OVER 25 YEARS PROVIDING EFFECTIVE AND EFFICIENT HEALTH & SAFETY ADVICE AND TRAINING TO THE CONSTRUCTION INDUSTRY AND OTHERS

CDM2015Construction (Design and Management)

Regulations 2015

2 www.callsafe-services.co.uk

It is relatively common that a facility is handed over to

the client operations before all snagging on a construction

project, or even the main construction scope, has been

completed, resulting in the client’s management systems

taking precedence over the principal contractor’s.

The following article discusses the legal requirements and

the potential options for legal compliance and effective

health and safety management during the difficult transi-

tion from construction project to operational facility.

As the client is now ‘in control’ of the facility, can the

principal contractor, appointed under the Construction

(Design and Management) Regulations 2015 (CDM2015),

remain as the principal contractor? Historically the

construction project has been deemed to be completed

at handover, even though it wasn’t, and the client’s

management systems were operated as for any work

undertaken within the facility.

It is assumed for this discussion that the project will

have more than one contractor involved in the project

delivery, and that a principal contractor has been

appointed, but the client wishes to take over the facility

prior to completion of snagging.

CDM2015 defines a contractor as follows:

“contractor” means any person (including a non-domestic

client) who, in the course or furtherance of a business,

carries out, manages or controls construction work;

CDM2015 defines the principal contractor as follows:

“principal contractor” means the contractor appointed under

regulation 5(1)(b) to perform specified duties in regulations

12 to 14;

The duties that a principal contractor must perform,

and the issues that should be addressed to determine

who the principal contractor should be after handover

are shown below:

Appointment of the principal contractorRegulation 5 Appointment of the principal

designer and the principal contractor

5. (1) Where there is more than one contractor, or if

it is reasonably foreseeable that more than one

contractor will be working on a project at any time,

the client must appoint in writing –

(b) a contractor as principal contractor.

A principal contractor must be appointed by the client for

the full duration of the construction work, although the

appointment can be changed, e.g. the appointment of

the original principal contractor can be rescinded and

the client can appoint themselves as principal contractor,

assuming that the client is skilled, knowledgeable, expe-

rienced and capable for the performance of the principal

contractor’s duties for the phase(s) of the project that

they are appointed for.

As required by Reg.5(4), the client will be assumed to be

the principal contractor, and be held criminally liable for

any non-compliance with the principal contractor’s duties,

for any part of the construction phase, which includes

commissioning and snagging, for any period in which no

appointment has been made by the client.

The construction phase planRegulation 12 Construction phase plan and health

and safety file

12. (1) During the pre-construction phase, and before

setting up a construction site, the principal contractor

must draw up a construction phase plan or make

arrangements for a construction phase plan to be

drawn up.

12. (2) The construction phase plan must set out the health

and safety arrangements and site rules taking ac-

count, where necessary, of the industrial activities

taking place on the construction site and, where

applicable, must include specific measures concern-

ing work which falls within one or more of the

categories set out in Schedule 3.

CDM2015 requires a Construction Phase Plan for all

construction work and a principal contractor appointed to

manage the health and safety of the project if more than

one contractor is involved in the project. As snagging will

almost inevitably involve more than one contractor and

CDM2015Construction (Design and Management) Regulations 2015

Who is the Principal Contractor after Handover?

Callsafe Services Limited

3www.callsafe-services.co.uk

the snagging is still part of the original project, the full

requirements of CDM2015 still apply.

It is difficult to envisage the original principal contractor

being able to manage the health and safety of the

snagging work when the client’s management systems

take precedence and the likely event of the original

principal contractor not being present at the facility when

all of the snagging work takes place.

It should also be appreciated that at the latter stages

of most, if not all, construction projects is when the

greatest risks for accidents occur. This is due to a

number of factors, as follows:

❑ The client’s pressure to get the project finished;

❑ The construction personnel’s desire to get onto the

next project;

❑ The fact that snagging is re-work that is costing the

contractor money;

❑ The relatively small nature of snagging tasks and the

resultant lack of planning;

❑ The potential interfaces with other contractors’ and

client’s personnel.

Whether the original principal contractor remains

appointed, or the client changes the appointment so

that the client is the principal contractor for the snagging,

whoever is in control of the work areas must comply

with the following regulation.

