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CODE OF PRACTICE FOR SITE SUPERVISION – Typical Items for the Check List of Specific Tasks for RGE’s TCPs

Table 5.3 Typical Items for the Check List of Specific Tasks for RGE’s TCPs
Item No.	Description
G1	Establish system for communicating with other TCPs.	Routine items
G2	Check that all monitoring check points are installed and readings are being taken in time.
G3		Verify non-conformity and instruct rectification works immediately. Notify all relevant parties in respect of the non-conformity and monitor that rectification measures are properly carried out.	Routine and Engineering items

G4		Report to the RGE immediately if the non-conformity is considered to pose an imminent danger, to be a significant risk or a source of danger or the RC does not comply with rectification instructions.

G5		Check that all lower grade TCPs and RC’s TCPs are making inspections no less than the required frequency and carrying out duties in accordance with the Technical Memorandum and the Code of Practice for Site Supervision.

G6		Check and satisfy that copies of approved plans (or submitted plans for minor works), method statements, precautionary and protective measures proposals and all related drawings and geotechnical documentation are kept on site; and that they are followed, including checking the video record for demolition works.

G7		Check that there is no over-excavation/over-loading and temporary cut and fill slopes will not cause any inadequate margin of safety against instability to adjoining ground/buildings/structures/utility services or any harm to members of the public and workers on site.	Engineering items

G8		Check and monitor that the sequence of work and necessary protection works and supports are installed in accordance with approved plans/agreed method statements/precautionary measures proposals and that the supports are not to be removed or loaded in advance of adequate propping or restraint.

G9		Check that there is no risk of hydraulic failure causing ground collapse or excessive deformation.

G10		Check that there is adequate margin of safety against instability and integrity/functionality of nearby ground/buildings/structures/utility services and members of public and workers on site are not adversely affected/harmed.

G11		Check that the ground and groundwater conditions, ground deformations/vibrations and geotechnical hazards/risks are consistent with the design of excavation and lateral support works.

G12		Check that the geotechnical assumptions (i.e. ground model, surface water regime, ground water regime, ground deformations/vibrations, geotechnical hazards/risks, etc) are consistent with the geotechnical assessment/study/works design, and to assess their compatibility/adequacy taking into account the actual geotechnical conditions encountered on site and the original method statement and precautionary and protective measures proposed, and update the method statement, precautionary and protective measures and advise the RGE accordingly.

Gn	Any other items considered essential by the RGE for the project, including those for quality supervision and other conditions imposed by the BA at approval and/or consent stage.

CODE OF PRACTICE FOR SITE SUPERVISION – Typical Items for the Check List of Specific Tasks for RSE’s TCPs

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Table 5.2 Typical Items for the Check List of Specific Tasks for RSE’s TCPs
Description
Establish system for communicating with other TCPs.
Check that all monitoring check points are installed and readings are being taken in time.
	Verify non-conformity and instruct rectification works. Notify all relevant parties in respect of the non-conformity and monitor that rectification measures are properly carried out.

	Report to the RSE if the non-conformity is considered to pose an imminent danger, to be a significant risk or a source of danger or the RC does not comply with rectification instructions.

	Check that all lower grade TCPs and RC’s TCPs are making inspections no less than the required frequency and carrying out duties in accordance with the Technical Memorandum and the Code of Practice for Site Supervision.

	Check and satisfy that copies of approved plans (or submitted plans for minor works), method statements, precautionary and protective measures proposals and all related drawings are kept on site; and that they are followed, including checking the video record for demolition works.

	Check that there is no over-excavation and temporary cut slopes will not cause any instability to adjoining ground/structure/building.

	Check that enclosing walls for top down construction show no signs of defect or lack of soundness.

	Check and monitor that lateral supports are installed in accordance with approved/agreed sequence and not to be removed in advance of adequate propping or restraint.

	Check that the design and supports of formwork, shoring and temporary working platform are adequate to support all intended loads.

	Check that there is no risk of artesian conditions for excavation and lateral support works.

	Check that stability and integrity of nearby buildings and ground are not adversely affected.

	Check that the groundwater table is consistent with design of excavation and lateral support works.

	Check that before excavation takes place, the highest new deck level for top down construction is in place and has achieved sufficient strength to provide lateral support.

Any other items considered essential by the RSE for the project, including those for quality supervision and other conditions imposed by the BA at approval and/or consent stage.

