附 录A Analysis of Safety Performance in the Construction IndustryData source:The HKU Scholars HubOver the years, many researchers have investigated into the safety perf
ormance of the construction industry. Some of them identified factors leading to the occurrence of accidents on construction sites. The high frequency of construction accident has casted the industry a considerable amount. The government and many concerned parties have taken measures against the potential causes of accidents, aiming at reducing accidents and promoting safety in the industry. 1. Definition of Accident Laney (1982) states that the simplest definition of an accident is “an uncontrollable occurrence which results in injury or damage”. The events leading up to an accident are controllable in most cases. International Labor Office Geneva (1983) and Kennedy (1997) also agree that accidents don’t just happen, they are preventable. All industrial accidents are, either directly or indirectly, attributable to human failings. Rowlandson (1997) points out that a number of elements which need to be incorporated into the definition if this is to be useful in terms of accident prevention. These elements are: a. lack o b. basic perso c. sub-standard acts and conditions C the symp d. an unplanned and undesired event or incident C e. an undesired outcome C death, injur f. a cost. He thus defines accident as: “... an unplanned incident leading to death, injury or property damage which stems from inadequate management control of work processes manifesting itself in personal or job factors which lead to substandard actions or conditions which are seen as the immediate causes of the accident.” 2. Common Accidents in Construction Industry According to Lingard and Rowlinson (1994) accident proneness can be measured by thefrequency of accident occurrence. According to some researches, construction industry has the highest accident rate over the years, thus it is said to be more accident-prone than other industries. It is essential to understand why construction industry is more vulnerable to accident than the others. The Labour Department classified construction accidents by types.Table 1 shows the number of injuries in 2004 and figures in blankets are the number of fatalityfixed or stationary object Fall of person from height Injured whilst lifting or carrying11.9% 11.7% 16.0% 17.3% 19.7% 7.0% 16.4%Slip, trip or fall on same level Striking against or stuck by moving object Contact with moving machinery or object being machined OthersThe above chart shows the major accidents which contributed more than 5% of the construction accidents in 2004: 3. Facors Affecting Safety Performance of Construction Industry Many researchers have studied the factors affecting safety performance on construction sites. Stranks (1994) points out that the reasons of the poor safety record may correlate with many factors such as complexity of the work or system, risk nature of works, management style, safety knowledge and commitment, and personal behavior. Here are several factors that affect safety performance of contraction industry. a. Company Size Tam and Fung (1998) study the effectiveness of safety management strategies on safety performance. In this study, the safety performance of companies is gauged by their accident rates in 1994 as accident rates are steadier throughout the year and they can be easily obtained. In the study, it is found that company size, in term of number of management staff, affects