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Construction Health and Safety

MANAGING CONSTRUCTION FOR

HEALTH AND SAFETY

Section 0C

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December 2006

CONTENTS

Construction Design and Management Regulations 2007 OC3A/3B

Construction (Design and Management) Regulations 1994

Interpretation OC-4Application of the regulations OC-7Clients and agents of clients OC-8Developers OC-9Appointments OC-9Notification OC-10Competence OC-10Resources OC-11Start of construction phase OC-11Client information OC-11Health and safety file OC-12

Designers OC-12Planning supervisors OC-13Health and safety plan OC-14Principal contractor OC-15Information and training OC-16Advice and views of persons at work OC-17Contractors (sub-contractors) OC-17Extension outside G.B., Civil liability & enforcement OC-18Particulars to be notified OC-19Transitional provisions Now expired

Comment

Introduction OC-20Application of the regulations OC-20Duties of clients and agents of clients OC-22Duties of designers OC-23Duties of planning supervisors OC-24Duties of principal contractors OC-25Duties of Contractors and self employed OC-25Competence and resources OC-26Information and training OC-27Involving the workforce OC-28

Health and safety plans OC-29Contents of health and safety plans OC-29Health and safety file OC-30Contents of health and safety file OC-30

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Health & Safety Management OC-31Overview OC-31

Directors responsibilities OC-31Compliance OC-31Systems OC-31Behaviour and attitudes OC-31Legal responsibility OC-32Corporate Manslaughter OC-33

Developing a Safety Management System OC-34What is a Safety Management System OC-34Why do I need one OC-34What existing models are there OC-34

Plan, implement, check a SMS OC-34Verification OC-34Documenting your Management

system -policy statement OC-35Organisation OC-35Arrangements OC-36Risk Assessment OC-36Training and Competence OC-37Consultation and raising awareness OC-37Sub-contractors OC-37Accidents OC-37Monitoring and review OC-37

Growing a Safety Culture OC-38Stages in accident reduction OC-38Challenges within the Construction industry OC-39Cultural change programmes OC-39Behavioural Safety programmes OC-39Conclusion OC-40

References OC-40

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Construction Design and Management Regulations 2007

The existing Construction (Design and Management) regulations and the Construction (Health Safety and Welfare)Regulations are to be combined and replaced with the Construction (Design and Management) Regulations 2007.

The existing regulations are being revised as a result of concerns from the industry that they are complex, bureaucratic anddifficult to implement.

Until the new regulations are in force the existing guidance given in this section is accurate. The following is an outlineguide to the new regulations and is based on the draft regulations published at the time of going to press.

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Timetable

The Health and Safety Commission approved the draftset of CDM Regulations on 17 October 2006. Thefollowing timetable is in place for the consideration of thenew regulations:

Deadline for ministerial response 3 November 2006

Regulations in force 6 April 2007

ACoP and Guidance final draft January 2007

General approach to changes

The main changes to CDM 2007 when compared withCDM 1994 (as modified in 2000) relate mainly to theclient, CDM co-ordinator and designer duties. There arefew changes which directly affect the principal contractorand contractors.

There is considerable emphasis within the Regulations onco-operation between all of the parties. In particular thereare very clear requirements to involve the workforce. Whilst

there are co-operation requirements in the current CDMregulations, the new regulations will require a higher levelof co-operation in the commitment to implement good healthand safety practices.

These changes are intended to support the industry inchanging behaviour and achieve the next step change inhealth and safety performance.

The other main change in CDM 2007 from CDM 1994is in its layout and content. The Construction (Health, Safetyand Welfare) Regulations 1996 was introduced as a set ofRegulations specific to work on construction sites. Since1996, other Regulations have come into being which havesuperseded these construction-specific Regulations and

which apply to all industries. The Work at HeightRegulations 2005 is an example where new Regulationshave come into being and the sections relating to work atheight (falls) within the Construction (Health, Safety andWelfare) Regulations 1996 have been revoked.

The CDM 2007 Regulations include the parts of theConstruction (Health, Safety and Welfare) Regulationswhich remain in force, although there has been some minorre-wording. The CDM 2007 Regulations will now form themain set of Regulations which are specific to constructionwork with the Construction Head Protection Regulationsbeing the only other construction-specific legislation.

The layout of the draft CDM 2007 Regulations is as

follows;

Part 1 provides definitions and application

Part 2 gives details of general management dutiesapplying to construction projects which appliestoALL construction work regardless of whetherthe work is notifiable under part 3 of theRegulations.

Part 3 details additional duties where the project isnotifiable.

Part 4 details specific requirements, formerly within the

Construction (Health, Safety and Welfare)Regulations 1996.

EVERYONE needs to be aware that Part 2 and Part 4 willapply to them.

Part 5 outlines the transitional arrangements andsummarises regulatory changes.

Summary of Key Changes

1. Regulations re-ordered to group duties together bydutyholder; and to show whether individualprovisions apply to all projects, or only notifiable

projects. (Notifiable is defined as before, but theapplication provision relating to less than 5 workerson site and demolition/dismantling have beenremoved).

2. The notification trigger is when construction worklasts more than 30 working days or takes more than500 person days.

3. Domestic projects no longer need to be notified.

4. Clients agents and developers provisions removed;a group of clients involved in a project can nowelect one to be the only CDM client.

5. The pre-tender health and safety plan is removed,but replaced with the requirements for the pre-construction information which are similar to therequirements for the pre-tender health and safetyplan, but do not require a document. The maindifference is that the pre-construction informationmust be supplied by the client for ALL constructionwork, although it is compiled and distributed by theCDM co-ordinator on notifiable projects.

6. Planning supervisor ceases to exist. CDM Co-ordinator introduced to support and advise theclient in discharging his duties and co-ordinatedesign and planning.

7. Appointment of a CDM co-ordinator or principalcontractor, and a written health and safety plan onlyrequired for notifiable projects (but demolition workand work with a high level of risk requires written


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systems of work).

8. Dutyholders cannot arrange for, or instruct anyone,to carry out or manage design or construction workunless that person is competent (or being supervisedby someone who is); and cannot accept a CDMappointment/ engagement unless they arecompetent to carry it out.

9. Assessment and demonstration of competencesimplified, with new core criteria and specific ACoPmaterial on individual and corporate competence.

10. General co-operation and co-ordination duties oneveryone involved in a project (relating to others onthe same or adjoining sites); and a specificrequirement to implement any preventive andprotective measures on the basis of the principlesspecified in the Management Regulations.

11. Clients now have the duty, (which already exists inthe Health & Safety at Work Act and ManagementRegulations) to take reasonable steps to ensure thatdutyholders management arrangements (includingtime and other resources) are suitable to enable theconstruction work to be carried out, (and anyrelated structure designed for use as a place of workcan be used), without risk to health or safety. Clientshave the duty to ensure that the arrangements aremaintained and reviewed throughout the project.

12. Clients must tell designers and contractors howmuch time they have, before the start of work onsite, for planning and preparing construction work.Clients must also ensure that tender documentsinform the contractor of welfare arrangements.

13. For notifiable projects, designers are prohibitedfrom doing anything more than initial design work

before the co-ordinator has been appointed. In

preparing or modifying a design they are required,so far as is reasonably practicable, to avoid risks tothe health or safety of any person constructing,maintaining, repairing, cleaning and using astructure designed as a workplace. They musteliminate hazards which may give rise to risks andreduce risks from any remaining hazards.

14. The civil liability exemption has been removed inrelation to employer/employee relationship. TheManagement Regulations have already beenamended along these lines.

15. Various definitions have been changed, includingthose of client, construction phase plan,construction work, contractor, design anddesigner, place of work and structure.

