
The primary areas of concern for which OSHA requested information included:
criteria for operator qualifications; the need to update the standard; the need to
update and clarify the use, inspection and maintenance of cranes, and the need
for certification or qualifications of riggers and signal persons (NIOSH 1995).
A report by the US Department of Energy (1996), stated that human error,
whether directly associated with supervisors or equipment operators, is the
principal cause of lifting incidents. Factors not related to human performance,
such as equipment failure and weather, are responsible for only 6 percent of
lifting incidents. Table 2 presents information showing that management (35
percent) and personnel errors (33 percent) collectively account for 68 percent of
all lifting incidents.
Parameter
Percentage
Management Deficiency
35%
Personnel Error
33%
Inattention to Detail
18%
Work Organization and Planning
15%
Procedure Not Used or Used Incorrectly
9%
Policy Not Adequately Defined, Disseminated,

or Enforced
8%
Table 2: Major Root Causes of Hoisting and Rigging Incidents

Further analysis shows (Table 3 below) that deficient work planning (48
percent) and inadequate definition, dissemination, and enforcement of policy
(23 percent) are responsible for two thirds of the incidents attributable to
management deficiencies. Inattention to detail (51 percent) and not following
procedures (24 percent) account for 74 percent of incidents caused by
personnel error. Furthermore, inattention to detail is the most prevalent cause of
all the incidents, accounting for about one in every five incidents.
Page 9 of 98
J.S. Howarth
Root Cause
Crane
Forklift
Other
Inattention to Detail
20%
23%
8%
Work Organization and Planning
18%
3%
27%
Procedure Not Used or Used

Incorrectly
9%
15%
0%
Policy Not Adequately Defined,

Disseminated, or Enforced
Inadequate or Defective Design
9%
10%
4%
5%
5%
19%
Defective or Inadequate Procedure
9%
5%
0%
Inadequate Administrative Control
9%
0%
4%
Defective or Failed Part
5%
5%
8%
Other Management Problem
3%
3%
12%
Other Human Error
3%
3%
0%
Inadequate Work Environment
0%
10%
0%
Lack of Procedure
2%
13%
4%
Insufficient Refresher Training
3%
3%
0%
Insufficient Practice or Hands-On

Experience
Communication Problem
5%
0%
0%
2%
3%
4%
Inadequate Supervision
0%
3%
4%
0%
3%
4%
0%
3%
0%
0%
0%
4%
Error in Equipment or Material

Selection
Weather
No Training Provided
* Rounded to the nearest whole number.

Table 3: Root Cause of Hoisting and Rigging Incidents
In Singapore in 1996, according to Wong K C., (1997) there were approximately
930 tower cranes and 5,000 mobile cranes being used in Singapore in the
construction industry. In 1997, there were 63 accidents involving mobile cranes
and tower cranes. These accidents resulted in three fatalities. For the first half
of 2001, there were 42 cases involving lifting appliances resulting in three
fatalities.
Page 10 of 98
J.S. Howarth
On the Author's projects, there have been 10 lifting appliance incidents,

resulting in 3 reportable accidents, 1 to the operator and 2 to riggers standing
close to the lifting appliances. Six of the incidents have been the failure of boom
retaining wires or bending of the boom. The other 4 have been toppling over
incidents. The last was when a piling rig toppled over and the mast fell across a
public footpath into a school playground, fortunately there were no injuries.
Photo 3. Example of a Crane Incident on the Authors Project

All the toppling incidents were due to either; overloading of the lifting appliance
or sinking into soft ground of one of the tracks during a move. These incidents
prompted the review of the safety management system for the operation and
movement of the lifting appliances.
In view of the number of crane accidents that had happened on the Authors
Projects and the potential consequences of another crane toppling accident,
where by the toppling crane may hit a train or light rail vehicle, fall onto a
highway, or a nearby hotel or building, etc., and the Author decided to introduce
vigorous action to raise the standards of the cranes being used on site to a
satisfactory level.
Page 11 of 98
J.S. Howarth
CHAPTER 2
2.
Objectives and Scope of The Research
The purpose of this research is to develop an effective and efficient monitoring

and enforcing system, for the safe management of lifting appliances on the
Authors projects in Hong Kong. The process for the development and
implementation of the monitoring system is discussed in a later chapter.
One of the projects highlighted in the Railway Study which has been previously
mentioned, is the Hong Kong Railway Corporations (HKRCs) Project A. The
project consists of a 30.4km domestic passenger line in the North West New
Territories. The line will run for 13.8km underground, 3 km at grade or on
embankment and 13.5km on viaduct. The line will pass through five districts
and will have an interchange with the Mass Transit Railway Corporations
(MTRs) system at Mei Foo and Nam Cheong Stations.
The second HKRC project highlighted in the Study is HKRCs Project B project,
a 9km twin track railway with 9 above ground stations.
At any one time, there may be over 300 cranes and piling rigs operating on the
2 HKRC projects and in 1999, the Hong Kong Labour Department surveyed one
of the projects and identified that 34.6% (17) of the cranes inspected, failed to
be fitted with and/or have a functioning automatic safe load indicator (ASLI).
This is a non-compliance to the statutory requirements of the Factories and
Industrial Undertakings Ordinance (F&IUO).
2.1
Scope of The Research
The scope of the research is limited to monitoring the compliance to the

statutory requirements by the operators of the lifting appliances used on these
two projects. The survey will be conducted each month on all cranes and lifting
Page 12 of 98
J.S. Howarth
appliances being used on the 2 projects and will continue for 6 months, May,
2001 to October, 2001.
2.2
Objectives of The Research
Four objectives have been established for this research:
To develop, in conjunction with a team of staff, a monitoring and

enforcing system for ensuring compliance to statutory requirements;
To implement the system;
To revise and improve the system following the comments from those
concerned in the implementation, and
To review the effectiveness of the system in ensuring compliance to

statutory requirements.
Page 13 of 98
J.S. Howarth
CHAPTER 3
3.
Literature Review
3.1
Summary Findings
Due to the nature of the project being undertaken and to ensure that the
literature review was comprehensive enough to capture all aspects of the issues
involved with implementing the inspection system, the review had to focus on a
number of issues:
Safety Legislation;
Crane and Lifting Appliance Legislation in Hong Kong;
Crane and Lifting Appliance Legislation in Other Countries;
Safety Management;
Risk Perception;
Human Behavior;
Senior Managers Role;
Supervisors Role, and
Research Methods.
The main focus was on the crane and lifting appliance statutory requirements.
There cannot be an effective monitoring and enforcement system without
addressing all the requirements of the Hong Kong Legislation. To this end, the
Lifting Appliance and Lifting Gear Regulations were reviewed in detail and their
requirements included in the inspection checklist. There are 12 statutory
requirements, (see Section 3.3), ranging from operator weekly inspections to
ensuring that the operator has a clear view out of his cab. These requirements
have been in place for a number of years and were last revised in June 1997,
prior to the handover to the Peoples Republic of China.
Page 14 of 98
J.S. Howarth
Operators are trained in the statutory requirements during their operators

training courses, therefore there should be no excuse or reason for noncompliance by the operator on items of Legislation under his control.
This points to further issues related to the reasons for non-compliance:
Human Behavior;
Risk Perception;
Supervisors Role;
Senior Managers Role, and
Safety Management Systems.
If an operator is aware of the statutory requirements and he fails to comply or

disregards the requirements, the question must be asked why. Is it because
he believes that the requirements do not apply to him; it is too much trouble to
inspect his crane each week; there is no risk of overturning or crane failure in
the activity he is performing or he has performed the same activity hundreds of
times before, with no un-safe outcome. Human behaviour and risk perception
play a large role in the way we humans carry out a task and these issues have
been reviewed in greater detail, later in this Chapter.
If you discount the operators failure to comply or take compliance out of his
control, you then enter the realm of peer pressure and instructions given by the
operators supervisor and/or senior manager to disregard a statutory
requirement. This could take the form of the supervisor instructing the operator
to use a crane which is just not capable of carrying out the lift required and
being told to ignore the ASLI when the alarm is activated to complete the task,
or instructing the operator to use a crane when the test certificate is out of date.
The supervisor may use fear of dismissal to put pressure on the operator.
The final issue reviewed in this Chapter is safety management systems. If there
is a non-compliance to the statutory requirements when a crane is being used, if
the safety management system (SMS) is effective, it should identify the noncompliance and stop the crane until the non-compliance is rectified. Identifying
Page 15 of 98
J.S. Howarth
un-safe practices and un-safe conditions is a fundamental reason for

implementing a SMS. The implementation of an effective SMS and inspection
regime, eliminates or reduces the opportunity for the operator or supervisor to
disregard the statutory requirements.
In the first instance, by implementing an effective SMS, the size and set-up
profile of the crane would be determined by the Manager at the design and
method statement stage, thereby ensuring that it was capable of conducting the
lift within its capacity and eliminating the chance of the ASLI sounding. In
addition, the SMS should show well in advance the expiry of the cranes
statutory inspections and tests, so that dates can be fixed for new inspections
and tests which again eliminates the need for the operator to use the crane with
an out of date inspections or test certificate.
The final effect of implementing an effective SMS is regular and frequent
inspections by the Safety Officer. Any non-conformance would be identified
during the inspection and the crane stopped until the non-conformance was
rectified.
All these issues have a part to play in the implementation of the inspection
system and must be taken into consideration if the system is to be effective.
There is normally no single cause of an accident or reason for a nonconformance to the statutory compliance, therefore all these issues have been
reviewed in great depth in the following Sections.
3.2
Legislation - General
A legal framework to ensure that a minimum safety standard to be achieved by

the construction industry has been in place for decades in Hong Kong. The
framework is based on the UKs Health and Safety at Work Act. However, the
effectiveness of the approach is in doubt as there are two extremes existing
within the industry. There is a sector of the industry which adopts a proactive
approach to safety management and self regulation, which relies very little on
the minimum requirement of legislation.
Page 16 of 98
J.S. Howarth
At the other extreme are those organisations that ignore the statutory
requirements, take short cuts and avoid investment to comply with the
legislative requirements.
Accidents and injuries are covered by insurance
premiums and prosecutions are only a matter of bad luck.