CODE OF PRACTICE FOR SITE SUPERVISION – Typical Items for the Check List of Specific Tasks for AP’s TCPs

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Table 5.1 Typical Items for the Check List of Specific Tasks for AP’s TCPs
Description
Establish systems for co-ordinating, compiling and filing of reports, maintaining filing systems; and forwarding reports to AP in case of non-conformity.
Check that the hoarding and/or covered walkways are erected to secure safety of the public in accordance with the hoarding plan agreed by the BA.
Check that the provision and condition of scaffolding, catch fans, matscreens and heavy duty nylon mats, as appropriate, are satisfactory.
Check that monitoring check points are installed and readings are taken in time.
Register reports of non-conformity and inform relevant parties of non-conformity.
Report to the AP if the non-conformity is considered to pose an imminent danger, to be a significant risk or a source of danger or the RC does not comply with rectification instructions.
Check that all lower grade TCPs and RC’s TCPs are making inspections no less than the required frequency and carrying out duties in accordance with the Technical Memorandum and the Code of Practice for Site Supervision.
Check and satisfy that copies of approved plans (or submitted plans for minor works), method statements, precautionary and protective measures proposals and all related drawings are kept on site; and that they are followed, including checking the video record for demolition works.
Check and monitor that lateral supports are installed in accordance with approved/agreed sequence and not to be removed in advance of adequate propping or restraint.

Any other items considered essential by the AP for the project, including those for quality supervision and other conditions imposed by the BA at approval and/or consent stage.

CODE OF PRACTICE FOR SITE SUPERVISION – Typical Items for Specific Tasks by TCPs

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1 Typical Items for Specific Tasks by TCPs

The AP, RSE, RGE and AS shall devise check lists for their TCPs by making reference to the typical items listed in Tables 5.1 to 5.4 of this Code and to include any other particular items considered appropriate and necessary for their projects and surrounding conditions.

The TCPs shall carry out their duties as per the check lists devised by their own heads of stream and all the check lists and inspection records shall be kept on site for the inspection of the BA.

A typical checklist suggested for use, Form A, is shown in Appendix II to this Code.

All non-conformities detected during the checking of typical items for specific tasks by the TCPs must be properly recorded in the Non-Conformity and Rectification Reports, Form B at Appendix III to this Code. Detailed procedures for dealing with non-conformities are specified in paragraph 10.3 of this Code.

CODE OF PRACTICE FOR SITE SUPERVISION – Responsibilities and Duties under RC’s Stream

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Table 4.4 Responsibilities and Duties under RC’s Stream
		Authorized Signatory
Responsibilities	Assuming overall responsibilities in the appointment of his Representative and TCPs.Ensuring the full implementation of the supervision plan regarding his own stream.Ensuring that non-conformities are immediately acted on and that rectification is carried out forthwith.
Duties	Compiling his own part of the supervision plan.Devising checklists of specific tasks for his TCPs.Supervising his Representative and TCPs.Preparing plans, method statement and/or precautionary and protective measures for temporary works categorized as Case 2 and/or Case 3 under paragraph 4.7 of this Code.Notifying the AP of any non-conformities which pose an imminent danger, or cause a material concern for safety.Carrying out site inspections as necessary.
		AS’s Representative
Responsibilities	Accountable to the AS for the implementation of the RC’s supervision plan.Representing the AS as the formal point of contact in communication with other functional streams.Taking up overall responsibilities in carrying out site safety measures and actions in accordance with the supervision plan.Ensuring that the line management, including sub-contractors, are conversant with the supervision plan, and that good coordination and communication exists between his TCPs.
Duties	Directing staff and sub-contractors on safety related matters.Coordinating and compiling reports on supervision activities.Dealing with non-conformities.Assisting the AS in the investigation of the causes of each non-conformity and taking measures to prevent further occurrence.

