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CDM Regulations 2007 Procedures Manual | Stuart Summerhayes | download
Strona główna CDM Regulations 2007 Procedures Manual
This Procedures Manual provides a documentation system which has been developed by a practising CDM co-ordinator for use with the Construction (Design and Management) Regulations 2007.It addresses the full range of obligations on all parties for compliance with the statutory requirements and features:* flow charts* checklists* model formsThe revised Third Edition of the Manual reflects the extensive changes to the CDM Regulations 2007, including:* the new role of CDM co-ordinator* wider and more onerous duties on clients* changes to the design process* wider requirements for competence* integration of duty holder rolesThe Manual also takes account of the 2007 Approved Code of Practice. It will function as a control document for quality assurance purposes.
Liczba stron: 208 / 176
ISBN 13: 9781444302561
ISBN: 140514002X
CDM Regulations 2007 Procedures Manual, Third Edition Stuart D. Summerhayes
© 2008 Blackwell Publishing Ltd. ISBN: 978-1-4051-4002-7
The author would like to acknowledge the patience and constructive dialogue
continually provided by Julia Burden and the support of his wife, Linda, without
whom this publication would never have been completed.
BSc, MSc, CEng, MICE, FaPS
ISBN: 978-1-4051-4002-7
CDM regulations : 2007 procedures manual / Stuart D. Summerhayes. – 3rd ed.
ISBN-13: 978-1-4051-4002-7 (pbk. : alk. paper)
ISBN-10: 1-4051-4002-X (pbk. : alk. paper) 1. Construction
industry–Safety regulations–Great Britain. I. Title.
KD3172.C6S86 2008
343.41′078624–dc22
2007037122
Set in 11/14pt Plantin by SNP Best-set Typesetter Ltd., Hong Kong
publisher ensures that the text paper and cover board used have met acceptable environmental accreditation
How this manual works
Table 2.1 The main responsibilities of duty holders
2.3 Additional exclusions
All duty holders
Table 3.1 Project management descriptors found in the regulations
Figure 3.1 Holistic diagram
4.1 Client flowchart: all projects
4.2 Client flowchart: notifiable projects, additional duties
4.3 Client checklist
4.4 Client checklist: notifiable projects
Figure 5.1 Regulations to be discharged by designers
5.2 All projects
5.5 Contribution
5.6 Design change
Figure 5.2 Systems approach for the designer
5.1 Designer flowchart: all projects
5.2 Designer flowchart: notifiable projects, additional duties
5.3 Designer checklist: all projects
5.4 Designer checklist: additional duties for notifiable projects
Figure 6.1 Contractor duties: all projects
6.1 Contractor flowchart: all projects
Figure 6.2 Contractor: additional duties on notifiable projects
6.2 Contractor flowchart: notifiable projects, additional duties
6.3 Contractor checklist: all projects
6.4 Contractor checklist: notifiable projects, additional duties
Figure 7.1 CDM co-ordination duties
7.1 CDM co-ordinator flowchart
7.2 CDM co-ordinator checklist
Figure 8.1 Regulations to be discharged by principal contractor
8.1 Principal contractor flowchart
8.2 Principal contractor checklist
9.2 Pre-construction information
Figure 9.1 Flow of pre-construction information and pre-construction
information: tender stage
9.3 Construction phase plan
9.4 Health and safety file
9.5 Project risk register
9.1 Project risk register (health and safety)
10 Checklists and agendas
Checklist for non-notifiable projects
Checklist of additional duties for notifiable projects
Initial design/client meeting: prompt list
Pre-start meeting: prompt list (non-notifiable projects)
Pre-start meetings: prompt list (notifiable projects) and
10.6 Progress meeting: prompt list
Section 11 Competence
This procedural manual is divided into sections to cover the full remit of obligations
imposed on the:
Each of these functions is qualified by a flowchart and detailed checklist. The flowchart
provides a chronological route through the Regulations for each duty. Key to this route
is the node box, which identifies obligatory duties and procedural options together with
reference to the corresponding Regulation and further description where appropriate.
Bold script signifies obligatory
Ordinary script signifies optional
but recommended duties or
Descriptive text to provide
additional guidance to good
This is a critical interface in the client’s
undertaking of his/her duties with
particular emphasis placed on
compliance with Regulations 9 and 16.
Give suitable and
sufficient advice
Corresponding Regulation.
The flowchart provides an illustrated link between successive duties.
