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Health & Safety Regulations Find out what recent changes to CDM Regulations mean for you and how Waldeck are positioned to provide essential support
Health & Safety Regulations Find out what recent changes to CDM Regulations mean for you and how Waldeck are positioned to provide essential support
Index
1. The Construction Industry page 1
2. Reasons for CDM Changes page 2
3. Objectives & Solutions page 3
4. CDM 2015 Application page 4
5. The Client page 5
6. Principal Designer page 7
7. Principal Contractor page 8
8. Designers page 10
9. Contractors page 11
10. Competence Assessment page 12
11. Transition & Enforcement page 13
12. Transitional Provisions page 14
13. Checklists page 15
14. Waldeck expertise page 17
15. What’s next? page 18
ObjectivesChanges
Index
As of 6 April 2015, the CDM Regulations, originally introduced in
1995 and amended in 2007, have been revised. Ongoing projects
are currently within a six month transitional arrangement where the
old Regulations may continue, however after this transition period
the revised 2015 Regulations will apply.
The new Regulations have significantly amended the roles and
responsibilities of those involved in a construction project. Waldeck
aim to outline in this document how we provide the right level of
support to help all members of a project team do the right thing
in regards to these changes, creating stability and certainty in the
delivery of capital assets.
The importance of these Regulations is clear, with the construction
industry being known as dangerous, with costs of over £1.1bn a
year spent due to deaths and injuries, averaging at 46 deaths and
2,457 major injuries.
Up until 2015, a time line can show the key milestones in the
Construction Industry with regards to CDM regulations:
▪ 1992 - EU Directive 92/57/EEC was instigated
▪ 1994 - CONDAM Regulations
▪ 2000 - 105 deaths within the industry
▪ 2007 - New CDM Regulations
▪ 2010 - Evaluation of CDM 2007
▪ 2014 - Consultation of replacing CDM 2007
The Construction Industry
page 1
Changes
Reasons for CDM Changes
Practical reasons for change include that the CDM 2007
Regulations were not as well suited to SME’s and smaller
construction sites:
▪ Regulations were too complex and bureaucratic
▪ They often caused misapplication or over interpretation
▪ ‘Competence’ was not well understood, particularly with
regards to corporate competence
▪ ‘Competence’ assessments were too burdensome
▪ Assessments were driven by process, not output, and were
often bought in from 3rd party providers
▪ The co-ordination role was not efficiently
embedded into the construction phase
Legal reasons for change include the Regulations non
compliance with EU Directive 92/57/EEC:
▪ The EU Directive covers domestic clients, whereas the CDM
2007 did not
▪ The EU Directive required co-ordination when more than one
contractor was involved in a project, whereas CDM 2007
based this requirement on the duration of a project
page 2
ObjectivesChanges
Objections and Solutions
The main practical objectives outlined in order to improve the
2007 Regulations were to simplify them, ensuring that the new
Regulations were streamlined and proportional to projects,
this now means:
▪ Fewer HSE notifications are now required
▪ Co-ordination will be undertaken by the newly defined entity
‘Principal Designer’ who must be an appropriate designer on
the project
▪ Standalone ‘competence’ has been replaced by
project-specific skills, knowledge, experience and
organisational capability
With regards to legal objectives and solutions, the focus for
amendments to CDM Regulations were to make them compliant
with the EU Directive 92/57/EEC.
Waldeck have a highly experienced team of in house design
professionals, who possess the necessary competence and
training in the CDM Regulations and who can provide reliable,
honest and clear advice to help our clients comply with the new
CDM requirements, ensuring that a successful outcome is achieved
with their interests safe guarded at all times.
page 3
Application
CDM 2015 Regulations apply to all construction work in Great
Britain, there are no exclusions for domestic or small projects. (This
excludes, the exploration for mineral extraction, but will apply to
buildings for the mineral extraction industry.)
These Regulations apply throughout a project, with the client having
duties before, during and after construction.
There is, however, a distinction made between projects which are
notifiable to the HSE, and those with one contractor or multiple
contractors.
Key points to recall include that a project is notifiable when:
▪ Construction work is scheduled to last longer than 30 working
days and have more than 20 workers on site at any one point
▪ Construction work is scheduled to exceed 500 person days
CDM 2015 Application
page 4
Clients have the overall responsibility for the successful execution of
a project, with a Principal Designer and Principal Contractor leading
on different phases within the project.
Waldeck provide expert advice guiding clients through every step of
the process so that risks are minimised and ensuring that clients are
confident in their investments.