12. (4) Throughout the project the principal contractor

must ensure that the construction phase plan is

appropriately reviewed, updated and revised from

time to time so that it continues to be sufficient to

ensure that construction work is carried out, so far

as is reasonably practicable, without risks to health

or safety.

If the client has taken control of the work areas that

snagging will take place within, the client is the most

appropriate person to amend the construction phase

plan to reflect the management arrangements for the

snagging work. As the construction phase plan is ‘owned’

by the principal contractor, this would also require the

client to be appointed as principal contractor for this

phase of the project.

Management of construction health and safetyThe principal contractor’s duties pertaining to this phase

of the project are primarily contained within regulation

13, as follows:

Regulation 13 Duties of a principal

contractor in relation to health and safety

at the construction phase

4 www.callsafe-services.co.uk4

13. (1) The principal contractor must plan, manage and

monitor the construction phase and coordinate

matters relating to health and safety during the

construction phase to ensure that, so far as is

reasonably practicable, construction work is carried

out without risks to health or safety;

13. (2) In fulfilling the duties in paragraph (1), and in

particular when –

(a) design, technical and organisational aspects are

being decided in order to plan the various items or

stages of work which are to take place simultaneously

or in succession; and

(b) estimating the period of time required to complete

the work or work stages;

the principal contractor must take into account the

general principles of prevention.

13. (3) The principal contractor must –

(a) organise cooperation between contractors

(including successive contractors on the same

construction site):

(b) coordinate implementation by the contractors of

applicable legal requirements for health and safety;

and

(c) ensure that employers and, if necessary for the

protection of workers, self-employed persons –

(i) apply the general principles of prevention in a

consistent manner, and in particular when

complying with the provisions of Part 4;

(ii) where required, follow the construction

phase plan.

13. (4) The principal contractor must ensure that –

(a) a suitable site induction is provided;

(b) the necessary steps are taken to prevent access by

unauthorised persons to the construction site; and

(c) facilities that comply with the requirements of

Schedule 2 are provided throughout the construction

phase.

Control of work areasIt is obvious from the above principal contractor duties

that whoever the principal contractor is, they must be in

control of the work areas.

The client will certainly have to some extent control of

the work areas after handover, which, even as far back

as the Health and Safety at Work, etc. Act 1974 places

legal obligations on the client, particularly as required by

the following Sections:

2. General duties of employers to their employees.

3. General duties of employers and self-employed to

persons other than their-employees.

4. General duties of persons concerned with premises

to persons other than their employees.

Section 4 of the Health and Safety at Work, etc. Act

1974, states:

(1) This section has effect for imposing on persons

duties in relation to those who –

(a) are not their employees; but

(b) use non-domestic premises made available to them

as a place of work or as a place where they may use

plant or substances provided for their use there,

and applies to premises so made available and

other non-domestic premises used in connection

with them.

(2) It shall be the duty of each person who has, to any

extent, control of premises to which this section

applies or of the means of access thereto or egress

therefrom or of any plant or substance in such

premises to take such measures as it is reasonable

for a person in his position to take to ensure, so far

as is reasonably practicable, that the premises, all

means of access thereto or egress therefrom avail-

able for use by persons using the premises, and any

plant or substance in the premises or, as the case

may be, provided for use there, is or are safe and

without risks to health.

The health and safety fileIf it is assumed that the client will appoint themselves as

principal contractor for snagging after handover, it should

be noted that regulation 12 places some further duties

on the principal contractor, with reference to the health

and safety file, as follows:

12. (7) During the project, the principal contractor must

provide the principal designer with any information

in the principal contractor’s possession relevant to

the health and safety file, for inclusion in the health

and safety file.

12. (8) If the principal designer’s appointment concludes

before the end of the project, the principal designer

must pass the health and safety file to the principal

contractor.

12. (9) Where the health and safety file is passed to the

principal contractor under paragraph (8), the

principal contractor must ensure that the health

and safety file is appropriately reviewed, updated

and revised from time to time to take account of

the work and any changes that have occurred.

12.(10) At the end of the project, the principal designer, or

where there is no principal designer the principal

contractor, must pass the health and safety file to

the client.

As the production and delivery of an accurate and

complete health and safety file is in the interests of

the client anyway, this should not be an unreasonable

5www.callsafe-services.co.uk

requirement if the client appoints themselves as principal

contractor for snagging after handover. The health and

safety file should have been essentially completed by the

principal designer by this stage in the project, so any

changes or additions should be minor.