The checklist documents accountability and provides a detailed procedural step-by-step
approach in fulfilment of obligations. It serves as the audit trail through the project,
signifying what action needs to be taken and providing a record of what action has been
taken, endorsed by the signature of the responsible person.
The appointment of the CDM co-ordinator must be made
in writing by the client.
It would be imprudent to fulfil this role without the written
Where the role of CDM co-ordinator has been fulfilled within
the client organisation either by design and/or default care
needs to be exercised and conditions/qualifications made about
the service being subsequently provided.
Bold text signifies obligatory
Descriptive text provides
Action req.
Before significant detailed design.
Note: Failure to appoint a CDM
Co-ordinator at the appropriate
time ensures that the client fulfils
There are no belated
appointments in respect of CDM
co-ordination since failure to
appoint ensures that the client
takes on such duties.
Criticality of timing
fulfilment of duties.
An example of a Pre-Construction Information – Tender Stage Document and Project
(Health and Safety) Risk Register is included together with checklists and agendas as
aide-memoires in support of the management of the process.
The Construction (Design and Management) Regulations (CDM Regulations) 1994
were the United Kingdom’s response to transpose the Council of the European Communities Directive 92/57 EEC entitled ‘The Minimum Health and Safety Requirements
at Temporary or Mobile Construction Sites’ into British law. They arose from member
consensus that the entire responsibility and management of health and safety throughout
the construction process was both fragmented and unco-ordinated.
These regulations have now been revised in the form of the CDM Regulations 2007,
which were laid before Parliament on the 15 February 2007 as Statutory Instrument
2007 No. 320, and were enacted on 6 April 2007. These regulations apply to all construction work in Great Britain and its territorial waters (12 miles offshore).
The revision has allowed greater alignment with the existing Directive, which has not
changed, and has built on the industry’s experience of working with the original regulations. These experiences relate to both the construction industry’s cultural response and
shortcomings identified in the interpretation and enactment of the original regulations.
Criticism attached to the original regulations related to:
belated appointments
baseline not benchmark approaches
reactive not proactive responses.
The CDM Regulations 2007 are accompanied by an Approved Code of Practice
(ACoP) (L144), which is to be supported by sectorial guidance provided by industry in
The new regulations emphasise the project management approach and are process
related with co-operation, co-ordination and communication fundamental to the
delivery of effective health and safety management within the holistic concept of the
integrated team.
The Health and Safety Commission, in collaboration with a Construction Industry
Advisory Committee working group, prepared the documents (the regulations and
ACoP), which are written in a more explicit language form directed towards:
planning and management of risk
improved competence of duty holders
improvements in process and practice
integration via co-operation and co-ordination
providing the right information to the right people at the right time.
Major changes have been made with the introduction of the CDM co-ordinator and
the concept of information flow via pre-construction information. Greater liability
for all duty holders is evident and due emphasis placed on professional competence as
outlined in Appendices 4 and 5 of the corresponding ACoP (L144) and a centre of
gravity shift towards the client, who must exercise more control over the entire
The CDM Regulations 2007, unlike their predecessors, combine two major items of
construction-related legislation in one coherent document, so the new regulations
are both an update of the CDM Regulations 1994 (plus 2000 amendment) and the
remnants of the Construction (Health, Safety and Welfare) Regulations 1996 (less the
content of the Work at Height Regulations 2005). This will require familiarisation since
the new Regulations are now logically structured as:
Regulations 4 to 13
Regulations 14 to 24
ADDITIONAL DUTIES WHERE
PROJECT IS NOTIFIABLE
Regulations 25 to 44
DUTIES RELATING TO HEALTH
AND SAFETY ON CONSTRUCTION
Regulations 45 to 48
The CDM Regulations 2007 therefore become the major piece of legislation within
the portfolio of construction-related legislation and seek to influence the following industry statistics:
an unprecedented 30% increase in fatalities over 2005–2006
3677 major injuries to employees (2005–2006)
7492 over-3-day injuries to employees
86 000 employees suffering from work-related ill-health
3.2 million working days lost per year (injury and ill-health).
However, any improvements to these statistics will require not only legislative change
but also an industry response in moving attitudes and ownership closer to the integrated
team concept identified in the Egan Report Rethinking Construction.
The cost benefits of effectively managed projects have been well publicised by the
Health and Safety Executive and Constructing Excellence, with due emphasis on the
role of effective health and safety management. It should not be difficult for the construction industry to appreciate the valid argument surrounding commercial viability in
its cultural move to embrace and move beyond basic compliance with criminal legislation as represented by the CDM Regulations 2007.