In 1997 the Labour Departments Occupational Safety Officers conducted
92,713 inspections on construction sites (HKSAR Labour Department 1998).
This means that on average, a site was inspected less than once a year. Lee
H. K. (1996) stated that in 1994, the total number of prosecutions were 1,279,
with 1,204 convictions, the average fines per conviction for a breach of safety
legislation was HK$12269. This cost is insignificant compared to the annual
costs of construction work, therefore, the deterrent effect of safety legislation is
in doubt.
In recent years, the Hong Kong Government has adopted a new strategy in
promoting safety and health at work.
The new legislative framework,
Occupational Safety and Health Ordinance, has moved away from a

prescriptive approach to a goal-setting or performance-based approach. The
Government has also advocated self-regulation and safety management at the
enterprise
level.
The implication of this type of control regime and
management philosophy is that the responsibility for managing the risk of

injuries and disease at work lies squarely on the people that create or work with
the risk. In this regard, the Governments role is to set the minimum standard,
initiate training and education programmes and ensure compliance of legislation
by enforcement and promotion activities.
Traditionally because of the high accident rate, the construction industry has
been a focal point for the reduction of accidents and is one of the industrial
undertakings that are covered by the Regulations. The Hong Kong Government
conducted a comprehensive review of the construction industry safety scene in
1995, with a view to identifying the shortcomings of the system of control and
proposing a way forward.
As discussed earlier, one central theme which

Page 17 of 98
J.S. Howarth
permeates the review is that the traditional prosecution-oriented approach is no

longer effective. With the support of the community, safety was driven in the
workplace by encouraging self regulation at the enterprise level and forging a
strong partnership which is essential for promoting safety and health in the
workplace.
All employers are required under the Occupational Safety and Health Ordinance
(1997), to accept a duty of care for the health and safety of all people in the
workplace. Implementing that duty of care requires everyone in the workplace
to be aware of potential hazards and take steps to prevent workplace accidents,
injuries and illnesses. This Before-the-fact control of workplace management
has been promoted for years. However, it is not until the early 1990s that risk
assessment and risk management was more significantly used as an aid to the
management of occupational safety and health in Hong Kong. Although a risk
assessment was implicitly required under the General Duties Provisions
stipulated in the Factories and Industrial Undertakings Ordinance (1989), it was
not until the enactment of the Occupational Safety and Health Regulation in
1997 that risk assessment was first made a mandatory requirement and was
first directed at manual handling operations.
The Factories and Industrial
Undertaking (Confined Spaces) Regulations after its amendments in 1999

becomes the second piece of legislation that makes risk assessment an explicit
requirement.
3.3
Hong Kong Legislation Cranes and Lifting Appliances
The following sections are extracted from the Factories and Industrial
Undertakings (Lifting Appliances and Lifting Gear) Regulations, 1997 and give
explanations as to the requirements of each question on the inspection checklist
used to survey the lifting appliances on the projects.
Page 18 of 98
J.S. Howarth
3.3.1 Form 1. Report of Results of Weekly Inspection of Lifting Appliances

The owner of a lifting appliance shall ensure that it is not used unless it has
been inspected within the preceding 7 days by a competent person and the
competent person has given the owner a certificate in the approved form in
which he has made a statement to the effect that the lifting appliance is in safe
working order.
3.3.2 Form 2. Certificate of Test and Thorough Examination of Anchoring

or Ballasting of Cranes
After each erection of a crane, and after each removal of a crane to a new
location, or any adjustment to any component member of a crane (being a
removal or adjustment which involves changes in the arrangements for
anchoring or ballasting the crane), the owner of the crane shall, before it is
taken into use, cause the crane to be tested by a competent examiner.
The owner shall obtain a certificate of the examination and test under
paragraphs (1) and (2) from the competent examiner in the approved from in
which the competent examiner has made a statement to the effect that the
crane is in safe working order.
3.3.3 Form 3. Certificate of Test and Thorough Examination of Cranes,

Crabs and Winches
The owner of any crane, crab or winch shall ensure that it is not used unless
during the preceding 4 years it has been tested and thoroughly examined by a
competent examiner in the manner prescribed in the First Schedule, and a
certificate in the approved form in which the competent examiner has made a
statement to the effect that it is in safe working order has been obtained.
3.3.4 Form 4. Certificate of Test and Thorough Examination of Lifting

Page 19 of 98
J.S. Howarth
Appliances (Except Cranes, Crabs and Winches)

The owner of a lifting appliance other than a crane, crab or winch shall ensure
that it is not used unless it has been tested and thoroughly examined by a
competent examiner in the manner prescribed in the First Schedule, and a
certificate in the approved form in which the competent examiner has made a
statement to the effect that it is in safe working order has been obtained.
3.3.5 Form 5. Lifting Appliances Certificate of Thorough Examination in

the Preceding Twelve Months
The owner of a lifting appliance shall ensure that it is not used unless it has
been thoroughly examined by a competent examiner at least once in the
preceding 12 months, and a certificate in the approved form in which the
competent examiner has made a statement to the effect that it is in safe working
order has been obtained.
3.3.6 ASLI not Fitted or not Functioning Properly
The owner of a crane shall ensure that it is not used unless it is fitted with an
automatic safe load indicator that(a)
functions properly;
(b)
has been tested by a competent examiner on each occasion that a test

and thorough examination of the crane is required under regulation 5 and
the competent examiner has given the owner a certificate in the approved
form in which he has made a statement to the effect that the automatic
safe load indicator is in good working order, and
(c)
has been inspected by a competent person and determined to be in safe

working order during each inspection of the crane required under
regulation 7A and the competent person has given the owner a certificate
in the approved form in which he has made a statement to the effect that
the automatic safe load indicator is in good working order.
Page 20 of 98
J.S. Howarth
3.3.7 Obstructed View

The owner of a power-driven lifting appliance shall ensure that it is not used
unless it is provided with a suitable cabin which is so constructed as to give him
a clear and unrestricted view that will enable him to use the appliance safely.
3.3.8 Safe Working Load Markings

The owner of a lifting appliance shall ensure that the appliance is not used
unless the safe working load for the time being applicable to the appliance is
clearly and legibly marked on it, in English and Chinese, together with an
appropriate mark to distinguish it from other similar appliances.
3.3.9 Jib Angle Indicator

The owner of a lifting appliance shall ensure that the appliance is not used
unless the lifting appliance is fitted with an accurate indicator, clearly visible to
the driver, which shows the radius of the jib, trolley or crab at any particular time
and the safe working load applicable to that radius.
3.3.10 Anti-collision Device

This computer activated passive safety device is fitted to tower cranes to stop
the jibs rotating into each others working space.
3.3.11 Over Hoist Limit Switch

This electronically activated, passive safety device is fitted to lifting appliances
and piling rigs to stop the load being raised to a height which may foul the
pulley.
Page 21 of 98
J.S. Howarth
3.3.12 Safety Latch Fitted on the Hook

The latch is fitted to the hooks where required to stop the lifting sling or chain
from jumping out of the mouth of the hook.
3.4
Brief Summary of Other Countries Crane and Lifting

Appliance Legislation
Of the 20 countries Legislation reviewed, 14 countries require that their crane

and lifting equipment owners, carry out an initial test and examination prior to
first use and then a regular inspection or examinations.
Macau, Ireland and Fiji requires a regular examination every 14 months;
The Solomon Islands requires a regular examination every 6 months;
United States of America requires an initial thorough inspection to

comply with the manufacturer's specifications and limitations;
The People Republic of China and Taiwan require an initial test and an
examination of the equipment and every 2 years thereafter by a
Government examination centre, and
The United Kingdom, Singapore, Canada, Taiwan, Bangladesh, Fuji,

India and the Solomon Islands do not specifically require a weekly
inspection.
3.4.1 The Peoples Republic of China

Lifting Appliances Safety Monitoring Regulations, Labour Safety Issue No.8
issued by Labour Authority on 21.3.1991
Brief statutory requirement for equipment designers and manufacturers:
Submit technical details to government and
Submit equipment to government for examination and testing and obtain

a permit thereafter.
Page 22 of 98
J.S. Howarth
Brief statutory requirement for equipment owner and user:
Inspection by driver every day;
Examination every month;
Examination and testing every 12 months, and
Submit equipment to government for examination and testing every 2

years.
3.4.2 Macau
Macau Construction Safety and Health Ordinance
Inspection by driver or competent person every day, and, inspection form

signed every week (FORM 2);
Thorough examination and testing prior first use, and, after major
alteration (FORM 3);
Thorough examination and testing every 4 years (FORMS 4 & 5), and
Thorough examination every 14 months (FORM 6).
3.4.3 United Kingdom

Health and Safety at Work Act 1974
The Lifting Operations and Lifting Equipment Regulations 1998 SI No. 2307
Thorough examination and testing prior first use or after major alteration
and
Thorough examination every 12 months (or every 6 months if carrying

person).
3.4.4 Singapore
The Factories Act, Chapter 104
The Factories (Singapore Standards and Code of Practice) Order 2001
Page 23 of 98
J.S. Howarth
Thorough examination and testing prior first use or after major alteration;
Thorough examination and testing every 4 years, and
Thorough examination every 12 month.
3.4.5 Canada
Canada Occupational Safety and Health Regulations
CSA Standard Z150-1974, Safety Code for Mobile Cranes
Thorough examination and testing prior first use or after major alteration;
Thorough examination every 12 months.
3.4.6 Australia
Occupational Health and Safety (Commonwealth Employment) (National
Standards) Regulations 1994
Identify hazard and assess risk during design and manufacture

processes;
Eliminate or control risk during design and manufacture processes;
Registration of equipment with Government, and
Brief statutory requirement against equipment owner/user .
Identify hazard and assess risk;
Eliminate or control risk;
Registration of equipment with Government and obtain a license, and
Develop inspection, examination & testing programs with reference to

manufacturers specification.
Page 24 of 98
J.S. Howarth
3.4.7 New Zealand

Health and Safety in Employment Act 1992
Code of Practice for Cranes & Summary of Health and Safety in Employment
Act 1992
Inspection by equipment inspector prior to first use, and
Inspection by equipment inspector every 12 months.
3.4.8 Taiwan
Labour Safety & Health Act, Section 8, Sub-sections 14 & 15
Hazardous machinery & installation safety examination Regulations
Submit design & manufacturing technical details to government, and
Submit equipment to government for examination.
Submit equipment to government for thorough examination and testing

prior first use;
Submit equipment to government for thorough examination and testing

every 2 years;
Thorough inspection every month, and
Thorough inspection every year.
3.4.9 Ireland
Safety, Health and Welfare at Work Act 1989
Safety, health and welfare at work (construction) Regulations, 1995 (PART XIV)
Inspection by driver every week;

Page 25 of 98
J.S. Howarth
Thorough examination and testing prior to first use, and, after major
alternation;
3.4.10 Bangladesh
The Factories Act, 1965
Thorough examination prior to first use, and
3.4.11 Fiji
Factories Act 1972, PART V
3.4.12 India
The Factories Act, 1948 (Amended in 1987)
3.4.13 Indonesia
Regulation of the Minister of Manpower and Transmigration on Safety and
Health in Building Construction
Brief statutory requirement for equipment designers, manufacturers and users:
No specific statutory requirements for inspection, examination or testing

of equipment exist, and
Page 26 of 98
J.S. Howarth
The Regulations in general only require lifting appliances to be designed,

installed, operated and maintained as to ensure the safety in any lifting
operation.
3.4.14 Republic of Korea

Enforcement Regulations for Industrial Safety and Health Act
Design inspection when necessary before production;
Completion inspection when installation has been completed;
Performance inspection before release of the equipment for operation;
Brief statutory requirement against equipment owner/user, and
Inspection every 12 months.
3.4.15 The Philippines

Occupational Safety and Health Standards RULE 1410
Inspection every week by user, and
Load Test after erection or any kind of change.
3.4.16 Papua New Guinea

Industrial Safety, Health and Welfare Act
Brief statutory requirement for equipment designers, manufacturers and users:
Specific statutory requirement to inspect, examination or testing of

equipment does not exist.
3.4.17 Sri Lanka

Factories Ordinance
Test and examination prior to first use.