Benefits of Change

The aims of the new regulations are to have the rightpeople for the right job at the right time to manage risks onsite, reduce paperwork and encourage teamwork. Inparticular this includes making:

it easier for duty holders to know what is expected ofthem

it flexible for example making it fit with the vast rangeof contractual arrangements

the focus on planning and management, not paperwork

the focus on integration and co-ordination

it simpler to assess competence (both for organisationsand individuals)

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December 1995

Official Text

(1) In these Regulations, unless the context otherwise requires agent in relation to any client means any person whoacts as agent for a client in connection with the carryingon by the person of a trade, business or otherundertaking (whether for profit or not);

cleaning work means the cleaning of any window orany transparent or translucent wall, ceiling or roof in oron a structure where such cleaning involves a risk of aperson falling more than 2 metres;

client means any person for whom a project is carriedout, whether it is carried out by another person or iscarried out in-house;

construction phase means the period of time startingwhen construction work in any project starts and endingwhen construction work in that project is completed;

construction work means the carrying out of any building,civil engineering or engineering construction work andincludes any of the following-

(a) the construction, alteration, conversion, fitting out,commissioning, renovation, repair, upkeep,redecoration or other maintenance (including cleaningwhich involves the use of water or an abrasive at highpressure or the use of substances classified as corrosiveor toxic for the purposes of regulation 7 of thechemicals (Hazardous Information and Packaging)Regulations 1993), de-commissioning, demolition ordismantling of a structure,

(b) the preparation for an intended structure, including siteclearance, exploration, investigation (but not sitesurvey) and excavation, and laying or installing thefoundations of the structure,

Guidance

Clients can appoint a competent, adequately resourcedagent to carry out their CDM duties, but they retain theirother duties under health and safety law, such as ensuringthe health and safety of people affected by their work. Forthe clients CDM duties to be fully transferred to an agent,the agent must ensure a written declaration is sent to HSE(see regulation pOC-22.

Cleaning a structure using water or an abrasive at highpressure or using corrosive or toxic substances isconstruction work and CDM applies. The cleaning ofwindows, transparent or translucent walls, ceilings or roofs,where this work involves a risk of falling more than 2 metres,is relevant to the duties of designers (see pOC-12), and onplanning supervisors in respect of the health and safety file.

The construction phase is part of the project whenconstruction work takes place. This includes on-sitepreparations and any demolition. The construction phaseends when construction work on the project finishes. Fittingout or commissioning, whether carried out by the contractoror the client is included in the construction phase. Whenthere is a phased handover of a number of structures, as partof the same project, the construction phase continues untilthe work on the last structure is complete. Remedial workand repairs after the construction phase has finished areseparate projects

(a) "Construction work" does not include typical windowcleaning, the putting up and taking down of marqueesand tents or erecting scaffolds for support or access innon-construction work. CDM applies to all demolition ordismantling work, whether or not the work has to benotified to the HSE. Demolition includes the deliberatepulling down, destruction or taking apart of a structureor a substantial part thereof. It includes dismantling forre-erection or re-use. Demolition does not Includeoperations such as making openings for doors,windows or services or removing non-structuralelements such as cladding ,roof tiles or scaffolding.

(b) Construction work does not include tree planting andgeneral horticultural work or archaeologicalinvestigations.

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Official Text

These Regulations may be cited as the Construction (Designand Management) Regulations 1994 and shall come intoforce on 31 March 1995.

Guidance

2. Interpretation

1. Citation and commencement

The Construction (Design and Management) Regulations 1994as amended by the

Management of Health and Safety at Work Regulations 1999and the

Construction (Design and Management) (Amendment) Regulations 2000(modified text is shown underlined. Deleted text is shown crossed out)

S.I. 1994 No.3140

(Note In the following text, where it is stated under the column headed Guidance thatthese regulations do not apply, it is emphasised that other legislation will apply. Thiscolumn contains guidance based on the Approved Code of Practice and other sources.)


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(c) the assembly of prefabricated elements to form a structureor the disassembly of prefabricated elements which,immediately before such disassembly, formed a structure.

(d) the removal of a structure or part of a structure or of anyproduct or waste resulting from demolition ordismantling of a structure or from disassembly ofprefabricated elements which, immediately before suchdisassembly, formed a structure, and

(e) the installation, commissioning, maintenance, repair orremoval of mechanical, electrical, gas, compressed air,hydraulic, telecommunications, computer or similarservices which are normally fixed within or to astructure,

but does not include the exploration for or extraction ofmineral resources or activities preparatory thereto carriedout at a place where such exploration or extraction is carriedout;

contractor means any person who carries on a trade,business or other undertaking (whether for profit or not) inconnection with which he-(a) undertakes to or does carry out or manage construction

work,(b) arranges for any person at work under his control

(including, where he is an employer, any employee ofhis) to carry out or manage construction work;

design in relation to any structure includes drawing,design details, specification and bill of quantities (includingspecification of articles or substances) in relation to the

structure;"designer" means any person who carries on a trade, businessor other undertaking in connection with which he prepares adesign or arranges for any person under his control (includingwhere he is an employer, any employee of his) to prepare adesign, relating to a structure or part of a structure.

developer shall be construed in accordance withregulation 5(1);

domestic client means a client for whom a project iscarried out not being a project carried out in connection withthe carrying on by the client of a trade, business or otherundertaking (whether for profit or not);

health and safety file means a file, or other record inpermanent form, containing the information required byvirtue of regulation 14(d);

health and safety plan means the plan prepared by virtueof regulation 15;

planning supervisor means any person for the time beingappointed under regulation 6(l)(a);

principal contractor means any person for the time beingappointed under regulation 6(l)(b);

(c) CDM does not apply to manufacture in a factory or off-site workshop of items for later use in construction work,(e.g. roof trusses, precast concrete panels, bathroompods and similar prefabricated elements andcomponents) and fabricating elements which will formpart of off shore installations. The design requirementsof the Regulations will apply to these items, regardlessof where they are assembled or disassembled.

(d) Construction work does not include positioning orremoval of lightweight partitions such as those used todivide open-plan offices or create exhibition stands anddisplays.

(e) Construction work does not include the maintenance offixed plant other than services,

Building, civil engineering or engineering construction workat proposed quarries or mines which is associated with thedevelopment of a site to extract mineral resources is,however, included in the definition of construction work.

A contractor does not need to be an employer andconstruction work may be carried out without a contract.

CDM applies to all design work for construction includingdesigns for domestic clients and design carried out by acontractor as part of his construction work, whether these be

temporary or permanent works.

These regulations do not cover house occupiers who havework carried out on domestic premises which they use solelyas a private dwelling; however, there is a requirement on thecontractor to notify the work (see OC-10) and the duties on

designers apply in all circumstances. Commercial developerswho sell houses before the project is completed will remain"clients" as will Local Authorities, housing associationscharities, landlords and other business or limited companieswho own domestic property. It is the nature of the client, notthe property, which determines who is a domestic client.

"permanent form" includes storage on computer, (withsuitable backup arrangements).

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project means a project which includes or is intended toinclude construction work;

structure means-(a) any building, steel or reinforced concrete structure (not

being a building), railway line or siding, tramway line,dock, harbour, inland navigation, tunnel, shaft, bridge,viaduct, waterworks, reservoir, pipe or pipe-line (whatever,in either case, it contains or is intended to contain), 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, orstructure designed to preserve or alter any natural feature,and any other structure similar to the foregoing, or

(b) any formwork, falsework, scaffold or other structuredesigned or used to provide support or means of accessduring construction work, or

(c) any fixed plant in respect of work which is installation,commissioning, de-commissioning or dismantling andwhere any such work involves a risk of a person fallingmore than 2 metres;

(2) In determining whether any person arranges for aperson (in this paragraph called the relevant person) toprepare a design or to carry out or manage constructionwork regard shall be had to the following, namely-

(a) a person does arrange for the relevant person to doa thing where-(i) he specifies in or in connection with any

arrangement with a third person that the relevantperson shall do that thing (whether bynominating the relevant person as asubcontractor to the third person or otherwise), or

(ii) being an employer, it is done by any of hisemployees in-house;

(b) a person does not arrange for the relevant person to

do a thing where-(i) being a self-employed person, he does ithimself or, being in partnership it is done byany of his partners; or

(ii) being an employer, it is done by any of hisemployees otherwise than in-house, or

(iii) being a firm carrying on its business anywherein Great Britain whose principal place ofbusiness is in Scotland, it is done by anypartner in the firm; or

(iv) having arranged for a third person to do thething, he does not object to the third personarranging for it to be done by the relevantperson.

and the expressions arrange and arranges shall be

construed accordingly.

