PURBANCHAL UNIVERSITY

HIMALAYAN INSTITUTE OF SCIENCE & TECHNOLOGY

DEPARTMENT OF ENGINEERING

M. Sc. PROGRAMME IN ENGINEERING MANAGEMENT

PROPOSAL

ON

ASSESSMENT OF OCCUPATIONAL SAFETY PRACTICE IN TUNNEL

CONSTRUCTION OF THE KATHMANDU TERAI/MADESH FAST TRACK
PROJECT

BY:

SATYA NARAYAN SHRESTHA

MAY, 2023
Abbreviations / Acronyms

KTFT Kathmandu Terai/Madesh Fast Track

SMS Safety Management System

OSH Occupation Health and Safety

CSFs Critical Success Factors

DoLIDAR Department of Local Infrastructure Development and Agricultural Roads

FCAN Federation of Contractors’ Association Nepal

FAA Federal Aviation Administration

ILO International Labor Organization

ICAO International Civil Aviation Organization

MoEL Ministry of Labor and Employment

MoFALD Ministry of Federal Affairs and Local Development

NBC Nepal Building Code

SPSS Statistical Package for the Social Sciences

LIST OF TABLE

Table 1: Construction Safety management regulations and Standards of different

countries 9

Table 2 Study Area 21

Table 3 Research Matrix 24

LIST OF FIGURE

Figure 1 Components of SMS by FAA, US 8

Figure 2 Research Flow Chart 19

Figure 3 Inductive and deductive research approach 20

Figure 4 Study area Tunnel No 1 :- 3.36 km 21

Introduction

1.1 Background

Construction sector plays a significant role in the development and economic growth of Nepal. In Nepal, the
government’s emphasis on infrastructure development has led to a rapid expansion of the construction sector
in recent years. After agriculture, the construction industry is the second-largest employer in the nation and
offers employment opportunities to not only the unemployed but also the underemployed and seasonal
workers, this sector makes up about 11% of the nation's Gross Domestic Product.

Globally, construction is one of the most hazardous industry sectors with many thousands of workers being
killed and seriously injured each year. Worldwide occupational injury rates in construction are highest for all
major industries. Construction is always risky because of outdoor operations, work-at height, complicated
on-site plant machinery and equipment operation coupled with worker’s attitudes and behaviors towards
safety(Choudhry, Fang et al. 2007).

Construction safety basically concerned with the occupational accident which is related to physical, mental
and social wellbeing of participants in construction work. Occupational safety and health (OSH) is generally
defined as the science of anticipation, recognition, evaluation and control of hazards arising in or from the
workplace that could impair the health and well-being of workers, taking into account the possible impact on
the surrounding communities and the general environment. Construction projects records the highest
frequency of occupational accident as compared to other projects. The main causes of most occupational
accidents in the construction projects are largely dependent to poor management and lack of worker safety
awareness (Shrestha and Shrestha 2019).

Construction safety on project sites is of utmost importance due to the nature of the construction industry.
However, it is usually a secondary concern in a market-driven society where the main concern is completing
projects at the required quality with minimum time and cost. Thus, safety issues are considered only after an
accident occurs at a construction site with follow up measures to improve working conditions, especially in
developing countries. (Teo, Ling et al. 2005)

Construction hazards are generally classified into four distinct categories which include job site conditions
(nature and physical layout); equipment and materials; human; and management factors.(Pipitsupaphol and
Watanabe 2000). The importance of the human element is highlighted by the role of errors and omissions in
catastrophic system failures and occupational accidents(Lingard and Rowlinson 2005). Management hazards
such as poor training and lack of appropriate safety protocols are also considered important in the causation
of accidents in construction.

It is commonly known that accidents have serious implications to the construction industry both in financial
and humanitarian terms. Construction accidents may cause many problems, such as demonization of

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workers; disruption of site activities; delay of project progress; and adversely affecting the overall cost,
productivity and reputation of the construction industry.

Health and safety risks are needed to identify, assess, and take certain action to eliminate or minimize the
probability of occurrence. In order to reduce the accident or incident level and subsequently cut losses, it is
important to ensure that safe working practice is being observed(Ahmad 2000).

Accident is the main issue to consider in any industries, construction industry is no exception. It is a high-
risk industry that covers a wide range of activities involving construction, modification, and/or reparations.

