This template records evidence of how the Duty Holder’s Representatives fulfil their roles and responsibilities as stipulated under Construction Design Management Regulations. This document commences from GRIP stage 1 and should be updated as subsequent appointments are made or changed and reviewed at each stage gate review.
Note: The listed Duty Holders Roles and Responsibilities, stipulate the word “Ensure” which is a mandatory requirement under CDM Regulations. /
NR/L2/OHS/0047/F0052 / Publication Date / Dec 2016 / Issue / 01
Client's Representative:
Duty Holders Role and Responsibilities
/Demonstrate how you undertake or discharge this role and responsibility?
/When in the project cycle is the role and responsibility undertaken?
/How is this duty role and responsibility documented, recorded and communicated?
Plan sufficient time and resource for all stages. / Each project is assessed in the early stages to determine resources & timescales. / As soon as the feasibility of the project is established and the results are reviewed at every ensuing GRIP Stage review. / Minutes are taken for each meeting & the results stored in CCMS2 or some other approved receptacle. Stage Gate reviews are similarly recorded & stored.[Insert hyperlink of project plan in project file storage area here]
Have prepared a Project Brief that explains expected outcome of project. / Client to Sponsor & Sponsor to Project Manager Remits are required for all projects – they are both GRIP deliverables. Each party signs to confirm their clear understanding. / Before the end of GRIP Stage 1. The results are reviewed at every ensuing GRIP Stage review. / Minutes are taken for each meeting & the results stored in CCMS2 or some other approved receptacle. Stage Gate reviews are similarly recorded & stored.
[Insert hyperlink of sponsors remit inproject file storage area here]
Check, record and verify competence and resources of Principal Designer candidates. / The Principal Designer is usually Network Rail & the Principal Designer Representative is usually Network Rail Telecom. A Point of Contact is appointed & the person appointed is assessed by the S&SD team & without suitable assurances no appointment is made. / On appointment & prior to any replacement being appointed. / The process includes forms specifically designed to capture the output. The forms are signed off by relevant persons & stored in CCMS2 or some similar approved manner.
[Insert hyperlink of PD assessment inproject file storage area here]
Appoint a Principal Designer (PD). / On receipt of a satisfactory assessment a written appointment is issued by either S&SD or the Client Reps Point of Contacts Point of Contact. / During GRIP Stage 1. / A letter of appointment is issued & a copy is stored in CCMS2 or some similar approved manner.
[Insert hyperlink of appointment letter/email in project file storage area here]
Notify the HSE of the Project and the roles appointed where estimates of time required for the Project exceed the notification threshold. / The legal requirement of whether or not to notify the HSE is the subject of assessment by S&SD, Engineering, Construction & PD. / As soon as the feasibility & nature of the project becomes clear i.e. as soon as practicable. The outputs are reviewed at GRIP Stage reviews & as and when change occurs. / This document is done on-line via their website. The notification is formally acknowledged by the HSE. Store this in CCMS2. A copy is sent to each of the parties identified on the form and on site.
[Insert hyperlink of F10 inproject file storage area here]
Check licence, competence & resource of Principal Contractor. / Principal Contractor license details are retained on the Achilles website
The categories of work that can be undertaken by a Principal Contractor are retained on the Achilles website
Resources are discussed & agreed at the tender stage & at contract award meetings. / For licensing & competence matters initial assessments are carried out during the tender stage.
Resources are discussed & agreed upon contract award. / The Commercial Department retains the documentation because it is commercially sensitive.
Selected persons are given access to the storage area:
[Insert hyperlink of contractors certificates inproject file storage area here]
Appoint a Principal Contractor (PC). / The appointment of a Principal Contractor is confirmed by the award of a contract by the Commercial Department. / Immediately following the tender review stage & at the time of contract award. / The Commercial Department retains the documentation because it is commercially sensitive.
Selected persons are given access to the storage area:
[Insert hyperlink of contract inproject file storage area here]
Check & record competence and resources of all other appointees. / Competencies are checked in accordance with the requirements of NR/L2/OHS/0047 – Applications of the Construction (Design & Management) Regulations to Network Rail Construction Projects. / Immediately prior to the commencement of any role. / The form NRT/SSD/FRM/005 is used to record the findings of assessments relating to Principal Designers & their resources.
The form NRT/SSD/FRM/006 is used to record the findings of assessments relating to all other appointments.
The documents are stored in CCMS2.
[Insert hyperlink of PC rep and Client Rep assessments in project file storage area here]
Provide pre-construction information to Principal designer & other designers appointed. / Information is provided from the following sources
- Hazard Directory
- Asbestos Register
- National Records Group (Health & Safety Files)
- GI Portal.
