Gary Morton – October 2015

ESS Health & Safety Arrangements

Construction Design and Management (CDM)

Distribution:This document must be brought to the attention of all ESS managers, employees and contractors working in construction.

Contents:

1.0Introduction to the CDM 2015 Regulations

2.0Summary of Duty Holder Responsibilities

3.0CDM Notification Requirements

4.0 Client Duties

5.0Designers Duties

5.1Arrangements for Internal Design Development at Newcastle University

6.0Principal Designers Duties

6.1Newcastle University Internal Arrangements for Principal Designer

7.0Contractors/Principal Contractors Duties

7.1ESS Representatives Acting as Principal Contractor (small non notifiable projects eg decoration)

  • Appendix 1 Construction Phase Plan Aide Memoir
  • Appendix 2 Health and Safety File Template
  • Appendix 3 Pre Construction Information Template
  • Appendix 4 Designers Red, Amber and Green Lists, practical aides for designers on what to eliminate/avoid, and what to encourage.(Developed by HSE)
  • Appendix 5 Principal Designer Letter of Appointment
  • Appendix 6 Principal Designers Scope of Service
  • Appendix 7 Principles of Prevention

Industry Guidance (CITB Interactive Guidance Booklets)

Client(Includes Clients Preconstruction Checklist)

Designer(Includes Designers Red Amber Green Lists)

Principal Designer

Principal Contractor

Contractor

1.0Introduction to CDM 2015 Regulations

The Construction (Design & Management) Regulations (CDM) are the main set of regulations formanaging the health, safety and welfare in construction projects.

CDM applies to all building and construction work and includes new build, demolition, refurbishment,extensions, conversions, repairs and maintenance.

Theserevised regulations came into force on 6 April 2015.

The ‘Approved Code of Practice’ for CDM 2007 was withdrawn on 6 April 2015 and replaced with Guidance.

The new guidance is made up of five Parts:

Part 1 Commencement, interpretation and application

Part 2 Client duties

Part 3 Health and safety duties and roles

Part 4 General requirements for all construction sites

Part 5 General Section

Click here to download a copy of the Guidance

1.1Construction Work Definition

“Construction work” means the carrying out of any building, civil engineering or engineering construction work and includes:

athe construction, alteration, conversion, fitting out, commissioning, renovation, repair, upkeep, redecoration or other maintenance (including cleaning which involves the use of water or an abrasive at high pressure, or the use of corrosive or toxic substances), de-commissioning, demolition or dismantling of a structure;

bthe preparation for an intended structure, including site clearance, exploration, investigation (but not site survey) and excavation (but not pre-construction archaeological investigations), and the clearance or preparation of the site or structure for use or occupation at its conclusion;

cthe assembly on site of prefabricated elements to form a structure or the disassembly on site of the prefabricated elements which, immediately before such disassembly, formed a structure;

dthe removal of a structure, or of any product or waste resulting from demolition or dismantling of a structure, or from disassembly of prefabricated elements which immediately before such disassembly formed such a structure;

ethe installation, commissioning, maintenance, repair or removal of mechanical, electrical, gas, compressed air, hydraulic, telecommunications, computer or similar services which are normally fixed within or to a structure,