Consultation with the workersIf the client does take on the responsibilities of the

principal contractor for snagging after handover, there

are also the requirements of regulation 14 to consider.

Regulation 14 Principal contractor’s duties to

consult and engage with workers

The principal contractor must –

(a) make and maintain arrangements which will

enable the principal contractor and workers engaged

in construction work to cooperate effectively in

developing, promoting and checking the effectiveness

of measures to ensure the health, safety and

welfare of the workers;

(b) consult those workers or their representatives in

good time on matters connected with the project

which may affect their health, safety or welfare, in

so far as they or their representatives have not been

similarly consulted by their employer;

OptionsThe following options can be adopted for the effective

management of construction project snagging works,

and full compliance with the Construction (Design and

Management) Regulations 2015 (CDM2015):

All Snagging Completed Prior to Handover

This is by far the most effective health and safety option

as the principal contractor remains in control of the work

and the site for all construction work on the project.

This option can delay the handover and utilisation of the

new facility, which may be commercially and contractually

a difficult option.

Phased Handover of the Facility

If the facility can be handed over to the client by specific

areas so that an area is not handed over to the client

until all snagging within that area has been completed

the original principal contractor can remain, as they

would still be in control of the areas in which construction

work (snagging) is still to be completed.

This will require designation of facility areas so that

it is clear who is control of each area; preferably with

physical separation; e.g. barriers, between areas.

This option can be difficult to manage and will still delay

the handover and utilisation of the complete facility,

which may still be commercially and contractually a

difficult option.

Handover of the Facility to the Client before

Snagging is Complete

It is contended that if the facility is handed over to the

client with snagging still to be completed the appoint-

ment of the original principal contractor should be

withdrawn and the client should appoint themselves as

principal contractor until snagging is completed.

The client, as the appointed principal contractor,

would be required to produce a construction phase plan,

specifically for the snagging work, and manage the

health and safety aspects of the snagging work, including

reviewing snagging contractors’ risk assessments and

method statements, scheduling the snagging work with

the operational requirements, and the issue of permits to

work, if appropriate.

SummaryIt is the client’s responsibility, and duty, under CDM2015

to ensure effective health and safety management

throughout the construction project. Once construction is

completed on the project, the client also has responsibil-

ities and duties under the Health and Safety at Work,

etc. Act 1974, specifically Sections 2, 3 and 4.

This then means that whatever arrangements are put in

place or whichever of the above options is adopted, the

client is responsible for the health and safety management

of the facility after handover.

Whichever option is adopted, the management

of health and safety is of prime concern, and

any arrangements should not cause unnecessary

risks due to a lack of coordination, cooperation or

communication.

Callsafe Services Limited

2016Shaping and sharing good practice in design and construction health and safety risk management

PREVENTION OF ILL HEALTH THROUGH DESIGN – A PRACTICAL APPROACH FOR DESIGNERSThe disproportionate harms caused by ill health need a considered response from the industry. This CPD event is for Designers, Principal Designers and Clients involved with developing designs for construction projects who want to play their part in reducing harms caused to construction workers by just turning up to work every day.

The seminar will lay out the causes of ill health in the construction industry in the UK and, using illustrations, identify practical steps that those responsible for developing designs can take to prevent or reduce the harms to which construction workers and the public are exposed. This practical study will also include issues that need to be considered to address the well-being of those construction workers who are involved in the project after practical completion, i.e. those maintaining, refurbishing

and demolishing the structure. The health of those using structures as workplaces will also be addressed.

The material presented will be structured around the heirachy of choices offered by the General Principles of Prevention and assist designers to understand the need to address design risk management in a proportionate way as they meet their CDM obligations to eliminate risk and reduce risk ‘so far as is reasonably practicable’.

100 TO 1

THE NUMBER OF DEATHS DUE TO OCCUPATIONAL DISEASE IN THE UK CONSTRUCTION INDUSTRY OUTWEIGHS DEATHS CAUSED BY ACCIDENTS BY

national continuingprofessional developmentprogramme 2016

For APS Members, transition from IMaPS to CMaPs requires the demonstration of additional knowledge on a number of health and safety topics. Whist three of the topics can be chosen from a range of subjects, demonstration of knowledge of construction health issues will be mandatory. This CPD will cover some of the material required to demonstrate knowledge in this area.