Much has been achieved in raising the awareness of health and safety issues over the
last 12 years, with much more still to be done. This cannot be achieved by legislation
alone and whilst the Regulations seek to build on the platform first established by the
Health and Safety at Work, etc. Act 1974, with its emphasis on ownership through
dialogue and consultation rather than imposition, industry culture must also shoulder
its own responsibility.
As with project management generally it is communication failure that precedes
project failure and all duty holders within the construction industry need to ensure that
projects start off correctly in order to deliver successful health and safety management
outcomes. This is also one of the objectives of the legislation.
All construction professionals, therefore, need management systems that are
compatible and supportive of core business delivery. Indeed, there is much to
be done before a proactive health and safety construction culture contributes
effectively to all stages of a project via its acknowledgement as an integral part
of successful project management.
It should be noted that no legislation achieves the aspirations of all duty holders for
it should be acknowledged that whatever the modifications and amendments embraced
in the drafting of the new regulations, it is the same construction industry to which these
regulations are directed.
For these regulations to work and achieve the truly integrated holistic team-based
approach that moves interminably towards a benchmark standard, industry must discard
some of its practices and seek to embrace much of the ethos and philosophy first laid
out in the Egan report.
The reader should appreciate that the CDM model is closely aligned with the concept
of the general project management model and is indeed an integral subset of project
management. Both will continue to remain journeys of constant improvement for the
intent is not to arrive but to constantly build on the experience of the current project.
Lessons learnt from one project need to be taken into the objectives of the next project,
with each team member striving to optimise the learning experience, thus avoiding a
reinvention of the wheel scenario.
Over the 12 years’ experience gained under the regime associated with the CDM
Regulations 1994 it remained a disappointment that too many organisations were still
looking to comply. It is a useful focus to remind ourselves that compliance is the baseline in that no duty holder can do less and stay above the law. However, there is nothing
preventing that duty holder doing more in the furtherance of the best practice
Accompanying the CDM Regulations 2007 is the clear message that the corresponding philosophy seeks to manage risk and not the paperwork. The effectiveness of health
and safety management is not improved by the extent of the paperwork associated with
the audit trail of documentary evidence. Key messages are capable of being lost because
of the information overload associated with irrelevant information. All sectors of our
industry must understand the implications of duty holder discharge within the conceptual embrace of competence and the comfort of proportionality.
Additionally, the duty holder must remain empowered to provide evidence of the
process without being hampered by visibility of detail at each stage. Each duty holder
must be able to demonstrate, through the relevancy of focused documentary evidence,
his effective contribution to health and safety management within the construction environment without being held to account by the minutiae of irrelevant detail.
Duty holders have always been charged with being contributors to health and safety
management as well as communicators of information and outcomes integral to the
process. The former requires awareness and competence, whilst the latter requires the
usual communication skills of simplicity, succinctness and focus. None of this can be
delivered without the organisational structure that supports team delivery.
These regulations are not about compliance – they are about improving and controlling the construction environment through compliance and beyond. This cannot be
achieved without the cultural embrace of the industry to which they relate.
These regulations provide the industry with an opportunity to advance construction
excellence and further promote team integration for the benefit of health and safety
These Regulations shall apply
a) in Great Britain; and
b) outside Great Britain as sections 1–59 and 80 to 82 of the 1974 Act by virtue of
article 8(1)(a) of the Health and Safety at Work, etc. Act 1972 (Application
outside Great Britain) Order 2001
Subject to the following paragraphs of this Regulation, these Regulations shall apply to
and in relation to construction work.
The duties under Part 3 shall apply only where a project
a) is notifiable; and
b) is carried out for or on behalf of, or by, a client.
Part 4 shall apply only in relation to a construction site.
Regulations 9(1)(b), 13(7), 22(1)(c), and Schedule 2 shall apply only in relation to
persons at work carrying out construction work.’
Parts 1 and 2 apply to all construction projects
applies only to notifiable projects
applies only in relation to the management of a construction site
Basically there are two situations to consider and all construction projects regardless
of complexity will fall into one of the following two categories:
notifiable projects.
As noted in Regulation 2, a project is notifiable if the construction phase is likely to
involve more than:
• 30 days, or
• 500 person days
of construction work.
Thus, unlike the CDM Regulations 1994, there are no special cases associated
demolition/dismantling, or
the five-person rule.