Generally fewer accidents occur in tunnels than on open roads. However, if an accident occurs in a tunnel,
the impact is often much greater than on open roads. The consequences can be extremely destructive and
dangerous, especially in the event of a fire, because the enclosed space hinders the dissipation of heat and
smoke. In addition, access limitations for fire-fighting and rescue operation, difficulty in ensuring safe
escape route of the tunnel users from an enclosed space {Ye, 2013 #13}

Nepal is a mountainous landlocked country located along the southern slopes of the Himalayan mountain
range between India and the Tibet Autonomous Region of China. It has a rugged terrain and topography of
middle and high mountains in the north along the border with China whereas a very fertile lowland, the
Terai, in the south along the border with India. The Terai is the main source of food production as well as
the center for factories and industries. Besides agricultural production, the country has high potentials of
hydropower, natural resources, and tourism.

The country covers an area of 147,516 sq. km. and its average length from east to west is about 885 km
whereas its north to south width varies from 130 to 255 km. It comprises three major area: forests and
cultivatable land in the south; the towering Himalayas, including Mount Everest, in the north; and
moderately high mountains in the central region, which contains the Kathmandu valley. Nepal features the
world’s eight highest peaks, tropical jungles, rushing rivers and peaceful valleys. The lowest point
KechanaKawal is only 60 m high and the highest point Mount Everest, the highest point in the world, is
8848.86 m. The 2017 census estimates the population at 29.304 million out of which over 90% lives in the
rural villages, where 70% of the rural population is devoid of any infrastructure facilities. The economy is
predominantly agriculture; rice, wheat, millet, jute, timber and potatoes are the principal products. Livestock
rising is also important and manufactured products include textiles, carpets and processed foods. Tourism is
a major source of foreign income. The population is a mixture of Indo-Aryan, Tibetan and other peoples.
Recently, the main trade corridor in Nepal is the East-West Highway (EWH) in the Terai and there is no
direct north- south high class expressway connection linking Kathmandu and other major cities of the
country with Birgunj, the border town where the dry port is situated, as well as with India despite the fact

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that this Birgunj-Kathmandu section of this corridor carries more than 60% of the total north-south long-
distance traffic.

The Government is implementing plans to connect all the district headquarters of the country by road.
Efforts are under way to improve and maintain the strategic road network. The extreme difficult terrain with
vulnerable geology makes road construction difficult and expensive. Multilateral and bilateral agencies are
assisting the development of the highway network.

In 2002 the Government of Nepal (GoN) formulated a National Transport Policy (NTP) which provides
provision for the development and expansion of the sub-regional, regional and international transport and
transit facilities. At a Sub-Regional Expert Group meeting in 2004, the GoN highlighted the construction of
a high standard link from the Terai to Kathmandu as a priority project. This link road also considered
apriority transit link in the South Asian Sub- Regional Economic Cooperation (SASEC) program is part of
the Asian HighwayNetwork.

The project road runs along the Bagmati corridor which originates at Sano Khokana and travels through
Chhaimale, Gausel, Malta, Thingen, Budune and Chhatiwan and reaches to Nijgadh where it connects with
the Mahendra Highway. This project is expected to shorten the travelling distance from Kathmandu to
Nijgadh by 159 km and save travelling time by more than fourhours.

The GoN has been considering for quite some time the shortest and most convenient route to link
Kathmandu with the Terai. In the early eighties, after connecting the Prithivi Highway at Mugling with the
MahendraHighway at Narayanghat, most of the vehicles travelling on the Tribhuvan Highway since 1956,
preferred to travel by this 92km additionally longer route to reach Kathmandu from Hetauda. The main
reasons to prefer this longer route were the steep gradients with numerous loops on the Tribhuvan Highway.
In 1992, UNDP sponsored study on the Kathmandu – Hetauda – Birgunj Corridor selected Pharping
Humane route with 23 tunnels. The Japanese study in 1991 proposed three corridors whereas the Swiss
study in 1992 proposed five corridors. DANIDA supported study in 1993 proposed 3 tunnels and examined
7 alternatives. This was followed by a Japanese study in 1994. In 2003Bagmati Corridor Feasibility study
was conducted. The Asian Development Bank (ADB) conducted a feasibility study and Preliminary Design
of the Fast Track in 2008 and this laid a basis for carrying out this project.

The Expressway includes 3 Twin Tube Tunnel of total Length 6.415 Km which is 8.85% of the overall
length of the Project. The Tunnels have width of 9.5 m and clear height of 5.5 m. The complexity of
geological formation, tectonic activities and seismic loading challenges the Tunnel Construction along the
alignment.

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Mahadevtar Tunnel is the longest tunnel with 3.355 kmlength with Horizontal Alignment and Longitudinal
grade of +0.5% to -2.35 % with arch facing wall portal type in the MahabharatRange.