The new Regulations recognise the influence and importance of the
client as the head of the supply chain, best placed to set standards
throughout a project, recognising their influence over aspects of a
project, including budget, design, appointees and programme.
Where a project uses more than one contractor, the clients duties
involve appointing, in writing, a ‘Principal Designer’ and ‘Principal
Contractor’ (reg. 5).
▪ A contractor is ‘any person who, in the course of
furtherance of a business, carries out, manages or controls
construction work’
▪ The appointments must be made before construction
work begins
▪ If the client fails to appoint a Principal Designer, the client
must fulfil these duties themselves (reg. 5(3))
▪ If the client fails to appoint a Principal Contractor, the client
must fulfil these duties themselves (reg. 5(4))
RolesChanges
The Client
page 5
Following these changes, the client now has mandatory
obligations, for example making ‘suitable arrangements’ for
managing a project and therefore must ensure that:
▪ Arrangements are maintained and reviewed throughout the
project (reg. 4(3))
▪ Pre-construction information is provided to each contractor
and designer (reg. 4(4))
▪ The sole contractor or Principal Designer prepares a
construction phase plan before works begin on a
project (reg. 4(5)(b))
▪ The Principal Designer prepares the health and safety file,
where there is more than one contractor involved in a project
((reg. 4(5)(b))
The client must also take measures to ensure that:
▪ The Principal Designer complies with any other duties
in Regulations 11 and 12 (reg. 4(6)(a)) and the Principal
Contractor complies with any other duties in Regulations 12 to
14 (reg. 4(6))
▪ Welfare facilities will be established from the outset
Through the appointment of Waldeck in the Principal Designer
role clients can be confident that:
▪ A competent and experienced team will be assembled
▪ Roles, functions, resources and responsibilities will be clearly
defined
▪ Health and safety performance will be maintained, through the
adoption of a zero harm culture
RolesObjectivesChanges
The Client (cont.)
page 6
Roles
The previous role of CDM Co-ordinator has been replaced by
a Principal Designer. The responsibility for co-ordination of the
pre-construction phase now rests with an existing member
of the design team. As a multi-disciplinary designer, Waldeck
possess design professionals ideally suited to fulfil the Principal
Designer role who:
▪ Have a technical knowledge of the construction industry and
will be suitably relevant to the given project
▪ Have the understanding and skills to manage and
▪ co-ordinate the pre-construction phase
▪ Are proactive in relation to project work, with the right
experience to be in control of the design and planning phase
Waldeck understand the key duties that this role includes:
▪ Plan, manage and monitor the pre-construction phase
▪ Co-ordinate matters relating to health and safety during
pre-construction phase, ensuring that it is reasonably practical
and without risks to health and safety (reg. 11(1))
▪ Identify, eliminate or control foreseeable risks (reg. 11(3))
▪ Ensure all designers comply with their duties and that persons
working on the pre-construction phase co-operate with the
client, Principal Designer and each other (reg. 11(5))
▪ Assist client with provision of pre-construction information,
provide to all contractors and designers (reg. 11(6))
▪ Liaise with Principal Contractor for duration of appointment
▪ Whilst not a requirement under the Regulations, we believe that
the deployment of a BIM platform will assist in minimising risk
through better co-ordination across design and delivery teams
Application
Principal Designer
page 7
Who is a Principal Contractor?
‘The Principal Contractor is the organisation or person that
co-ordinates the work of the construction phase of a project
involving more than one contractor so that it is carried out in a way
that secures health and safety’.
The Principal Contractor must possess skills, knowledge and
experience to carry out their role effectively given the scale and
complexity of the project.
There may be a number of contractors involved in a given project
but one entity must be selected as Principal Contractor.
It is essential that the Principal Contractor provides clarity over
who is in overall control during the construction phase of a
project, if no-one is in overall control, then contractors working
on a project must:
▪ Co-operate with each other
▪ Co-ordinate their work
▪ Take into account of any shared interfaces (HSE Guidance)
Waldeck have a wealth of expertise in technical due diligence and
the tendering process, we are well placed to ensure that competent
contractors are appointed, with the right level of protection for our
clients.
