Procedural Arrangements for Compliance with the Construction (Design & Management) Regulations

Estates & Development Directorate

Title

PROCEDURAL ARRANGEMENTS FOR COMPLIANCE WITH THE CONSTRUCTION (DESIGN & MANAGEMENT) REGULATIONS 2015

Policy Number –Estates Operational

Policy Authors /Reviewers–

Issue date: TBA

To be reviewed:

CONTENTS

1.Scope of PolicyPage 1

2.Policy StatementPage 3

3.Legislation and GuidancePage 3

4.Rationale for Policy Page 4

5. ManagementPage 4

Appendix 1 Procedure Summary

Appendix2 Summary of changes from previous legislation

Appendix 3 Summary of roles & duties

Appendix 4 Non-notifiable Projects – Clients Checklist

Appendix 5 Keele University - CDM 15 Flowchart

Appendix 6 Aide memoire - (Procedurechecklist)

Appendix 7 Aide memoire - (Pre-construction information)

1. Scope of Policy

1.1 TheUniversity has a policy which sets out it how will comply with the general requirements of the Health and Safety at Work etc. Act 1974 and the more specific requirements of the Construction, Design & Management regulations 2015 (CDM 2015).

The CDM Regulations 2015 came into effect on the 6th of April 2015.

These are an update from both the original regulations, which were introduced in 1994, and the subsequent update in 2007.The main change is to simplify the roles of those involved.

The Regulations apply to ALL construction and maintenance works, including domestic properties, andNOT just those which need to be notified to the HSE. However the extent of preparation and paperwork is related to the size of the “project” and the assessed risk.

The duties established within the regulations apply to all staff involved in construction work, including those who request or instigate that works are carried out on their behalf. Anyone who does instigate work, whether it be an individual or team representing a school or department, will be classed as the CLIENT and will be required to appoint people to specified roles. Where the necessary knowledge to carry out the role of CLIENT and skills are not available to the instigators, they should either seek specialist advice or request that the Estates & Development Directorate(E & D) take over the organisation of the project.

Failure of the instigator of a project, OF WHATEVER SIZE, to arrange the appointment of the specified roles, will result in them being LEGALLY RESPONSIBLE for ALL the duties.

It should be noted that temporary structures, such as marquees, are classed as structures and therefore subject to these regulations.

1.2 The universitycarries out works which fall within the scope of CDM 2015. In order that employees, students and other people who may be affected by construction works, both in the present day and the future, are protected, everyone will comply with the general requirements of CDM 2015. For the purposes of this procedure:

1.3 Definitions:

The regulations provide definitions of both what is construction work and what constitutes a structure, in order that it may be assessed whether the regulations apply to an individual job. These are below:

1.3.1 Construction

“the carrying out of any building, civil engineering or engineering construction work and includes—
(a) the 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;
(b) the preparation for an intended structure, including site clearance, exploration, investigation (but not site survey) and excavation, and the clearance or preparation of the site or structure for use or occupation at its conclusion;
(c) the assembly on site of prefabricated elements to form a structure or the disassembly on site of prefabricated elements which, immediately before such disassembly, formed a structure;
(d) the 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; and
(e) the 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, but does not include the exploration for or extraction of mineral resources or activities preparatory thereto carried out at a place where such exploration or extraction is carried out;

1.3.2 A structure

(a) any building, timber, masonry, metal or reinforced concrete structure, railway line or
siding, tramway line, dock, harbour, inland navigation, tunnel, shaft, bridge, viaduct,
waterworks, reservoir, pipe or pipeline, cable, aqueduct, sewer, sewage works, gasholder,
road, airfield, sea defence works, river works, drainage works, earthworks, lagoon, dam,
wall, caisson, mast, tower, pylon, underground tank, earth retaining structure or structure
designed to preserve or alter any natural feature and fixed plant;

(b) any structure similar to anything specified in paragraph (a);

(Please note, that this will include temporary structures, such as marquees.)

2. Policy Statement

2.1 KeeleUniversity recognises and accepts its responsibility as an employer for providing, as far as reasonably practicable, a safe and healthy working environment for its employees. In addition, it will ensure, so far as is reasonably practicable, that persons other than employees, including students, visitors and contractors, are not exposed to risks to their health and safety.

The University also requires itsstaff to take reasonable care of their own health and safety, and that of other persons who may be affected by their acts or omissions at work. Employees are also required to co-operate with the University and any other person, to enable them to meet their own statutory obligations.

3. Legislation and Guidance

3.1 Statutory and Dedicated Legislation Applying to the Construction (Design & Management ) Regulations 2015

a.Health and Safety at Work etc. Act 1974

This Act is the “umbrella” legislation, under which all health & safety regulations operate. In effect the Act places an absolute duty on those affected by the legislation, and guidance documentsspecific to individual industries and risks, explains in detail how compliance with the Act is best achieved.Construction Industry Training Board ( CiTB ) guidance is in place to control the risk from construction work in circumstances where the CDM regulations apply. The management have a duty to ensure that the systems of work and control measures in place are at least as good as those in the CiTB guidance, in order to conform with this Act.