Table 4.4 Cont’d

		T4/T5
Responsibilities	Accountable to the AS, through the AS’s Representative, for the implementation of the supervision plan.Taking up relevant responsibilities as set down in the Technical Memorandum and this Code.
Duties	Checking that assumptions made in the design of temporary works and method statements are validated on site.Checking that actual site conditions and works being carried out agree with the approved plans, design requirements, method statements and precautionary and protective measures.Carrying out specific tasks as per checklist devised by AS.Dealing with non-conformities by making referral to the AS’s Representative and notifying TCPs in other streams.
		T1-T3
Responsibilities	Accountable to the AS through the AS’s Representative.Taking up relevant responsibilities as set down in the Technical Memorandum and this Code.
Duties	Checking on routine basis that site works comply with general site safety requirements.Checking specialist aspects of work to see that they comply with the submitted supervision plans. (T2 & T3 only)Checking that the works comply with the approved plans (or submitted plans for minor works), method statements, precautionary and protective measures.Checking that subordinate TCPs have carried out routine checks at the correct frequency and that records are prepared and filed on site. (T2 & T3 only)Carrying out specific tasks as per checklist devised by AS.Dealing with non-conformities by making referral to the AS’s Representative and notifying TCPs in other streams.

Division of responsibility between AP/RSE/RGE and RC for Temporary Works and Working Procedures

The AP/RSE/RGE/RC have the responsibility to ensure the integrity of the temporary structure itself and the associated fixing methods.

The division of responsibility between AP/RSE/RGE and RC for temporary works and working procedures is detailed below:

Case 1 When the prescribed plans stipulate the temporary works, and the sequence of construction or method statements are also shown on prescribed plans, both the AP/RSE/RGE and the RC have their own responsibilities to supervise the carrying out of the works in accordance with the approved/prescribed plans and the Buildings Ordinance and Regulations.

Case 2 When the temporary works, the sequence of construction or method statements are not required to be shown on prescribed plans and have no effect on the permanent structure by way of overstressing or overloading, the RC has the sole responsibility of ensuring the integrity of temporary works and that the carrying out of temporary works should be safe and should not endanger the workers on site, the public and adjoining buildings.

Case 3 When the temporary works, the sequence of construction or method statements are not required to be shown on the prescribed plans but may have effect on the permanent structure by way of overstressing or overloading, the RC shall appoint a person whose qualification and experience are not inferior to a TCP of grade T5 to certify the plans, design information and/or method statement of the temporary works which are to be submitted to the Project RSE/RGE. The person so appointed should also certify the completion of such works. The RSE/RGE may require the RC to submit further calculations to substantiate his design of the temporary works as necessary.

Figure 4.2 illustrates the procedures for dealing with temporary works.

CODE OF PRACTICE FOR SITE SUPERVISION – Responsibilities and Duties under RGE’s Stream

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Table 4.3 Responsibilities and Duties under RGE’s Stream
		Registered Geotechnical Engineer
Responsibilities	Assuming overall responsibilities in the appointment of his Representative and TCPs.Ensuring the full implementation of the supervision plan regarding his own stream.Overseeing the full implementation of the supervision plan regarding the RC’s stream.Giving permission to the RC for carrying out temporary works categorized as Case 3 under paragraph 4.7 of this Code.
Duties	Compiling his own part of the supervision plan.Devising checklists of specific tasks for his TCPs.Supervising his Representative and TCPs.Notifying the AP of any non-conformities which pose an imminent danger, or cause a material concern for safety and the RC fails to rectify.Carrying out site inspections as necessary.
		RGE’s Representative
Responsibilities	Accountable to the RGE for implementing the RGE’s supervision plan.Representing the RGE as the formal point of contact in communication with other functional streams.Taking overall responsibility to check if the safety measures on site meet with the requirements of supervision plans.Accountable to the RGE for the satisfactory execution of the specific tasks, and for the responsibilities of junior TCPs including checking of the essential items for specific tasks provided in this Code.Checking and satisfying that the RC’s safety management structure complies with the supervision plan.
Duties	Assisting the RGE in carrying out safety management functions.Coordinating and compiling reports on supervision activities including reports on non-conformity.Dealing with non-conformities.

Table 4.3 Cont’d

		T5
Responsibilities	Accountable to the RGE through the RGE’s Representative, for the implementation of the supervision plan.Taking up relevant responsibilities as set down in the Technical Memorandum and this Code.
Duties	Carrying out specific tasks as per checklist devised by the RGE.Dealing with non-conformities by making referral to the RGE’s Representative and notifying TCPs in other streams.Checking that site works comply with the approved plan, design requirements including those of the method statements, precautionary and protective measures.Validating conditions on site which relate to design assumptions for temporary or permanent structures.
		T2/T3
Responsibilities	Accountable to the RGE through the RGE’s Representative.Taking up relevant responsibilities as set down in the Technical Memorandum and this Code.
Duties	Carrying out specific tasks as per checklist devised by the RGE.Checking that the works comply with the approved plans (or submitted plans for minor works), method statements, precautionary and protective measures.Monitoring the work of the RC’s TCPs.Dealing with non-conformities by making referral to the RGE’s Representative and notifying TCPs in other streams.