Page 27 of 98
J.S. Howarth
3.4.18 Solomon Islands

Safety at Work Act 1982
Testing prior first use, and, after major repair, and
Examination every 6 months.
3.4.19 United State of America

Occupational Safety and Health Administration Regulations (Standards 29
CFR) Standard Number: 1926.550
Standard Title: Cranes and Derrick
Sub Part Number: N
Sub Part Title: Cranes, Derricks, Hoists, Elevators, and Conveyors
Provide all technical and safety information to equipment user.
Follow all instruction & specification issued by manufacturer;
Inspection every work shift;
Thorough inspection every 12 months, and
Develop own examination & testing program against manufacturers

instruction & specification.
Page 28 of 98
J.S. Howarth
3.5
Comparison of Other Countries Lifting Appliance Legislation With Hong Kong
COUNTRY
Weekly Inspection
Program
Testing and Examination Requirements.
Regular Inspection
Program
HONG KONG
FORM 1
Inspection by
competent person
every week
FORM 2
Test and thorough
examination of
anchoring or ballasting
of cranes prior first
use
FORM 3
Test and thorough
examination of crane,
crabs & winches prior
first use, and, every 4
years thereafter
FORM 4
Test and thorough
examination of LA prior
first use (except cranes,
crabs & winches)
FORM 5
Thorough
examination every
12 months
Macau
FORM 2
Inspection by driver
every week
FORM 3
Thorough examination
and load test of
anchorage after
erection or major
alteration
FORM 4
and load test of crane
every 4 years
FORM 5
and load test of chain
block, winch, etc. every 4
years
FORM 6
Thorough
examination every
14 months
Table 4: Comparison of Other Countries Lifting Appliance Legislation With Hong Kong
Page 29 of 98
J.S. Howarth
COUNTRY
Weekly Inspection
Program
United States of
America
Thorough inspection of the equipment to comply with the

Inspection by
manufacturers specifications & limitations
competent person
prior to each work shift
Thorough inspection every 12

months to determine the need for
repair
The Peoples
Inspection every day
Republic of China
Testing and thorough examination by local authorities, and,
Regular Inspection Program
obtain a valid permit prior first use.
Thorough examination every

12 months (including load test)
Thorough examination every 2

years by local authorities
(occupational safety and health
examination center at province
level)
Singapore
[NOT REQUIRED]
Thorough examination and load test prior to first use, or, after
Inspection every 12 months
major repair
Load test every 4 years
Table 4 (contd): Comparison of Other Countries Lifting Appliance Legislation With Hong Kong
Page 30 of 98
J.S. Howarth
COUNTRY
Weekly Inspection
Program
United Kingdom
[NOT REQUIRED]
Thorough examination after installation or prior to first use at a
Thorough examination every
new site
12 months
months for equipment to carry
persons
Canada
[NOT REQUIRED]
Thorough examination and load test prior first use, or, after (Certificates be in the form
major repair (certificates be in the form prescribed)
prescribed)
months
Load test every 4 years
Page 31 of 98
J.S. Howarth
COUNTRY
Weekly Inspection
Initial inspection by equipment inspector prior first use
Inspection every 12 months by
Program
New Zealand
Equipment owners to
develop own regular
equipment inspector, and, issued
visual & operational
with a certificate
inspections
Taiwan
[NOT REQUIRED]
Thorough examination and load test by government to issue Thorough examination and load
permit prior first use
test by government to issue permit
every 2 years
Inspection by equipment inspector
every month
Inspection by equipment inspector
every year
Page 32 of 98
J.S. Howarth
COUNTRY
Weekly Inspection
Program
Ireland
Inspection by driver
every week
Thorough examination and load test prior first use, after major Thorough examination every 14
alteration & repair, and, every 4 years thereafter
months
Thorough examination & load test
every 4 years
Australia
NO SPECIFIC STATUTORY REQUIREMENT FOR FREQUENT OR PERIODICAL INSPECTION, TESTING &

EXAMINATION
USE OF CRANES IS CONTROLLED BY MANUFACTURERS INSTRUCTIONS & GOVERNMENTS REGISTRATION
SYSTEM
LA owners to carry out hazard identification & risk assessment with reference to crane manufacturers specification &
instruction
LA owners to develop own inspection, testing & examination programs according to manufacturers specification &
instruction
LA owners to register with local government the use of lifting equipment
Bangladesh
[NOT REQUIRED]
Thorough examination prior first use

months
Page 33 of 98
J.S. Howarth
COUNTRY
Weekly Inspection
Program
Fiji
[NOT REQUIRED]
months
India
[NOT REQUIRED]

months
Indonesia
NO SPECIFIC STATUTORY REQUIREMENTS
Republic of Korea
[NO SPECIFIC STATUTORY REQUIREMENT]

Conduct periodical self-inspection (method and standards of the self-inspection to be determined by the Minister of Labour)
The Philippines
Inspection by user every Load Test after erection, or, any kind of change
[NOT REQUIRED]
week
Page 34 of 98
J.S. Howarth
COUNTRY
Weekly Inspection
Program
Papua New
NO SPECIFIC STATUTORY REQUIREMENTS
Guinea
COUNTRY
Weekly Inspection
Program
Sri Lanka
[NOT REQUIRED]
Test and examination prior first use
[NOT REQUIRED]
Solomon Islands
[NOT REQUIRED]
Test to determine SWL prior first use or after major repair
Examination every 6 months
Page 35 of 98
J.S. Howarth
3.6
Safety Management
In the past when safety was discussed, most people immediately related it to
accident prevention, however, modern theories in safety management proved
that this only touches the tip of an iceberg. The contemporary view is to widen
the scope of safety towards total loss control and risk management, which is
much more effective and comprehensive in achieving the ultimate goal of
establishing a safe working environment. Such an approach emphasises on the
application of sound management principles to safety issues, similar to those,
which apply to productivity, quality, commercial and personnel management etc.
Therefore, such an approach, shares the same essential management steps of
planning, organizing, controlling and directing, which start from the senior
management of an organization. This is supported by the argument that holding
management responsible for accident prevention is more effective than blaming
the victims (Hopkins 1995). This is reinforced by the findings from Deming W. E.,
that employees can control only 15% of company problems whereas the
remaining 85% have to be tackled by the management (cited in Bird & Germain
1990).
The management of health and safety can be integrated into the overall
management system of the organisation. The entire system can be viewed as a
method of optimising costs, benefits and risk considerations for health, safety,
environmental considerations and quality. This will ensure that the health and
safety of staff and others, the protection of the environment from pollution and
damage, and the quality of products of the consumers are maintained.
In the UK, there are two similar approaches which explain how an organisation
can achieve compliance with the legal requirements placed upon them by health
and safety legislation. The first is contained in BS 8800 Guide to Occupational
Health and Safety Management Systems.
The second method is by
implementing the measures described in the HSEs HS(G) 65 publication,

Successful Health and Safety Management. HS (G) 65 gives constructive advice
Page 36 of 98
J.S. Howarth
and an example of a health and safety policy, which any organisation can adapt
and use for their own purposes.
The British Standard 8800 stresses that organisations need to adopt a structured
approach to the identification of hazards, and evaluation and control of work
related risks. The system is based on performance monitoring, which will allow
the organisation to see if the objectives that are laid down in the health and safety
policy are being put into practice. It consists of both proactive monitoring, where
compliance is monitored through surveillance and inspection of arrangements,
and reactive monitoring, where accidents and ill health are investigated so that
improvements can be made.
The Standard states that periodic auditing must take place by an independent
individual or group of individuals to ensure that what is written in the policy is
being put into practice. It must also ensure that the management approach is
effective, that the overall management system is capable of achieving the
objectives laid down in the policy, and that the organisation is fulfilling its legal
and other obligations.
According to the Standard, an organisations performance measurement system
should incorporate both reactive and proactive monitoring. Proactive systems
promote continual improvement and ensure that risk assessments are carried
out, so that hazards are identified, risks are evaluated and assessed, and that
risks are properly controlled before anyone is injured or becomes ill. Reactive
monitoring will include the investigation accidents and ill health and recording
these failures in writing, as well as acting upon them.
The guidance given in HS(G) 65, Figure 1 below, identifies five steps in
developing successful systems for health and safety management:
Setting clear and effective safety policy arrangements;
Page 37 of 98
J.S. Howarth
Organising staff resources to implement the safety policy;
Planning and setting appropriate safety standards to assess risks;
Measuring safety performance, and
Reviewing safety performance.
Once the system is set up it will need to be audited on a regular basis to ensure
that what is contained in the health and safety policy is actually being put into
practice.
Figure 1: HS(G) 65
3.7
Risk Perception
It has been recognised, since antiquity, that humans change their behaviour in
response to the perceived probability and severity of harm.
We walk more
carefully when the ground is wet or icy than when it is dry; we walk more carefully
on rough surfaces when barefoot than when wearing shoes, a scaffolder will take
Page 38 of 98
J.S. Howarth
more care when not wearing a safety harness. A warrior clad in armour may
accept a greater risk of being struck by a weapon than one not so clad, and so
on. Shakespeare writes, "Best safety lies in fear" (Hamlet, Act I, Scene 3).
Certain risks are considered to be negligible, because the chance of their
occurrence is extremely slim.
An example of such a risk is being struck by
lightning, where the chance of this happening is around 1 in 10 million per annum
in Hong Kong (Hong Kong Annual Digest of Statistics, (1996)). Other everyday
risk exposures are presented in Table 5 below (Hong Kong Annual Digest of
Statistics, 1996). Public perception of risk, and comparison with risk associated
with other day-to-day activities can provide a basis for comparison of specific
risks.
Hazard
Average Individual Risk of Fatality (per

million, per annum)
Smoking 20 cigarettes per day
5000
Traffic accident
100
All accidents at work
85
Fatal heart disease (males age 15 - 45)
79
Fatal fall at work
17
Murder
15
Fire
Electrocution at work
Gas explosion or fire in the home
Lightning strike
0.1
Table 5: Relative Magnitude of Everyday Risks