(3) For the purposes of these Regulations-(a) a project is carried out in-house where an employer

arranges for the project to be carried out by anemployee of his who acts, or by a group ofemployees who act, in either case, in relation tosuch a project as a separate part of the undertakingof the employer distinct from the part for which theproject is carried out; and

(b) construction work is carried out or managed inhousewhere an employer arranges for the constructionwork to be carried out or managed by an employeeof his who acts or by a group of employees who act,

in either case, in relation to such construction workas a separate part of the undertaking of theemployer distinct from the part for which theconstruction work is carried out or managed; and

A project includes all the preparation, design, planning andconstruction work required to achieve the end result. In somecases where there are substantial breaks in the workbetween phases, for example, a structure might bedemolished or services diverted, long before constructionstarts on a cleared site. The work of demolition and thediversion of services well in advance of the next phase maybe treated as a separate project

(i) A person who specifies a third party attracts the duties inRegs. 8 and 9;. i.e. he must be satisfied with regard to theircompetence and adequacy of resources.

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(c) a design is prepared in-house where an employerarranges for the design to be prepared by anemployee of his who acts, or by a group ofemployees who act, in either case, in relation tosuch design as a separate part of the undertaking ofthe employer distinct from the part for which thedesign is prepared.

(3A) Any reference in these Regulations to a personpreparing a design shall include a reference to hisemployee or other person at work under his controlpreparing it for him: but nothing in this paragraph shallbe taken to affect the application of paragraph (2).

(4) For the purposes of these Regulations, a project isnotifiable if the construction phase-

(a) will be longer than 30 days; or(b) will involve more than 500 person days of

construction work,and the expression notifiable shall be construed

accordingly.

(5) Any reference in these Regulations to a person beingreasonably satisfied-

(a) as to another persons competence is a reference tothat person being satisfied after the taking of suchsteps as it is reasonable for that person to take(including making reasonable enquiries or seekingadvice where necessary) to satisfy himself as to suchcompetence; and

(b) as to whether another person has allocated or willallocate adequate resources is a reference to thatperson being satisfied that after the taking of suchsteps as it is reasonable for that person to take(including making reasonable enquiries or seekingadvice where necessary)-(i) to ascertain what resources have been or are

intended to be so allocated; and

(ii) to establish whether the resources so allocatedor intended to be allocated are adequate.

(6) Any reference in these Regulations to -(a) a numbered regulation or Schedule is a reference to

the regulation in or Schedule to these Regulations sonumbered; and

(b) a numbered paragraph is a reference to theparagraph so numbered in the regulation in whichthe reference appears.

(4) Any day on which any construction work takes placecounts towards the period of construction work, includingweekends and holidays. The total "person days" is the totalnumber of shifts worked by everybody involved in theproject, including supervisors and specialists. If there is anydoubt about the duration of the work, a notification shouldbe submitted.

3. Application of regulations

Official Text

(1) Subject to the following paragraphs of this regulation,these Regulations shall apply to and in relation toconstruction work.

(2) Subject to paragraph (3), regulations 4 to 12 and 14to 19 shall not apply to or in relation to construction workincluded in a project where the client has reasonablegrounds for believing that-

(a) the project is not notifiable; and(b) the largest number of persons at work at any one

time carrying out construction work included in theproject will be or, as the case may be, is less than 5.

(3) These Regulations shall apply to and in relation toconstruction work which is the demolition or dismantling of a

structure notwithstanding paragraph (2).

Guidance

See p.OC-20.

(2) The Regulations do not apply (except for Reg. 13,requirements on designer) to projects which are of less than30 days duration or involve less than 500 person days andwhere less than 5 persons at any one time are expected tocarry out the construction work. In the case of a slightoverrun of the 30 days the HSE will not expect retrospectivenotification unless the scope of the project has changed orthe extended period is excessive

(3) Where demolition or dismantling of a structure is takingplace, these Regulations will apply regardless of whether or

not the work has been notified to the HSE. Demolition does notinclude operations such as making openings for doors,windows or services or removing non structural elements suchas cladding , roof tiles or scaffolding unless carried outalongside other demolition or dismantling activities.

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June 20020C 8

(4) These Regulations shall not apply to or in relation toconstruction work in respect of which the local authoritywithin the meaning of regulation 2(1) of the Health andSafety (Enforcing Authority) Regulations 1998 is theenforcing authority.

(5) Regulation 14(b) shall not apply to projects in whichno more than one designer is involved.

(6) Regulation 16(1)(a) shall not apply to projects in whichno more than one contractor is involved.

(7) Where construction work is carried out or managedin-house or a design is prepared in-house, then, for thepurposes of paragraphs (5) and (6), each part of theundertaking of the employer shall be treated as a personand shall be counted as a designer or, as the case may be,contractor, accordingly.

(8) Except where regulation 5 applies, regulations 4, 6, 8to 12 and 14 to 19 shall not apply to or in relation toconstruction work included or intended to be included in aproject carried out for a domestic client.

(4) The Regulations do not apply where the localauthority is the enforcing authority (see pOC-20).

(5) (6) The co-ordinating duties of the planning supervisorand the principal contractor do not apply where there is onlyone designer or one contractor respectively.

(8) In the case of work for a domestic client therequirements for notification fall on the contractors andduties on designers apply.

4. Clients and agents of clients

Official Text

(1) A client may appoint an agent or another client to actas the only client in respect of a project and where such anappointment is made the provisions of paragraphs (2) to (5)shall apply.

(2) No client shall appoint any person as his agent underparagraph (1) unless the client is reasonably satisfied thatthe person he intends to appoint has the competence toperform the duties imposed on a client by these Regulations.

(3) Where the person appointed under paragraph (1)makes a declaration in accordance with paragraph (4),then, from the date of receipt of the declaration by theExecutive, such requirements and prohibitions as areimposed by these Regulations upon a client shall apply to theperson so appointed (so long as he remains as such) as if hewere the only client in respect of that project.

(4) A declaration in accordance with this paragraph-(a) is a declaration in writing, signed by or on behalf of

the person referred to in paragraph (3), to the effectthat the agent or client who makes it will act as clientfor the purposes of these Regulations; and

(b) shall include the name of the person by or on behalfof whom it is made, the address where documentsmay be served on that person and the exact addressof the construction site; and

(c) shall be sent to the Executive.

(5) Where the Executive receives a declaration inaccordance with paragraph (4), it shall give notice to theperson by or on behalf of whom the declaration is made andthe notice shall include the date the declaration was receivedby the Executive.

(6) Where the person referred to in paragraph (3) doesnot make a declaration in accordance with paragraph (4),

any requirement or prohibition imposed by these Regulationson a client shall also be imposed on him but only to theextent it relates to any matter within his authority.

Guidance

(3) (4) A client may appoint an agent or when a projectis carried out for a number of clients, one of the clients or anagent may be appointed to take the legal responsibilities ofregulations 6 and 8-12. This can be effected by sending adeclaration specifying the information required byregulation 4(4) to the Health and Safety Executive. Clientswill however still retain other duties under health and safetylaw such as ensuring the health and safety of peopleaffected by their work.


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Official Text

(1 )This regulation applies where the project is carried outfor a domestic client and the client enters into anarrangement with a person (in this regulation called thedeveloper) who carries on a trade, business or otherundertaking (whether for profit or not) in connection with

which-(a) land or an interest in land is granted or transferred

to the client; and(b) the developer undertakes that construction work will

be carried out on the land; and(c) following the construction work, the land will include

premises which, as intended by the client, will beoccupied as a residence.

(2) Where this regulation applies, with effect from thetime the client enters into the arrangement referred to inparagraph (1), the requirements of regulations 6 and 8 to12 shall apply to the developer as if he were the client.

Guidance

This regulation applies when a domestic client purchasesdomestic premises from house builders or commercialdevelopers before the project is complete. In thesecircumstances the requirements of CDM will apply to thedeveloper.

5. Requirements on developer

6. Appointments of planning supervisor and principal contractor

Official Text

(1) Subject to paragraph (6)(b), every client shall appoint-(a) a planning supervisor; and(b) a principal contractor,in respect of each project.

(2) The client shall not appoint as principal contractor anyperson who is not a contractor.

(3) The planning supervisor shall be appointed as soonas is practicable after the client has such information aboutthe project and the construction work involved in it as willenable him to comply with the requirements imposed on himby regulations 8(1) and 9(1).

(4) The principal contractor shall be appointed as soonas is practicable after the client has such information aboutthe project and the construction work involved in it as willenable the client to comply with the requirements imposedon him by regulations 8(3) and 9(3) when making anarrangement with a contractor to manage construction workwhere such arrangement consists of the appointment of theprincipal contractor.

