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Health and Safety Executive The effectiveness of HSE’s regulatory approach: The construction example Prepared by Frontline Consultants for the Health and Safety Executive 2016 RR1082 Research Report Health and Safety Executive The effectiveness of HSE’s regulatory approach: The construction example Mike Webster and Helen Bolt Frontline Consultants Central Court 25 Southampton Buildings London WC2A 1AL Prepared in December 2013 This project has examined the effectiveness HSE’s approach to regulation of the construction sector since 2001. HSE provided a catalyst for change – utilising its unique information on the industry and expertise in understanding reasonably practicable control to support risk creators in their control of these risks. HSE worked through the supply chain by engaging and acting in partnership with those able to bring about widespread change – such as company directors, or strategic bodies focused on particular interest groups or sectors. New broader intervention approaches were designed to allow HSE to engage appropriately at critical points in the supply chain. In light of HSE’s work with the construction industry - and the industry’s efforts to take responsibility and make good health and safety a priority - substantial improvements in health and safety management and performance can be identified. A number of key messages are identified, to be considered in the application of such approaches to other industry sectors. These are necessary elements to enable effective engagement with a sector and for the sector to take up the mantle to ‘be part of the solution’ and achieve sustained improvement in health and safety performance. This report and the work it describes were funded by the Health and Safety Executive (HSE). Its contents, including any opinions and/or conclusions expressed, are those of the authors alone and do not necessarily reflect HSE policy. HSE Books © Crown copyright 2016 First published 2016 You may reuse this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view the licence visit www.nationalarchives.gov.uk/doc/open-government-licence/, write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email [email protected]. Some images and illustrations may not be owned by the Crown so cannot be reproduced without permission of the copyright owner. Enquiries should be sent to [email protected]. Acknowledgements The authors would like to express their enormous gratitude to the people who provided their valuable time and input to the workshops and to the HSE Steering Group for providing access to valuable information. CONTENTS GLOSSARY AND LIST OF ACRONYMS v EXECUTIVE SUMMARY ix 1. INTRODUCTION 15 1.1 Aims and objectives 15 1.2 Context of this research 15 1.3 Approach to this project 17 2. REGULATORY CONTEXT 19 2.1 Purpose 19 2.2 Origins of Health and Safety Regulation 19 2.3 Health and Safety Regulation under HSWA 20 2.4 Health and safety regulation in GB in the 21st Century 23 2.5 The wider practice of Regulation 25 3. THE HEALTH AND SAFETY EXECUTIVE’S APPROACH TO INTERVENING WITH THE CONSTRUCTION INDUSTRY 27 3.1 Background 27 3.2 Construction Division’s Intervention Strategy 30 3.3 Development of Intervention Techniques 34 3.4 Construction Programme Delivery 35 3.5 Wider HSE Programme Activity and Developing Approaches to Intervention 37 3.6 Intervention Techniques 42 4. STRUCTURE OF THE CONSTRUCTION INDUSTRY 45 4.1 Defining the Construction Industry 45 4.2 Describing Construction Activity 46 4.3 What does this mean for HSE’s approach to construction intervention? 49 i 5. CHANGES IN HEALTH AND SAFETY PERFORMANCE AS INDICATED BY STATISTICS 51 5.1 Introduction 51 5.2 Data Limitations 51 5.3 Absolute numbers 52 5.4 Death and injury rates in construction 53 5.5 Comparison with industry activity / output levels 56 5.6 Comparison with other industries 57 5.7 Comparison with Targets 59 5.8 Other Data 60 5.9 International Comparisons 60 5.10 What does this mean? 61 6. CHANGES IN HEALTH AND SAFETY PERFORMANCE BETWEEN 2002 AND 2010 AS INDICATED BY WORKSHOPS HELD IN 2002, 2006 AND 2010 63 6.1 Introduction 63 6.2 The Influence Network 63 6.3 Changes in factor ratings between 2002, 2006 and 2010 69 6.4 Variations in risk index 78 6.5 Changes to the factors having the most significant influence on construction health and safety 81 6.6 Changes to the factors having the greatest potential for improvement 84 6.7 Summary 88 7. CHANGES IN HEALTH AND SAFETY PERFORMANCE BETWEEN 2002 AND 2013 AS INDICATED BY WORKSHOPS HELD IN 2013 89 7.1 Summary 89 7.2 Methodology 90 7.3 Changes in health and safety practices over the last 10 years 92 7.4 Influences on health and safety practices 110 ii 8. CHANGES IN HEALTH AND SAFETY PERFORMANCE IDENTIFIED