safety performance. Tam and Fung (1998) observe that the accident rate of small companies is highest, the rate for medium sized lies almost at the industrial average and that for the large firms is the lowest. This demonstrates that larger firms generally have better safety records. This could be resulted from the more structured and formalized safetyprogrammers, and stronger management commitment to safety. It is found that the higher number of employees in the organization, the lower figure of the accident rate. b. Level of Subcontracting Multi-layer subcontracting is unique to China construction industry and has been the most common practice being used with long history. Subcontractors would normally further subcontract their work without the consent of their principal contractor to several smaller firms in order to minimize their overheads. Multi-layers of subcontractors is one of the major difficulties in implementing safety management. Recent study carried out by Wong and So(2004) shows the current status of the subcontracting practice and how multi-layer subcontracting system affects construction safety performance. Their questionnaire survey reveals that the majority of respondents (45.5%) would sublet 80-90% of their works to subcontractors. None of the respondents would carry out construction work that fully relies at least 30% of works would be subcontracted out. Lai (1987) attributes the high site accident rates to the use of labour-only subcontractors. As subcontracted workers are highly mobile, lack loyalty to contractors and are rewarded according to work done, they are difficult to control. Implementing safety practices on site becomes more difficult. Recent researchers, like Wong (1999) and Lee (1996), believe multi-layer subcontracting system is one of the major causes to poor safety performance in China’s construction industry. The most extreme case of subcontracting quoted by Lee (1999) was subcontracting up to 15 layers. He describes such multi-layer subcontracting as common and excessive. Small business, like subcontractors, face with specific health and safety challenges. Many firms lacked adequate resources and were often struggling to survive. Moreover, they lack an understanding of their obligations and the health and safety issues of their processes. These can be supported by Rawlinson’s (1999) study for Housing Authority. He finds that average 84% of workers injured from 1995 to 1998 were subcontractors’ workers. Such situation may be due to subcontractors’ workers’ inadequate training and awareness of safe working practice. Tam and Fung (1998) find there is a significant difference between trained and un-trained employees in relation to accident rate. 4. CommunicationAccording to Wong (2002), communication is a major factor affecting the safety on sites. However, it has seldom been discussed before. Wong (2002) conducts a research to find out the causes of communication problems between main contractors and subcontractors. He identifies 12 factors leading to poor communication in construction industry. Among them, 10 are discussed here as they are more relevant to the territory and have been discussed by other researchers. These factors are listed below: i. Industry Nature In order to complete the project on time, construction projects are carried out under almost all sorts of weather conditions. Besides, construction workers are usually not well-educated. These cause communication difficulties. ii. Industry Culture Wong (2000) identifies sub-contracting system is a hurdle to construction safety as they are engaged on day-work basis, thus they are not aware to site safety. iii. Client Type There are 2 types of clients, public and private ones. Government bodies are public clients. Private clients can be further divided into experienced and inexperienced. Their concern and expectation on site safety performance appear to be different. iv. Organization Structure Fryer (1997) suggests that organization structure, including hierarchy, downsizing and decentralization vs. decentralization, rigidity vs. flexibility, rules and procedure, would affect the result of communications. According to Wong (2002), downsizing became popular since 1990s because this can allow flexibility for people for respond more quickly to change. v. Relationship of Main and Sub-Contractors The poor relationship between contractors is an obstacle to construction safety. However, such situation could be resolved by partnering. Wong (2002) says that partnering is considered by most of the project participants as a worthwhile initiative. vi. Communication Barriers Hicks and Gullett (1983) points out that communication overload and inattention to message can cause ineffective communication. People may receive more information than they can process or they spend time evaluating the sender and the message before the entiremessage is being passed or read. vii. Content of Information Wong (2002) attributes poor safety performance to the content of information. If content of information, such as method statements, working, drawings or safety procedures, are inaccurate or unclear, safety could not be effectively achieved. viii. Value of Communicators Tam et al (2001) point out that many production personnel rank safety in a lower priorities when compare with meeting the production schedule, quota and cost targets. Besides, Nichols and Stevens (1999) mention the failure of many superiors to listen. As a result, safety issue does not receive enough attention. ix. Provision of Continuous Training Enrichment of safety knowledge is essential. Teo et al (2005) carry out a study to find out the methods in fostering workers’ safe work behaviours. They find that training is an important way to enable workers to work safely, because they are equipped with the knowledge of how to work safely. x. Workers’ Attitude Workers’ incorrect attitude towards site safety is a big difficulty in making safety sites. In Chan et al’s (1999) research, it is found that workers do not think they have the duty to comply with safety regulations for the main contractors. They will be more aware to safety issues after serious accident but they will resume their own way of practice shortly after that. Hinze (2002) and Vredenburgh (2002) state that site safety could only be improved if workers change their behaviours towards site safety. Teo et al (2005) also agree that negligence in safety and lack of awarenessto ensure lingering dangers on site would increase the chances of workers getting injured. 