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.

1.2 Statement of Problem

From practices and experience it is confirmed that most construction companies in Nepal
have no well-articulated and developed risk policy and response plans. As a result, in
most construction industry adequate measures of safety in the sites have not been put in
place and also various challenges are encountered in the management of safety. At
construction sites numerous accidents/ injuries which result to hospitalization and
absenteeism are viewing. Kathmandu terai fast track(KTFT) Project are constructed
slope area, mountainous part it make the sector more prone to accident but the attention
given to preventive and protective measures is much less. The driving force to study the
selected area that safety in general not given the attention that it needs, PPEs are applied
on construction sites widely but not satisfactory, efforts to implement the same have not
been effective, no use of proper safety barriers and warning tapes around excavated area,
no proper application safety barriers for light traffic and heavy traffic to minimize risk on
highway work and users. And also, to differentiate the frequently occurring accidents and
their major causes tunnel construction projects like falling of material from height, fall
from height, blasting, confined space accident etc. The research put forwarding solution
for the combined sum of problems stated related to safety in KTFT tunnel construction
sites and the expected expansions of road construction, and the need for effective safety
management in KTFT Tunnel construction projects.

1.3 Research questions

In this context, present study concentrates to answer the following research questions.

What is the status of occupational safety in KTFT tunnel construction project?

What are the challenges for maintaining occupational safety in the KTFT tunnel
construction project?

What are the challenges for maintaining occupational safety in the KTFT tunnel
construction project?

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1.4 Research Objectives

1.4.1 General Objective

Main objective is to assess occupational safety practices in KTFT tunnel construction

projects

1.4.2 Specific Objective

To identify the status of occupational safety in KTFT tunnel construction project

To explore the challenges for maintaining occupational safety in the KTFT tunnel
construction project.

To determine the challenges for maintaining occupational safety in the KTFT tunnel
construction project..

1.5 Significance/Rationale of the study

The study is expected to provide multitude of purpose for the Client, Consultants,
individual consultant, International Contractors, National contractors and sub-contractors
to make informed decision towards improving Safety practices in the KTFT Tunnel
construction projects. Also, the assessment will be useful in providing information in
terms of current safety practices in KTFT Tunnel construction sites. Also, preventing
accidents is the main significant point to improve the safety in the construction industry
and that can be achieved by increasing the awareness of all concerned persons and by
identifying areas of safety deficiencies in construction industry.

1.6 Limitations of the Study

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The study is limited to

The Safety aspect of Occupational Safety and Health, the health issues are not covered in
this study because the impact of health is long term.

The execution phase of Tunnel construction in KTFT, not included after the construction
period

Sample Tunnel that is currently under construction.

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2. Literature Review

Construction safety is the condition of being risk and injury free while construction is
taking place. It displays the physical, mental, and social health of the construction
worker(Adhakari et al., 2020). One of the dangerous sectors of the global economy is the
construction industry. The construction industry ranks highest among all other industries
when accidents are taken into account(Elsebaei et al., 2020). Health and safety are
expressions normally used together in the construction industry, as a matter to define
measures of protecting the construction staff from injuries and work related illnesses
triggered by activities and conditions associated to the construction work on the building
sites.

Construction safety management is a method which is used to control safety activities in

order to ensure a safe working environment in the construction site. It is the most
important area in a construction work which ensures sound health of the workers in the
construction site and also prevents occurrence of different types of hazards and accidents
in a construction site.(Thanaraj and Priya, 2019)

A safety management system is defined as a series of policies and procedures

organizations use to reduce accidents and near miss in the workplace. A sound SMS
includes a systematic approach to managing safety, including organizational structures,
accountabilities, policies, and procedures. SMS is scalable so that it can be tailored to the
size and complexity of your organization(Compliancequest, 2022).A successful safety
management system (SMS) implementation in the workplace is the contribution of well-
designed SMS. Numerous nations have developed and put into place national SMS for
construction sites based on the accepted practices there. The actual number of factors
used in the development of the SMS varies from one country to the next depending on the
unique needs of the local construction industry(Ismail et al., 2012).