CODE OF PRACTICE FOR SITE SUPERVISION – Responsibilities and Duties under AP’s Stream

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Table 4.1 Responsibilities and Duties under AP’s Stream
		Authorized Person
Responsibilities	Assuming overall responsibilities in the appointment of his Representative and TCPs.Ensuring the full implementation of the supervision plan regarding his own stream.Overseeing the full implementation of the supervision plan regarding the RC’s stream.Establishing an efficient and effective mechanism for dealing with non-conformities.
Duties	Assessing the scale for each type of works relevant to the project.Compiling his own part of the supervision plan.Coordinating and submitting the supervision plan to the BA.Devising checklists of specific tasks for his TCPs.Supervising his Representative and TCPs.Notifying the BA of any non-conformities which pose an imminent danger, or cause a material concern for safety and the RC fails to rectify.Carrying out site inspections as necessary.
		AP’s Representative
Responsibilities	Accountable to the AP for the implementation of the AP’s supervision plan.Representing the AP as the formal point of contact in communication with other functional streams.Taking overall responsibility to check on site if the safety measures required under supervision plans are implemented.Accountable to the AP for the satisfactory execution of the specific tasks, and for the responsibilities of junior TCPs including checking of the essential items for specific tasks provided in this Code.Ensuring that the RC’s safety management structure complies with the supervision plan.

Table 4.1 Cont’d

Duties	Assisting the AP in carrying out safety management functions.Coordinating and compiling reports on supervision activities including reports on non-conformity.Dealing with non-conformities.
		T4
Responsibilities	Accountable to the AP, through the AP’s Representative, for the implementation of the supervision plan.Taking up relevant responsibilities as set down in the Technical Memorandum and this Code.
Duties	Carrying out specific tasks as per checklist devised by the AP.Checking that specified aspects of works comply with approved plans, design requirements and method statements, precautionary and protective measures are in place and followed.Dealing with non-conformities by making referral to the AP’s Representative and notifying TCPs in other streams.
		T3
Responsibilities	Accountable to the AP through the AP’s Representative.Taking up relevant responsibilities as set down in the Technical Memorandum and this Code.
Duties	Carrying out specific tasks as per checklist devised by the AP.Checking that the works comply with the approved plans (or submitted plans for minor works), method statements, precautionary and protective measures.Monitoring the work of the RC’s TCPs.Maintaining on site registers of all relevant site supervision plans together with all reports, documents and correspondence relating to the supervision plan.Dealing with non-conformities by making referral to the AP’s Representative and notifying TCPs in other streams.

Table 4.2 Responsibilities and Duties under RSE’s Stream
		Registered Structural Engineer
Responsibilities	Assuming overall responsibilities in the appointment of his Representative and TCPs.Ensuring the full implementation of the supervision plan regarding his own stream.Overseeing the full implementation of the supervision plan regarding the RC’s stream.Giving permission to the RC for carrying out temporary works categorized as Case 3 under paragraph 4.7 of this Code.
Duties	Compiling his own part of the supervision plan.Devising checklists of specific tasks for his TCPs.Supervising his Representative and TCPs.Notifying the AP of any non-conformities which pose an imminent danger, or cause a material concern for safety and the RC fails to rectify.Carrying out site inspections as necessary.
		RSE’s Representative
Responsibilities	Accountable to the RSE for implementing the RSE’s supervision plan.Representing the RSE as the formal point of contact in communication with other functional streams.Taking overall responsibility to check if the safety measures on site meet with the requirements of supervision plans.Accountable to the RSE for the satisfactory execution of the specific tasks, and for the responsibilities of junior TCPs including checking of the essential items for specific tasks provided in this Code.Checking and satisfying that the RC’s safety management structure complies with the supervision plan.
Duties	Assisting the RSE in carrying out safety management functions.Coordinating and compiling reports on supervision activities including reports on non-conformity.Dealing with non-conformities.

