Category Archives: CODE OF PRACTICE FOR SITE SUPERVISION

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

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.

CODE OF PRACTICE FOR SITE SUPERVISION – Scope

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1 Scope

Safety management of building works or street works addresses two types of supervision:
1. Quality Supervision

This means ensuring that the building works or street works are carried out in general accordance with the provisions of the Buildings Ordinance and Regulations, and with the plans approved in respect of them by the Building Authority (BA) or the plans submitted to the BA in respect of minor works which are carried out in accordance with the simplified requirements (hereafter called “submitted plans for minor works”), and with any order made or condition imposed, pursuant to any provision of the Ordinance or regulations in that behalf, by the BA; and

Site Safety Supervision

This means controlling hazards from building works or street works so as to minimize the risk to:

the workers on site;
- all persons around the site; and
- adjoining buildings, structures and land.

The Technical Memorandum for Supervision Plans (the “Technical Memorandum”) sets out the principles, requirements and operation of supervision plans. This Code of Practice for Site Supervision provides detailed guidance to the practitioners on the application of the Technical Memorandum in the preparation of supervision plans and in the adoption of good practices for site supervision.

Apart from the Technical Memorandum, reference should also be made to the Buildings Ordinance, Practice Notes for Authorized Persons, Registered Structural Engineers and Registered Geotechnical Engineers, Practice Notes for Registered Contractors and any other relevant documents issued by the BA.

CODE OF PRACTICE FOR SITE SUPERVISION – FOREWORD

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The Supervision Plan System has been implemented since December 1997 with the issuance of the Technical Memorandum for Supervision Plans (the “Technical Memorandum”) and the Draft Code of Practice for Site Safety Supervision. The Draft Code was refined in November 2000 with some clarification on the principles and requirements and some simplification on the procedures.

Pursuant to the enactment of the Buildings (Amendment) Ordinance 2004, the second edition of the Technical Memorandum and Code of Practice for Site Supervision came into effect on 31 December 2005. The revisions covered inclusion of the requirements for quality supervision and the qualified supervision requirements for geotechnical works, deletion of the details on assessment of degree of complexity and class of supervision, and updating of the qualification and experience requirements for TCP and the additional supervision requirements for critical stages of building works.

With the introduction of the minor works control system and a new register of minor works contractors under the Buildings (Amendment) Ordinance 2008, a new regime to control the carrying out of building works that are designated as minor works is established. This revision covers supervision requirement for the carrying out of minor works and other minor refinements of the Supervision Plan System.

This Code of Practice gives guidance to authorized persons, registered structural engineers, registered geotechnical engineers, registered contractors and other personnel in the building industry for the preparation of supervision plans, carrying out their respective supervision duties and other site supervision matters.