(Hong Kong Annual Digest of Statistics, 1996).
Besides a pure statistical measurement of their likelihood, there are many factors
which must be considered when deciding if a risk is negligible, significant or
otherwise. A main basis of judgment is the benefit likely to be received from
undertaking the activity. For example, a woman who wants a child is unlikely to
Page 39 of 98
J.S. Howarth
change her mind when she learns that the risk of death during child birth is
around 1 in 10,000 (Hong Kong Annual Digest of Statistics, 1996), whereas a
person living next to a chemical plant exhibiting the same degree of risk is likely
to be extremely concerned.
There are however many more factors which influence peoples assessment of
risk. Lowrance (1976), suggested a number of factors which affects a persons
risk perception, including:
newness or novelty of the risks;
dread;
knowledge;
voluntariness;
control, and
catastrophic potential.
A new activity or system will often instil fear of the unknown in people. This is
also linked to the experience that an individual has over the activity producing the
risk. An individual faced with a system of which they have little experience will be
faced with uncertainties and may feel that they are at undue risk. Similarly, a risk
which instils dread is often one they will not know well and which they may have
uncertainties about.
The knowledge factor is thus a strong influence in risk
perception.
The level of voluntariness also affects whether or not the risk will be accepted. A
voluntary risk generally means that those exposing themselves to the risk derive
direct benefits and therefore it is more readily accepted or tolerated (e.g., hang
gliding, rock climbing). An involuntary risk is less likely to give direct benefits to
the person at risk and is therefore often unacceptable to the person exposed.
This factor of voluntary risk also ties in with the issue of control. If a person has
little or no control over a risk, then a risk is less likely to be tolerated.
Page 40 of 98
J.S. Howarth
3.8
Human Behavior
Swain A D, (1974) advocated that human behaviour is not always predictable as

it is affected by many factors. He listed 58 performance-shaping factors in which
eight of them were categorised as individual factors including motivation and
attitude. The poor safety standard of the construction industry is attributed to
many factors amongst which the lack of awareness of safety management and
safety improvement techniques by many senior managers of contractors is one.
(Brauer, 1994).
Hale and Hovden (1996) describe the development of safety research as
evolving from focus on human, then on interaction between human and
technology, and finally on management. The period of the 1970s and the early
1980s was the age of human factors. The causes of accidents were attributed to
individuals who didnt perform their job the way they should. Research focused
on accident proneness - the belief that some people are, because of their
personality, more exposed to accidents than others (McAfee & Winn, 1989;
Hoyos, 1992).
People are, and will, remain the most important factor in any working situation.
Even situations that appear to be totally automated are dependent upon people
and their abilities because all technology, processes and systems are designed
and built by people. In all management situations, particularly those involving
occupational risks, a thorough understanding of how people interact with their
physical and intellectual environment to perform tasks is vital for success.
A good understanding of the human factor can help prevent situations and
systems that are likely to produce poor outcomes from being developed. If such
a situation cannot be realistically avoided then understanding why people may fail
also helps to produce good risk containment strategies and effective remedial
and coping measures.
Page 41 of 98
J.S. Howarth
Where health and safety risk management is concerned the human factor is
probably the most important variable in most situations. Although hazards can
exist independent of human involvement, risk can really only be considered to be
present when people are affected.
3.9
Senior Management Role
Blake and Mouton (1968) describe leadership on two dimensions: concern for
production and concern for people. Concern for people implies in a way concern
for safety. Concern for workers is concern both for their physiological and
psychological well-being. In industrial organizations, safety is mostly associated
with physiological well-being. However, workers psychological well-being is also
important for the workers motivation to work in a safe way. Denton (1982)
proposes for instance that fulfilling the workers higher needs can motivate them
to work safe, and this contributes to their psychological well-being.
The dimensions Blake and Mouton describe are especially relevant for safety. A
high concern for production might result in a lower priority for safety since safe
behaviour usually takes some time and effort, and makes production slower. "A
major concern in occupational safety is whether reinforcement for working
rapidly, especially when reinforcement is based on productivity, jeopardizes
safety performance" (Sulzer-Azaroff, 1982).
Hopkins (1995), in his study on safety leader phenomenon, concluded that the
exemplary safety performance of some of the industry leaders was attributed to
the total commitment of their senior management to health and safety, both in
terms of resources allocation and personal involvement.
The author's experience of working with different companies and different senior
managers, echos Hopkins observations which in turn generally agree with the
management principles put forward by Henri Fayol (1842-1925) cited by Bird &
Page 42 of 98
J.S. Howarth
Germain (1990) that leadership is important in management as people tend to

emulate their leaders. The attitude and behaviour of the leader is the strongest
motivational force for the subordinate. This further supports the author's belief on
the importance of senior management involvement towards safety performance.
Erickson (1997) conducted a survey to a sample of safety professionals from
various organisations to study on the relationship between corporate culture and
safety performance. He found that higher safety performance was achieved
through visible, continual management support for the safety and health effort
and the management concern and support for employees. He concluded that
high-safety-performance organisations were distinguished by the understanding
and visible support from management through their actions and behaviour.
Another study by Rowlinson and Lingard (1994), involved a series of site based
experiments into behaviour modification on workers. They concluded that goal
setting with feedback could be highly effective to bring about improved safety
performance on Hong Kong construction sites.
Budworth (1996) quoted a study by Ryan (1991), who found that there appeared
to be a correlation between management time spent on safety and the frequency
of serious accidents. Tam & Fung, (1998) surveyed 45 construction companies
and found that those companies that makes senior management accountable for
safety matters, had a significantly lower accident rate.
British Standard BS8800 (1996) recommends that the organisation's most senior
management should define, document and endorse its Occupational Health and
Safety (OH & S) policy. They should also arrange to ensure accountability on
safety for each level of employees. It also suggested that as far as possible OH
& S performance should be incorporated into the staff appraisal system.
Brauer R L (1994) quoted the study by Levitt R E (1976) on the effect of senior
management involvement in safety on construction sites. The study found that
Page 43 of 98
J.S. Howarth
those companies who exercised cost accounting system on accidents as a

consideration for promotion and salary increase for line managers had lower
accident rates.
3.10 The Supervisors Role

A large number of contractors have problems with accidents occurring because
employees have violated safety rules. The first-line supervisor is the leader
working nearest the employees, and can therefore influence them in a positive
way. "Employees tend to watch and model those above them. Exclaiming Do not
do as I do, do as I say ! will not get a supervisor very far." (Kirkpatrick and Lewis,
1995). A supervisor who speaks warmly of safety, but acts unsafe when
performing operations is a poor promoter of safety.
Hoyos, (1995) stated Safety characterizes the condition of a certain work system
and is an achievement that must stem from the activities of the management,
supervisors, safety officers, and the employees themselves. That is, the
supervisors as well as the safety officers must promote subordinates knowledge
and attitude towards safety, and must demonstrate this concern through the
encouragement and criticism communicated to the people being supervised ".
The leaders at different levels of organizations, are thus seen as responsible for
promoting safety among employees. When accidents or injuries occur, one looks
to the leaders to find the roots of the problems. Human behaviour and sociotechnic interaction are also common reasons for accidents and injuries, but the
main focus is on safety management. In 1931 the first-line supervisor was
already characterised as important in accident prevention. "The supervisor or
foreman is the key man in industrial accident prevention. His application of the art
of supervision to the control of worker performance is the factor of the greatest
influence in successful accident prevention" (Heinrich, 1931). According to Weber
(1992), Heinrich, was by many, considered the father of industrial safety.
Page 44 of 98
J.S. Howarth
There are several reasons for emphasizing the role of the first-line supervisor.
First, for new safety programs and instructions to be applied, the management
depends upon the first-line supervisor for accomplishment. The information from
the senior management will be filtered through the first-line supervisor when he
presents new instructions and orders from the senior management to the workers
(Clarke, 1999). Second, the workers depend on the first-line supervisor for
passing on their safety concerns to the senior management. This means the firstline supervisor is a key man in safety, both for the management and the workers.
Third, the first-line supervisor plays an important role as a motivator for good
safety performance. Because he is the person who has most frequent contact
with the workers, he has the power to influence and motivate in a way other
leaders in the organization do not have (DeReamer, 1958). For these reasons,
among others, the first-line supervisor is of great importance for promotion of
safety in industrial organizations.
One of the most important attributes of the first-line supervisor, is his own
commitment or concern for safety. In what extent does he think safety is an
important issue? Many studies have shown that managements commitment to
safety can predict both safety attitudes and safety behaviour of the employees,
and have a negative effect on accident rates (Cohen, 1977). The workers
commitment to safety is also important; "A strong commitment to safety benefits
the organization by increasing safety compliance behaviour, reducing the number
of accidents and reducing the cost associated with accidents " (Hofmann &
Morgeson, 1999). If supervisors are strongly committed to safety, their
commitment can affect the workers commitment and in this way promote safety.
Page 45 of 98
J.S. Howarth
CHAPTER 4
4.
Hypothesis
In accordance with the objective of this study, the following hypothesis is

proposed:
The non-compliance to statutory requirements will decrease upon the
implementation of the inspection regime
Page 46 of 98
J.S. Howarth
CHAPTER 5
5.
Research Methodology and Framework
The style of research for this project was influenced greatly by the nature of the
topic and the Authors position as an implementer and manager of the safety
management system. A Safety Practitioner is required to; know and fully
understand the requirements of the relevant Legislation; know intimately the
industry and work practices that he or she is working in; have a detailed
understanding of safety management systems and translate all these factors,
together with his or her knowledge, into adequate and viable systems and
procedures to manage the working environment. This is a daily activity for the
Safety Practitioner and one that the effective Safety Practitioner does without
thinking. Action research is merely an extension of this and formalizes the
methods normally used by the Safety Practitioner.
It was decided that a situation improvement and iterative evaluation (based on
Lewins action research style) style of action plan was required to ensure that the
measures proposed were workable, practicable, comprehensive and effective.
The plan and aim was to develop and implement a monitoring/enforcing system,
on two large scale railway construction projects, to ensure cranes working on site
comply with legal requirements.
The hypothesis for the project was Non-
compliance to statutory requirements will decrease upon the implementation of

the inspection regime.
A team of safety officers (Surveyors) was invited to participate in the research
and meetings were held to develop an inspection checklist for the cranes to
ensure that the statutory requirements are being complied with.
Page 47 of 98
J.S. Howarth
Six action research cycles were completed during the research. Within each
cycle, all the cranes on the site, including lorry mounted cranes delivering goods,
were inspected by the Surveyors according to the requirements of the checklist.
The results of the inspections were collected and analysed. The Surveyors were
invited to review the actions which were implemented, recommendations for
improvement were collected and where appropriate, incorporated into the actions
for the next action research cycle.
During these 6 action research cycles, there were 2069 cranes inspected on the
23 sites of the 2 projects; 1226 crawler cranes, 410 mobile cranes, 220 tower
cranes and 213 lorry mounted cranes. There are 12 statutory items checked
during each inspection which makes 24,828 items having been inspected over
the 6-month period.
The results from the surveys were analysed (Chart 4 below) and the results
showed a decline in the cumulative and monthly non-conformance rates for both
projects. With a final cumulative non-compliance rate for Project A of 5.71% a
reduction of 6.61% from the first action research cycle. Project B final cumulative
non-compliance rate was 7.14% a reduction of 9.43% from the highest cycle
surveyed. The table below shows the cumulative and monthly survey results for
both projects.
Page 48 of 98
J.S. Howarth
Chart 4: Summary of the Percentage Non-compliance