Table 4.2 Cont’d

		T5
Responsibilities	Accountable to the RSE through the RSE’s Representative, for the implementation of the supervision plan.Taking up relevant responsibilities as set down in the Technical Memorandum and this Code.
Duties	Carrying out specific tasks as per checklist devised by the RSE.Dealing with non-conformities by making referral to the RSE’s Representative and notifying TCPs in other streams.Checking that site works comply with the approved plans, design requirements including those of the method statements, precautionary and protective measures.Validating conditions on site which relate to design assumptions for temporary or permanent structures.
		T3
Responsibilities	Accountable to the RSE through the RSE’s Representative.Taking up relevant responsibilities as set down in the Technical Memorandum and this Code.
Duties	Carrying out specific tasks as per checklist devised by the RSE.Checking that the works comply with the approved plans (or submitted plans for minor works), method statements, precautionary and protective measures.Monitoring the work of the RC’s TCPs.Dealing with non-conformities by making referral to the RSE’s Representative and notifying TCPs in other streams.

CODE OF PRACTICE FOR SITE SUPERVISION – Safety Management and Responsibilities of Relevant Personnel

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1 Safety Management and Responsibilities of Relevant Personnel

Safety Management Structure

The Authorized Person (AP), Registered Structural Engineer (RSE), Registered Geotechnical Engineer (RGE) and Authorized Signatory (AS) of the Registered Contractor (RC) are the heads of the safety management structure of the respective functional streams. Other than the head, each of the supervision streams shall consist of a Representative of the head, TCPs responsible for routine safety supervision, i.e. T1 to T3 and TCPs responsible for engineering safety supervision, i.e. T4 to T5 as appropriate for a particular type of works. A Representative shall be the highest grade TCP within their respective stream and shall take the senior role in the management structure. Alternatively, the AP, RSE, RGE and AS may act as the respective representative themselves to carry out such safety management functions (subject to their inspection frequency be not less than that required of the highest grade TCP within their respective stream). A typical example of the safety management structure for a job site is illustrated in Figure 4.1.

Responsibilities of Relevant Personnel

The head of the management structure shall have overall responsibility and accountability for their respective functional stream. The Representative is directly accountable to the head (i.e. AP, RSE, RGE or AS, as the case may be), whereas all other safety management personnel are accountable to the head through the Representative. Responsibilities and duties of the heads, Representatives and TCPs regarding the preparation and execution of supervision plans are set out in Tables 4.1 to 4.4.

The supervision plan, if required to be submitted under the Technical Memorandum, shall be lodged with the BA by the AP prior to or at the same time as the application for the first consent for commencement of

building works or street works. For minor works carried out according to the simplified requirements, the supervision plans, if required to be submitted under the Technical Memorandum, shall be submitted to the BA not less than 7 days before commencement of the minor works. A standard form of Supervision Plan is set out in Appendix I.

The AP, RSE, RGE and AS shall also submit the confirmation of appointment of TCPs as at an Annex to Supervision Plan or within 7 days from the date of commencement of works as indicated in the Form BA10/ notice of commencement of minor works.

TCPs of higher grades may take up the responsibilities of those of lower grades and the duties of TCPs may be combined. For combination of the duties of TCPs, reference should be made to paragraphs 8.12 to 8.17.

CODE OF PRACTICE FOR SITE SUPERVISION – Objective and General Principles

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1 Objective and General Principles

Objective

This Code sets out and explains :
1. the procedures for establishing site supervision requirements for various types of building works or street works;
1. the deployment of Technically Competent Persons (TCPs) and the combination of their duties;
1. the principles of safety management structure within each functional stream (“stream”) and the responsibilities and duties of the head, representative and TCPs of each stream;
1. the specific tasks of TCPs in carrying out site supervision;
1. the division of responsibility for temporary works;
1. the qualification and experience requirements for each grade of TCP; and
1. the procedures for dealing with non-conformities.

Principles for Assessing Supervision Requirements

The site supervision requirements relate to the type of building works or street works and the scale of the works involved.

Other than the supervision requirements in accordance with paragraph 3.2, additional site supervision requirements shall be provided during the critical stages of various types of building works or street works.

The BA may review and adjust the supervision requirements, taking into consideration the prevailing state of technology and methods of construction.

The BA may also review and upgrade the qualifications and experience requirements for the TCPs and adjust their site inspection frequencies in order to further improve the standard of supervision, after taking into consideration their supply in the market.

CODE OF PRACTICE FOR SITE SUPERVISION – Interpretation

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1 Interpretation

Unless specified otherwise, the terms and expressions used in this Code shall have the same meaning assigned to them under the Buildings Ordinance and the Technical Memorandum. Any additional terms and expressions used are explained in the text of this Code.