(5) The appointments mentioned in paragraph (1) shallbe terminated, changed or renewed as necessary to ensurethat those appointments remain filled at all times until the endof the construction phase.

(6) Paragraph (1) does not prevent-(a) the appointment of the same person as planning

supervisor and as principal contractor provided thatperson is competent to carry out the functions underthese Regulations of both appointments; or

(b) the appointment of the client as planning supervisoror as principal contractor or as both, provided theclient is competent to perform the relevant functionsunder these Regulations.

Guidance

(1) (see p.OC-22).

(2) See Reg. 2 for definition of "contractor". Thecontractor should be competent and adequately resourcedfor the project in hand.

(3) The planning supervisor can be a company, apartnership or an individual and should be competent andadequately resourced for the project in hand.

(4) The principal contractor will usually be the main ormanaging contractor who will be in overall day-to-daycontrol of the construction phase of the project.

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June 20020C 10

Official Text

(1) The planning supervisor shall ensure that notice of theproject in respect of which he is appointed is given to theExecutive in accordance with paragraphs (2) to (4) unlessthe planning supervisor has reasonable grounds forbelieving that the project is not notifiable.

(2) Any notice required by paragraph (1) shall be givenin writing or in such other manner as the Executive may fromtime to time approve in writing and shall contain theparticulars specified in paragraph (3) or, where applicable,paragraph (4) and shall be given at the times specified inthose paragraphs.

(3) Notice containing such of the particulars specified inSchedule I as are known or can reasonably be ascertainedshall be given as soon as is practicable after theappointment of the planning supervisor.

(4) Where any particulars specified in Schedule 1 havenot been notified under paragraph (3), notice of suchparticulars shall be given as soon as is practicable after theappointment of the principal contractor and, in any event,before the start of construction work.

(5) Where a project is carried out for a domestic clientthen, except where regulation 5 applies, every contractorshall ensure that notice of the project is given to the Executivein accordance with paragraph (6) unless the contractor hasreasonable grounds for believing that the project is notnotifiable.

(6) Any notice required by paragraph (5) shall-(a) be in writing or such other manner as the Executive

may from time to time approve in writing;(b) contain such of the particulars specified in Schedule

1 as are relevant to the project; and(c) be given before the contractor or any person at work

under his control starts to carry out construction work.

Guidance

(1) Notifiable projects are those where construction workis expected to last more than 30 days or involve more than500 person days. See Reg. 2(4). A day is any day on whichany work takes place

(2) The planning supervisor must ensure that theinformation specified in Schedule 1 of the Regulations (seep.OC-19) is included in the notification. Form 10 (rev.),available from HSE offices, may be used.

(3) (4) Notification should be sent to the HSE area officecovering the site where construction work is to take place.Addresses of HSEs local offices and the areas they covercan be obtained from HSEs infoline (08701 545500) orHSEs website >www.hse.gsi.gov.uk


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(4) Any reference in this regulation to a person havingcompetence shall extend only to his competence-

(a) to perform any requirement; and(b) to conduct his undertaking without contravening any

prohibition, imposed on him by or under any of therelevant statutory provisions.

9. Provision for health and safety

Official Text

(1) No client shall appoint any person as planningsupervisor in respect of a project unless the client isreasonably satisfied that the person he intends to appointhas allocated or, as appropriate, will allocate adequateresources to enable him to perform the functions of planningsupervisor under these Regulations in respect of that project.

(2) No person shall arrange for a designer to prepare adesign unless he is reasonably satisfied that the designer hasallocated or, as appropriate, will allocate adequate resourcesto enable the designer to comply with regulation 13.

(3) No person shall arrange for a contractor to carry outor manage construction work unless he is reasonablysatisfied that the contractor has allocated or, as appropriate,will allocate adequate resources to enable the contractor tocomply with the requirements and prohibitions imposed onhim by or under the relevant statutory provisions.

Guidance

(1) (2) (3) "Resources" is a general term which includesthe necessary time, plant, machinery, technical facilities and,trained personnel to fulfil the obligations.

Guidance on adequate resources for health and safety isgiven on p.OC-25

10. Start of construction phase

Official Text

Every client shall ensure, so far as is reasonably practicable,

that the construction phase of any project does not startunless a health and safety plan complying with regulation15(4) has been prepared in respect of that project.

Guidance

Before construction work begins the client must ensure the

principal contractor has prepared a project specific healthand safety plan. Sufficient time should be allowed for theprincipal contractor to develop the plan before work starts.The client may take the advice of a professional adviser orthe planning supervisor to determine whether the plan hasbeen developed sufficiently.

11. Client to ensure information is available

Official Text

(1) Every client shall ensure that the planning supervisorfor any project carried out for the client is provided (as soon

as is reasonably practicable but in any event before thecommencement of the work to which the information relates)with all information mentioned in paragraph (2) about thestate or condition of any premises at or on whichconstruction work included or intended to be included in theproject is or is intended to be carried out.

(2) The information required to be provided byparagraph (1) is information which is relevant to the

functions of the planning supervisor under these Regulationsand which the client has or could ascertain by makingenquiries which it is reasonable for a person in his positionto make.

Guidance

(1) (2) The information which the client needs to provide is:- that which will assist the planning supervisor to comply with

his duties, in particular to assist designers to comply withtheir duties and to prepare a health and safety plan.- that which should be included in any health and safety filerelating to the structure.

"Information" is that needed to identify hazards includingthose arising from previous work, site conditions or activitieson or near the site. The information might already be in theclients possession from previous surveys or in a health andsafety file from earlier work or that which may be reasonablyobtained by carrying out surveys or other investigations. Itshould include, existing buildings, land and plant in thestructure or on the land, any of which may be contaminatedby current or previous use (eg. by manufacturing processes,

asbestos, waste disposal, etc.)

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June 20020C 12

12. Client to ensure health and safety file is available for inspection

Official Text

(1) Every client shall take such steps as it is reasonable fora person in his position to take to ensure that the informationin any health and safety file which has been delivered to himis kept available for inspection by any person who mayneed information in the file for the purpose of complying

with the requirements and prohibitions imposed on him by orunder the relevant statutory provisions.

(2) It shall be sufficient compliance with paragraph (1) bya client who disposes of his entire interest in the property ofthe structure if he delivers the health and safety file for thestructure to the person who acquires his interest in theproperty of the structure and ensures such person is aware ofthe nature and purpose of the health and safety file.

Guidance

(1) The planning supervisor has responsibility for thepreparation, review and amendment of the health and safetyfile. On or before the completion of the project constructionphase, he must deliver the file to the client so that it isavailable for inspection and its contents can be taken into

account if further construction work is to be carried out on thestructure. (which could include fitting out, cleaning,maintenance and alterations. If the client leases out all or partof the structure, the file must be made available to theleaseholders. If the leaseholders act as clients, theleaseholders and the original client must arrange for the file tobe passed to the planning supervisor for use and updating.

(2) If the client sells all or part of the structure, the file, orthe relevant parts of the file, should be passed or copied tothe new owner.

Note: The requirement for a health and safety file is notretrospective; ie. it is not required for an existing buildingwhere construction work was completed before 31 March1995. However, where new construction work is carried outon part of an existing structure a health and safety file mustbe prepared for the part of the structure affected.

13. Requirements on designer

Note This regulation stands alone. It does not depend on the existence of a client, nor upon appointmentsmade by the client. It applies whenever a designer prepares a design which will be used

for the purposes of construction work.

Official Text

(1) Except where a design is prepared in-house, no

employer shall cause or permit any employee of his toprepare for him, and no self-employed person shall preparea design in respect of any project unless he has takenreasonable steps to ensure that the client for that project isaware of the duties to which the client is subject by virtue ofthese Regulations and of any practical guidance issued fromtime to time by the Commission with respect to therequirements of these Regulations.