2.0Summary of CDM Duty Holders Responsibilities

CDM dutyholders*
Who are they / Summary of role/main duties
Clients are organisations or individuals for whom a construction project is carried out / Make suitable arrangements for managing a project. This includes making sure:
  • Other dutyholders are appointed
  • Sufficient time and resources are allocated
  • Relevant information is prepared and provided to other dutyholders
  • The principal designer and principal contractor carry out their duties
  • Welfare facilities are provided
See paragraphs 23-52 for more guidance
Domestic clients are people who have construction work carried out on their own home, or the home of a family member that is not done as part of a business, whether for profit or not / Domestic clients are in scope of CDM 2015, but their duties as a client are normally transferred to:
  • The contractor, on a single contractor project
or
  • The principal contractor, on a project involving more than one contractor
However, the domestic client can choose to have a written agreement with the principal designer to carry out the client duties.
See paragraphs 53-56 for more guidance
Designers are those, who as part of a business, prepare or modify designs for a building, product or system relating to construction work / When preparing or modifying designs, to eliminate, reduce or control foreseeable risks that may arise during:
  • Construction, and
  • The maintenance and use of a building once it is built
Provide information to other members of the project team to help them fulfil their duties.
See paragraphs 72-93 for more guidance
Principal designers** are designers appointed by the client in projects involving more than one contractor. They can be an organisation or an individual with sufficient knowledge, experience and ability to carry out the role / Plan, manage, monitor and coordinate health and safety in the pre-construction phase of a project. This includes:
  • Identifying, eliminating or controlling foreseeable risks
  • Ensuring designers carry out their duties
Prepare relevant information to the principal contractor to help them plan, manage, monitor and coordinate health and safety in the construction phase.
See paragraphs 94-115 for more guidance
Principal contractors are contractors appointed by the client to coordinate the construction phase of a project where it involves more than one contractor / Plan, manage, monitor and coordinate health and safety in the construction phase of a project. This includes:
  • Liaising with the client and principal designer
  • Preparing the construction phase plan
  • Organising cooperation between contractors and coordinating their work
Ensure:
  • Suitable site inductions are provided
  • Reasonable steps are taken to prevent unauthorised access
  • Works are consulted and engaged in securing their health and safety, and
  • Welfare facilities are provided
See paragraphs 110-146 for more guidance
Contractors are those who do the actual construction work and can be either an individual or a company / Plan, manage and monitor construction work under their control so that it is carried out without risks to health and safety
For projects involving more than one contractor, coordinate their activities with others in the project team, in particular, comply with directions given to them by the principal designer or principal contractor
For single-contractor projects, prepare a construction phase plan
See paragraphs 147-179 for more guidance
Workers are the people who work for or under the control of contractors on a construction site / The must:
  • Be consulted about matters which affect their health, safety and welfare
  • Take care of their own health and safety and others who may be affected by their actions
  • Report anything they see which is likely to endanger either their own or others’ health and safety
  • Cooperate with their employer, fellow works, contractors and other dutyholders

3.0CDM Notification Requirements

Construction Projects are notifiable to the Health and Safety Executive when they are scheduled to:

aLast longer than 30 working days and have more than 20 workers on site simultaneously at any point in the project;

or when

bExceed 500 person days

Note: a person day equates to an 8hour shift.

3.1Where a project is notifiable, the client must give notice in writing to the Health and Safety Executive as soon as is practicable before the construction phase begins.

The Client is responsible for notifying projects to the Health and Safety Executive (as soon as practicable before construction work begins). In practice at Newcastle University the ESS Project Manager will inform the Client (budget holder) of their responsibilities as a named Duty Holder in the CDM Regulations and assist them in completing the F10 Notification form, click here to complete the online interactive form

3.2The notice must contain the following particulars:

  • The date of forwarding the notice.
  • The precise address of the construction site.
  • The name of the local authority where the construction site is located.
  • A brief description of the project and the construction work that it entails.
  • The following contact details of the client: name, address, telephone number and(if available) an email address.
  • The following contact details of the principal designer: name, address, telephonenumber and (if available) an email address.
  • The following contact details of the principal contractor: name, address,telephone number and (if available) an email address.
  • The date planned for the start of the construction phase.
  • The time allocated by the client under regulation 4(1) for the construction work.
  • The planned duration of the construction phase.
  • The estimated maximum number of people at work on the construction site.
  • The planned number of companies working on the construction site.
  • The name and address of any contractor already appointed.
  • The name and address of any designer already appointed.
  • A declaration signed by or on behalf of the client that the client is aware of theclient duties under these Regulations.