Since the term "safety management system" can mean different things in different
countries and even in different organizations, there isn't a single definition that can
adequately describe it(Elsebaei et al., 2020). Some of the definition by different
organization is as below:

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“SMS is the formal, top-down, organization-wide approach to managing safety risk and
assuring the effectiveness of safety risk controls. It includes systematic procedures,
practices, and policies for the management of safety risk.”(FAA, 2022)

“A systematic approach to managing safety, including the necessary organizational

structures, accountabilities, policies and procedures.”(ICAO, 2007)

“A set of interrelated or interacting elements to establish OSH policy and objectives, and
to achieve those objectives.”(ILO, 2001)

2.1 Components of Safety Management System (SMS):

The SMS is responsible for safety oversight to provide for a systematic approach to
achieving acceptable levels of safety risk. SMS is comprised of four functional
components, including an intangible, but always critical, aspect called safety culture. The
four functional components are as follows:

2.1.1 Safety Policy:

Establishes senior management's commitment to continually improve safety; defines the

methods, processes, and organizational structure needed to meet safety goals.

Establishes management commitment to safety performance through SMS

Establishes clear safety objectives and commitment to manage to those objectives

Defines methods, processes, and organizational structure needed to meet safety goals

Establishes transparency in management of safety

Fully documented policy and processes

Employee reporting and resolution system

Accountability of management and employees

Builds upon the processes and procedures that already exist

Facilitates cross-organizational communication and cooperation

2.1.2 Safety Risk Management

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Determines the need for, and adequacy of, new or revised risk controls based on the
assessment of acceptable risk.

A formal process within the SMS composed of:

Describing the system

Identifying the hazards

Assessing the risk

Analyzing the risk

Controlling the risk

2.1.3 Safety Assurance:

Evaluates the continued effectiveness of implemented risk control strategies; supports the
identification of new hazards.

SMS process management functions that systematically provide confidence that

organizational outputs meet or exceed safety requirements

Existing assurance functions will continue to evaluate and improve service

2.1.4 Safety Promotion:

Includes training, communication, and other actions to create a positive safety culture
within all levels of the workforce. Safety promotion activities within the SMS framework
include:

Providing SMS training

Advocating/strengthening a positive safety culture

System and safety communication and awareness

Matching competency requirements to system requirements

Disseminating safety lessons learned

Everyone has a role in promoting safety

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 Source:(FAA, 2022)

Figure 1Components of SMS by FAA, US

2.2 Global SMS Review:

The European Union first introduced the SMS to the construction industry in the 1980s
with the goal of minimizing dangerous conditions and lowering the risk of injury on
construction sites(Vassie et al., 2000; Yiu et al., 2019).Since then, SMS has gained
popularity in the construction sector and has been widely adopted by the vast majority of
nations worldwide, either voluntarily or mandatorily. Based on the standards practice
many countries established national safety management system for that country. The
factors that contribute to establishing a standard safety management system depends on
the requirements of that country. The SMS employed by the global construction
industries typically complies with the following international standards:BS8800 − 2004
Guide to Occupational Health and Safety Management Systems, HS(G)65 – Successful
Health and Safety Management, BS OHSAS 18001 – Occupational Health and Safety
Management, and AS/NZS 4804:2001 Occupational health and safety management(Lam,
2003). According to (Robson et al., 2007), they mainly look at the following four types of
elements in implementing the safety management:

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(1) overall management including occupational health and safety policy, goals and
objectives, commitment from the management and allocation of resources, system
integration, and communication system;

(2) project planning including planning and development, safety manual and procedures,
participation in executing safe working procedures, and procurement and contracting;

(3) Project operation including training, hazard control, and prevention and corrective
action systems; and

(4) Performancereview including performance measures, evaluation, continual

improvement, and management review.

Table 1: Construction Safety management regulations and Standards of different

countries

Region Title
Standard of construction Safety inspection(JGJ59-2011)
Regulations on safety production management of construction projects
China Technical Scheme of high-place construction operation (JGJ80-2011)
Factories and industrial undertakings ordinance(FIUO-Cap. 59)
Hong Kong Occupational Safety and Health ordinance (OSHO-Cap. 509)

Code of practice for safety management system for construction

Singapore worksites(CP79:1999)
Factories (building operations and work of engineering construction)
regulations
Japan Construction occupational health and safety management system
(COHSMS) guidelines and COHSMS external system evaluation
Source:(Li et al., 2018)