(2) Every designer shall-(a) ensure that any design he prepares and which he is

aware will be used for the purposes of constructionwork includes among the design considerationsadequate regard to the need-(i) to avoid foreseeable risks to the health and

safety of any person at work carrying outconstruction work or cleaning work in or on thestructure at any time, or of any person who maybe affected by the work of such a person atwork,

(ii) to combat at source risks to the health andsafety of any person at work carrying outconstruction work or cleaning work in or on thestructure at any time, or of any person who maybe affected by the work of such a person atwork, and

(iii) to give priority to measures which will protectall persons at work who may carry outconstruction work or cleaning work at any timeand all persons who may be affected by the

work of such persons at work over measureswhich only protect each person carrying outsuch work;

Guidance

(1) Before any design work commences designers should

make sure the client is aware of his duties under CDM. Thiscan be done through meetings or by providing briefings tothe client. The clients attention should be drawn to"Managing Health and Safety in Construction - TheApproved Code of Practice and Guidance." and the HSEsleaflet "Having construction work done? Duties of clientsunder the "Construction (Design and Management)Regulations 1994."

(2) (a) Designers must critically assess their designproposals at an early stage and then throughout the designprocess to ensure health and safety issues are identified andaddressed. Designers duties are concerned with the risks tothose carrying out the work and others affected by it. Thefirst stage in reducing risk is to identify the hazard and then

design that hazard out if at all feasible. Where the hazardcannot be designed out the next stage is to consider whatcan be done to reduce the risk during the construction work,(which includes - cleaning, maintenance and demolition). Inmost cases this can be done using experience and publishedguidance, without carrying out sophisticated risk analysistechniques. Designs should reduce the risks to everyoneexposed in preference to measures which only protect theindividual.(See p.OC-23).


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June 20020C 14

15. Requirements relating to the health and safety plan

Official Text

(1) The planning supervisor appointed for any project

shall ensure that a health and safety plan in respect of theproject has been prepared no later than the time specified inparagraph (2) and containing the information specified inparagraph (3)

(2) The time when the health and safety plan is requiredby paragraph (1) to be prepared is such time as will enablethe health and safety plan to be provided to any contractorbefore arrangements are made for the contractor to carryout or manage construction work.

(3) The information required by paragraph (1) to becontained in the health and safety plan is:-

(a) a general description of the construction workcomprised in the project;

(b) details of the time within which it is intended that theproject, and any intermediate stages, will becompleted;

(c) details of risks to the health or safety of any personcarrying out the construction work so far as suchrisks are known to the planning supervisor or arereasonably foreseeable;

(d) any other information which the planning supervisorknows or could ascertain by making reasonableenquiries and which it would be necessary for anycontractor to have if he wished to show-(i) that he has the competence on which any

person is required to be reasonably satisfied byregulation 8, or

Guidance

(1) (2) The health and safety plan at the pre-tender stage

must be project specific and address the key health andsafety issues, in particular those which a contractor could notreasonably be expected ot identify. Its purpose is to ensurethese can be taken into account when preparing a tender orbid for the client. The planning supervisor needs to examineall the available information to identify the key health andsafety issues for the plan, in particular, issues that havesignificant resource implications need to be clearlyidentified. The plan must be prepared before contractors areappointed to carry out or manage the work. This will enableprospective principal contractors to be fully aware of theprojects health and safety requirements. During thetendering or similar process, prospective principalcontractors should take the pre-tender health and safety planinto account in preparing their tenders.

(3) The planning supervisor should ensure thatinformation is acquired to prepare and develop the plan;this will include: information which the client has made available

regarding the site and requirements with regard to hisown use of the premises while work is being carried out;

any surveys of the site and its neighberhood with healthand safety implications;

contributions from designers, which will includeinformation about any risks which cannot be avoidedand will have to be controlled by the principal contractor.(See p.OC-27 and for content p.OC-28).

(d) ensure that a health and safety file is prepared inrespect of each structure comprised in the projectcontaining-

(i) information included with the design by virtue ofregulation 13(2)(b), and

(ii) any other information relating to the projectwhich it is reasonably foreseeable will benecessary to ensure the health and safety of anyperson at work who is carrying out or will carryout construction work or cleaning work in or onthe structure or of any person who may beaffected by the work of such a person at work;

(e) review, amend or add to the health and safety fileprepared by virtue of sub-paragraph (d) of thisregulation as necessary to ensure that it contains theinformation mentioned in that sub-paragraph when itis delivered to the client in accordance with sub-paragraph (f) of this regulation; and

(f) ensure that, on the completion of construction workon each structure comprised in the project, thehealth and safety file in respect of that structure isdelivered to the client.

(d) (e) The planning supervisor must see that a suitablehealth and safety file is prepared for each structure. Thefile provides information needed during futureconstruction work, (which includes cleaning,maintenance, alterations, refurbishment anddemolition). Information in the file is essential to thosedoing the work. It alerts them to risk and helps themdecide how to work safely. The client, designers,principal contractor and other contractors have a dutyto provide any relevant information to enable theplanning supervisor to prepare, review, amend or addto the file. It is important to establish who is to compilethe file and that an early start is made with everyoneworking together to identify the type of information thatshould be in the file. The collection and compilation ofthe relevant data needs to be managed properly. It canbe difficult to obtain information for the file afterdesigners or contractors have completed their work.The file should contain health and safety informationabout hazards that remain in the design and theresulting risks. Typical information which should beincluded is outlined on p.OC-29

(f) The planning supervisor must see that the file isfinalised and handed to the client at or beforecompletion of the construction phase. In some cases, forexample there is partial occupation or phasedhandover of a project the client may need informationfrom the file before the whole project is complete.


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(ii) that he has allocated or, as appropriate, willallocate, adequate resources on which anyperson is required to be reasonably satisfied byregulation 9;

(e) such information as the planning supervisor knowsor could ascertain by making reasonable enquiriesand which it is reasonable for the planningsupervisor to expect the principal contractor to needin order for him to comply with the requirementimposed on him by paragraph (4); and

(f) such information as the planning supervisor knowsor could ascertain by making reasonable enquiriesand which it would be reasonable for any contractorto know in order to understand how he can complywith any requirements placed upon him in respect ofwelfare by or under the relevant statutory provisions.

(4) The principal contractor shall take such measures as itis reasonable for a person in his position to take to ensurethat the health and safety plan contains until the end of theconstruction phase the following features:

(a) arrangements for the project (including, wherenecessary, for management of construction workand monitoring of compliance with the relevantstatutory provisions) which will ensure, so far as isreasonably practicable, the health and safety of allpersons at work carrying out the construction workand all persons who may be affected by the work ofsuch persons at work, taking account of-(i) risks involved in the construction work,(ii) any activity specified in paragraph (5); and

(b) sufficient information about arrangements for thewelfare of persons at work by virtue of the project toenable any contractor to understand how he cancomply with any requirements placed upon him inrespect of welfare by or under the relevant statutoryprovisions.

(5)An activity is an activity referred to in paragraph(4)(a)(ii) if-(a) it is an activity of persons at work; and(b) it is carried out in or on the premises where

construction work is or will be carried out; and(c) either-

(i) the activity may affect the health or safety ofpersons at work carrying out the constructionwork or persons who may be affected by thework of such persons at work, or

(ii) the health and safety of the persons at workcarrying out the activity may be affected by thework of persons at work carrying out theconstruction work.

(4) In the construction phase, the health and safety planbuilds on the information contained in the pre-tender planand sets out arrangements for managing the project(including monitoring) taking account of the particular risks.It must include details of arrangements for welfare facilities.The construction phase plan usually needs to be developedas the work progresses providing a focus for themanagement and co-ordination of health and safety.Guidance on the development of the health and safety planis given on p.0C-27 and for content p.OC-28.

16. Requirements on and powers of principal contractor

Official Text

(1) The principal contractor appointed for any project shall-(a) take reasonable steps to ensure co-operation

between all contractors (whether they are sharingthe construction site for the purposes of regulation11 of the Management of Health and Safety atWork Regulations 1999 or otherwise) so far as isnecessary to enable each of those contractors tocomply with the requirements and prohibitionsimposed on him by or under the relevant statutoryprovisions relating to the construction work;

(b) ensure, so far as is reasonably practicable, thatevery contractor, and every employee at work inconnection with the project complies with any rulescontained in the health and safety plan;

Guidance

(a) Guidance on regulation 11 of the Management ofHealth and Safety at Work Regulations is given inpOB-6. The Provision and Use of work EquipmentRegulations are also relevant (see section OF).