3.3The notice additional requirements

  • The notice must be clearly displayed in the construction site office in a comprehensibleform where it can be read by any worker engaged in the constructionwork.
  • Periodically update the notice as necessary.

3.4Retrospective Notifications eg project extension

If a construction project is not notifiable at first, but there are subsequent changes to the scope of work so that it triggers the criteria for notification. The Client must then notify the work to the relevant enforcing authority as soon as possible.Note:The ESS Representative for the project will complete the retrospective notification with their University Client

4.0Client Responsibilities

The Client has one of the biggest influences over the way a project is ran and therefore they are accountable for the impact their approach has on the health and safety of those working on, or affected by the project.

4.01The ESS Representative responsible for managing construction work must make the University Client aware of their responsibilities as a key duty holder in CDM. The client must then complete the Newcastle University CDM Client Formhere (all projects including non-notifiable projects).

4.1Clients must make suitable arrangements for managing projects,including allocatingsufficient time and other resources so that work can be carried out safely.

Arrangements are suitable if they ensure that:

aConstruction work can be carried out, so far as is reasonablypracticable, without risks to the health or safety of any person working on or otherwise affectedby the project

bSuitable welfare facilities are provided in respect of anyperson working on the project.

cClients must ensure that these arrangements are maintained andreviewed as necessary throughout the project.

The ESS Representative for the project will monitor the adequacy of the contractors’ arrangements by ensuring the site is inspected in accordance with ESS Arrangements for Workplace Inspectionsand when attending site for routine progress meetings.

dClients must provide pre-construction information as soon as ispracticable to every Designer and Contractor/Principal Contractor appointed, or being considered forappointment, to the project.

Further to ensuring suitable arrangements are in place the Client is also responsible for ensuring all duty holders fulfil the requirements of their roll

In practice the ESS Representative for the project is responsible for locating and providing preconstruction information on behalf of the Client.

4.2Appointing the Project Team

Clients must ensure that:

The health and safety competence of all appointments is assessed, in doing this ESS Use the assessment process identified in ESS Management of Contractors.

Appointments are made as soon as is practicable and in any event before construction work starts. (Until such time as appointments are made the Client takes on all duty holder responsibilities)

Contractors/Principal Contractors/Principal Designers

Where there is more than one contractor (company), or if it is reasonablyforeseeable that there will be more than one contractor (company)on site during a project a Principal Contractor (PC) and Principal Designer (PD) must be appointed in writing.

A Principal Designers letter of appointment can be found in Appendix 5

Failure to appoint a PC or PD will result in the Client taking on all PC/PD responsibilities/duties as identified in the Regulations.

4.3Pre-Construction Information Pack

The Client has the main duty for providing pre-construction information.

This information relates to existing buildings and/or land and must be provided as soon as practicable to each Designer (including the PD) and Contractor (including the PC) who is bidding for,or already been appointed to work on the project.

The ESS Representative for the project will assemble the Pre Construction Information Pack usingthe Pre Construction Information Template (see Appendix 3)

4.4Construction phase Plan

Clients must ensure that:

Principal Contractors/Contractors have asuitably developed Construction Phase Planon site before work is permitted to start.

Note: The ESS representative responsible for the project will review the plan and only authorise work to start when they are satisfied that the plan is appropriate for managing risks arising from work on site.

In practice the ESS representative responsible for the project will print their name, sign and date the 1st page of the plan as evidence that the plan has been reviewed and that authorisation to commence work has been given. Note: Digital Signatures will also suffice.

This link will take you to HSE guidance on how to compile a Construction Phase Plan you will also find an aide memoir in Appendix 1 that can be used to check the content of Construction Phase Plans.

4.5Health and Safety File

Clients must ensure a Health and Safety File is produced.

Health and Safety Files are used to communicate key health and safety information about the completed project to those that are going to use the building/external estate or subsequently work on thebuilding/external estate.