2.3 Construction Safety Management Issues in Nepal:

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Nepal is a developing country where most of the construction projects are labor intensive
which involves large skilled and unskilled personnel. Even though there aren't many
construction companies in Nepal compared to China and India, the number of accidents
and fatalities is very high compared to other nations, which indicates that safety
performance evaluation is either poor or in its early stages. This also shows that the
government policy and regulation on safety are not enough or are not effective in
Nepal(Sukamani et al., 2020).Nepalese contractors are unconcerned about the procedure
of safety rules and regulations. The contractors lack the necessary training, and they
mistakenly think that decreasing safety standards will save them moneybut in reality, it
leads to a high loss in future through accidents(Sukamani and Wang, 2020). Accidents
are a risk in every construction job since they will inevitably happen. Due to lack of
proper enforcement of law, most of accidents are not even reported to the concerned
authority.The concerned contractors do not have any effective safety plan and they do not
even seem to abide by the constitutional provisions regarding occupational and health
safety rules. No strict measures can be seen from government and concerned bodies to
control health and safety hazards in construction sites The primary issue in Nepal is
negligence towards the constructional safety and lack in use of proper safety equipment
and tools.In addition to that labors are unskilled, illiterate and untrained.Thus due to the
low level of awareness towards safety and importance of human values, development of
an effective safety management system is the major problem of safety at construction
sites and the goal of achieving the necessary level of safety is still a long way off in
Nepal(Koirala et al., 2021).

2.4 Safety Provision and Guidelinesin Nepal:

2.4.1 Labor Act, 2017

The Legislature Parliament passed the new Labor Law 2017 on 11th of August 2017,
tabled by the Ministry of Labor and Employment (MoLE). This certainly is a
commendable effort in the right direction but sure not enough to ensure occupational
health and safety of workers or employees at various workplaces in Nepal.

In Labor Act, 2017 in Chapter 12 contains provisions relating to occupational safety. The
provisions are as follows:

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As per Clause 68, every employer shall formulate a policy on safety of the workers and
other persons in the workplace and implement it. TheLabor Office shall regularly monitor
as to whether or not the safety and health policy formulated by the employer or not.

As per Clause 69 Duties of employers towards worker are: To ensure safe environment
by making appropriate safety and health arrangements at the workplace and provide
necessary information, notice and training relating to the safety and health to the labour,
as required. To provide proper safety means to labour and make necessary arrangement
for the safe entry and exit from the workplace,

As per clause 71 It shall be the duty of the responsible person to ensure whether any
workplace, equipment, product or material is safe and healthy for the concerned work.

As per Clause 73 workers shall not to perform any act intentionally or carelessly that may
cause adverse effect on his/her own safety or of others.

As per Clause 74 every employer, having 20 or more workers in any enterprise, shall
constitute a safety committee comprising of representatives of the workers also.Safety
committee should review each year the safety and health policy formulated.

As per Clause 76, where there is a possibility of causing injury or serious effect on the
health of the worker or others or causing loss or damage to the equipment or product or
material if the work is not stopped immediately, the worker involved in such work shall
inform the employer or any responsible person.

As per Clause 78: The safety standard of the enterprises engaged in the activities relating
to the following matters shall be as prescribed:

Provisions relating to protection of eyes;

Provisions relating to protection from chemical substances;

Provisions relating to safeguard of machines;

Provisions relating to lifting of load

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As per Clause 79 Where any accident occurs or any person is injured or dies in an
accident or suffers from any occupational disease in the workplace, the employer shall
give information thereof to the Labour Office immediately.

Source:(Lawcommission, 2017)

2.4.2 National Building Code Nepal (NBC114: 1994 for construction safety)

National Building Code (NBC114: 1994) is specially prepared for construction safety in
building construction works. It has tried to include basic standards. The main purpose of
these standards is to provide reasonable degree of safety to construction related personnel
in building construction work. The basic concepts used in deriving these standards are
based on those of the national building code of India and the relevant Indian safety
standards there in, and the Health and Safety at work Act of United Kingdom (UK). This
code includes material handling, first aid facility and health, firefighting, site preparation,
earthworks in excavation, construction of foundations, construction of walls, construction
of roofs, electrical works, temporary works, and demolition of structures, miscellaneous
requirements during demolition, use of explosives, labor welfare, and safety requirements

The provisions of this standard are the minimum requirements that are to be adopted
during building and other civil construction or demolition work. The provision is as
follows:

Clauses 3 to 17 of this code describe the minimum requirements that are to be adopted for
the safety and health of workers.

Clause 3 describes the safety standards against storage and handling of hazardous
materials.

The code states in clause 4 that first aid facility shall be maintained with at least a Para-
medical health worker.

Similarly, clause 5 states that adequate firefighting equipment and fire escapes shall be
provided as required by Nepal fire safety standard.

Clause 6 of NBC describes about the provision of personal protective equipment. The
workers shall be provided with hard hats to protect from falling materials and safety

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goggles and mask shall be provided to workers who are working in dusty area. Similarly,
safety boots shall be provided when workers have to work in area where piercing objects
are encountered and safety belts when workers have to work in heights.