5. Accident Costs and Safety Costs The construction industry in China, especially for building projects, has a very poor safety record. According to Hinze and Raboud (1988), it is a common perception that “safety” is unproductive and not vital to the success of a project as contractors may not be appreciated by just keeping good safety on sites. However, it should be noted that accidents do not just lead to injury and loss of lives, a huge amount of accident costs is induced as well.Accordingly, safety investment in construction projects could better the safety performance and avoid the huge amount of accident costs. Ridiculously, most contractors are not willing to invest their money, time and effort to operate and to maintain effective safety programmers. They are not fully aware of the costs of an accident. Over the years, there have been many studies of the cost of accidents and it is found that, accident costs could be huge. Rowlinson (1997) identifies that cost of an accident is not only constituted of hospitalization and compensation costs of the individual involved in the accident. De Saram and Tang (2005) admit that construction accidents may result in numerous damages and losses. By understanding all the costs incurred by construction accidents, contractors might be surprised, and thus realize the importance of site safety investment. 6. Safety Management System Safety management systems are not new to us. Many have been written on it. Site safet is regarded as an integral part of the project objective and safety attitudes a part of the project culture in order to pursue site safety effectively. Management at head office and on-site must be seen to care. Only then, an effective and committed safety officer will be appointed and given sufficient call on time and resources to achieve site safety. According to the Labour Department, below are the objectives of setting up a safety management system: a. to prevent improper behaviour that m b. to ensure that problems are d and c. to ensure that accidents are reported and handled properly. Besides, a safety management system enables flexibility of developing safety policies and measures most suitable to the particular circumstances of individual companies. The inputs from employer and employees make the safety management processes more readily be modified to keep pace with changing circumstances. An effective safety management system can be used to manage and control both existing and potential hazards and its effectiveness can be maximized when an organization is able to combine occupational safety and health issues into its business strategy. In this paper, statistics of construction safety, common accident types, factors affectingsafety performance and legislations related to construction safety have been reviewed. Statistics shows the unacceptable construction safety performance in the past. Therefore, the government introduced safety management system to the industry, hoping to establish a self-regulating atmosphere. Besides, government keeps introducing new legislation, for example the Construction Workers Registration Ordinance, and amending existing legislations to cope with the industry. Though the accident rate becomes stagnant in recent years, the fact shows the government’s determination in improving the industry to an accident-free one.附 录B 关于建筑行业安全施工的分析资料来源：香港大学学者中心多年来，许多研究人员都对建筑业的安全施工做出过深入研究。有些找出了导致施 工现场多发事故的原因。高频事故率对建筑行业造成了很大的损失。针对可能造成事故 的潜在因素，政府和相关方面的人员已采取措施，目的在于减少事故，促进安全施工。 （1） 事故的定义 莱尼 (1982)阐明，事故最简单的定义是：一种可造成伤害或损伤但却无法控制的 发生事件。 多数情况下， 导致事故的原因是可控制的。 国际劳工事务所日内瓦分部(1983) 和肯尼迪分部(1997)也一致同意事故不仅仅是发生，也是可防止的。 所有工业事故， 或直接或间接的，都是人为因素造成的。 罗林森(1997)指出：若要对预防事故有所帮 助，在给事故下定义时我们需考虑多种因素。这些元素包括： ①缺乏管理控制；②基本的个人和任务因素； ③不合标准的行动和情况C事故的症 状；④计划之外和未预料的事件或事件C事故； ⑤未预料的结果C死亡、伤害或者财产 损害； ⑥费用。 他因而给事故下定义下： “…由于在施工过程中对人员或工程不当的管理或其他 工作因素（这些工作因素能造成不合标准的作业或情况从而能很快的引起事故的发生） 而造成的能引起死亡、伤害及财产损失的一种未预料到得事件。 ” （2）建筑行业的常发事故 根据林加德和罗林森 (1994)的研究，事故征候可以由事故发生频率测量。 