FEBRUARY - APRIL 2016

FEBRUARY - APRIL 2016

Shaping and sharing good practice in design and construction health and safety risk management

PREVENTION OF

Shaping and sharing good practice in design and construction health and safety risk management

LL HEALTIPREVENTION OF

Shaping and sharing good practice in design and construction health and safety risk management

ROUGH THLL HEALT

Shaping and sharing good practice in design and construction health and safety risk management

DESIGN –HROUG

2016

DESIGN –

projects who want to play theirdeveloping designs for constructionDesigners and Clients involved with

Designers, for is event CPD response from the industry. Thisby ill health need a consideredThe disproportionate harms caused

PRACTIC AA PRACTICAL

of choices offered by the Generalstructured around the heirachyThe material presented will be

workplaces will also be addressed.health of those using structures asand demolishing the structure. The

projects who want to play theirdeveloping designs for constructionDesigners and Clients involved with

PrincipalDesigners, response from the industry. Thisby ill health need a consideredThe disproportionate harms caused

ROACAPP PRACTICAL

of choices offered by the Generalstructured around the heirachyThe material presented will be

workplaces will also be addressed.health of those using structures asand demolishing the structure. The

FOR DESIGNERSHROAC

workplaces will also be addressed.health of those using structures asand demolishing the structure. The

FOR DESIGNERS

developing designs can take tosteps that those responsible forillustrations, identify practicalindustry in the UK and, usingof ill health in the constructionThe seminar will lay out the causes

up to work every day.construction workers by just turningpart in reducing harms caused toprojects who want to play their

reasonably practicable’.risk and reduce risk ‘so far as istheir CDM obligations to eliminatein a proportionate way as they meetto address design risk managementdesigners to understand the needPrinciples of Prevention and assist

developing designs can take tosteps that those responsible forillustrations, identify practicalindustry in the UK and, usingof ill health in the constructionThe seminar will lay out the causes

construction workers by just turningpart in reducing harms caused toprojects who want to play their

reasonably practicable’.risk and reduce risk ‘so far as istheir CDM obligations to eliminatein a proportionate way as they meetto address design risk managementdesigners to understand the needPrinciples of Prevention and assist

in a proportionate way as they meetto address design risk management

Principles of Prevention and assist

100 TCAUSED BY ACCIDEN

WEIGHS DEATOUION INDUSTRUCTCONSHE TDISEASE IN

O OCCUPATDUE THE NUMBER OF DEA

1OO 1100 TS BYTCAUSED BY ACCIDEN

HSTWEIGHS DEARYTION INDUS

K UHE IONALTO OCCUPA

HSTTHE NUMBER OF DEA

i.e. those maintaining, refurbishingproject after practical completion,workers who are involved in thethe well-being of those constructionneed to be considered to addressstudy will also include issues thatpublic are exposed. This practicalwhich construction workers and theprevent or reduce the harms todeveloping designs can take to

to demonstrate knowledge in this area.i.e. those maintaining, refurbishingproject after practical completion,workers who are involved in thethe well-being of those constructionneed to be considered to addressstudy will also include issues thatpublic are exposed. This practicalwhich construction workers and theprevent or reduce the harms to

will be mandatory. This CPD will cover some of the material requiredsubjects, demonstration of knowledge of construction health issuessafety topics. Whist three of the topics can be chosen from a range of

For APS Members, transition from IMaPS to CMaPs requires the

to demonstrate knowledge in this area.will be mandatory. This CPD will cover some of the material requiredsubjects, demonstration of knowledge of construction health issuessafety topics. Whist three of the topics can be chosen from a range of

For APS Members, transition from IMaPS to CMaPs requires the

to demonstrate knowledge in this area.will be mandatory. This CPD will cover some of the material requiredsubjects, demonstration of knowledge of construction health issuessafety topics. Whist three of the topics can be chosen from a range of

For APS Members, transition from IMaPS to CMaPs requires the

will be mandatory. This CPD will cover some of the material requiredsubjects, demonstration of knowledge of construction health issuessafety topics. Whist three of the topics can be chosen from a range of

For APS Members, transition from IMaPS to CMaPs requires the

AFEBRUARY -

PRIL 2016A

speaker12:00 Registration and a sandwich lunch

13:00 Welcome and introduction

13:05 Harms to health in the construction industry

13:30 The case for proportionate action by designers and others

13:45 A framework for action – the general principals of prevention and SFARP

14:15 The responsibilities of contractors and workers

14:30 Tea, coffee and biscuits

15:00 Practical examples of possible prevention through design actions

16:30 Questions

17:00 Close

Philip Baker BPS Solutions

Philip Baker is a designer by training and has been heavily involved in CDM since 1995. Philip, a Past President of the Association for Project Safety and a Registered Fellow, has been involved in a wide range of projects as CDM-C and has advised the full range of duty holders on how they can discharge their duties effectively.