Clause 7 and 8 provides the standard for safety in excavation and foundation work.
Escape route, oxygen mask, protection of wall of trench and adequate barriers shall be
provided during excavation work. Adequate measures shall be taken against collapses of
wall of excavations e.g. shoring.

Safety standards against electrical works in clause 11 describes that all electrical wires
laid over floor during construction shall be covered to protect them from moving
machinery and personnel. While construction is undertaken close to exposed high or low
tension lines, all such cables shall be covered with insulation so as to avoid
electrocutions. All the electrical work shall be carried out by qualified electrician.

Clause 12 states that temporary work such as false works and formworks shall be
securely tied to the permanent structures.

Clause 16 of the code describes about the labor welfare. Labor shall be provided with
drinking water, adequate and safe shelter, toilet facilities, safety clothing and free from
combustible materials or hazardous chemicals.

According to 16.9, all workers shall be insured by their employer against accidents in the
workplace. The minimum cover for accidental death shall be two hundred thousand
Nepalese Rupees per worker. For the other accidents, the minimum cover shall be as that
currently determined by the National Insurance Company of Nepal.

Clause 17 of the code explains the safety requirements such as the proper operation of
construction and transportation equipment, installation of safety nets, control and
restriction of entry of third person into the site.

Source:(DUDBC, 1994)

2.4.3 OSH Guidelines by DoLIDAR under MoFALD:

The Guidelines adheres to three main laws/policies of the country, namely the
constitution of Nepal 2072, Labour Law 2048 and the OSH policy, and prioritize the need

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for worker’s safety and health. Though there is a need for new strategies to help extend
workplace safety and health protection and promotion to all workers in Nepal, the
guideline is the step toward achieving the goals of minimizing accidents and incidents
that occur on construction sites.The purpose of the Guideline is to provide all projects
under the DoLIDAR with basic principles for working safely on construction sites and
for ways for Contractors and managers to manage the safety and health on site.This
Guideline is a practical guide specifically prepared for use by all construction works
under MoFALD/DoLIDAR, to manage the critical areas of occupational safety and health
(OSH) on site, such as:

The duties of responsible persons

Pre-work planning

Controlling risks associated with electricity, hand tools, noise, access, and others

In case of emergencies protocols, accidents reporting and recording

The guidelines consist of 3 parts:

PART 1: General Provisions and safety Committees

PART-2: Safety and Health responsibility and Organization on Site

PART 3: Risk Control and Management

Source:(GON, 2017)

2.5 International Safety Management System Standards and Guideline Implementing in

Nepal:

Occupational Safety and Health Management System(ISO 45001:2018)

Guidelines on occupational safety and health management systems(ILO-OSH 2001)

Safety and Health management system(SHMS) by OSHA

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2.6 Obstacles in Implementing SMS in Tunnel Construction Projects:

Contrary to developed nations, which have made significant efforts to put inclusive safety
standards into place, developing nations face significant difficulties with safety
management. Numerous studies have examined the challenges that developing nations
face when implementing safety initiatives(Gibb and Bust, 2006). A significant hurdle that
could harm safety programs is insufficient resources. It is the management's
responsibility to provide enough resources, including qualified personnel, time, money,
information, safety work methods, facilities, tools, and machinery, in order to implement
a safety program.(Rollenhagen and Kahlbom, 2001; Goh and Chua, 2013; Kogi, 2002).
Tight project schedule is another common barrier to the implementation of safety
programs. Working on tight schedules adds more pressure and stress, which often leads
to health and safety issues and reduces productivity (Kartam et al., 2000). Another major
cause of high incidence and injury rates in the construction industry in developing
countries is a low commitment to health and safety (Goh and Chua, 2013; Othman and
Azman, 2020). Commitment to safety depends on the level of awareness towards safety,
which in turn affects their prioritization. The low safety priority leads to a poor safety
culture (da Silva and Amaral, 2019; Yiu et al., 2019). It is also perceived that safety is
only the responsibility of safety personnel. This perception implies that safety is
exclusive and there is a lack of teamwork and collaboration in safety implementation(Yiu
et al., 2019; Stephen and Hunt, 2002). In addition, limited awareness of safety
considerations at a higher management level affects understanding and strategies for
managing safety and risks across the organization(Stephen and Hunt, 2002; Kogi, 2002).
(Kartam et al., 2000)argued that the most common problems in safety implementation are
lack of safety training and lack of safety policies. According to (Yiu et al., 2019), safety
training is essential for accident prevention and reduction. The lack of skilled workers
automatically results in poor safety behaviors due to poor safety awareness and
inadequate knowledge on how to work safely (Sobral and Guedes Soares, 2019; Chileshe
and Dzisi, 2012).According to (Stephen and Hunt, 2002), Lack of momentum for
continuous improvement from management and staffs is the obstruction in implementing
SMS.