RolesRolesChanges
Principal Contractor
page 8
The key duties of a Principal Contractor include tasks to:
▪ Plan, manage and monitor the construction phase
▪ Co-ordinate health and safety matters to ensure work is
carried out without risk to health and safety (reg. 3(1))
▪ Take into account principles of prevention when planning
stages of work (reg. 13(2)(a) & (b))
▪ Organise co-operation and co-ordination between contractors
(reg. 13(3)(a) & (b))
▪ Ensure suitable site induction is provided, site access is
secure and that welfare facilities complying with Schedule 2
are in place (reg. 13(4))
▪ Make and maintain arrangements to enable workers to
co-operate effectively in developing measures to ensure
health, safety and welfare of others (reg. 14(a))
▪ Liaise with the Principal Designer for the duration of
appointment (reg. 13(5))
▪ Consult workers or their representatives in good time on
matters which may affect their health, safety and welfare
where not consulted by their employer (reg. 14(b))
▪ Ensure workers or their representatives can inspect and take
copies of any information the Principal Contractor has relating
to health, safety or welfare (reg. 14(c))
Roles
RolesObjectivesChanges
Principal Contractor (cont.)
page 9
A designer can be described as:
‘Any person (including client, contractor or other person) who in the
course of furtherance of business, prepares or modifies a design; or
arranges for, or instructs, any person under their control to do so’.
The key duties of designers include tasks such as:
▪ Not to commence work unless satisfied the client is aware of
their duties (reg. 9(1))
▪ Take into account principles of prevention and any
pre-construction information when preparing or modifying to
eliminate risks to people (reg. 9(2))
▪ Take all reasonable steps to provide sufficient information to
assist client, other designers and contractors to comply with
duties under CDM 2015 (reg. 9(4))
▪ If risks cannot be eliminated, the designer must take steps to
reduce/control risks, provide information about risk to Principal
Designer and ensure this information is included in the health
and safety file (reg. 9(3))
Waldeck ensure the realisation of these key duties through effective
engagement with client’s aspirations and specific requirements; the
provision of co-ordinated design solutions that control risk and are
signed off by our responsible senior managers and directors who
ensure the highest possible standards are achieved.
RolesRolesApplication
Designers
page 10
The term ‘contractor’ is widely defined: ‘a non-domestic client,
management contractor, construction manager, main contractor
and sub-contractor of any tier may all fit the definition.’
They key duties of a contractor include:
▪ The obligation to plan, manage and monitor construction work
to ensure it is carried out without risk to health and
safety (reg. 15(2))
▪ Ensuring compliance with any directions from the Principal
Contractor or Principal Designer, with reference to the relevant
parts of the construction phase plan (reg. 15(3))
▪ Making sure any person employed has the necessary skills,
knowledge, training and experience (or is in process of
obtaining) (reg. 15(7))
▪ Not starting work unless satisfied that the client understands
their duties (reg. 15(1))
▪ Providing each worker under their control with appropriate
supervision, instructions and information (reg. 15(8))
▪ Part 4 and general requirements for all construction sites
RolesRolesRolesChanges
Contractors
page 11
Competence
It was often shared that within the CDM Regulations 2007
competence was poorly understood, the new Regulations put in
place aim to improve this.
Competence will therefore be split into its component parts of skills,
knowledge, training, experience and where relevant, organisational
capability. This provides clarity and helps the industry to both assess
and demonstrate that construction project teams have the right
attributes in order to deliver a Health & Safety conscious project.
The aim of the new Regulations are to make competence
assessments easier, this includes changes such as:
▪ ‘Sensible enquiries’ (HSE guidance) should be made, PAS 91
sets out standardised pre-qualification questions which is one
way of assessing organisational capability
▪ ‘Due weight’ should be given to membership of a
professional institution or body (HSE guidance)
This approach allied to Waldeck’s expertise will ensure that the new
CDM Regulations work for clients, who will now be certain of the
competence of their delivery team.
RolesObjectivesChanges
Competence Assessment
page 12
Transition
From 6 April 2015, CDM 2015 has come into force and CDM 2007
has been withdrawn. Between 6 April 2015 and 6 October 2015,
transitional arrangements apply.
With two scenarios facing clients, Waldeck’s team of experts are
able to support our clients through both of these transitions:
1. Projects with no existing CDMC or PC
2. Projects with an existing CDMC
We are positioned to ensure that the application of CDM Regulations
is smooth, with minimum impact on client projects.
Enforcement issues for the new CDM Regulations 2015 include:
▪ Clarity and understanding regarding roles and responsibilities
by all parties involved is essential
▪ It will take time for inspectors to get to grips with CDM 2015 in
practice, however, it is likely that HSE will still default to general
duties prosecutions citing CDM breaches as particulars
▪ HSE Fee for Intervention invoices and Notifications of
Contravention
▪ Prohibition or Improvement Notices should be carefully
checked to ensure they are correct
▪ Competence issues will be supported with the provision of
guidelines
RolesRolesApplication
Transition and Enforcement
page 13
Transition
Throughout the transitional period provisions are in place to
ensure construction projects continue to be delivered safely and
successfully within the CDM Regulations.