Philip has kept close tabs on the development of the revisions to CDM2007 and has supported a number of public and private clients to prepare for the changes that their organisations might make in response to CDM2015. Amongst his current commissions Philip is the CDM Compliance Manager working for London Underground on the Northern Line Extension.

Philip is a vociferous exponent of the case for prevention through design and has made well received presentations on the subject of prevention of ill health through design on a number of occasions both in the UK and overseas.

programme

Dates and Venues

DATE VENUE REGION

FEBRUARY

Thurs 4th Holiday Inn Express: Stansted Airport Anglia

Tues 9th University of Westminster: London London

Wed 10th The Arora Hotel: Crawley South East England

Wed 17th Jurys East Midlands Airport: Castle Donnington East Midlands

Wed 24th The Arden Hotel: Solihull Midlands

Thurs 25th Kents Hill Park: Milton Keynes South Central England

MARCH

Wed 9th Cottons Hotel and Spa: Knutsford North West England

Thurs 10th Holiday Inn Leeds Garforth Yorkshire Tues 29th Copthorne Cardiff Wales

Wed 30th Aztec Hotel and Spa: Bristol South West England

Thurs 31st Exeter Racecourse and Conference Centre South West England

APRIL

Wed 13th Village Hotel, Glasgow Scotland West

Thurs 14th New Forge Country Club: Belfast Northern Ireland

Tues 26th AECC: Aberdeen Scotland North

Wed 27th Holiday Inn: Edinburgh Scotland East

Thurs 28th Marriott Metro Centre: Gateshead Northern England

To book a place on one of the above events, please visit: https://www.aps.org.uk/aps-national-cpd-events-calendar-2015

APS 5 New Mart Place Edinburgh EH14 1RWT 08456 121 290 F 08456 121 291 E info@aps.org.uk www.aps.org.uk

Members Discount Rate

£85.00 (including sandwich lunch)

Non Members

£115.00 (including sandwich lunch)

Don’t forget get your APS Loyalty Card stamped at the Seminar to benefit from the ‘five seminars for the price of four’ offer.

9www.aps.org.uk

Association for Project Safety

The phone line has been red hot since the

introduction of CDM2015 in April 2015. Everyone

wants to know the implications of the new

CDM Regulations; what they mean for their

projects, clients, designers and contractors.

“Can I be a Principal Designer?” “My client

wants to appoint me to carry on giving him

advice on his construction projects – is that

allowed?” “How strict is the Principal Designer

duty to ensure designers comply with the

regulations?” “What is going to happen on

domestic projects?” “What if my domestic

client appoints all the contractors separately?”

Non-domestic Clients and

the new CDM Regulations.

If you are about to alter or extend a building or structure,

thinking of putting up a new one or demolishing an

existing one, in connection with a business activity, then

the Construction (Design and Management) Regulations

2015 (CDM2015) place a number of specific duties on

you as a construction Client. The extent of these varies

with the type of project involved – and for many projects

you will need an adviser available to help you deal with

these. On projects that are likely to involve more than

one contractor , you are required to appoint a Principal

Designer before significant detailed design work starts so

that they can advise and assist you with your health and

safety duties and plan, manage, monitor and co-ordinate

the health and safety of the pre-construction phase of

the project. Significant detailed design work includes

preparation of the initial concept design, master planning

or implementation of any strategic brief.

A client is an organisation or indiviual for whom a

construction project is carried out. Commercial clients

are those whose project is associated with a business or

other undertaking (whether for profit or not). This can

include for example, local authorities, school governors,

insurance companies and project originators on Private

Finance Initiative (PFI) projects. Domestic clients also

have duties under CDM2015. Domestic Client duties are

discussed on pages 12 and 13.

The aim of these Regulations is to make Health & Safety

an essential and integral part of the planning and

management of projects and to make sure that everyone

works together to reduce the risk to the Health & Safety

of those who work on the structure, who may be affected

by these works, or who will use it as a place or work

once it’s completed.