The Principal Contractor; and the Principal Designermust prepare a Health and Safety file for the project, and must actively monitor the development of the file throughout the project.

On completion of the project the Principal Designer will ensure the health and safety file is handed over to the Head of Maintenance
(or Legislative Compliance and Contracts Manager) at Newcastle University and that a receipt for the file is received. Note: Health and Safety files must follow Newcastle University’s standard format. (See Appendix 2)

5.0 Designer Duties

Designers must ensure the Client is aware of their duties under the CDM Regulations.

When preparing or modifying a design the designer must take into

account of the principles of prevention (appendix 7) and any pre-construction informationto eliminate, so far as is reasonably practicable, foreseeable risks to the health orsafety of any person:

  • Carrying out or likely to be affected by construction work
  • Maintaining or cleaning a structure
  • Using a structure as a workplace

If it is not possible to eliminate risks, the designer must, so far as is

reasonably practicable:

  • Take steps to reduce or, if that is not possible, control the risks through

the subsequent design process

  • Provide information about those risks to the principal designer
  • Ensure appropriate information is included in the health and safety file.

Designers must take all reasonable steps to provide, with the design,

sufficient information about the design, construction or maintenance of the

structure, to adequately assist the Client, other designers and contractors to

comply with their duties under the CDM Regulations.

5.1 Arrangements for Internal Design Development at Newcastle University

All persons carrying out Design Development at Newcastle University for projects relating to the Estate must ensure that the Principal Designer where appointed to the project is requested to review the design proposal prior to it being issued.

5.3 To aid Designers when assessing risks associated with designRed Amber and Green lists are provided in Appendix 4

6.0 Principal Designers(PD) Duties

Principal Designers Must:

Liaise with the Principal Contractor for the duration of their appointment.

Hold regular progress meetings with the Principal Contractor.

Share information on anything that could affect the project with the Principal

Contractor, in particular:

  • Information required for the development of the Construction Phase Plan
  • Risks which have not been eliminated in the designs and the means to be used to reduce or control risks
  • Safety critical design information

6.1 Newcastle University Internal Arrangements for Principal Designer

Newcastle University Estate Support Service will maintain access to the necessary key competencies, skills and experience ‘in house (or with assistance from consultants) that enables the ‘Organisation’ to fulfil the role of ‘Principal Designer’.

Important: While an individual may be required to ‘lead’ on the Principal Designer role collating pre-construction information, monitoring the progress of the Health and Safety File, reviewing designs it is essential that the designated lead recognises the limitations of their own competency and seeks the knowledge, skills and experience from colleagues/consultants as necessary.

In practice this means having colleagues from ESS/OHSS/or specialist review design proposals/drawings and providing advice/comments.

7.0 Contractors/Principal Contractors Duties

A Principal Contractor must be appointed in writing and fulfil all duties as identified below when there is more than one contractor (company) working on a project at the same time. This is regardless of the duration of the works or whether or not the project triggers HSE Notification requirements.

Note: Principal Designer must also be appointed.

The principal contractor must plan, manage and monitor the construction

phase and coordinate matters relating to health and safety to ensure that, so far as is reasonably practicable, construction work iscarried out without risks to health or safety, this includes:

  • When assessing and managing work take account of the principles of prevention (Appendix 7)
  • Liaising with the Client, Principal Designer and Designer
  • Preparing a Construction Phase Health and Safety Plan
  • Working with the Principal Designer to provide the Health and Safety File
  • Assessing the competence of subcontractors, plan, organise and coordinate the work they do and ensure they cooperate with one another
  • Providing suitable site inductions taking into account Newcastle University’s induction procedures
  • Provide adequate supervision and monitor the health and safety performance of all employed on the site
  • Ensure adequate resources are afforded to the project
  • Ensuring the site is secure and unauthorised access is prevented
  • Consulting with all workers regarding matters that affect their health and safety
  • Providing suitable and adequate welfare provision

7.1ESS Representatives Acting as Principal Contractor