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June 20020C 16

(c) take reasonable steps to ensure that only authorisedpersons are allowed into any premises or part ofpremises where construction work is being carriedout;

(d) ensure that the particulars required to be in anynotice given under regulation 7 are displayed in areadable condition in a position where they can beread by any person at work on construction work inconnection with the project; and

(e) promptly provide the planning supervisor with anyinformation which-(i) is in the possession of the principal contractor

or which he could ascertain by makingreasonable enquiries of a contractor, and

(ii) it is reasonable to believe the planningsupervisor would include in the health andsafety file in order to comply with therequirements imposed on him in respect thereofin regulation 14, and

(iii) is not in the possession of the planning

supervisor.(2) The principal contractor may-(a) give reasonable directions to any contractor so far

as is necessary to enable the principal contractor tocomply with his duties under these Regulations;

(b) include in the health and safety plan rules for themanagement of the construction work which arereasonably required for the purposes of health andsafety.

(3) Any rules contained in the health and safety plan shallbe in writing and shall be brought to the attention of personswho may be affected by them.

(c) Authorised persons should be authorised, by theprincipal contractor, to enter all, or specified parts,of an area where construction work is taking place.Persons who have a statutory right to enter the areaare automatically authorised persons. Authorisedpeople should have relevant site rules explained tothem and undertake any necesssary inductiontraining.Steps must be taken to ensure no unauthorisedperson enters the work area. How access iscontrolled depends upon the nature of the project,the risks and the location. The boundaries of all sitesshould be physically defined, where possible bysuitable barriers. Special consideration is neededwhere rights of way cross sites are in or next to otherwork areas, new houses are being built on adevelopment where some houses might be occupiedor there are children or other vunerable personsnearby (see HSE Guidance Note G57 Accidents tochildren on construction sites).

(d) Depending on the nature of the site, the informationcould be positioned at the site entrance, a prominentplace on the perimeter, the site office or, for internalwork, at the entrance of the area where work istaking place. The notice should be up to date.

(e) The principal contractor should provide the planningsupervisor with all relevant information for the healthand safety file which is not already in the planningsupervisors possession.

(2) The power of the principal contractor to give directions tocontractors is limited to that necessary to enable theprincipal contractor to comply with his duties under the CDMRegulations; he cannot give directions to enable him tocomply with duties he may have as a contractor under otherregulations. Contractors have a complementary duty underthe CDM Regulations to comply with such directions.

17. Information and training

Official Text

(1) The principal contractor appointed for any projectshall ensure, so far as is reasonably practicable, that everycontractor is provided with comprehensible information onthe risks to the health or safety of that contractor or of anyemployees or other persons under the control of thatcontractor arising out of or in connection with theconstruction work.

(2) The principal contractor shall ensure, so far as is

reasonably practicable, that every contractor who is anemployer provides any of his employees at work carryingout the construction work with-

Guidance

(1)(2) The information on risks to health and safety whichthe principal contractor is required to provide to contractorsshould be incorporated in the health and safety plan.Relevent parts of the plan should be made available tocontractors when they tender for the different work packagesof the construction phase.

Principle contractors must also make sure that contractorsprovide their employees with information and trainingrequired by section 13(2)(b) of the Management of Health

and Safety at Work Regulations (see 0B-6). Similarly,arrangements for the provision of induction training for allwho are new to the site should be made by the principlecontractor.


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(a) any information which the employer is required toprovide to those employees in respect of that workby virtue of regulation 10 of the Management ofHealth and Safety at Work Regulations 1999; and

(b) any health and safety training which the employer isrequired to provide to those employees in respect ofthat work by virtue of regulation 13(2)(b) of theManagement of Health and Safety at WorkRegulations 1999.

18. Advice from, and views of, persons at work

Official Text

The principal contractor shall-(a) ensure that employees and self-employed persons at

work on the construction work are able to discuss,and offer advice to him on, matters connected withthe project which it can reasonably be foreseen willaffect their health or safety; and

(b) ensure that there are arrangements for the co-ordination of the views of employees at work on

construction work, or of their representatives, wherenecessary for reasons of health and safety havingregard to the nature of the construction work and thesize of the premises where the construction work iscarried out.

Guidance

It is essential that the workforce and their representatives arefully involved in health and safety at all relevant stages of aa project, particularly the construction phase.

19. Requirements and prohibitions on contractors

Official Text

(1) Every contractor shall, in relation to the project:-(a) co-operate with the principal contractor so far as is

necessary to enable each of them to comply with hisduties under the relevant statutory provisions;

(b) so far as is reasonably practicable, promptlyprovide the principal contractor with anyinformation (including any relevant part of any riskassessment in his possession or control made byvirtue of the Management of Health and Safety atWork Regulations 1999) which might affect thehealth or safety of any person at work carrying outthe construction work or of any person who may beaffected by the work of such a person at work orwhich might justify a review of the health and safetyplan;

(c) comply with any directions of the principalcontractor given to him under regulation 16(2)(a);

(d) comply with any rules applicable to him in the healthand safety plan;

(e) promptly provide the principal contractor with theinformation in relation to any death, injury,condition or dangerous occurrence which thecontractor is required to notify or report by virtue ofthe Reporting of Injuries, Diseases and DangerousOccurrences Regulations 1985; and

(f) promptly provide the principal contractor with anyinformation which-(i) is in the possession of the contractor or which

he could ascertain by making reasonableenquiries of persons under his control, and

(ii) it is reasonable to believe the principalcontractor would provide to the planningsupervisor in order to comply with the

requirements imposed on the principalcontractor in respect thereof by regulation16(1)(e), and

(iii) which is not in the possession of the principalcontractor.

Guidance

(1) All contractors (including utilities, special contractors,contractors nominated by the client and the self employed)have a part to play in ensuring that the site is a safe place towork.

(a) The key to this is communication and co-operationbetween all those involved.

(b) They must provide information to the principalcontractor about risks to others created by their work.

(c)(d) They must comply with any reasonable directionsfrom the principle contractor, and with any relevant rules inthe health and safety plan.

(e) They must tell the principal contractor about accidentsand dangerous occurences.

(f) They must provide the principal contractor withinformation for the health and safety file.

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June 20020C 18

(2) No employer shall cause or permit any employeeof his to work on construction work unless the employerhas been provided with the information mentioned inparagraph (4).

(3) No self-employed person shall work on constructionwork unless he has been provided with the informationmentioned in paragraph (4).

(4) The information referred to in paragraphs (2) and (3)is-

(a) the name of the planning supervisor for the project;(b) the name of the principal contractor for the project;

and(c) the contents of the health and safety plan or such

part of it as is relevant to the construction workwhich any such employee or, as the case may be,which the self-employed person, is to carry out.

(5) It shall be a defence in any proceedings forcontravention of paragraph (2) or (3) for the employer orself-employed person to show that he made all reasonableenquiries and reasonably believed-

(a) that he has been provided with the informationmentioned in paragraph (4); or

(b) that, by virtue of any provision in regulation 3, thisregulation did not apply to the construction work.

(2) (3) (4) No contractor must start work on a constructionsite, or allow their employees to start work, until they havebeen provided with:- the names of the planning supervisor and the principal

contractor, and the relevant part of the health and safety plan.

20. Extension outside Great Britain

Official Text

These Regulations shall apply to any activity to whichsections 1 to 59 and 80 to 82 of the Health and Safety atWork etc. Act 1974 apply by virtue of article 7 of the Healthand Safety at Work etc. Act 1974 (Application outsideGreat Britain) Order 19891 other than the activities specified

in subparagraphs (b), (c) and (d) of that article as they applyto any such activity in Great Britain.

1This order has been replaced by the Health and Safetyat Work etc Act 1974 (Application outside Great Britain)order 2001/2127. As a result CDM only applies toactivities listed in article 8(1)(a) of the 2001 order which donot involve work on or in connection with offshoreinstallations, piplines, pipeline works or mines.

Guidance

CDM applies to work carried out within Great Britain andcertain activities in its territorial sea, for example,construction of an off-shore wind farm. People workingabroad have no duties under CDM, but the law applies toclients in Britain who choose to use designers or others

working abroad. These clients must make sure that thosethey engage are competent, that health and safety issues areproperly considered and that normal CDM information isprovided.

21. Exclusion of civil liability

Official Text

Breach of a duty imposed by these Regulations, other

than those imposed by regulation 10 and regulation 16(1)(c),shall not confer a right of action in any civil proceedings.