Advantages for You: If everyone involved in your project

complies with the CDM Regs, they will help to:

■ Improve planning and management and so help ensure

that the project is completed on time, within budget

and to the required standards;

■ Reduce costs, delays and bad publicity resulting from

accidents or ill health;

■ Make sure that cleaning, maintenance and repair

issues have been thought through;

■ Reduce whole life costs of the building / structure;

■ Provide useful information for the maintenance and

possible future development of the building/structure.

The Regulations recognise that as the Client, you hold

the power to influence and control those you engage or

appoint on a project, and therefore that the ultimate

responsibility for the achievement of a safe project is in

your hands as much as theirs. The Regulations are about

making sure that there is:

■ Early appointment or engagement of capable key

people or organisations that have sufficient skills,

knowledge, experience and resources;

■ A realistic project programme which gives enough

time for planning and programming as well as carrying

out the work itself;

■ Early identification and reduction of construction risks

and proper management of those that remain, so that

construction is safe and does not damage the health of

workers or others;

■ Co-operation between all involved in a project and

effective coordination regarding Health & Safety issues;

■ Adequate welfare facilities provided from the start and

throughout the construction phase.

CDM2015: What clients need to do

10 www.aps.org.uk

and that:

■ Appropriate information is made available to the right

people at the right time, from the start of the design

process through construction, use (if a place of work)

and maintenance to the eventual demolition or removal,

so that work can be carried out safely and without risk

to health.

■ However it is important that the amount of effort de-

voted to managing Health & Safety is kept appropriate

and proportionate to the complexity of the project and

level of risks.

What type of project are you planning?Irrespective of size or duration, the CDM regulations sep-

arates construction projects into two types - dependent

on how many contractors will be involved in the project.

The two types are:

■ Projects with only one contractor – where the project

will only require one contractor working on the site.

An example of this might be an electrician rewiring

part of a building when no other trades are required

to do any work.

■ Projects that are likely to involve more than one

contractor - this will be the majority of projects. If

the work will require a bricklayer, electrician, plumber,

roofer and plasterer, that is five contractors.

On projects involving only one contractor a good designer

or contractor should be able to advise you on how you

can comply with your duties.

If you are in doubt, you should assume that the project

will require more than one contractor. Your health and

safety adviser, designer or contractor if already appointed

should be able to help you decide or you can contact

The Association for Project Safety (APS) as a source of

independent advice.

Your duties as a commercial construction client:There are duties for you that apply to ALL projects and

additional duties that apply to projects with more than

one contractor.

On ALL projects you will need to:

■ Appoint or engage people and organisations that

have sufficient health and safety skills, knowledge and

experience to enable them to carry out the work they

have to do and are adequately resourced;

■ Ensure that all appointments are made early enough

to enable those appointed to carry out their duties

effectively;

■ Make suitable arrangements for managing the project

and make sure they remain in place and are reviewed

throughout the project, so that construction works can

be carried out safely and without risk to health;

■ Make sure sufficient time and resources are allocated

for each stage of the project, including design, prepara-

tion for starting on site and the construction work itself;

■ Be satisfied that suitable welfare facilities are provided

by Contractors from the start and throughout the

construction phase.

■ Provide pre-construction information as soon as

practicable to every designer and contractor you

appoint, so that they can comply with their duties;

■ Ensure that, before the construction phase commences,

a suitable Construction Phase Plan is drawn up by the

contractor;

■ Notify the Health and Safety Executive of the project if

the construction phase is likely to last longer than 500

person days or last longer than 30days with 20 or

more people on site.

The Regulations mostly require you to ensure that a

number of things are done rather than actually do them

yourself. On Projects where it is likely that there will be

more than one contractor working, you MUST, in addition

to those duties above, make sure that you:

■ Appoint a designer with control over the pre-construc-

tion phase health and safety as ‘Principal Designer’.

The appointment must be in writing,

■ Appoint a contractor as ‘Principal Contractor’ as soon

as is practicable before the construction phase, to

plan, manage and monitor the construction phase;

■ Ensure that the Principal Designer and Principal

Contractor comply with their duties;

The Principal Designer must:

- plan, manage and monitor the pre-construction

phase and coordinate health and safety matters to

ensure that, so far as is reasonably practicable, the

project is carried out without risks to health or safety;

11www.aps.org.uk

- liaise with the Principal Contractor for the duration

of the Principal Designer’s appointment and share

relevant health and safety information;

- assist you in the provision of pre-construction

information;

- co-ordinate arrangements for Health & Safety during

the design and planning (pre-construction) phase.