1. Management of Health and Safety at Work Regulations 1999

These Regulations provide a broad framework for controlling health and safety at work. To comply with them, the management must make a suitable and sufficient assessment of risks to health and safety for its employees and others arising from work activities.

1. Construction (Design and Management) Regulations 2015

The Regulations provide a framework of actions designed to control the risks from a range of construction projects, from very minor repairs to major building projects.

The HSE has not produced an Approved Code of Practice (ACoP) for these regulations but The Construction Industry Training Board (CITB) has produced a number of guides which may be seen as best practice for compliance, although they do not hold full legal status.

1. Other legislation relating to construction work (This is not an exhaustive list and all legislation relevant to the specific project must be followed.)

• The Workat Height Regulations 2005 (as amended)
• Control of Asbestos Regulations 2012
• Electricity at Work Regulations 1989
• Provision and Use of Work Equipment Regulations 1998
• Manual Handling Operations Regulations 1992
• Workplace (Health, Safety and Welfare) Regulations 1992
• Personal Protective Equipment at Work Regulations 1992

• Chemicals (Hazard Information and Packaging for Supply) Regulations 2002(CHIP) (gives effect to EUDirective 67/548/EEC)[12]
• Control of Substances Hazardous to Health Regulations 2002
• Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013
• Lifting Operations and Lifting Equipment Regulations 1998
• The Control of Noise at Work regulations 2005
• Dangerous Substances and Explosive Atmospheres Regulations 2002

• The Confined Spaces Regulations 1997

4. Rationale for the Policy

The University, particularly The Estates & Development Directorate (E & D),carries out a significant amount of construction work within the campus, as defined under these regulations, much of which may involveexternal contractors. This policy identifies our requirements under law, particularly with reference to the definition and duties of specific roles and the use of best practice. It aims to provide all those involved, whether Keele Staff or Contractors, with guidance as to how best to comply with the legislation.

5. Management

Roles within CDM 15

One of the main changes from the previous CDM legislation is the definition of roles and specific duties within those roles, to ensure the safe management of construction projects from the original consultation phase, through the construction phase, and subsequently the ongoing maintenance of the structure (where applicable), up to the final demolition (or removal for a temporary structure).

• Appendix 5 provides a flowchart to offer guidance on who should carry out each role.
• Appendix 1 gives a step-by-step summary of how to carry out each role.
• Appendix 6 is an aid memoire for those involved in the CDM process.
• Role

Each role has carried specific duties and it is the responsibility of all those involved to establish at an early stage which role or roles they hold. Once this has been agreed those involved should carry out the duties identified below:

5.1.1The Client

There is no longer a CDM Co-ordinator ( CDMC ), as in the old Regulations but ALL projects and even minor works have a CLIENT, who will assume some of their duties.

CITB Guidance(see 3.1 c ) states:

• CDM 2015 defines a client as anyone for whom a construction project is carried out. The regulations apply to both domestic and commercial clients. This guidance is aimed at commercial clients. A commercial client is an organisation or individual for whom a construction project is carried out in connection with a business, whether the business operates for profit or not. Examples of commercial clients are schools, retailers and landlords.
• The client ensures that the construction project is set up so that it is carried out from start to finish in a way that adequately controls the risks to the health and safety of those who may be affected.

Within Keele, the Client may be a Head of Department, Dean, Director, Faculty Business Manager or more likely someone from within the Estates Directorate, who is the instigator of the work. CDM therefore does not just apply to the Estates Directorate and the “Authorisation-to-Proceed” form has been amended accordingly.

Every “Client” will therefore need to understand their roles & responsibilities.

Where a Head of Department, or similar, does not believe they have the necessary competence to carry out the duties of The Client, they must arrange for appropriate assistance from a competent third party( E & D may be asked to advise on this ). Similarly, if E & D have been requested to carry out the works, the Estates Project Manager may be asked to fulfil the role of Client, on behalf of the Head of Department.

One of the Client’s first duties is to appoint a DESIGNER, or PRINCIPAL DESIGNER for larger projects, involving more than one CONTRACTOR.(See 5.2.1 for other duties)

A checklist for non-notifiable jobs is available in appendix 4, to assist those acting as Client. For larger, notifiable jobs, the allocation of the Contractor/Principal Contractor should be arranged at the end of the tendering process.

5.1.2The Principal Designer/Designer

The term “Designer” is a little confusing in some situations, particularly for very small works and often simply applies to the person who decides how the work proceeds.

An individual or group may hold the position of Client and Designer, simultaneously, for smaller jobs and it should be noted that this happens automatically when a Client does not formally appoint a Designer or Principal Designer, in writing, even for large projects.