Carr and Kemmis (1986) provide the definition: Action research is simply a form
of self-reflective enquiry undertaken by participants in social situations in order to
improve the rationality and justice of their own practices, their understanding of
these practices, and the situations in which the practices are carried out. This
understanding of action research is firmly established in the mandate of the
Safety Practitioner.
Burns (1997), stated that action research is the application of fact finding to
practical problem-solving with a view to improve the quality of action within it.
Alteren and Hovden (1997) explained that action research focuses on planned
change as a cyclical process of research and action, which involves collaboration
between practitioners and researchers. It places emphasis on data gathering and
diagnosis prior to action planning and implementation, as well as careful
evaluation of the results. The Safety Practitioner is actively involved in the cause
for which the research is conducted.
Page 49 of 98
J.S. Howarth
Burns (1997) also referred to Lewins Cyclic Model for action research which
contains the Diagnostic and Therapeutic stages:
During the Diagnostic stage, problems are analysed and hypotheses

developed, and
During the Therapeutic stage, hypotheses are tested by a consciously

directed experiment in a real situation.
This research method is particular is useful for academic research and practical
problem solving, therefore, this research will be conducted as a situation
improvement and iterative evaluation based on Lewins Cyclic Model (Figure 2
below).
Page 50 of 98
J.S. Howarth
Initial idea
Reconnaissance & fact finding
DIAGNOSTIC
Form general
Amend Plan
plan
Evaluate
THERAPEUTIC
Monitor
Implement
Figure 2: Lewins Cyclic Model
5.1
Participatory Action Research
Action research is "a family of research methodologies" (Dick, 1997) which gives
equal weight to both research and action. Action Research methodologies are
processes which are suited to situations where there is a need for high quality
data and accurate interpretations along with flexibility and participation (Dick,
1997). Participatory Action Research (PAR) is one of these methodologies. PAR
is a method of research where creating a positive social change is the
predominant driving force and as the name suggests, PAR is a methodology
which has the dual aims of action and research:
Page 51 of 98
J.S. Howarth
action to bring about change in some community or organisation or

program, and
research to increase understanding on the part of the researcher or the

client, or both (and often some wider community).
Calhoun (1993) said that PAR is a form of research which "seeks to improve the
quality of peoples organisational, community and family lives by using "a
collaborative approach to inquiry or investigation that provides people with the
means to take systematic action to resolve specific problems" (Stringer 1996).
PAR methodology involves a cyclic, rather than linear process, which generally
begins with building a basis for participation by developing relationships between
stakeholders and negotiating roles and responsibilities (Dick, 1997).
The role of the researcher in action research is that of facilitator who works
collaboratively to involve the stakeholders in every aspect of the research
process (Glesne and Peshkin, 1992). Developing relationships is a key aspect of
the research process requiring negotiation and reciprocity. The relationship
between the researcher and other participants should be one of co-researchers
thereby allowing input not only into results but also into definition of the problem
or issue to be researched.
PAR grew out of social and educational research and exists today as one of the
few research methods which embrace principles of participation and reflection,
and empowerment and emancipation of groups seeking to improve their social
situation. Kurt Lewin is credited with the creation of action research (AR) in the
1940's (Holter and Schwartz-Barcott, 1993).
PAR represents an attractive alternate research method for Safety Practitioners
primarily because it allows them to be exposed to research in a collegial
Page 52 of 98
J.S. Howarth
collaborative environment and it emphasises both naturalistic and humanistic

scientific methods (Holter and Schwartz-Barcott, 1993).
When practitioners use PAR they have the potential to increase the amount they
learn consciously from their experience. The PAR cycle is used as a learning
cycle Figure 3, (Kolb, 1984).
Review
Act
Plan
Figure 3: Research Cycle

At each of the steps the practitioner learns something, sometimes it is recalling
what they think they already understand.
At other steps they are either
confirming their previous learning or deciding from experience that their previous
learning was inadequate. This is equivalent to what Gummesson (1991) calls the
"hermeneutic spiral", where each turn of the spiral builds on the understanding at
the previous turn.
Checkland (1981), described a seven-step process they are:
the problem unstructured;
the problem expressed;

Page 53 of 98
J.S. Howarth
root definitions of relevant systems;
conceptual models;
compare the expressed problem to the conceptual models;
feasible and desirable change, and
action to improve the problem situation.
Burns (1997) stated that action research is the application of fact finding to
practical problem-solving with a view to improve the quality of action within it.
Alteren and Hovden (1997) explained that action research focuses on planned
change as a cyclical process of research and action, which involves collaboration
between practitioners and researchers. It places emphasis on data gathering and
diagnosis prior to action planning and implementation, as well as careful
evaluation of the results.
5.2
Research Process
The research followed the steps listed below:
Review the available literature;
Review compliance performance to statutory requirements by conducting

an initial survey of all the cranes and lifting appliances on the 2 project;
Review the results from the survey;
Formulate a method of ensuring compliance to statutory requirements;
Develop the inspection form;
Train the researchers on the inspection form;
Conduct the first cycle of field research;
Collect data from the research team;
Review the data and determine measures for ensuring compliance to

statutory requirements;
Refine and enhance the inspection form based on the feedback from the
researchers and plan the next cycle of field research;
Continue to review the survey data results;

Page 54 of 98
J.S. Howarth
Continue to conduct the cycle of field research, up to a total of 6 times;
Continue to review the survey data results;
Conclude the research and analyse the data, and
Compile the report.
Before the start of the research, permission had been obtained from the HKRC to
carry out the research. Twelve Safety Officers from the HKRCs safety team were
invited to participate in the research and to assist in collecting the field data. Their
participation was voluntary.
Page 55 of 98
J.S. Howarth
CHAPTER 6
6.
The Inspection Form Development Process
6.1
Cycle One
6.1.1 Review
The results of the survey by the Labour Department was discussed and it was
agreed that there may be a number of lifting appliances being used on the
projects, not conforming to the requirements of the F&IUO. In addition to the ASLI
not being fitted or not working, other statutory requirements may not be being
complied with.
6.1.2 Plan
A discussion was held regarding the different options available for ensuring that
all lifting appliances conform fully to the requirements contained in the F&IUO.
It was agreed that a survey was to be conducted on all lifting appliances on the 2
projects to ascertain the scope of the problem. To ensure that a standard survey
was conducted, it was agreed that a checklist was to be prepared which stated all
the forms, equipment and safety devices required to be in place under the
F&IUO.
It was agreed that a Safety Officers training programme was to be developed on
the requirements of the checklist and the standards to be achieved during the
inspection.
Page 56 of 98
J.S. Howarth
It was agreed that once the results were received and analysed, if the rate of
non-conformance was un-satisfactory, options would be discussed and agreed
for measures to be implemented for ensuring full compliance to the statutory
requirements.
It was agreed to use a monthly percentage non-conformance rate (MPNCR) and
cumulative percentage non-conformance rate (CPNCR) as the basis for
improvement calculations and initially, any item over 1% was to be considered as
un-acceptable. This rate was to be reduced to 0.75% after 4 months and then by
0.25%, every 4 months thereafter until 0 non-compliance was achieved.
6.1.3 Act
The checklist was developed by a team of interested and affected people. Safety
staff were present and gave advise on the statutory requirements to be included
in the checklist. A copy of the checklist is at Appendix 1.
The Safety Officers were trained on how to use the checklist during the survey
and became the Surveyors.
The survey was completed on a given day to ensure that all cranes and piling rigs
were captured in the survey only once and the results of the survey were
analysed by project and non-conformance item.
6.2
Cycle Two
6.2.1 Review
The results from the survey (Chart 5 below) showed that on Project A, 12.32% of
the lifting appliances failed to conform to the requirements of the F&IUO and on
Project B, there was a 0% non-compliance rate.
Page 57 of 98
J.S. Howarth
Chart 5: Result of the 1st Survey

The MPNCR was calculated for each project to show the compliance rate for the
first survey. The Project A MPNCR was recorded at 12.32% and Project B was
0% for the initial survey. This was a reduction from the Labour Department
survey conducted previously, but was still high.
It was agreed that the findings from the survey was conclusive and the
percentage non-conformance rate was un-acceptable. A 2nd survey should be
conducted.
A number of suggestions were received regarding the inspection checklist. It was
agreed to revise the checklist to incorporate the suggestions.
A number of the surveyors stated that they would like to see a label developed,
which could be displayed in the cab of the machine, showing that the crane had
been inspected and fully complied with the statutory requirements and therefore,
could be used.
Page 58 of 98
J.S. Howarth
6.2.2 Plan
It was agreed that this issue should be brought to the attention of the Contractor
formally by letter and raised during the safety committee meetings as an issue for
immediate improvement.
The surveys were to continue on a monthly basis, using the inspection checklist
and any crane not fully complying with the statutory requirements would be
suspended from use immediately.
A label would be developed which, following the survey by the Safety Officer,
would be displayed in the cab of the machine. The label would state; the date of
inspection, type and identification number of the crane and if the machine had
passed or failed the inspection.
The survey inspection checklist was to be revised to include the comments and
suggestions made by the surveyors.
6.2.3 Act
The number and type of non-conformance was brought to the attention of the
Contractor by letter and discussed during the safety committee meetings. The
Contractor agreed to improve their safety management system by increasing the
number and quality of inspections by their safety staff. In addition, refresher
training would be conducted by the Contractor for crane operators and
Supervisors on the statutory requirements.
The survey inspection checklist was revised to include the comments and
suggestions made by the surveyors. See Appendix 2.
A label was developed to show that the machine had been inspected and had
either passed or failed the inspection. See Appendix 3.
Page 59 of 98
J.S. Howarth
A 2nd survey was conducted of all cranes on the two projects. See Appendix 4 for
examples of the completed inspection checklist from various sites on the 2
projects.
6.3
Cycle Three
6.3.1 Review
The 2nd survey (Chart 6 below) showed that on Project A, which had a previous
MPNCR of 12.32%, the figure had dropped to 9.05%. On Project B, where there
was a previous 0% MPNCR, there was now a 25.89% non-compliance rate.
Chart 6: Result of the 2nd Survey
Page 60 of 98
J.S. Howarth
The Project A CPNCR was recorded at 10.87%, a reduction of 1.45% for the 2nd
survey. The Project B figure rose significantly from the previous 0% noncompliance to 16.57%.
The reason for the differences was discussed and it was found that Project A had
not employed any new cranes on the project and had actually decreased their
numbers. This contrasts with Project B where their crane numbers had risen
sharply. It was found that the Project B Contractors did not have a system of
inspections for cranes coming on to their sites and it was these new cranes and
crane mounted delivery lorries that were found to be non-conforming. The
Contractors were instructed to develop and implement an inspection system for
all new cranes entering the site.
The inspection checklist was found to be acceptable and working well. No
changes were required.
There was a suggestion to include a no liability clause on the inspection label. It
was thought that there may be legal responsibility issues regarding the
inspections and by conducting the inspection and stating that the crane was fit for
use, the Contractor may be relieved of his duties under the Hong Kong safety
legislation.
6.3.2 Plan
A 3rd survey was to be conducted to see if the number of non-conformance was
reducing and to see if there was a trend forming with any of the Contractors.
The results from the survey were to be analysed.
The label was to be revised to include the no liability clause.
Page 61 of 98
J.S. Howarth
6.3.3 Act
A 3rd survey was conducted on the 2 projects and the results analysed.
The results from the survey were analysed.
The label was revised to include the no liability clause and was used during the
survey.
6.4
Cycle Four
6.4.1 Review
The results from the 3rd survey (Chart 7 below) showed that on the Project A,
which had a previous MPNCR of 9.05% on this survey the figure had dropped to
2.60%. On the Project B, where there was a previous 25.89% non-compliance,
there was now a 0.67% non-compliance rate.
Chart 7: Result of the 3rd Survey