The Principal Contractor must:

- plan, manage and monitor the construction phase and

coordinate health and safety matters to ensure that,

so far as is reasonably practicable, the construction

work is carried out without risks to health or safety;

- liaise with the Principal Designer for the duration of

the Principal Designer’s appointment and share rele-

vant health and safety information;

- make and maintain arrangements for effective

cooperation of matters relating to health, safety and

welfare of workers;

- consult with workers on matters that may affect their

health, safety and welfare;

■ Ensure that the Principal Designer prepares a Health

and Safety File for the project. Agree the contents and

format of the Health & Safety File and provide the

Principal Designer with relevant information for this

document. The Principal Designer will ensure the ‘Health

& Safety File’ is prepared, reviewed or updated (as

appropriate) ready for handing over to you on completion

of the work. This is an important legal document;

■ Keep the Health & Safety File safe and make it available

to anyone who may need, and explain its purpose to

them. You must also update it whenever necessary.

When you dispose of your interest in the structure you

must also pass on the File to those acquiring it.

Once appointed, your ‘Principal Designer’ can help you

carry out all your other duties but until you make this

appointment you will be deemed to be carrying out the

Principal Designer’s duties yourself. An early appointment

is not only required but also makes a lot of sense!

Don’t forget that once appointed, your Principal Designer

can help you carry out your duties under the Regulations

and may well be able to give further advice and guidance.

What happens if you don’t carry out these duties?■ If you fail to appoint a ‘Principal Designer’ or ‘Principal

Contractor’ you will be legally liable for their duties

and will be deemed to be carrying them out;

■ You could leave yourself open to potentially very

expensive legal action;

■ You will miss the opportunity to gain from the

advantages listed above, and

■ You could face criminal prosecution by the HSE.

Association for Project Safety

12 www.aps.org.uk

risk management (Incorporated or Certified membership

of APS for example) or can provide evidence of having

undertaken appropriate training on CDM2015.

The Regulations are about making

sure that there is:■ Early appointment or engagement of capable key

people or organisations that have sufficient skills,

knowledge, experience and resources;

■ A realistic project programme which gives enough

time for planning and programming as well as carrying

out the work itself;

■ Early identification and reduction of construction risks

and proper management of those that remain, so that

construction is safe and does not damage the health of

workers or others;

■ Co-operation between all involved in a project and ef-

fective coordination regarding Health & Safety issues;

■ Adequate welfare facilities provided from the start and

throughout the construction phase, and that

■ Appropriate information is made available to the right

people at the right time so that work can be carried

out safely and without risk to health.

However it is very important that the amount of effort

devoted to managing health & safety is kept appropriate

and proportionate to the complexity of the project and

level of risks. It is particularly important to be aware of,

and avoid, unnecessary paperwork. Most domestic work

should be relatively simple and therefore require minimal

paperwork.

What type of domestic project is being planned?Irrespective of size or duration, the CDM2015 regulations

separate construction projects into two types – dependent

on how many contractors will be involved in the project.

The two types are:

➊ Projects with only one contractor – where the project

will only require one contractor working on the site.

An example of this might be an electrician rewiring

the house or a plumber installing a replacement boiler,

when no other trades are required to do any work.

Where the project only involves one contractor, the

client duties specified in CDM2015 Regulation 4(1)

to (7) and Regulation 6, must be carried out by the

contractor. The contractor needs to undertake these

duties in addition to their own duties as a contractor.

Domestic Clients and thenew CDM Regulations

CDM2015 is aimed at small and domestic projects – the

very area where most construction accidents and incidents

are occurring.

So what do Domestic Clients Need to do?CDM2015 understands that most domestic clients

will not be familiar with design or construction projects

or associated legislation. If someone is about to alter

or extend their house or buildings, thinking of putting

up a new one or demolishing an existing one, then the

Construction (Design and Management) Regulations

2015 (CDM2015) place a number of specific duties on

them as a construction Client.

A domestic client is someone who has construction

work done on their own home, or the home of a family

member which is not in connection with a business. Unlike

CDM2007, domestic clients have duties under CDM2015.