In respect of the former, all demolition/dismantling is now governed by the requirements of the following:
The demolition or dismantling of a structure, or part of a structure, shall be planned
and carried out in such a manner as to prevent danger, or where it is not practicable
to prevent it, to reduce danger to as low a level as is reasonably practicable.
The arrangements for carrying out such demolition or dismantling shall be recorded in
writing before the demolition or dismantling begins.’
Much demolition/dismantling itself is associated with the enabling works of the larger
project and whilst all demolition must comply with Part 4 requirements, and particularly
Regulation 29(2), it is the project itself that dictates whether or not it is notifiable or
non-notifiable in status.
Additionally, relevant parties must be aware of:
‘Every person (other than a contractor carrying out construction work) who controls the way
in which any construction work is carried out by a person at work shall comply with the
requirements of Regulations 26 to 44 insofar as they relate to matters which are within his
The above has an impact on all those who control the way in which work has to be
undertaken and is focused on ‘every person who controls the way’ rather than any particular duty holder.
Table 2.1 outlines the main responsibilities of duty holders.
Note: CDM co-ordinators and principal contractors are only appointed on notifiable projects. *Applies only if Regulation 25(2) applies.
Unshaded Regulations apply to all construction projects. Shaded regulations additionally apply to notifiable projects.
Part 1 (Regulations 1 to 3) deals with interpretations and application.
Part 5 (Regulations 45 to 48) deals with general, civil liability, enforcement in respect of fire, transitional provisions, and revocations and amendments.
THE MAIN RESPONSIBILITIES OF DUTY HOLDERS
Construction work means the carrying out of any building, civil engineering or engineering construction work and includes:
the construction, alteration, conversion, fitting out, commissioning, renovation, repair,
upkeep, redecoration or other maintenance (including cleaning which involves the use
of water or an abrasive at high pressure or the use of corrosive or toxic substances),
de-commissioning, demolition or dismantling of a structure,
the preparation for an intended structure, including site clearance, exploration, investigation (but not site survey) and excavation, and the clearance or preparation of the
site or structure for use or occupation at its conclusion,
the assembly of prefabricated elements to form a structure or the disassembly on site of
prefabricated elements which, immediately before such disassembly, formed a structure,
the removal of a structure or of any product or waste resulting from demolition or
dismantling of a structure or from disassembly of prefabricated elements which, immediately before such disassembly, formed a structure, and
the installation, commissioning, maintenance, repair or removal of mechanical, electrical, gas, compressed air, hydraulic, telecommunications, computer or similar services
which are normally fixed within or to a structure but does not include the exploration
for an extraction of mineral resources or activities preparatory thereto carried out at a
place where such exploration or extraction is carried out.
but does not include the exploration for, or extraction of, mineral resources or activities
preparatory thereto carried out at a place where such exploration or extraction is carried
any building, timber, masonry, metal or reinforced concrete structure, railway line or
siding, tramway line, dock, harbour, inland navigation, tunnel, shaft, bridge, viaduct,
waterworks, reservoir, pipe or pipeline, cable, aqueduct, sewer, sewage works, gasholder, road, airfield, sea defence works, river works, drainage works, earthworks,
lagoon, dam, wall, caisson, mast, tower, pylon, underground tank, earth retaining
structure, or structure designed to preserve or alter any natural feature, fixed plant and
any other structure similar to the foregoing or,
any formwork, falsework, scaffold or other structure designed or used to provide support
or means of access during construction work
and any reference to a structure includes a part of a structure.’
Note the following additional exclusions to the construction work definition as identified
in paragraph 13 of the ACoP:
Putting up and removal of marquees and tents.
General maintenance of fixed plant other than major refurbishment and alterations of
structures in their own right.
Tree planting and general horticultural work (as distinct from similar work associated
with larger remediation schemes).
Positioning and removal of lightweight partitions – mention here is made of work associated with exhibition stands, although some exhibition models move into structural assemblies and interpretations should not be taken too literally.
Surveying as distinct from invasive investigation work.
Work in conjunction with vessels such as ships and mobile offshore platforms.
Fabrication of elements which will form parts of offshore installations.
The construction of fixed offshore oil and gas installations at the place where they will be
Thus, with the exceptions above, the distinction between the survey and investigation,
and the exploration and investigation of mineral resources (open-cast mining) the CDM
Regulations 2007 apply to all construction work.