Projects under construction with no existing CDM
co-ordinator:
▪ A Principal Designer must be appointed as soon as possible
▪ A Principal Contractor must also be appointed
▪ If a Principal Contractor is appointed but no Principal Designer,
the Principal Contractor must prepare and complete the
health and safety file
Projects with a CDM Co-ordinator:
The CDM Co-ordinator may remain in their current CDMC role until
6 October 2015. During this period, they must discharge the
obligations set out in Schedule 4 of the CDM 2015 Regulations.
If the project is incomplete as at 6 October either:
▪ A Principal Designer should be appointed (or)
▪ The Principal Contractor must complete the health and
safety file
RolesRolesRolesChanges
Transitional Provisions
page 14
Preparation of the client brief:
▪ Verbal discussion and a written briefing document prepared
with input from designer or contractor
▪ Describes main function and operational requirements of
finished project
▪ Explains motivation, expectations and direction
▪ Sets realistic timescales and budgets
During the pre-construction phase:
▪ Make project management arrangements
▪ Appoint duty holders
▪ Provide pre-construction information
▪ Notify project to relevant authorities
During the construction phase:
▪ Ensure construction phase plan is in place
▪ Ensure welfare facilities are in place
▪ Ensure management arrangements are working
▪ Check completion and handover arrangements
Post-construction phase:
▪ Check the health and safety file has been prepared and make
available when required
CompetenceRolesObjectivesChanges
Client CDM Checklist
page 15
Checklist
Principal Designers are responsible for the following:
▪ Assisting with project set up
▪ Assist compilation of pre-construction information
▪ Co-ordination of pre-construction phase
▪ Liaison during construction phase
▪ Preparation of the health and safety file
Principal Contractors are responsible for:
▪ Managing the construction phase
▪ Preparing the construction phase plan
▪ Ensure provision of welfare facilities
▪ Management site supervision, risk monitoring
▪ Provide induction and health and safety file
If the Principal Designer obligations are to be sub-contracted
to an experienced CDM co-ordinator:
▪ Robust sub-contract agreements will be needed
▪ The Principal Designer must understand the obligations which
have been subcontracted
▪ The Principal Designer must ensure the obligations are being
performed by the sub-contractor
TransitionRolesRolesApplication
Principal Designer and Principal Contractor CDM Checklists
page 16
Waldeck
Waldeck is a multi-disciplinary consultancy, and when acting as
Principal Designer under the new Regulations is able to plan,
manage and monitor the co-ordination of the pre-construction
phase, including any preparatory work carried out for the
project, we will:
▪ Liaise with the client, other designers and Principal Contractor
for the duration of appointment
▪ Provide pre-construction information to designers and
contractors
▪ Ensure that all designers co-operate and comply
▪ Assist clients in identifying, obtaining and collating
pre-construction information
▪ Prepare and issue the health and safety file
▪ Use Building Information Modelling (BIM) to improve
co-ordination and reduce risk
In our role as Principal Designer, Waldeck strive to:
▪ Offer clarity on what will be provided and managed
▪ Develop good relationships with our clients and their team
▪ Fully understand any given brief in order to aid safe delivery
▪ Manage team meetings and facilitate excellent communication
▪ Minimise risk to the end client and their team in order to
create certainty
▪ Deliver successful outcomes
▪ Safeguard the best interests of everyone involved in the
project life-cycle
TransitionRolesRolesRolesChanges
Waldeck Principal Designer Expertise
page 17
What next?
It is important for clients to have correct procedures in place with
regards to the new CDM 2015 Regulations, as if these are not
met, implications such as statutory enforcement notices, expensive
investigations, fines or criminal prosecution may be applied if the
HSE get involved with investigating a project which could arise from
a routine inspection or indeed, an incident.
In order to ensure that clients are compliant with CDM 2015,
Waldeck are able to offer advisory services throughout all phases
of the construction process, and also provide Principal Designer
services if called upon.
To find out more about our experience and expertise, please visit our
website at www.waldeckconsulting.com or get in touch by calling
08450 990285.
Alternatively, please e-mail our team at:
ChecklistCompetenceRolesObjectivesChanges
What’s next?
page 18