5.1.2 (a) 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.

5.1.2 (b) Designers are those who, as part of a business, prepare or modify designs for a building or product, or prepare or modify designs to systems relating to construction work. If there is only a single designer involved on a project then they may have additional responsibilities and should refer to the Industry guidance for Principal Designers.

5.1.3The Principal Contractor/Contractor

The role of the Principle Contractor andContractor have largely remained the same.

In essence they are still responsible for liaising with the Client and (Principal)Contractor, in order to manage the construction phase of the process. Part of this will involve the preparation of a CONSTRUCTION PHASE HEALTH & SAFETY PLAN.

Where more than one contractor is involved, the Client must appoint one of them as the Principal Contractor and they must accept their role and the associated responsibilities, in writing. They will then be responsible for ensuring that all other contractors operate in a safe manner.

5.2Duties and Responsibilities of the primary roles:

The roles identified above carry with them a number of specific roles and responsibilities. These are listed below and apply whether an individual is holds one or more roles:

5.2.1Client

Any individual, or team of people, representing a school or department which proposes work to take place, automatically becomes the CLIENT under these regulations and is legally responsible to carry out the duties specified for this role.

One of the first duties is to ensure that the other roles specified in the regulations; DESIGNER & CONTRACTOR (Principal Designer & Contractor for projects involving more than one contractor) are allocated and accepted. Failure to do this will result in the Client taking on these responsibilities as well.

The Client must full provide details of the work proposed and all known information on the construction of any structure (above or below ground) to the Designer. For some projects, the Client may also be acting as the Designer.

Where the available information is not adequate for the work proposed, the Client must arrange for additional surveys to be carried-out. (The information required is available from the E & D Directorate and for smaller jobs is usually obtained by completing the “Authorisation to Proceed” form.

The Client is also responsible for completing and sending the “F10” form for projects which are notifiable to the HSE, i.e.;

• Projects over 30 working days were always notifiable before, but this is not quite the case under CDM 2015.

The 30 day threshold still stands, but only if there will be over 20 workers on site at any one time. It is important to remember that this is at any point,therefore the requirement could be triggered on day one or day 27.

As under the previous regulations, 30 working days includes part-days and weekends if work is taking place on these.

• Involve more than 500 “person days”.

This is not a change as such. However, the 500 person days was largely ignored previously because the 30 day trigger was usually activated before projects were even close to 500 person days.

Not so anymore. Now, if it is planned to only have 10 people on site, the 30 day rule won't ever apply to the project, but that does not necessarily make it un-notifiable.

The 500 person-day rule now matters significantly beyond the 30 day timeframe, so it is more likely to get triggered under CDM 2015.

If a 10 person-a-day project lasts longer than 50 days, the 500 person day rule will trigger the notification requirement.

The Client should complete the checklist in Appendix4 to ensure that all their duties have been completed and recorded.

(General Note: Estates Managers completing an “F10” must update the F10 cabinet in the Reception of The William EmesBuilding, as applicable, throughout the phases of the project.)(See 5.2.1)

5.2.2Principal Designers/Designers

Principal Designers/Designers duties are closer to those of the old CDMC(See 5.1.1). CITB Guidance states:

Main duties of the Principal Designer’s role are to plan, manage and monitor the pre-construction phase, to co-ordinate health and safety.

The pre-construction phase is defined as any period during which design or preparatory work is carried out for a project, which may continue during construction.

The Principal Designer must:

• assist the client in identifying, obtaining and collating the pre-construction information;
• provide pre-construction information to designers, the Principal Contractor and contractors;
• ensure that designers comply with their duties and co-operate with each other;
• liaise with the Principal Contractor for the duration of the appointment;
• prepare the health and safety file. The Principal Designer’s duties apply regardless of the contractual arrangements for the appointment of other designers and whether or not the project is notifiable to the Health and Safety Executive (HSE).

If the Principal Designer appoints other designers, the Principal Designer is responsible for ensuring that they have the relevant skills, knowledge and experience to deliver.

Designers decisions can affect the health and safety of workers and others who will construct, maintain, repair, clean, refurbish and eventually demolish or remove the building or structure, as well as those who will use it as a completed workplace.

Taking risks arising from the design into account can positively affect the project and make it easier for these risks to be managed by contractors and those who will maintain or use the structure. The design forms an important part of delivering a project safely and without risks to health.

Designers must:

• understand and be aware of significant risks that workers and users can be exposed to, and how these can arise from their design decisions;
• have the right skills, knowledge, and experience, and be adequately resourced to address the health and safety issues likely to be involved in the design;
• check that clients are aware of their duties;
• co-operate with others who have responsibilities, in particular the principal designer;
• take into account the general principles of prevention when carrying out their design work; provide information about the risks arising from their design
• co-ordinate their work with that of others in order to improve the way in which risks are managed and controlled.

5.2.3Principal Contractor/Contractor Duties