Care should be exercised that site clearance, site investigate and site preparation works
should be seen as part of the project regardless of the period between such weeks and
the main construction works themselves. Thus, for a notifiable project such early works
will themselves require the appointment of CDM co-ordinator and principal contractor
and appropriate documentation and control.
Parts 1 and 2 of the regulations apply to all duty holders and seek to emphasise the
rudiments of the project management approach, namely:
Regulations 10(2), 11(6), 13, 18, 19, 20, 21, 22, 23
together with the basic tenet of health and safety management enshrined in the General
Principles of Prevention as outlined in Schedule 1 of the Management of Health and
Safety at Work Regulations 1999 and now endorsed by Regulation 7.
The project management model to which the CDM model aspires is based on the
need to start every project with adequate preparation and control from the twin perspectives of foreseeability and proactivity, and throughout the project to continuously monitor
and review the effectiveness of these controls to ensure the delivery and management of
safe and suitable systems of work.
This can only be effectively achieved through the integration offered by the holistic
process, where ownership of health and safety management is delivered by the team.
Fragmented teams cannot deliver the success demanded and undermine the very concept
of collective ownership of the health and safety issues.
The integrated team is therefore an essential prerequisite on all projects in the delivery of effective project management as well as effective health and safety management.
Fragmentation undermines the basics of the team approach within the holistic concept
and therefore contributes to communication failure and lack of control. This is unacceptable on professional, moral and legislative grounds.
Project management integration also embraces other risk management facets, including financial management, quality management, time management, and health and
safety management. All are inextricably linked, with failure in one inevitably leading to
failure in others.
However, it is health and safety management statistics that advertise the dire consequences of control failure, with many of the effects still hidden and not yet confronted.
As such the project management words shown in Table 3.1 resonate throughout the
regulations to remind all duty holders of the need for a proactive, ongoing, team-based
DESCRIPTORS FOUND IN
PROJECT MANAGEMENT DESCRIPTORS FOUND IN REGULATIONS
‘maintained and reviewed’
‘plan, manage and monitor’
‘shall ensure . . . are complied with throughout the
construction phase’
‘revised as often as may be appropriate’
‘might justify a review of the construction phase
‘take appropriate action . . . where it is not
possible to comply’
‘planned, managed and monitored’
‘made and implemented’
‘review and update’
‘consult a contractor before finalising’
‘plan, manage and monitor the construction
phase’
‘review, revise and refine’
‘consult those workers or their representatives in
good time’
19(2)(a)
19(2)(b)
20(2)(e)
22(1)(g)
HOLISTIC DIAGRAM
CDM CO-ORDINATOR (notifiable projects)
(notifiable projects)
Documentary evidence (e.g.
project risk registers, notes,
design manuals, photographs)
In respect of the holistic diagram in Figure 3.1 the following should be noted:
All duty holders have implicit health and safety duties once they enter the holistic
circle, i.e. immediately they become involved in a project.
Figure 3.1 is based on a conventional procurement strategy. For different strategies
there will be greater overlaps between design and construction.
For the design process, the emphasis should be on hazard identification and risk
management strategy rather than design risk assessment. The latter is simply a facet
of the overall strategy.
Hazard identification and risk management strategy need to embrace all the foreseeable issues arising out of design itself and must include issues of constructability,
usability, maintainability, serviceability and removability as well as replacement.
Pre-construction information is an information flow that continues up until the construction activity itself takes place. Hence pre-construction information could still be
delivered during the construction phase. This is required on all projects and emanates
from the client (Regulation 10).
Notifiable projects only:
The appointments of the CDM co-ordinator and principal contractor only occur on
the notifiable project.
The appointment of a CDM co-ordinator should be made as soon as practicable
after the initial design stage. Note the ACoP (paragraph 66) distinction between
‘initial design work’ and ‘significant detailed design’.
The construction phase plan is the document that articulates the safe and suitable
systems of control to be exercised by the principal contractor throughout all the
construction stages of a project. It is only required on a notifiable project, but appropriate information would be required on all projects, e.g. workplace risk assessments
and methodologies, etc. It is critical that this key document is sufficiently developed
before any construction work starts.
The management of the health and safety file begins simultaneously with the appointment of the CDM co-ordinator and control over this management process must be
exercised right throughout the project by the CDM co-ordinator.
In Figure 3.1 the circle represents the integrated holistic team-based approach and is
a reminder that fragmented teams rarely deliver successful outcomes and never deliver
a fully successful outcome.