Page 62 of 98
J.S. Howarth
The Project A CPNCR was recorded at 8.91% for the 3rd survey, a reduction of
1.96% and the Project B CPNCR also reduced to 9.23%, a reduction of 7.34%.
These figures suggest that after 3 surveys, a definite reduction trend was forming
for Project A and it suggested that the Project B Contractors had been successful
in developing and implementing the inspection system for new cranes and the
trend was in decline. A further survey would confirm this theory.
It was agreed that a 4th survey be conducted to ascertain if the improvement
trend had been continued.
The checklist and labels were found to be working well and no changes were
suggested.
6.4.2 Plan
To conduct a 4th survey of all cranes on the two projects.
To analyse the results from the survey.
6.4.3 Act
A 4th survey was conducted of all cranes on the two projects.
6.5
Cycle Five
6.5.1 Review
The results from the 4th survey (Chart 8 below) showed that on the Project A,
which had a previous MPNCR of 2.60%, on this survey, the figure had reduced to
Page 63 of 98
J.S. Howarth
2.49%, a reduction of 0.11%. These figures suggested that the inspection

systems implemented by the Contractor were working and the numbers of nonconformance was under control. It was thought that the trend should continue
downward or at least level off. On the Project B Project, where there was a
previous 0.67% non-compliance, there had been an increase to 3.55% noncompliance rate. The numbers of cranes on the project had increased slightly and
it was due to 2 new contracts starting and mobilising their cranes and piling rigs.
These new Contractors had not developed inspection systems and it was on
these contracts that the non-conformances were identified.
Chart 8: Result of the 4th Survey
Page 64 of 98
J.S. Howarth
The Project A CPNCR was recorded at 7.39% for the 4th survey, a drop of 1.52%
and Project B CPNCR also continued to reduce, despite the monthly increase, to
7.29%. A reduction of 1.93%.
It was agreed to instruct the Contractors to develop and implement an inspection
system for all existing cranes and any new cranes entering the site.
It was agreed that a 5th survey be conducted to ascertain if the improvement
trend had been continued.
The checklist and labels were found to be working well and no changes
suggested.
6.5.2 Plan
To conduct a 5th survey of all cranes on the two projects.
To analyse the results from the survey.
6.5.3 Act
A 5th survey was conducted on all cranes on the two projects.
6.6
Cycle Six
6.6.1 Review
The results from the 5th survey (Chart 9 below) showed that on Project A, which
had a previous MPNCR of 2.49% on this survey, the figure had dropped to
1.65%. A reduction of 0.84%. On Project B, where there was a previous MPNCR
of 3.55%, there had been a reduction of 0.5%, to 3.05%.
Page 65 of 98
J.S. Howarth

The Project A CPNCR was recorded at 6.32%, a reduction of 1.06%. The
CPNCR for Project B was recorded at 6.38%, a reduction of 1.01%.
It was agreed that the surveys were to continue and a 6th survey be conducted to
ascertain if the improvement trend continued.
The checklist and labels were found to be working well and no changes were
suggested.
Page 66 of 98
J.S. Howarth
6.6.2 Plan
To conduct a 6th survey of all cranes and piling rigs on the two projects.
To review the results from the 6th survey, review the 6 surveys that had been
conducted previously and summarise and analyse the results.
Conclude the research and make recommendations.
6.6.3 Act
A 6th survey was conducted of all cranes on the two projects.
The results from the survey (Chart 10 below) were analysed. All the results of the
survey were gathered, summarised and an analysis was carried out. The results
of the analysis are discussed in Chapter 7.
Page 67 of 98
J.S. Howarth
CHAPTER 7
7.
Analysis of the Data Gathered From the Surveys
The following Chapter analyses the data gathered from the surveys and shows
the trends of compliance to the statutory requirements previously outlined.
During the 6 months of the survey period, 2,069 cranes were inspected using the
inspection checklist. With 12 statutory items checked during each inspection,
24,828 items have been inspected over the 6-month period.
Chart 11 below shows the number of cranes inspected on the two projects,
cumulative and monthly.
Chart 11: Number of Lifting Appliances Inspected
Page 68 of 98
J.S. Howarth
The numbers of cranes inspected on Project A, reduced slightly from the first
month.
This is due to the fact that the project was in a different phase of
construction than Project B. Project A had finished the majority of the foundations
and piling work in June and July and went into in the civil construction phase
where initially, work is predominantly on the ground and cranes are few. In
August the numbers increased as material, timber, steel, scaffolding etc., was
delivered on site and lifting appliances were required to move the heavy material
around.
The numbers stabilised in September and October to 160 lifting
appliances for Project A as the lifting requirements and site layout was refined
and lifting practices established.
For Project B, the number of cranes increased rapidly from around 60 cranes for
the first survey, to an average of around 160 during the last few research cycles.
The reason for this is that most of the contracts of
Project B were being
mobilised during the initial survey period and the contracts were in the
foundations and piling phase during the later stages of the survey.
Chart 12 below, shows the types of cranes and lifting appliances inspected during
the 6-month research period. You can see from the chart that there were 3 times
as many crawler cranes inspected as there were hydraulic. This is due to the
crawler crane having a larger footprint and lighter ground bearing weight which
copes better with the softer ground conditions during the initial foundations and
piling works. The lifting capacity and jib length of the crawler crane is normally
greater than the hydraulic crane also. The 3rd most common crane in use was the
tower crane. The tower crane is used for lifting at height across and over
structures or buildings and is typically used for moving loads of materials around
the site. The lorry or train mounted crane. These cranes are normally delivery
types of vehicles and one where the Contractor has very little control over the
compliance rate. It is common for the supply company to contract out deliveries
to owner-drivers.
Page 69 of 98
J.S. Howarth
Chart 12: Numbers and Types of Cranes

Inspected by Project
Page 70 of 98
J.S. Howarth
7.1
Overall Percentage Non-compliance to Statutory

Requirements
Chart 13: Overall Percentage Non-compliance

For Project A, the percentage of monthly non-compliance was the highest of the
two projects during the first research cycle, at 12.32%. This percentage reduced
gradually during each research cycle and reduced to the lowest during the 5th
cycle to 1.65%%. The final survey reported a disappointing increase to 2.39%, to
finish at 2.39%. The overall results showed a reduction of 11.67% from the first
survey.
The CNCPR for Project A, reduced from an initial high on the first survey of
12.32% to a final figure of 5.71%. A reduction of 6.61% from the first survey.
For Project B, the percentage of monthly non-compliance was more of an up and
down trend with major swings in percentages. The reasons for the swings have
been discussed previously the percentage rose sharply from 0% during the first
Page 71 of 98
J.S. Howarth
survey, to 25.89% at the second survey. The figures then dropped to 0.67% for
the 3rd survey, rose to 3.55% for the 4th survey, reduced slightly to 3.05% for the
5th survey and rose slightly to 3.57% for the final survey.
Again, if you discount the first survey, the CNCPR for Project B was reduced from
an initial high on the 2nd survey of 16.57% to 7.14% for the final survey. A
reduction of 9.43% from the first survey.
For both projects, the survey results indicate that the inspection regime is
effective in ensuring high statutory compliance rates. However, the key to
achieving sustained low or zero non-compliance rates, lies entirely with the
efforts and vigilance of the operator, the effectiveness of the Contractors safety
management systems and the ability of the system to identify and rectify potential
non-conformances.
The following sections identify the items inspected during the surveys and
analyse the results over the survey period.
Page 72 of 98
J.S. Howarth
7.2
Chart 14: Form 1 Percentage Non-compliance

The Form 1 requirement, relies on the operator to inspect his crane each week or
relies on the Contractor to have implemented an effective maintenance and
inspection system. The inspection checks basic conditions of the crane, ASLI,
wire rope, safety catches on the hook, pulley sheaths, boom sections etc., and is
fundamental to ensuring that the crane is safe to use. It is normal practice for this
responsibility to rest with the operator and as previously discussed in the
Literature Review Chapter, human behaviour is such that operators may fail to
carry out the required inspections when not supervised.
The results were similar with the overall non-compliance rate. It is suggests that
the inspection is effective in ensuring that the crane operators or the competent
person inspect the crane each week.
Page 73 of 98
J.S. Howarth
7.3

The results from the survey reveal that the inspections are effective in ensuring
the Form 2 examinations are conducted. The Non-compliance rate for the Form 2
requirement was very low and was only observed during the beginning of the
surveys and only on Project A. The Non-compliance rate remained at zero during
the later survey cycles. This could be due to a number of reasons: firstly, not all
cranes require a Form 2; second, the Form 2 certification is valid for 12 months
and once a Form 2 is issued, it wouldnt be an issue until 12 months later.
Therefore, compliance relies on the Contractor having an effective system of
monitoring.
Page 74 of 98
J.S. Howarth
7.4

As with the Form 2 requirements, the duration of certification is lengthy, for the
From 3 it is every 4 years. On Project B the trend appears to follow the
introduction of the new cranes on the project. For Project A the trend is more
alarming because no new cranes were introduced during those months and the
non-conformances suggest an inadequacy in the Contractors monitoring system.
Page 75 of 98
J.S. Howarth
7.5

This requirement is for piling rigs to be tested as a lifting appliance. There may
have been a deficiency in the knowledge of the Contractor and/or operator on the
statutory requirements. The results from the surveys suggests that as on Project
A for the Form 4, there is a failure in the Contractors monitoring system. The
Project B non-compliance correlates with the start of the new contracts and the
introduction of new piling rigs for the foundation work.
Project A recorded a zero non-compliance during the last 4 surveys and Project B
for the last 2 months. This suggests that the Contractor had implemented an
effective system of monitoring the piling rigs.
Page 76 of 98
J.S. Howarth
7.6

The Form 5 requirements represent the fundamentals behind the safe use of the
cranes. The Form 5 requires the crane to have been tested within the preceding
12 months to ensure it is safe to use. It is alarming that so many cranes were
found operating without this basic requirement. The results reveal that the
surveys were not so effective in ensuring a downward trend in the Form 5 noncompliance rate. Further investigation needs to be conducted as to why this
occurred.
Page 77 of 98
J.S. Howarth
7.7
ASLI Fitted and Functioning Correctly, Percentage Noncompliance
Chart 19: ASLI Fitted and Functioning Correctly,