据一些 研究说明，多年来建筑行业的事故发生率一直居于首位，因而它比其他产业相比易出事 故。理解建筑行业相比其他行业更容易发生事故的原因是十分必要的。劳工部门对建筑 事故做出了分类。表 1 显示在 2004 年事故伤害的类型和事故发生率：表 1 事故类型及发生率 固定或静止不动的物体 高处坠落 升降或携带造成的伤害 水平滑落、下降或失足造成的伤亡 移动物体时击打或卡住 机械伤害 其他 11.9% 11.7% 16.0% 17.3% 19.7% 7.0% 16.4%以上图表显示的重大事故， 在 2004 年超过 5%的是工程事故。 （3）影响建筑行业安全施工的因素 许多研究人员已经研究了影响建筑行业安全施工的因素。斯特兰克斯(1994)指出： 引起安全事故较多的原因有许多；诸如，风险性质的工作或系统的工作、管理风格、安 全知识以及个人的行为。下述文章列举了影响安全施工的因素： ①公司规模。潭、凤(1998)研究了安全管理策略对安全施工的有效作用。在这项研 究中，公司施工的安全性取自 2004 年的事故率，因为该年的事故率比较稳定并且容易 获得。该项研究发现：公司规模，即管理人员的数量多少影响安全性能。潭、凤(1998) 观察到事故的发生率最高的是小公司，中等规模的事故率较为平均，而大规模公司的事 故率是最低的。结果表明：大公司通常有更好的安全记录。这要归结于更结构化和形式 化安全章程和较强的安全管理承诺。研究表明：机构中员工人数越多，事故率越低。 ②分包水平。多层转包合同是中国建筑行业所特有的并且存在已久的一种现象。通 常情况下，为了将可能降低管理费，分包商会在未经主办方同意的情况下进一步将合同 分包给几个较小的公司。多层分包是造成安全管理问题的主要困难之一。由王和苏所作 的最近的研究表明了当前状态分包实践中存在的问题并提出多层分包体系影响施工安 全性能。他们的问卷调查显示，大多数参与调查的承包商(45.5%)会将整个工程的 80% 90%的分包给其他承包商。 参与调查问卷者均表示： 几乎没有承包商愿意独立完成工程， 他们会分包出至 30%的工作量。 赖(1987)将较高的安全事故率归咎于仅依靠人力作业的分包商。作为分包的工人是 高度机动的、缺乏忠诚于承包商和被奖励根据所做的工作，所以它们很难控制。现场实 施安全惯例变得更加困难。最近的研究人员，像王(1999)和李(1996)，认为多层转包合 同制度是造成中国的建筑业安全系数较低的主要原因。 李所引用的最极端的一起分包商事件是工程上下分了 15 层。他描述了这种多层转包是广泛普遍存在的。 小公司，比如分包商、面临着特定的健康和安全挑战。许多公司通常都缺乏足够的 资源因而勉强生存此外， 而且他们缺乏责任义务意识， 在施工过程中忽略健康安全问题。 罗斯林有关房产权威的研究可以支持上述观点。他发现从 1995 年到 1998 年中受 伤的 工作人员平均 84%为分包商的工作人员。 造成这种情况原因可能是由于分包商的工人训 练不足，缺乏安全工作实践意识。潭、凤(1998)发现员工受到训练于事故率之间有很大 的关系。 （4）沟通交流。根据黄(2002)所作的研究，沟通不足是引起现场施工安全的一个 主要因素。然而它之前还很少被讨论过。黄(2002)进行了研究，以找出主要承包商和分 包商之间的沟通问题。他找出了导致建筑行业沟通不足的 12 种因素。其中 10 种在此讨 论，因为他们是相关的区域，并经过了其他研究人员的讨论。以下列出的是这些因素： 工业性质：为了按时完成这项工程，在任何气候条件下都要进行作业。此外建筑工 人通常都没有受过良好的教育。这些导致沟通困难。 文化产业：黄指出，分包体系是是安全施工的一个障碍，这是因为施工人员是按天 工作并且毫无现场施工安全意识。 客户端类型： 有 2 种类型的客户资源， 公共型和私人型。 政府部门属于公共客户群： 私人客户又可进一步划分为有经验的和没有经验的。 他们对现场施工安全的期望和关注 度明显不一样。 组织结构：弗莱尔认为包括层次结构，精简和分权放权，刚度和灵活性、规则和程 序在内的组织结构会影响交流的结果。根据黄(2002)的研究，20 世纪 90 年代以来裁员 变得非常受欢迎，因为它更具灵活性，方便人们更迅速地做出改变。 和分包商的关系：主要承包商与分承包商之间的隔阂是造成施工安全的一个障碍。 然而这样的情况可以因为合作关系而得到解决。 王认为多数的工程承包商合作伙伴关系 当做是一种有价值的举动。 交流障碍：希克斯和格莱特(1983)指出，沟通信息过载和疏忽会导致无效的沟通。 人们可能会收到更多的信息比它们能过程或他们花时间评估之前发送方和信息完整的 讯息被通过或阅读。 信息内容：王将低效的安全施工归结到信息内容。如果诸如包括方法陈述，工作、 图纸或安全规程在内的信息内容不准确或不清楚，安全问题就不能有效的把握。 沟通者的价值：塔姆札特(2001)指出，许多生产人员的安全在较低优先级的时候与会议制定生产排程，配额和成本目标。此外，尼科尔斯和史蒂文斯(1999)提到许多更高 级的失败。结果是，安全问题没有收到足够的重视。 持续培训的规定：丰富安全知识是非常必要的。特欧（2005)进行一项研究，以找 出方法在培养工人的安全工作行为。他们发现，训练是一种使工人安全工作的重要的方 法 ，因为他们都具备了安全工作的知识。 工人的态度：工人们对待现场安全不正确的态度是确保施工安全的一大障碍。陈的 (1999)的研究表明，发现工人不认为他们有责任遵守主要承包商的安全规则。他们将更 加留意安全问题严重的事故后， 但是他们会重新开始他们自己的方式来实践在那之后不 久。黑泽(2002)和乌任登布尔指出：只有在工人改变对待现场施工现场安全态度后，施 工安全才可能有所提高。特尔(2005)还同意，忽视安全保障和缺乏危险意识会增加萦绕 在现场工人受伤的机会。 （5）事故和安全代价 中国的建筑业尤其是建筑工程的安全记录很差。根据黑泽和若邦德(1988)，它是一 种常见的人们认为“安全”是至关重要的，非生产性的，而不是一个成功的项目承包商可 能不被欣赏，因为只是始终保持良好的安全的网站上。然而，必须注意到事故不仅仅是 导致伤害和生命的灭失，大量的事故成本是诱导。因此，在建设项目安全投资可以更好 的安全性能，避免了大量的事故成本。可笑的是，大多数的承包商不愿意投资他们的金 钱，时间和精力来操作和维护有效的安全的程序员。他们不是完全清楚以这种方式生活 的成本是一次意外。 在过去的几年里，已经有许多研究的费用的事故，我们不难发现:事故成本可能是 巨大的。罗林斯成本(1997)认定意外事故的不仅是构成的住院和补偿成本相关的个人在 这次事故中。与唐? 德?洒然木(2005)承认工程事故可能会导致众多的破坏和损失。通过 了解所有的费用，通过施工事故，承包商可能惊讶，从而实现现场安全投资的重要性。 （6）安全管理体系 安全管理系统对我们而言并不陌生。有很多已经写在上面。现场安全被认为是完成 工程目标不可或缺的一部分， 安全态度则被认为是有效确保施工安全的工程文化组成部 分。在总部和现场管理应以人们看得见的方式照顾。只有这样，一位办事有效、遵守承 诺的安全官员将被聘用，并且及时有效的补充资源来实现现场安全 根据劳动部门的目标，以下是建立安全管理体系: ①预防可能导致事故的不合理行为；②确保问题得以调查、报到； ③以确保事故报导及得到适当的处理。 此外， 安全管理系统确保安全政策发展的灵活性及使单个公司在特定环境下能采取 最合适的措施。从雇主、雇员的投入时，使安全管理过程更加轻易地修改，以跟上变化 的情况。 一个有效的安全管理系统可以用来管理和控制两个现有的和潜在的危险因素及其 有效性可以最大的时候，一个组织能够把职业安全与健康问题纳入其商业策略。 本文对统计施工的安全，常见事故的类型、影响因素相关的安全性能和法规建设的 安全问题进行了论述；也对过去发生的不能接受的安全施工做出分析。因此，中国政府 采取了安全管理体系等制度以产业，希望建立一个自动调节的气氛。 此外，政府一直 都在引入新的法律，例如《建筑工人注册条例》 ，并修改现有的立法来应对这个行业。 尽管近年来事故发生率趋于平缓， 这一事实表明政府决心提高产业使其成为零事故率行 业。
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