The client is seen as instrumental to the entire strategy to which the regulations relate,
since he remains best placed to influence the whole process. The client is at the head
of the supply chain and exercises control over the project in terms of contract arrangements and management of funds, and is therefore the key duty holder who sets the whole
tenure of the project.
The identity of the client, as with other duty holders, needs to be established as early
as possible, particularly since the client or their representative must sign the notification
that goes off to the Health and Safety Executive (HSE) or to the Office of Rail Regulation on a notifiable project. The identification can become complicated and reflective
of procurement strategy but can be facilitated by considering which entity:
heads the procurement chain
enters into the contract
manages the funding arrangements
makes the strategic decisions.
The client means:
‘a person who in the course or furtherance of a business
seeks or accepts the services of another which may be used in the carrying out of a
project for him; or
carries out a project himself.’
Domestic clients generally are exempt from the CDM Regulations 2007, unless
Regulation 25(2) applies since this has implications for all those who control the way in
which construction work has to be undertaken.
It should be noted that the CDM Regulations 2007 do not allow the client to appoint
a client’s agent, as did the CDM Regulations 1994. However, such an appointment
already made under the CDM Regulations 1994 can continue to function until five years
(fixed-term maintenance contract) from the introduction of the CDM Regulations 2007
or until the project concludes for which the appointment was made, if sooner.
Every person (other than a contractor carrying out construction work) who controls
the way in which any construction work is carried out by a person at work shall comply
with the requirements of Regulations 26 to 44 insofar as they relate to matters which
are within his control.’
This regulation could implicate all those who impose constraints on working practices
construction work alongside operational needs
limitations through imposed procedures
stipulated methodologies.
A distinction should also be made between the domestic client and domestic premises.
The latter ensures duties are placed on others such as insurance companies, housing
associations, developers and warranty providers, all of whom could function as clients
There are duties to be discharged by the client in respect of:
(1) All construction projects
(Regulation 25
Client duty re managing projects
Client duty re information
Designs prepared outside Great Britain
Health and safety on construction sites)
(2) Notifiable projects
Appointments where notifiable
Clients have far more duties than others in accordance with their influential
position in the supply chain. Not only is the client the major party that enters
into the contract but the client also establishes the parameters of delivery that
bind other duty holders into the holistic envelope that represents construction.
In embracing the changes associated with the CDM Regulations 2007 it is the
client, of all the five duty holder groups, who must make the biggest cultural step
in rising to the additional demands associated with liability and discharge of
The client should note that duties to Regulations 4, 5, 6, 7, 8, 9, 10, 12 and
25(2) remain to be discharged on all projects. It is obvious that all clients, but
particularly the lay client, need advice and assistance, not least because some
smaller projects represent complex or high-risk construction work.
Such advice and assistance could be provided by:
a competent person appointed under Regulation 7 of the Management of Health and
a CDM advisor (someone who would normally function as a CDM co-ordinator on
a notifiable project).
Such high-risk projects are identified in the ACoP (clause 21) as:
deep excavations and those in contaminated ground
unusual working methods or safeguards
ionising radiation or other significant health hazards
nearby voltage powerlines
a risk of falling into water which is, or may become, fast flowing
heavy or complex lifting operations.
The ACoP reminds us that for the above and more complex projects generally, a more
rigorous approach to co-ordination, co-operation and planning will be needed. Management arrangements would need to respond accordingly.
For notifiable projects the client can rely directly on the appointed CDM coordinator, but similar duties of health and safety management effectiveness must also
be delivered by duty holders on non-notifiable projects. Whilst the effective discharge
of all regulations is essential, the client needs in particular to focus attention on Regulations 9 and 10 for all projects and Regulations 14 and 16 for notifiable projects.
Regulation 9 requires the client to ensure management arrangements are established
by all duty holders for the delivery of effective health and safety management and that
such arrangements are monitored throughout the project to ensure that they remain
effective. As such the client’s team must ask the right questions at the right time. This
duty does not translate into undertaking site audits per se because, as the ACoP advises,
the client needs to seek confirmation that arrangements remain effectively in place. This
can be achieved through carefully scripted agenda items.
Extra diligence needs to accompany the start of all projects to ensure that systems are
protect the workforce and the public
satisfy the requirements for co-operation and co-ordination
provide welfare provision
These systems must remain in place throughout all projects.
Regulation 10 relates to the provision of pre-construction information by the client
to all designers and those contractors who have been, or who might be, appointed by
the client. This is the information stream that gathers capacity and momentum compatible with the iterative nature of project development. Thus information is directed from
the stream to the recipients to include:
relevant site information from historical sources
the use of the building as a place of work
the minimum period for planning and managing before construction work starts
(the mobilisation period).