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The difficulties and problems in implementing SMS can originate from the specific
cultural features of an organization or an occupation(Lappalainen, 2017). Through an
extensive literature review, the major issues likely to be related to the obstacles to good
SMS practice by construction companies are proposed.

2.7 Success Factor for implementing SMS in Tunnel Construction Projects:

The concept of “success factors” was initially created in the context of the importance of
information systems.(Daniel, 1961)The factors that contribute to establishing a standard
safety management system depends on the requirements of that country. According
to(Rockart, 1979) “CSFs are, for any business, the limited number of areas in which
results, if they are satisfactory, will ensure successful competitive performance for the
organization.” CSFs are thus areas of activity that management should monitor carefully
and continuously. The CSF approach has been used in studies in the construction industry
to examine safety issues. For example, (Aksorn and Hadikusumo, 2008)examinedthe
CSFs of safety program implementation in large- and medium-sized construction projects
in Thailand. Similarly (Al Haadir and Panuwatwanich, 2011) investigated the critical
factors influencing the implementation of safety program among construction companies
in Saudi Arabia.

A wide range of safety measures are covered by SMS for the construction industry
throughout the project cycle, including planning, development, institutional organization,
and execution. It also covers a variety of work areas, such as occupational safety
promotion, internal safety policies, safety inspection programs, job hazard control and
analysis, incident investigation programs, emergency preparedness programs, and health
assurance programs, among others. They are to remove any potential risks to workplace
safety and lessen the likelihood of accidents on construction sites. A number of success
factors were revealed to be contributing to the quality and level of achievement of SMS
implementation. These success factors for SMS implementation could be categorized into
five different classes as shown in below in table i.e., commitment to safety from senior,
competency profiles of project personnel, safety climate, project management, and safety
requirements and incentives (Yiu et al., 2018). For example, management’s commitment
could enhance the awareness of workers and safety supervisors, while the competence of

15
project personnel could facilitate the assurance and execution (Robson et al., 2007; Chan
et al., 2004; Yiu et al., 2018). Additionally, it was discovered that the safety climate was
correlated with the incident and injury rates in construction projects (Bottani et al., 2009;
Choudhry et al., 2008; Fan et al., 2014). With effective project management,
communication between management, safety supervisors, and employees could be
enhanced(Robson et al., 2007; Goh and Chua, 2013; Bottani et al., 2009). Clear safety
implementation guidelines could facilitate better communication between management
expectations, employee and supervisor concerns(Chan et al., 2004; Fan et al., 2014;
Robson et al., 2007). The above all success factors were identified to be important for the
SMS implementation as well as potentially influencing the construction safety.

3.Research Methodology

This chapter includes the overview of overall research work. It describes the methods and
procedures that will be adapted to complete the research study. From the beginning of
statement of problem to the conclusion and recommendations, this chapter provides the
systematic process of describing research question, research objectives, methods of data
collection, data analysis and defining results and discussion along with process of
literature review and supervisor’s recommendations. The flow chart of overall research
design is presented in the figure 3.1.

16
 Research Idea

Research Problem Statement

Formulate Research Questions

Research Objective

Methodology

Supervisor Consultation
Data Collection
Literature Review

Primary Data Secondary Data

Questionnaires Survey
Field Visit (Journal, Book, Article, Reports,
Key Informant Interview Internet surfing)

Data Analysis and Interpretation

Results and Discussion

Conclusions and Recommendations

Figure 3.1Research Flow Chart

17
3.1 Research Approach

The quantitative and qualitative approaches will be used for the entire research.
Qualitative approach will be used to get knowledge of perception regarding the analysis
of SPSS implementation and for this; the researcher will be collecting the information by
the questionnaires, to clients, contractors, engineers, and consultant, labours,
management. Qualitative research methods gather non –numerical or non –statistical
data. Thus, this type of studies helps to understand the underlying reasons, opinions, and
motivations behind something as to uncover trends in thought and opinions. Quantitative
research studies, on the other hand, gather statistical data. These have the ability to
quantify behaviors, opinions, or other defined variables. So used of both quantitative and
qualitative methods to find answer to research question.

Data collection will be carried out after the formulation of research objectives from
primary and secondary sources. The collected data will be analyzed and presented
according to the nature of data.