It is the Authors opinion that this requirement is the most important of all the
statutory requirements and the one that the operator normally ignores, or the
operator is instructed by his supervisor to ignore. The ASLI warns the operator
that he is getting close, within 15%, to the safe working load of the crane. Without
this device, the operator relies on his experience and a shift in the balance of the
crane to tell him that the crane is reaching its limits. The normal practice is to bypass, or disarm the ASLI so that it does not function. As can be seen from Project
A surveys, the initial survey recorded a 8% non-compliance rate which reduced to
0.4% for the last survey, a major improvement.
The situation on Project
B was similar. Project B achieved a zero non-
compliance rate during 4 surveys.
Page 78 of 98
J.S. Howarth
The results suggest that the inspections were successfully in ensuring the
automatic safety load indicators on lifting appliances were functioning correctly.
7.8
Over Hoist Limit Switch Fitted and Functioning Correctly,

Chart 20: Over Hoist Limit Switch Fitted and Functioning Correctly,
The situation is similar to the ASLI. The surveys were successful in reducing the
non-compliance rate to a very low percentage in the later stages of the research
cycle.
Page 79 of 98
J.S. Howarth
7.9
Safety Latch Fitted on the Hook, Percentage Noncompliance
Chart 21: Safety Latch Fitted on the Hook,

The Project B non-compliance was attributed to the introduction of new cranes

onto the contracts and was confined to isolated cases of crane-mounted lorries
delivering materials in the later survey cycles.
Page 80 of 98
J.S. Howarth
7.10 Un-obstructed View, Percentage Non-compliance
Chart 22: Un-obstructed View, Percentage Non-compliance

Non-compliance percentage was very low and became isolated cases of new
cranes entering the Project B sites in the later survey cycles.
Page 81 of 98
J.S. Howarth
7.11 SWL Marking on Jib, Percentage Non-compliance
Chart 23: SWL Marking on Jib, Percentage Non-compliance
The trend shows a general reduction for both projects with only isolated noncompliance recorded.
Page 82 of 98
J.S. Howarth
7.12 Jib Angle Indicator Fitted, Percentage Non-compliance
Chart 24: Jib Angle Indicator Fitted, Percentage Non-compliance

The results are similar as that for the results for 7.11, SWL Markings on the Jib,
only isolated non-compliance recorded.
Page 83 of 98
J.S. Howarth
7.13 Anti-collision Device Fitted and Functioning Correctly,

Chart 25: Anti-collision Device Fitted and Functioning Correctly,

This device is fitted to tower cranes to stop them colliding with each other when
working in close proximity. The survey successfully established a downward
trend in the number of non-compliance.
Project B did not have any tower cranes working in close proximity to one another
during the research period, therefore, zero non-compliance was recorded.
Page 84 of 98
J.S. Howarth
7.14 Summary of the Survey by Item

The following charts show the overall percentage non-conformance rate by item
inspected, by project and cumulative figure. Chart no 26 shows that on Project A
the failure to fit an over hoist switch and the ASLI not fitted or not functioning
correctly were the 2 highest non-conformances. On Project B the failure to fit an
over hoist switch and not having a completed a Form 1 were the 2 highest nonconformances.
Chart 26: Summary of Item Percentage Non-compliance

by Project
Page 85 of 98
J.S. Howarth
Chart 27: Summary of Item Percentage Non-compliance,

as a Cumulative of the 2 Projects
When the non-conformances for the 2 projects were combined, failure to fit an
over hoist switch and not having a completed a Form 1 were the 2 highest nonconformances, with 3.19% and 2.22% respectively. Failure to have an ASLI fitted
or an ASLI not functioning correctly and using a crane without the safe working
load marked on the jib were the 3rd and 4th highest non-conformances.
Page 86 of 98
J.S. Howarth
CHAPTER 8
8.
Conclusions and Recommendations
8.1
Conclusions
Six research cycles have been conducted, with 2,069 lifting appliances being
inspected using the inspection checklist. With 12 statutory items checked during
each inspection, 24,828 items have been inspected over the 6-month period.
Is the amount of time and effort devoted by the Surveyors to these inspections of
any value? In answering this question, the Author measured how well the
objectives of the research have been accomplished.
Four objectives were established in Chapter 2.2 in this report, they were:
To develop, in conjunction with a team of staff, a monitoring and enforcing

system for ensuring compliance to statutory requirements;
To implement the system;
To revise and improve the system following the comments from those
concerned in the implementation, and
To review the effectiveness of the system in ensuring compliance to

Objective 1: To develop, a monitoring and enforcing system for ensuring

compliance to statutory requirements
This objective was considered accomplished with a good result. A monthly crane
inspection system was developed, with clear and precise questions being used to
cover the statutory requirements. Safety staffs were involved in developing the
process and their suggestions were included where required.
Page 87 of 98
J.S. Howarth
Objective 2: To implement the system.

The objective was accomplished to a high degree. The crane inspection systems
were successfully implemented on all Project A and B sites. The success of the
system was reflected by the reduction in the non-compliance rate on all of the
inspection criteria and the monitoring reports from the senior safety staff.
Objective 3: To revise and improve the system following the comments from
those concerned in the implementation.
Six research cycles have been completed. After each research cycle, the
surveyors met to conduct a review and raise their concerns and/or suggestions
for improving the checklist or survey process. A number of improvements had
been introduced following the result of these reviews. The improvements include;
improvements to the inspection form; clarifying the inspection standards to be
achieved and the development and purchase of plastic holders to hold the
inspection labels.
Objective 4: To review the effectiveness of the system in ensuring compliance to
The results from the surveys have been gathered, analysed, displayed in graphic
format and discussed in Chapter 7. The analysis revealed that dramatic
improvement have been recorded in the overall non-compliance rate, as well as
for individual requirements. The overall non-compliance rate is being maintained
at 3.57% and 2.39% for Project B and Project A respectively for the last research
cycle. This compares favourably with the Labour Department survey of a 34%
non-compliance rate before the research. Therefore, the improvement can be
classed as significant.
Page 88 of 98
J.S. Howarth
During conducting the initial survey and the trial implementation of the inspection
checklist, all the surveyors were encouraged to give their thoughts and ideas on
the most effective and comprehensive method of implementing the monitoring
and enforcing system. To this end, the inspection checklist and the survey
methodology were developed in an atmosphere of cohesion and the surveyors
wanting to do a good job. The results showed for themselves the effectiveness of
the surveys in improving the compliance rate. During the initial discussions, there
were a number of positive suggestions for improvement and throughout the
process the participants were encouraged to make suggestions and were
challenged to find ways of improving the process or checklist. At no time during
the process was there any hesitation or reluctance in conducting the inspections
and surveys, all persons involved, surveyors, Contractors, operators etc., were
helpful and co-operated in the inspections.
The outcome is a checklist and inspection system which is effective and has
been incorporated into the Safety Procedures for the 2 projects. See Appendix 5.
By incorporating the checklist and inspection system into the Safety Procedure,
another control measure has been incorporated into the safety management
system and has increased the frequency and quality of the monitoring and
enforcement action. This will ensure that the projects continue to have a high
compliance rate to the statutory requirements.
8.2
Recommendations
It is concluded that the surveys are effective in ensuring that the cranes being
used on the work site comply with the statutory requirements. Therefore, it is
recommended that:
the surveys should be continued and become a routine exercise to ensure

these crane continue to satisfy the statutory requirements;
the Contractors safety management system be reviewed throughout the 2

projects to identify areas of weakness, and
Page 89 of 98
J.S. Howarth
delivery crane lorries be identified in the surveys to clearly show the

differences between static, Contractor managed cranes and others not
under their direct control.
8.3
Suggestion for Further Study
Although the research has concluded that it has met all the objectives set for the
project, there are limitations to the scope of the surveys. The surveys only ensure
that the Equipment satisfies the statutory requirements. There are other
elements included in a safe system of work which have not been addressed; they
are the People, the Method and the Environment.
In order to ensure the lifting appliances are being operated safely on site and to
control the risks associated with the use of the lifting appliances, especially for
those lifting appliances working in the vicinity of urban areas; highways; operating
railways and schools, etc. it is recommended that similar research be conducted
to identify effective measures to control the People, such as the operator, the
engineer, the foreman, the banksman, etc; the Method, the way the lift is being
carried out and the system of work, controlling the work to safeguard the
Environment, such as the ground conditions, the air, noise etc.
Page 90 of 98
J.S. Howarth
CHAPTER 9
9.
References
Alteren, B. and Hovden, J. 1997, The safety element method a user developed
tool for improvement of safety management, Safety Science Monitor, vol. 1, issue
3.
Blake, R.R. & Mouton, J.S. 1968, Ledelsens problematikk. I Lederstil : Utvikling
av arbeidsmilj og organisasjon (pp.18-28). Oslo: Bedriftskonomen.
Bird, F.E. and Germain, G.L., 1990; Practical Loss Control Leadership, The
Conservation of People, Property, Processes, and Profits, International Loss
Control Institute, Georgia, USA.
British Standard Institute, 1996, BS 8800, Guide to Occupational health and
safety management systems, BSI, 2 Park Street, London.
Burns, R.B. 1997, Third edition, Introduction to Research Methods, Longman
Australia Pty Limited, Melbourne, Australia.
Bureau of Labor Statistics 1993 Census of Fatal Occupational Injuries
Department of Labor ,Washington, D.C.: US Government Printing Office.
Bureau of Labor Statistics, 1990. Occupational Injuries and Illnesses in the
United States by Industry, Department of Labor. Washington, D.C.: US
Government Printing Office.
Page 91 of 98
J.S. Howarth
Bureau of Labor Statistics, 1990, Fatal Workplace Injuries in 1992: A Collection of