22. Enforcement

Official Text

Schedule 2 shall have effect with respect to projectswhich have started, but the construction phase of which hasnot ended, when these Regulations come into force.

Guidance

These provisions are spent

Official Text

Notwithstanding regulation 3 of the Health and Safety(Enforcing Authority) Regulations 1989, the enforcingauthority for these Regulations shall be the Executive.

23. Transitional provisions


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24. Repeals, revocations and modifications

Official Text

(1) Subsections (6) and (7) of section 127 of the FactoriesAct 1961 are repealed

(2) Regulations 5 and 6 of the Construction (GeneralProvisions) Regulations 1961 are revoked.

(3) The Construction (Notice of Operations and Works)Order 1965 is revoked.

(4) For item (i) of paragraph 4(a) of Schedule 2 to theHealth and Safety (Enforcing Authority) Regulations 1989,the following item shall be substituted

(i regulation 7(1) of the Construction (Design andManagement) Regulations 1994 (S.I.1994/3140) (which requires projects whichinclude or are intended to include constructionwork to be notified to the Executive) applies tothe project which includes the work; or.

[Revoked by Health and Safety (Enforcing Authority)Regulations 1998 - schedule 3].

SCHEDULE 1

PARTICULARS TO BE NOTIFIED TO THE EXECUTIVE

1. Date of forwarding.

2. Exact address of the construction site.

3. Name and address of the client or clients (see note).

4. Type of project.

5. Name and address of the planning supervisor.

6. A declaration signed by or on behalf of the planningsupervisor that he has been appointed as such.

7. Name and address of the principal contractor.

8. A declaration signed by or on behalf of the principalcontractor that he has been appointed as such.

9. Date planned for start of the construction phase.

10. Planned duration of the construction phase.

11. Estimated maximum number of people at work on theconstruction site.

12. Planned number of contractors on the constructionsite.

13. Name and address of any contractor or contractorsalready chosen.

Note: Where a declaration has been made in accordancewith Regulation 4(4), item 3 above refers to the client orclients on the basis that the declaration has not yet takeneffect.

SCHEDULE 2

TRANSITIONAL PROVISIONS

All transitional provisions are now time expired.

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MANAGING CONSTRUCTION FOR HEALTH AND SAFETY

IntroductionThe construction industry covers a wide range of

activities, hazards, materials, techniques, employmentpatterns and contractual arrangements. In thesecircumstances, good management of construction projectsfrom concept through to demolition is essential if health and

safety standards are to improve. Poor management is aprime cause of the unacceptable accident and occupationalhealth record of the industry.

The Management of Health and Safety at WorkRegulations 1992place general duties on employers andthe self-employed to make effective arrangements formanaging health and safety. These duties make moreexplicit the requirements of sections 2 and 3 of the Healthand Safety at Work etc. Act 1974, and apply across a widerange of industries including construction. Guidance on theManagement of Health and Safety at Work Regulations isgiven in Section OB.

The Construction (Design and Management) - Regulations1994 (CDM) place duties upon: clients and clients agents

developers designers, planning supervisors, principal contractors, contractors (including both employers and the self-

employed).CDM is intended to protect the health and safety of

people working in construction, and others who may beaffected by their activities. The regulations require systematicmanagement of projects from concept to completion:hazards must be identified and eliminated where possible,and remaining risks reduced and controlled. This approachreduces risks during construction work and throughout thelife cycle of the structure. (including eventual demolition).

Many people seem to think that CDM requires them to

produce paperwork for its own sake. This is far from thetruth. CDM is intended to encourage the integration of healthand safety into project management. Any paperwork shouldcontribute to the management of health and safety. Workcarried out under these regulations needs to be targetedwhere it will bring health and safety benefits. If you areasked to do something under CDM which will not produce ahealth and safety benefit, there is probably amisunderstanding of what the Regulations require.

In summary, CDM requires:- a realistic project programme with adequate time

allowed for planning, preparation and the work itself; early appointment of key people; competent duty-holders with sufficient resources to meet

their legal duties; early identification and reduction of risks; provision of health and safety information from the start

of the design phase through construction andmaintenance to eventual demolition, so that everyonecan discharge their duties effectively;

co-operation between duty-holders; and effort and resources proportionate to the risks and

complexity of the project to be applied to managinghealth and safety issues.

Most of CDM covers both employees and the selfemployed without distinction. People working under thecontrol of others are usually their employees for health andsafety purpose, even if they are treated as self employed fortax and national insurance. Section 3 of the Health andSafety at Work etc. Act 1974 (HSWA) and the Construction(Health Safety and Welfare) Regulations 1996 (CHSWR)also create duties towards the self employed, and place

duties upon them. It is important to remember these legalduties cannot be passed on to someone else by means of acontract.

Application , (Regulations 2 and 3)1. The CDM Regulations apply to most building, civil

engineering and engineering construction work including: new-build construction, alteration, maintenance and renovation of a structure, site clearance,

demolition and dismantling of a structure,temporary works.

2. The Regulations do not apply to construction workwhen the local authority is the enforcing authority for healthand safety purposes. The type of activity carried out at theworkplace is normally the deciding factor. The user of theworkplace should know which enforcing authority covers thepremises. HSE or the local authority (usually theenvironmental health department) can provide furtheradvice. For most construction work the enforcing authority is

the HSE. Where the local authority is the enforcing authorityfor the work normally carried out, HSE becomes theenforcing authority if,-

the work is notifiable under CDM; (see OC-10) all or part of the work being undertaken by a

contractor is to the exterior of the building or structureor

the work is carried out in a physically segregated areaof the premises, where the activities normally carriedout have been stopped to allow construction to takeplace, and the contractor has the authority to excludepeople not carrying out construction. This does notinclude the maintenance (including removal) ofinsulation on pipes, boilers or other parts of heating orwater systems,

3 The local authority remain the enforcing authoritywhere the people doing the work are those who normallywork on the premises. HSE is normally the enforcingauthority where the local authority is the client.

4 CDM applies to all design work for construction,including designs for domestic clients.

5 Where the CDM Regulations apply, inspectors from theHSE are responsible for enforcement.

6 The above guidance is summarised in the flowchartopposite.

7 CDM applies to all forms of contract involvingconstruction work, e.g. -

a) Traditional contracts. Traditional forms of contractare those with relatively clear design/tender/constructsequences, they sit easily within the CDM Regulationsand make up the majority of todays constructionprojects.

b) Package deals - turnkey and design and buildPackage deals, design and build contracts place allthe responsibility for the work, from taking the initialbrief to completing the work, in one place - usuallywith the lead contractor

Under these contracts, the "lead contractor" tenders forthe project as the designer and constructor. In the earlystages of such projects, before this lead contractor isappointed, clients will need to consider CDM. They have aduty to appoint the planning supervisor at the concept stage,to ensure the health and safety issues relating to the site areconveyed to the contractor at tender stage.


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December 2002 0C 21

How to check whether the CDM Regulations apply

Note Where it is stated above that the CDM Regulations do not apply, it is emphasised that other legislation will apply.

Is the local authority theenforcing authority for the work?

(see p.7 and 0C-20)

NONE OF THECDM

REGULATIONS

APPLY

Is the work to be done fora domestic client?

(see domestic client, p.0C-5)

NO

NO YES

YES

YES

YES

NO

NO

NO

NO

Will demolition or dismantlingwork be involved?

(see Regulation 3(3) p.0C-7)

Is the project notifiable?(see p.0C-27)

ALL CDMREGULATIONS APPLY

CDM REGULATIONS DO NOTAPPLY EXCEPT FOR

REGULATION 13 DESIGNERDUTIES

Has the client enteredinto an arrangementwith the developer?

(see Regulation 5 and0C-9)

ONLY CDMREGULATIONS 7

(SITE NOTIFICATIONREQUIREMENT)

AND 13(DESIGNER DUTIES)

APPLY

Will the largest number ofpersons at work at any one timecarrying out construction work

on the project exceed 4?(see p.0C-7)


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December 2002

Clients will normally appoint lead contractors who arecompetent to take over the role of planning supervision andprincipal contractor from the time of their appointment.

c) Construction management and managementcontracting. A management contract is a commonlyused term to refer to a type of contract where themanagement contractor is selected at a very earlystage and appointed to manage the trade contractorwho will execute the construction and input his ownexpertise during the pre-construction stages. Thecontract has two phases, the pre-construction and theconstruction period. The management contractor isintended to be involved in both phases subject to abreak clause permitting the client to stop the project atthe end of the pre-construction period.