Where the designers are internal to Network Rail the data is transmitted electronically or made freely available on:
[Insert hyperlink to PCIP work in project file storage area here]
Where the design role is external to Network Rail the data is transmitted electronically or as a controlled hard copy.
In GRIP 5 it is confirmed once again in a controlled issue of the Pre-Construction Information Pack.
Provide information relating to the health and safety file to the Principal Designer. / The management of health & safety files can only be carried out in accordance with NR/L2/INF/02202 – Records Management of Health & Safety Files.
The data is requested at the earliest opportunity from the National Records Group in York by the Project Manager & issued accordingly. / As soon as practicable & before GRIP 5. / The file is issued electronically in the form of a CD & it is issued as a controlled document upon receipt from the National Records Group.
A copy is stored on:
[Insert hyperlink for H&S file records notification and any other H&S file info in the project file storage area here]
Ensure suitable management arrangements are in place for the pre-construction Phase including welfare facilities. / Each project is assessed at the conceptual stage to determine resources & timescales so the management arrangements / requirements for the pre-construction phase are therefore known.
Appropriate resources are allocated from within the Project Delivery team & supplier’s resources & arrangements are agreed with them at the contract award stage.
Welfare facilities are provided in accordance with NR/L3/INI/CP0036 – The Provision of Welfare Facilities. / The initial assessment is carried out at the conceptual stage & the requirements are planned in & reflected in the contract that is subsequently awarded.
Arrangements are reviewed during project progress meetings & at Stage Gate reviews. / Management arrangements & welfare requirements are outlined & recorded in:
the contract
the Pre-Construction Information Pack
the Construction Phase Health & Safety Plan
the Work Package Plan
The Task Briefing Sheet.
All documents (with the exception of the contract) arebriefed out & stored here:
[Insert hyperlink to PCIP welfare assessment in the project file storage area here]
Assist in the preparation of a Construction Phase Plan & the Welfare arrangements for the Project. / The Construction Phase Plan, which contains details of the welfare arrangements, is prepared & submitted by the Principal Contractor & work is not permitted to commence until such time as its contents have been agreed.
This legal requirement is mandated by NR/L3/INI/CP0044 – Work Package Planning which, with the Pre-Construction Information Pack, outlines what contents are expected. / The process commences during GRIP Stage 5 & has to be completed prior to the construction works beginning. / The duties of the various parties are contained within the Network Rail Standard NR/L3/INI/CP0044.
The contents are briefed out to all interested parties.
All documents are stored in:
[Insert hyperlink to CPP in project file storage area here]
Ensure there are suitable management arrangements for monitoring the project including welfare checks. / Network Rail Standards require inspections to be undertaken by designated persons & the arrangements for achieving this are contained in the Construction Phase Health & Safety Plan.
Confirmation that such inspections are being carried out is gained by:
- period end returns
- reports at project progress meetings
- Audit & surveillance activities.
briefed out to the Principal Contractors project team
the Network Rail project management team
reported during project progress meetings
included in the period end briefing produced by the S&SD team & then cascaded to all personnel
stored electronically in
[Insert hyperlink to project plan for site management in the project file storage area here]
Retain and provide access to the health and safety file following conclusion of the Construction Phase. / On receipt of the health & safety file from the National Records Group the data is retained by the project management team & made readily available.
Access is usually provided by giving anyone requiring the information a controlled copy of it. / This activity is commenced during GRIP Sage 5 & continues until the end of GRIP Stage 7 when the health & safety file is updated & sent back, in a revised format, to the National Records Group. / This is all done in accordance with NR/L2/INF/02202 – Records Management of Health & Safety Files & additional arrangements / requirements are described in the Construction Phase Health & Safety Plan.
All files & reference documents are stored in:
[Insert hyperlink to H&S file in project file storage area here]
Ensure and verify that the Principal Designer and Principal Contractor carry out their duties. / Adherence to CDM regulations 2015 and network rail procedures NR/L2/OHS/0047 and QF703/4/5.
Carry out and record the assessments for the Representatives nominated as part of the project team. / Ongoing during the project assessments to be carried out when the Representatives are appointed, GRIP stages 3-5. / Documented through compliance with NR/L2/OHS/0047 requirements. The assessments are to be completed and saved within the project CDM files on CCMS to allow audit and inspection when necessary.
Principal Designer’s Representative:
Duty Holders Role and Responsibility / Demonstrate how you undertake or discharge this role and responsibility within the project team, including methods of checking any appointee’s competence. / When in the project cycle is the role and responsibility undertaken / How is this duty role and responsibility documented, recorded and communicated?