FROM THE LITERATURE 115 8.1 Soft issues 115 8.2 Non-Site Interventions 121 8.3 Occupational health management 124 8.4 Smaller contractors and smaller sites 128 8.5 Site blitzes and connected publicity 132 8.6 Communications 135 8.7 Designer initiatives 141 8.8 Regulation 145 8.9 Use of intelligence, targeting and data 151 9. CHANGES IN HEALTH AND SAFETY PERFORMANCE IDENTIFIED FROM SURVEYS UNDERTAKEN IN 2006 AND 2010 155 9.1 Introduction 155 9.2 The role of the Client 156 9.3 The role of the organisation making the appointments 157 9.4 The design 158 9.5 On-site construction 159 9.6 Commitment to site workers 160 9.7 Suitability of structures for future use 161 9.8 Influences on health and safety 161 9.9 The influence of the CDM Regulations 163 9.10 What does this mean? 164 10. CHANGES IN HEALTH AND SAFETY PERFORMANCE FROM SURVEYS 165 10.1 Introduction 165 10.2 Omnibus worker survey 166 10.3 Booster survey 167 iii 10.4 Risk Control Indicator ratings 173 10.5 What does this mean? 174 11. DISCUSSION AND IMPLICATIONS 175 12. LOOKING TO THE FUTURE 185 12.1 Regulating the construction industry 185 12.2 Regulating other industries 185 13. REFERENCES 187 14. APPENDIX A – SUMMARY OF THE EVIDENCE REVIEWED 195 iv Glossary and list of acronyms ACoP Approved Code of Practice – provides practical guidance on complying with the duties set out in the associated HSE Regulations. BCWE Behaviour Change and Worker Engagement CBH Constructing Better Health CDM 1994 Construction (Design and Management) Regulations 1994 CDM 2007 Construction (Design and Management) Regulations 2007 CD HSE’s Construction Division CDM The CDM Coordinator’s role is to provide the Client with a key project Coordinator advisor in respect of construction health and safety risk management matters; they should assist and advise the Client on appointment of competent contractors and the adequacy of management arrangements; ensure proper co-ordination of the health and safety aspects of the design process; facilitate good communication and co-operation between project team members and prepare the health and safety file CHSW Construction Health and Safety at Work Regulations – latterly incorporated into CDM 2007 CIC HSE’s Chief Inspector of Construction CITB Construction Industry Training Board Client An organisation or individual for whom a construction project is carried out, whether by others or in-house. COHME Construction Occupational Health Management Essentials CONIAC Construction Industry Advisory Committee – a group comprising representatives of HSE, employers and workers ConPP/ConP HSE’s Construction Priority Programme / Construction Programme Contractor Someone who undertakes, carries out or manages construction work CPD Continuing professional development CSCS Construction Skills Certification Scheme Designer The person (or organisation) who has a trade or business which involves them in: preparing designs for construction work including variations (this includes preparing drawings, design details, specifications, bills of quantities, and the specification of articles and substances as well as the v related analysis, calculations, and preparatory work); or arranging for their employees or other people under their control to prepare designs relating to a structure or part of a structure DETR Department for the Environment, Transport and Regions (a former parent Government Department to HSE) DIAS HSE’s former Directorate of Information and Advisory Services Duty holder A duty holder is any person or organisation holding a legal duty that has been placed on them by a regulation such as CDM 2007. In CDM 2007, there are five duty holder types: Clients, CDM Coordinators, Contractors, Designers and Principal Contractors (definitions for each are provided in this Glossary) DWP Department for Work and Pensions (current parent Government Department to HSE) ECA Electrical Contractors Association EMM HSE’s Enforcement Management Model EPS HSE’s Enforcement Policy Statement Fit3 HSE’s programme Fit for work, fit for life, fit for tomorrow FOD HSE’s Field Operations Directorate of which Construction Division is a part GDP Gross domestic product HAVS Hand-Arm Vibration Syndrome HSC Health and Safety Commission – this was merged with HSE in 2008 HSE Health and Safety Executive HSWA The Health and Safety at Work etc. Act 1974 ICC HSE’s Incident Contact Centre ICE Institution of Civil Engineers ILM Intervention Logic Model IN The Influence Network technique IOD Institute of Directors LA Local Authority vi LFS Labour Force Survey MEWP Mobile Elevating Work Platforms MSD Musculoskeletal Disorders NAO National Audit Office NASC National Association of Scaffolding Contractors ODA Olympic Delivery Authority
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