In the early stages of the project before themanagement/main contractor is appointed the client willhave to consider CDM (appointment of competent designersand a planning supervisor). Normally the client will appointa main contractor who is competent to take over the role ofplanning supervision and of principal contractor from thetime of appointment.

d) PFI Contracts. The main aspect which needs tobe decided when considering the PFI project is , whois the client

The difficulty associated with CDM and PFI is that theclient can change. For example, a health authority wants tobuild a new hospital on land they own. They will havecertain criteria that they want fulfilled e.g. bed numbers, orthey have specific design criteria e.g. layout of hospital,inclusion of services, minimum/maximum tolerances onmaterial specification etc. Therefore prior to arranging thePFI contract they are a client and to some respect a designerunder CDM. They should therefore appoint a planningsupervisor to begin work collating information for the pre-tender stage health and safety plan, which should be passedonto the new client (usually the SPV Special Purpose Vehicle)once the PFI has been signed , sealed and delivered.

Alternatively the SPV could be appointed as clients agentand notification sent to the HSE.e) Partnering, term, maintenance & call off contracts.

These types of contract are used when services are requiredover a period of time at irregular intervals. The applicationof CDM to each block of work should be consideredindividually.

Clients and agents of clients1 Many individuals or organisations can be clients under

the CDM Regulations, whether they regularly commissionconstruction or maintenance work, approach a contractorfor a single project or are developers of residential property.

2 This is an area where many "clients" have never, in the

past, considered that they needed to be involved, leaving itto the "professionals" to get on with the job and completethe work as quickly and cheaply as possible. As a resultmany jobs have been carried out with only limited regard tothe legislation affecting health and safety. It is these areasthat the regulations seek to address, by placing new,statutory, duties on clients.

3 CDM is designed to promote a systematic approach tothe management of health and safety in construction. Clientshave a key role to play in this as they set the tone of a projectand make decisions crucial to its development. The intentionis to ensure work carried out for them is conducted withproper regard to the health and safety of workers andothers. That is why CDM places explicit duties on clients

requiring them to select competent people, provide releventinformation, and ensure there are adequate resources,including time, for each stage of the work. These allcontribute to a well planned approach to health and safety.

4 Because clients may know little about constructionhealth and safety, the Regulations require designers to makethem aware of their duties. Planning supervisors should alsobe able to advise clients. Clients can also appoint acompetent agent to carry out their remaining duties underCDM. There are other occasions when the appointment of aclients agent may be appropriate e.g. when a project is tobe carried out as a joint venture on behalf of a number oforganisations. In such cases one of the organisations, oranother individual, may be appointed as clients agent andtake on the duties of client for all the other organisations. Theagent could be one of the other CDM duty-holders.Whenever an agent is appointed he must send a declarationto the HSE of the appointment. (Regulation 4).

5 A client is an organisation or individual for whom aconstruction project is carried out, whether by others or inhouse. This means a wide range of bodies may be clientsunder CDM, e.g. local authorities, school governors,insurance companies and project originators on PrivateFinance Initiative (PFI) projects. Clients include agents ofclients, and developers. Domestic clients are a special caseand do not have duties under CDM. (See paragraph 18)

6 Clients must make timely appointments of competentand adequately resourced people. They must appoint aplanning supervisor and a principal contractor and satisfythemselves that the designers, other contractors and theagent they appoint are competent and adequately resourcedto carry out their duties under CDM. This also applies whena designer is novated to a contractor and when the clientwishes to nominate or provide a list of approved contractorsto carry out part of the work. There must be one planningsupervisor and one principal contractor at all times until theend of the construction phase. Appointments can beterminated, changed or renewed as necessary. The planningsupervisor and principal contractor can be individuals ororganisations. (Regulation 6,8 & 9). These roles are

explained in more detail in the sections dealing with theplanning supervisor and the principal contractor. (see OC-24 and OC25).

7 Clients must also provide relevent health and safety information about

existing structures and the site. (Regulation 11); Allow sufficient time for the design and construction

work to be carried out properly. (Regulation 9). Ensure that construction work starts only when there is a

suitably developed construction phase health andsafety plan. (Regulation 10), and

Ensure that the project health and safety file is availablefor any future construction work, and for handing on toa new owner, (Regulation 12).

8 The greatest potential impact of CDM is at the conceptand scheme design stages. As the scheme moves into thedetail design stage, it becomes more difficult to makefundamental changes that eliminate hazards and reduceresulting risks. Planning sopervisors must be appointed at orbefore the start of design work if they are to be effective incarrying out their duties and have maximum effect..

9 Clients should consider the persons in their ownorganisation who will need to have access to the work site.Consideration must also be give to any risks posed to otherpersons (e.g. members of the public, occupiers of adjacentpremises) who might be affected by the proposed work, assuch risks are likely to influence the way the work is carried

out. This information will be required by the planningsupervisor for inclusion in the pre-tender health and safetyplan. Similarly information regarding the clients own workpractices and health and safety arrangements (e.g.

0C - 22


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emergency procedures) will be needed where the propertyor site is not to be vacated during the construction phase.

10 If clients specify materials or methods of working, thismay make them designers under CDM, with the additionalduties of a designer, (Regulation 13).

11 CDM does not require clients to monitor theperformance of their appointees. However they have dutiesunder section 2 of HSWA if the work could put their ownemployees at risk.

12 Many CDM duties require something to be done butdo not specify who must do it. The client and those involvedneed to agree, preferably in their appointments; -

who is to notify HSE about the project who is to prepare the pre-tender health and safety plan who is to prepare the health and safety file and in what

format; and whether the planning supervisor will be required to

advise the client on; the competence and resources of appointees; and the adequacy of the principal contractors health

and safety plan.

13 NOTE - CDM does not require the planningsupervisor to monitor the work on site of the principal orother contractors. If the client wishes this to be done by theplanning supervisor it must be through a separateappointment.(see p.OC- 24)

14 CDM requires co-operation and co-ordinationbetween all people working on the project. The client shouldensure that all appointments and contracts include theserequirements and the need to conform with other CDMrequirements. e.g. conforming with the health and safetyplan, induction training, site rules etc.

15 If a client appoints a principal contractor withouttendering a health and safety plan is still required so that thecontractor knows about health and safety issues.

16 In PFI and PPP projects the project organiser is theclient until someone else takes on this role, and so they mustmake sure there are appropriate arrangements formanaging the project.

17 Clients must not leave it to contractors to discoverhazards. They must take reasonable steps to obtain thenecessary information. This may involve carrying out surveysand other investigations. They must provide the planningsupervisor with the information about any hazardsidentified. Commissioning the following would not be

unreasonable: - building survey including services; structural survey; asbestos and other hazardous substance survey; pest survey; contaminated land survey.

18 Domestic clients are people who have work done ontheir own homes or that of a family member. No duties areplaced on domestic clients by CDM or HSWA. It is the typeof client that is the key to this exclusion not the type ofproperty. Housing associations, charities, landlords,developers and other organisations may own domesticproperty but they are not domestic clients. If the workinvolved is attached to domestic property, such as a shop,

the client is not a domestic client.

Designers1 Designers have long recognised the need to consider

the safety aspects in use of that which they design. CDMexpands that need to consider how their designs can beconstructed safely. Designers are in a unique position toreduce the risks that arise during construction work, andhave a key role to play in CDM. Designs develop from initialconcepts through to a detailed specification, often involvingdifferent teams and people at different stages. At each stagedesigners from all disciplines can make a significantcontribution by identifying and eliminating hazards, and byreducing the remaining risks.

2 The Construction (Design & Managment) Regulationsinclude very broad definitions of construction work,structure, design and designer which effectively cover allthose who are in business to prepare drawings, designdetails, specifications and bills of quantities in relation to anybuilding, civil engineering or engineering construction work.Hence architects, structural, mechanical and electricalengineers, specialist such as lift engineers, interiordesigners, shop-fitters, landscape architects, designers oftemporary works and unqualified designers all havedesigner duties set out in Regulation 13. Except where thelocal authority, rather than the HSE, is the enforcing authoritythe designers duties in regulation 13 always apply evenwhere other aspects of the regulations are not applicable.

3 Designers

cip section 0c

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