The extent of these duties varies with the type of project

involved. On projects that are likely to involve more than

one contractor, the domestic client is required to appoint

a Principal Designer before significant detailed design

work starts so that they can advise and assist the client

with their health and safety duties and plan, manage,

monitor and co-ordinate the health & safety of the pre-

construction phase of the project. The Principal Designer

is a designer (architect, building surveyor or engineer for

example) who can demonstrate to the client that they

have knowledge, skill and experience of CDM2015 and

understand the process of design risk management. On

very small projects, for example installing a central

heating system, the designer might be the plumber. In

which case, if the plumber is working with a joiner or

other trade businesses, the plumber would be the Princi-

pal Designer (as well as being the Principal Contractor

and responsible for undertaking the Client duties). It is

therefore very important on small domestic projects of

this kind for the Client to ensure that the people they

appoint are aware of CDM2015 and their duties.

When clients are talking to a designer or designers about

their project they should check that the designer has the

capability and experience to do the work. A Designer for

a new build house, a renovation or extension project

might be a member of one of the following professional

bodies – ARB, RIBA, RIAS, CIAT, RICS, IStructE etc. and,

in order to carry out the Principal Designer role, should

have an accreditation in construction health & safety

13www.aps.org.uk

When clients are selecting a contractor, they should

ensure that the contractor is aware of the client duties

under CDM2015 as well as their own contractor duties.

Clients are advised to ask for examples of how the

contractor has done this on previous projects.

➋ Projects that are likely to involve more than one

contractor - this will be the majority of projects.

For example, if the work will require a bricklayer,

electrician, plumber, roofer and plasterer, then that

is five contractors.

If it is likely that the project will require more than

one contractor, then the client must appoint a designer

with control over the pre-construction phase as

Principal Designer and a contractor with control over

the construction phase as Principal Contractor. These

appointments must be made as soon as practicable

and before the construction phase begins. If the client

fails to make these appointments, then the designer

in control of the pre-construction phase is deemed

to be the Principal Designer and the contractor in

control of the construction phase is deemed to be the

Principal Contractor.

N.B. It would be better for Clients not to ignore their duty

to appoint a Principal Designer and Principal Contractor

in writing because if your project is at that stage, it

means that your designer and or contractor have not

advised you about CDM2015, and are therefore likely

not to have the required capability and experience.

If the client is in doubt, they should assume that the

project will require more than one contractor. The

appointed designer or contractor should be able to help

clients decide or alternatively clients can contact the

free Public CDM Helpline as a source of independent

advice on 0333 088 2015.

Need help?Getting the right people to do what they are supposed

to do under these regulations is particularly important

when you don’t have much experience of construction

or Health & Safety, so you need to be reasonably sure

that those you appoint are capable of carrying out their

work on your particular project in a safe and healthy

manner.

The Association for Project Safety has Members who are

both individuals and businesses who provide you with

good advice and assist you on all types of projects if

required to do so – whilst the Professional Institutions

should be able to help with the selection of Designers.

The Association for Project Safety is not the only source

of CDM Advice. However, it is a key duty that Clients

appoint only those who have appropriate skills, knowledge

and experience in design and construction health and

safety and APS membership is one way for someone to

demonstrate that they not only have those requirements

but are also committed to maintaining high standards

through regular Continuing Professional Development.

All APS business members (Corporate Members) have

had their CDM procedures audited against ISO 9001 and

are accredited by the Safety Schemes in Procurement

(SSIP) organisation as having met the criteria for organi-

sational capability.

Incorporated or Certified Members of APS (IMaPS or

CMaPS) have at least five years experience in the con-

struction industry and have committed themselves to a

programme of Continuing Professional Development

(CPD).

You can visit the HSE and APS websites for much

more information at: http://www.hse.gov.uk and

http://www.aps.org.uk respectively .

Association for Project Safety

David Carr, PgD, FIIRSM, DipSM, RFaPSManaging Director

Callsafe Services Limited Yardley House11 Horsefair Rugeley Staffordshire WS15 2EJ

Tel: 01889 577701Email: enquiries@callsafe-services.co.ukWeb: www.callsafe-services.co.uk

Are you sure that you understand the duties andrequirements of CDM2015 and/or other health and

safety requirements?

Have you amended your policies and procedures toreflect the current legislation and practice?

Are your employees competent to perform their duties?

Do you select capable organisations to work with you?

Do you manage your organisation and projects without

copious amounts of paper?

If the answer to any of the above questions is no, you need to consider training and advice to achieve

legal compliance and develop best practices.

Contact the experts