Data and Analysis. BLS Report 870, Department of Labor ,Washington, D. C.:
US Government Printing Office.
Budworth, N., 1996. Indicators of performance in safety Management, The Health
and Safety Practitioner, Vol. 13, Number 11, pp 23 29. The Institute of
Occupational Safety and Health.
Bird Jr F E & Germain G L, 1990, Practical Loss Control Leadership, revised ed.,
Loganville, GA, International Loss Control Institute.
Brauer R L, 1994, Safety and Health for Engineers, Van Nostrand Reinhold,
USA.
Calhoun, E. F. 1993 Action Research: Three Approaches Educational
Leadership, p 62 65. USA.
Carr, W. and Kemmis, S. 1986 Becoming critical: education knowledge and
action research. London: Falmer Press.
Checkland, P. 1981 Systems thinking, systems practice. Chichester: Wiley.
Clarke, S. 1999 Perceptions of organizational safety: Implications for the
development of safety culture. Journal of Organizational Behavior ,20, 185-198.
Cohen, A. 1977 Factors in successful occupational safety programs. Journal of
Safety Research , 9, 168-178.
Construction Industry Review Committee Report, 2001, Works Bureau, Hong
Kong.
Dick, B. 1997, A beginners Guide to Action Research Action Research Papers
(Online), Available: http://www.scu.edu.au/schools/sawd/arr/guide.html
Page 92 of 98
J.S. Howarth
DeReamer, R. 1958, Safety - a management practice. In Modern safety

practices. New York: Wiley.
Denton, D.K. 1982, Motivating, Safety leadership. In Safety management:
Improving performance. New York: McGraw-Hill.
Erickson J A, 1997, "The relationship between corporate culture and safety
performance", Professional Safety Journal, May: 29-33., American Society of
Safety Engineers.
European Bureau of Labour Statistics data, 1999,
http://www.rmlibrary.com/db/stxsafe.htm
Glesne, C., & Peshkin, A. 1992, Becoming qualitative researchers. New York:
Free Press.
Gummesson, E. 1991. Qualitative Methods in Management Research. Newbury
Park: Sage Publications.
Hale, A.R. & Hovden, J. 1996, Management and culture : The third age of safety.
A review of approaches to organisational aspects of safety, health and
environment. Paper to Occupational Injury Conference, Sydney, Australia.
Hakkinen, Karl. 1978. Crane Accidents and Their Prevention. Journal of
Occupational Accidents, Vol 1, 353-61.
Health and Safety Executive. 1978. One Hundred Fatal Accidents in
Construction. London, England: Her Majesty's Stationery Office.
Health and Safety Executive, 1997, The costs of accidents at work, Health and
safety series booklet; HS (G) 96, 2nd ed., London.
Page 93 of 98
J.S. Howarth
Health and Safety Executive UK, 2001, Health and Safety Statistics 1999/2000,
London.
Heinrich, H.W. 1931, Basic philosophy of accident prevention. In Industrial
accident prevention: A scientific approach (pp.13-65). New York: McGraw-Hill.
Hinze, J, and Bren, D. 1996. Analysis of Fatalities and Injuries Due to Power line
Contacts. Journal of Construction Engineering and Management, 122(2): 177-82,
June.
Hofmann, D.A. & Morgeson, F.P. 1999, Safety-related behavior as a social
exchange: The role of perceived organizational support and leader-member
exchange. Journal of Applied Psychology.
Hoyos, C.G. 1995, Occupational-safety - progress in understanding the basic
aspects of safe and unsafe behavior. Applied Psychology, Vol 44, 233-250.
Hong Kong Labour Department, 1999, Construction Safety Newsletter, 3rd issue,
HKSAR.
Hong Kong Labour Department, 1998, The 1997 Annual Report of the
Commissioner for Labour, HKSAR.
Hong Kong Labour Department, 1998, Code of Practice for Safe Use of Mobile
Lifting appliances and Tower Cranes, Hong Kong.
Hong Kong Government, 1986, Factory and Industrial Undertaking (Safety Officer
and Safety Supervisor) Regulations, Hong Kong Government.
Page 94 of 98
J.S. Howarth
Holter, I. M. and D. Schwartz-Barcott 1993, Action research: What is it? How has
it been used, and how can it be used in nursing? Journal of Advanced Nursing
Vol 18, 296-304.
Hopkins A. 1995, Making Safety Work, Getting management commitment to
occupational health and safety, Allen & Unwin Pty Ltd., Australia.
Kirkpatrick, T.O. & Lewis, C.D. (1995) Effective supervision. Preparing for the
21st century. Orlando, FL: The Dryden Press.
Kolb D.A., 1984. Experiential Learning. PrenticeHall, New York.
Lee Hung-Kwong, 1991, Safety Management - Hong Kong Experience,
Lorrainelo Concept Design, Hong Kong.
Lowrance, W.W. (1976). Of Acceptable Risk: Science and the Determination of
Safety. California: Kaufman.
McAfee, R.B. & Winn, A.R. 1989, The use of incentives feedback to enhance
work place safety - a critique of the literature. Journal of Safety Research, Vol
20, 7-19.
National
Safety
Council,
1999,
Report
on
Injuries
in
America,
http://www.nsc.org/lrs/statinfo/99report.htm
NIOSH 1995, NIOSH Alert "Preventing Electrocutions of Crane Operators and
Crew Members Working Near Overhead Power Lines." May 1995 (NIOSH
Publication No. 95-108).
Rowlinson S and Lingard H., 1994, Construction site safety in Hong Kong, Sweet
& Maxwell Asia, Hong Kong.
Page 95 of 98
J.S. Howarth
Second Railway Development Study, 2000, Highways Department, Railway

Development Office, Hong Kong.
Sulzer-Azaroff, B. 1982, Behavioral approaches to occupational health and safety
Handbook of organizational behavior management. New York: Wiley.
Suruda A J. A Study of Fatal Injuries in the Construction Industry Involving
Cranes University of Utah.
Stringer, E. 1996, Action Research: A handbook for Practitioners Thousand
Oaks: Sage.
Swain, A.D. 1974 Book of Human Reliability Analysis with Emphasis on Nuclear
Power Plant Applications. NUREG/CR-1278, Sandia National Laboratories, USA.
Tam C M & Fung I W H, 1998, Effectiveness of safety management strategies on
safety performance in Hong Kong, Construction Management and Economics,
vol.16 p. 49-55.
Territorial Development Strategy Review, 1998, Planning Department, Murray
Building, Garden Road, Hong Kong.
Wong Harry K C., 1997, Safety management at construction sites, the Singapore
experience, OSHWEB http:/www-iea.me.tut.fi/cgi-bin/oshweb.
Weber, J.O. 1992 The front-line supervisors' role in safety. Professional Safety,
34-49.
57 FR 47746, 1992, Crane Safety for General Industry and Construction,
Advance Notice of Proposed Rulemaking. Occupational Safety and Health
Administration.
Page 96 of 98
J.S. Howarth
CHAPTER 10
10. Bibliography
Blaxter, Huges & Tight, 1996, How to research, Open University Press,
Buckingham.
Dave, R, 1998, Taming your Dissertation, http://www.cs.vu.nl/~niek/thesis/doctalk/writing/taming_dissertation.html
Dickie, Don. 1993. Crane Study Confirms Downward Trend, Underlines
Importance of Training. The Crane Report, February, pp. 1-8.
Hipp, J.E., et.al. 1980. Evaluation of Proximity Warning Devices, prepared for US
Dept. of the Interior, Bureau of Mines.
Jarasunas, Emmanuel K. 1987. Crane Hazard Prevention. Hazard Prevention,
Mar-Apr, 9-11.
Lam and Rowlinson 1997, Causes of accidents in the construction industry of
Hong Kong, The Safety and Health Practitioner, Vol. 15, No. 7, PP 22- 25.
Li, X. & Crane, N. 1993.
A Guide for Citing Electronic Information,
http://www.wilpaterson.edu/wpcpages/library/citing.htm
MacCollum, D. 1980. Critical Hazard Analysis and Crane Design. Professional
Safety, 24:31-36.
Page 97 of 98
J.S. Howarth
Mendeloff, John M., and Betsy T. Kagey. 1990. Using Occupational Safety and
Health Administration Accident Investigations to Study Patterns in Workplace
Fatalities. Journal of Occupational Medicine, 32:1117-23.
National Institute for Occupational Safety and Health, 1993. Fatal Injuries to
Workers in the United States, 1980-89: A Decade of Surveillance. Cincinnati:
DHHS (NIOSH) publication 93-108S.
Occupational Safety and Health Administration, 1990. Analysis of Construction
Fatalities: The OSHA Data Base 1985-89. Department of Labor, Washington,
DC: US Government Printing Office.
POSH of HK Polytechnic University, 1998, Citation & Listing of References,
http://www.ic.polyu.edu.hk/posh97/private/handbook/citation.htm
Salminen S., 1995, Serious occupational accidents in the construction industry,
Construction Management and Economics.
Stranks, J., 1994, Safety management systems, Management Systems for
Safety, Pitman Publishing, London.
Shapiro, L.K., and H.I. Shapiro. 1988. Construction Cranes. Scientific American,
258:72-79.
Walker,
W.
1998,
Behavioral
safety:
kicking
bad
habits,
http://www.iosh.co.uk/inform/datasheet/behave.html
Workplace Injuries and Illnesses in 1995. Washington DC, News release USDL
97-76.
Page 98 of 98

Howarth S PDF

Uploaded by

Document Information

Original Description:

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Howarth S PDF

Uploaded by

Copyright:

Available Formats

University of Western Sydney

The Hong Kong Polytechnic University

Crane safety management:

John Stephen Howarth

"Imagination is more important than knowledge.

-Albert Einstein (1879-1955)

Table : Summary Percentage Non-compliance Rates for the 2 Projects

However, to ensure that there is continued improvement and compliance to the

Construction Industry Performance General

Construction Industry Performance Lifting Appliances

OBJECTIVES AND SCOPE OF THE RESEARCH

Scope of The Research

Objectives of The Research

TABLE OF CONTENTS (Contd)

Hong Kong Legislation Cranes and Lifting Appliances

Form 1. Report of Results of Weekly Inspection of

Form 2. Certificate of Test and Thorough Examination

of Anchoring or Ballasting of Cranes

Form 3. Certificate of Test and Thorough Examination

of Cranes, Crabs and Winches

Form 4. Certificate of Test and Thorough Examination

of Lifting Appliances (Except Cranes, Crabs and Winches)

Form 5. Lifting Appliances Certificate of Thorough

Examination in the Preceding Twelve Months

ASLI not Fitted or not Functioning Properly

Safe Working Loading Markings

Jib Angle Indicator

Over Hoist Limit Switch

Safety Latch Fitted on the Hook

Brief Summary of Other Countries Crane and Lifting Appliance

The Peoples Republic of China

TABLE OF CONTENTS (Contd)

Papua New Guinea

United State of America

Comparison of Other Countries Lifting Appliance Legislation

With Hong Kong

Senior Management Role

The Supervisors Role

TABLE OF CONTENTS (Contd)

RESEARCH METHODOLOGY AND FRAMEWORK

Participatory Action Research

THE INSPECTION FORM DEVELOPMENT PROCESS

TABLE OF CONTENTS (Contd)

ANALYSIS OF THE DATA GATHERED FROM THE SURVEYS

Overall Percentage Non-compliance to

Form 1 Percentage Non-compliance

Form 2 Percentage Non-compliance

Form 3 Percentage Non-compliance

Form 4 Percentage Non-compliance

Form 5 Percentage Non-compliance

TABLE OF CONTENTS (Contd)

ASLI Fitted and Functioning Correctly, Percentage

Over Hoist Limit Switch Fitted and Functioning Correctly,

Safety Latch Fitted on the Hook, Percentage Non-compliance

Un-obstructed View, Percentage Non-compliance

SWL Marking on Jib, Percentage Non-compliance

Jib Angle Indicator Fitted, Percentage Non-compliance

Anti-collision Device Fitted and Functioning Correctly,

Summary of the Survey by Item

CONCLUSIONS AND RECOMMENDATIONS

Suggestion for Further Study

TABLE OF CONTENTS (Contd)