Such pre-construction information must be qualified and managed in its delivery to
those receiving it to enable them to fulfil their statutory duties.
Regulation 14 requires clients on a notifiable project to appoint both a CDM coordinator and a principal contractor. The former must be appointed as soon as practicable after the initial design phase (Paragraphs 66 and 86 distinguish between ‘initial
design’ and ‘significant detailed design’), with encouragement to appoint the principal
contractor as soon as procurement allows. The critical factor for the client to note is
that failure to appoint a principal contractor at the correct time ensures that the client
himself takes on those duties by default.
Regulation 16 represents primary control for the client in that the gateway represented by the start of the construction phase can only be accessed through the provision
of a construction phase plan, which is under the ownership of the principal contractor.
This must be sufficient in detail and content to demonstrate that suitable and sufficient
systems of work have been developed and articulated to allow the early stages of construction to commence under suitably controlled conditions. The client exercises sanction over this start and must be satisfied with the sufficiency of this document before
any work commences on site.
CLIENT FLOWCHART:
CLIENT FLOWCHART: ALL PROJECTS
competent duty
All duty holders whenever
appointed must be assessed
No person appointing can rely
on self-certification arising
out of Regulation 4(1)(b).
All duty holders must cooperate with and actively
seek the co-operation of
construction on the same or
adjoining sites.
Note: The project site is also
an adjoining site to those
This will remain a dynamic
situation throughout the
Particularly relevant within
any operational/occupied
situation. Co-ordination
must embrace the health
and safety needs of those
carrying out or affected by
All duty holders must ensure
that these are accounted for
in the design, planning and
preparation of the project.
project, one or
more of them can
elect to represent
the group as the
client. Such
election must be in
Nonetheless, certain
duties remain to be
discharged by all
the parties, such as
modified outside
Duties could fall to
the client to ensure
that all designers
Regulation 11 if the
commissioning link
This is an over-arching duty
and such arrangements
must be maintained and
reviewed throughout the
project. It has impact on all
stages of the project and
requires verification that
others are discharging their
duties competently from
start to finish of the project.
Thus roles and
responsibilities must be
established as well as
effective lines of
Such information is required
to be passed to all designers
and contractors who have
been or may be appointed
by the client. The flow of
relevant information is not
limited to the preconstruction phase.
use of the structure
existing health and safety
Even on nonnotifiable projects
the client’s systems
existing health and
safety files occur as
a result of relevant
and safety file
NOTIFIABLE PROJECTS,
CLIENT FLOWCHART: NOTIFIABLE PROJECTS, ADDITIONAL DUTIES
Appoint CDM
must be appointed as
after initial design.
Note: Appointment
Sign copy of
initial F10
The client or someone
on his behalf must
sign that the client is
aware of his duties
If sent by electronic
means client must
ensure that he has
approved the use of
to CDM
15(a) and (b)
This appointment takes
place after the
CDM co-ordinator and
must occur before the
start of any construction
to the procurement
strategy the
better since the
No construction starts
until the client is satisfied
phase plan is sufficient
Regulations 23(1)(a),
23(2) and 22(1)(c).
relates to safe and
suitable systems of
control in respect of
early phase activities
adequate welfare
Client must promptly
provide preconstruction
CDM co-ordinator,
who must then ensure
it goes out to all
contractors who have
been or who may be
Appoint Principal
Control the start
16(a) and (b)
likely to be needed for
inclusion in the health
and safety file. It
relates to information
in the client’s
possession or which is
reasonably obtainable.
This must be handed
over by the CDM coordinator. A relevant
accompany partial
The client has ongoing
duties after the handover
of the project in respect
access to it whilst at
with relevant updates,
delivering the health
and safety file to any
new owner; change of
ownership requires
transfer of an up-todate health and safety
from the CDM
17(3)(a)
Revise health
to new owner
owner is aware
Pre-initial design
There is a continuing need to identify all those with whom the client needs to
This could well relate to overlapping projects, etc.
The basic tenets of health and safety management must be embraced by all
duty holders.
Emphasis is duly placed on those designing, planning and involved in the
preparation of a project.
This regulation has more relevance for those clients undertaking a ‘hands-on’
approach. Compliance with this regulation will normally be delivered by the
competent team assembled by the client.