Ensure that the Client is aware of the duties imposed upon them by CDM 2015, advising and assisting as necessary. / The Principal Designers Representative is deemed to be the NRT team itself. A Point of Contact is appointed and they are assessed to ensure that they are:
- highly competent in CDM, construction & safety
- highly proficient in & knowledgeable about NWR systems, Standards & processes
- readily available to offer advice & assistance
- ideally positioned to identify any expertise that may be needed on an ad-hoc basis.
The form is retained in CCMS2.
The details are included in all Pre-Construction Health & Safety Packs.
Liaise with the principal contractor to help in the planning, management, monitoring and coordination of the construction phase. / Attendance at IDC’s/IDR’s, risk review meetings, design team meetings, progress meetings, QRSA’s etc. / Ongoing from the appointment of the Principal Contractor / Documented through minuted meetings, 0047 documentation returns – PCIP, CPP, WPP’s etc.
Co-ordinate health and safety aspects of design work co-operate and co-ordinate with other designers involved with the project. / Inter-disciplinary design review meetings (IDR) have been identified as the primary means of achieving this level of co-operation & co-ordination.
As well as dealing with individual designers on a one-to-one basis their attendance at IDR’s will be mandated & monitored. / From the outset of any design activity. / Each meeting will be scheduled in advance and the proceedings will be recorded in the form of minutes that are agreed by all attendees.
The minutes of each meeting are to be distributed to all attendees, the project management team, the Principal Contractor (when appointed) and stored in CCMS2.
Lead clear communication between client, designers and contractors. / Quite simply, by being a focal point & demonstrating constant engagement / involvement. / From the outset of any design activity. / This CDM Plan is referred to in every Pre-Construction Information Pack.
Each meeting will be scheduled in advance and the proceedings will be recorded in the form of minutes that are agreed by all attendees.
The minutes of each meeting are to be distributed to all attendees, the project management team, the Principal Contractor (when appointed) and stored in CCMS2.
Identify eliminate or control the Project foreseeable risks. / The health & safety file contains details of residual risks left from previous works.
The project’s generic risk log identifies those risks expected when carrying out such works.
The hazard directory, asbestos register & Active Risk Manager contain additional risk details.
Risks will be eliminated during the design process or controlled following scheduled risk workshops in line with the Common Safety Method. / From the outset of any design activity. / Each risk review meeting will be scheduled in advance and the proceedings will be recorded in the form of minutes that are agreed by all attendees.
The minutes of each meeting are to be distributed to all attendees, the project management team, the Principal Contractor (when appointed) and stored in CCMS2.
Identify any additional pre-construction information required. / Additional information is identified by:
- “brain-storming” the scope of works & designs in risk assessment workshops
- seeking the input of specialist suppliers
- engaging with the contractors / Routes / maintainer
- carrying out a site survey at each location.
Ensure All Pre-construction information is prepared and passed to other Designers, Contractors and other parties. / All relevant information is contained in the Pre-Construction Information Pack with the following clarifications:
- where such information is not readily available the Point of Contact for the PD Reps Point of Contact Representative is mandated to seek it out & supply it to designers & the Principal Contractor
- the Principal Contractor is mandated to supply such information to all sub-contractors.
Liaise with the Client, Designers and the principal contractor regarding ongoing design. / Quite simply, by being a focal point & demonstrating constant engagement / involvement.
The Client is further engaged by the Stage Gate Reviews required by the GRIP process. / From the outset of any design activity. / Each meeting will be scheduled in advance and the proceedings will be recorded in the form of minutes that are agreed by all attendees.
The minutes of each meeting are to be distributed to all attendees, the project management team, the Principal Contractor (when appointed) and stored in CCMS2.
Prepare, maintain, update and communicate the contents of the Health and Safety File. / This activity is carried out in accordance with the Network Rail Standards that govern such activities.
The contents are agreed I advance with the National Records Group.
All suppliers are provided with a list of those deliverables & once delivered they are shared with all other contractors.
As built drawings will be supplied to the National Records Group as and when they are available. / From the outset of the design activity. / This role is documented, recorded & communicated from within:
- Network Rail Standards
- The Pre-Construction Information packs which contain greater detail & this CDM Plan.
Where the Principal Designer’s appointment ends before the Construction Phase is completed, ensure the effective handover of the Health and Safety File to the Principal Contractor. / Using the following list of documentation to support:
- CDM 2015 compliance
- NR/L2/OHS/0047
- QF703 – memorandum of agreement (QF704/705)
Check Client is aware of their duties and competent to carry out those duties. / The sponsor needs to be aware of the duties of a Client under CDM2015 regulations. The sponsor is to be supported via the project team to understand the duties that will be carried out on their behalf. / This should occur prior to any design other than performance specification being undertaken, / NR documents all roles and responsibilities under CDM2015 using NR/L2/OHS/0047.
There will be formal correspondence between NR and the lead design organisation. Correspondence should be kept within the CCMS document management system.