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3.2 Study Area

Figure 2Study Area Tunnel No 1 :- 3.36 km

19
Table 2Study Area

S.N Name of Contractor Initial- Contract Amount Progress

Project/Address Planned in NRS. Status
date of
completion
1 EPC M/SChina 2074-2083 21,615,369,361.0 Ongoing23
(Planning ,Design, State BS 0 %
Engineering ,Procure Construction completed
ment, Construction Corp.
and commission of Engineering
twin double lane Ltd
express way Tunnel,
Bridges and
expressways works
on engineering
procurement and
construction basic al

3.3 Study Population and Sample Selection

The study populations are personnel from tunnel construction projects in Mahadevtar of
Makwanpur District. The representatives would be selected in such way that they have an
idea and experience regarding SPSS implementation. Respondents in the research include
employers, consultants, contractors, and their representative personnel authorities
involved in the ongoing KTFT Tunnel construction project.

In this research study, all the population is considered as the sample size. As a result,
there will be no need of sample size calculation.

20
3.4Method of Data Collection

The study will be based on primary as well as secondary data.

3.4.1 Primary Data collection

The research's foundation is primary data. The study's precision will increase when more
actual data from source data are gathered. The following approach below will be used to
collect primary data:

Questionnaires: - Different set of questions will be prepared for clients, consultant,

contractors, and their representative’s authorities’ personnel regarding the obstacles,
success factors and benefits for the implementation of check list and Key information
interview(KII)

3.4.2Secondary Data Collection

Secondary data will be gathered through a review of national and international papers,
reports, books, and journals concerning about the obstacles, success factors & benefits of
Safety management system. Online search mediums such as science direct, research gate,
Sci-hub, Google scholars and previously conducted researches available in library will be
used.

3.5 Data Analysis

Primary data was collected from the selected road construction projects currently at the
execution phase in KTFT. The data for primary data was collected by using
questionnaires and interview. The questionnaire contained both open ended and close
ended questions. The questions were prepared based on the research questions. The
questionnaire was distributed for each road projects and collected.

In the analysis part, the data gathered from the primary sources was analyzed using SPSS
and Microsoft Excel spreadsheet, and interpret using descriptive statics. In data analysis
for second objectives we will use principal component analysis tool in research matrix.
For the analysis of data from KII thematic analysis tool will be used.

21
 3.7 Research Matrix

Table 3Research Matrix

S.N. Objectives Data Required Data Source Analysis Expected

Tools Outcomes
1 To identify the Literatures Client, Questionnaire Obstacles in
status of reviews, Consultant, Survey, MS implementing
occupational variables for Contractor, and Excel 4.
safety in KTFT questionnaire their personnel
tunnel survey for representative,
construction obstacles in literature
project. implementing
SPSS

Client,
2 To explore the Variables for Client,
Consultant, Questionnaire Major Critical
challenges for questionnaire Consultant, Survey, MS Success factor
maintaining survey and Contractor, and excel for
occupational success factor their personnel implementation
safety in the data for representative,
KTFT tunnel literature literature
construction review
project

3 To determine Variables for Client, KII and benefits of

the challenges questionnaire, Consultant, checklist implementing
for maintaining literature on Contractor, and SMS
occupational benefits of their personnel
safety in the implementing representative,
KTFT tunnel SPSS literature
construction
project
Tentative Time Schedule

22
 June July August September
S.N
. Activities 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4

Thesis Proposal
Preparation and
1 finalization                                

2 Proposal presentation                                

3 Literature Review                                

Primary and secondary

4 Data collection                                

Data Analysis and report

5 preparation                                

6 Mid-term presentation                                

Incorporation of comments
7 and suggestion                                

   
8 Final thesis presentation                            

Final report submission

with incorporation of
9 comments                                

5. Tentative Budget

Manage it as per the requirement.

23
6. Expected Outcomes

From this study we will be able to assess the sustainability of the Safety Practice methods
system in terms of sustainability development, Technical, socio-environmental, and
institutional. Also this study is focused to check how far the dimensions comply with the
sustainability criteria and contribute to overall sustainability of the system. Various
participatory tools were used to carry out the study. These include focus group
discussion, key informant interviews, field observation and series of formal and informal
interactions with the beneficiaries of study area during field visit. The analysis of data
was done mainly to assess the sustainability against each stated dimensions. This initially
examined the changes in SPSS on the core factor followed by sub factors of each
dimension and its contribution to the overall sustainability of the system with the help of
thus obtained results.

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