The client must ensure that management arrangements are effectively set up by
duty holders and remain effective throughout the project.
Thus roles and responsibilities as well as communication networks must be
clear and well understood for the project duration.
The client has a duty to monitor and review such arrangements through an
amalgamation of checking and seeking confirmation procedures.
This carries an over-arching duty, and co-operation and co-ordination duties
must be covered in agenda items that need to focus on relevant issues.
The client (and all other duty holders) must co-ordinate their activities in
respect of those carrying out or affected by construction work. The concept of
the lead designer and main contrator is useful in this respect.
OF DUTY HOLDERS
The client and all other duty holders must seek the co-operation of those
involved in construction not only on the project but also on adjoining sites.
Note: Your project is itself an adjoining site.
CO-OPERATION OF
All duty holders, i.e. designer(s) and contractor(s) appointed by the client must
be assessed as competent.
The client must be satisfied that the person/organisation appointed has the
necessary competence to perform the function.
The client cannot rely on any party self-certifying themselves as competent.
The rigour of the assessment must relate to the complexity of the project.
To fulfil the above duty the client must identify all designers and contractors
who have been or who may be appointed by him.
A group of clients can elect one of them to be treated as the client.
Such an election must be made in writing.
Irrespective of such an election ongoing duties of co-operation and the
provision of relevant information continue to apply to all.
IDENTIFY DUTY
The following procedures are requirements for all construction projects.
CLIENT CHECKLIST (Sheet 1 of 2)
Particularly at the start of the
project but actively throughout
the project period.
The client needs assurance
before the construction phase
starts that co-operation/coordination arrangements are
suitable, even on a one-day
Throughout the project period.
Another project dynamic that
must be continuously fulfilled.
This is a project dynamic and
Such assessment must be
undertaken before appointment
and must have appropriate rigour
in the process of competence
If design is undertaken outside Great Britain the client could be responsible for
ensuring that such design is compatible with the requirements of Regulation 11.
This would depend on the commissioning chain.
Any client influencing the way in which a contractor works could incur health
and safety management duties relating to site activities (Regulations 25 to 44).
Thus the imposition of methodologies on the contractor should be avoided
wherever possible and unless absolutely necessary for operational reasons.
Even on smaller projects construction work undertaken of a non-notifiable
nature could still lead to an amendment/modification to an existing health and
safety file. The client’s management systems must be capable of responding.
DESIGNS OUTSIDE
Such information must be given to every designer and those contractors
appointed or who may be appointed by the client.
The client has no such obligation to contractors appointed by third parties.
Such relevant information includes:
that about/affecting the site/construction work
proposed use of the structure as a workplace
mobilisation period for contractors
existing health and safety file information.
Note: This is pre-construction information and could be required during the
construction phase (Refer to Section 9 Documentation, pages 137 to 147)
THIS REFLECTS THE CLIENT’S INFLUENCE OVER THE ENTIRE
This should be covered by an
early question to the design
As soon as possible but before
related work is undertaken.
Such information could be
provided in the construction
phase and relates to information
required before the construction
activity itself is undertaken.
communication links will all need
to constantly respond to the
changing nature of the duty
holder interfaces.
The client has an over-arching
management arrangements of all
duty holders remain effective
Progress meeting agendas can
provide the means of reassurance that systems are
effective. Audits and inspection
summaries need to feed into
More complex projects need
more sophistication in ensuring
that effective management
arrangements remain in place.
The client must be seen to have asked the right question of the right people at
The client has to be satisfied that arrangements made by the competent duty
holder continue to reflect the ongoing competent approach or otherwise take
adequate protection for workers and the public
adequacy of welfare arrangements
suitable co-operation/co-ordination between designers and contractors
ongoing effectiveness of contractors’ safe and suitable systems of work.
CLIENT CHECKLIST (Sheet 2 of 2)
This applies to in-house and external
appointments alike.
Post initial design/
pre significant
CDM COORDINATOR AND
CONTRACTOR TO BE
14(4)(a)
14(4)(b)
All CDM co-ordinator duties must be fulfilled
either by the client or by a third party (internal or
external) appointed by the client.
No CDM co-ordinator or principal contractor
work should be undertaken until the
appointments have been verified in writing.
Similarly there is the need to ensure that
adequate time and resources are allocated to
perform the functions of CDM co-ordinator and
CONFIRM EXTENT OF
The client must be satisfied that the person/
organisation appointed has the necessary
competence to perform the functions of CDM
co-ordinator and principal contractor, and has
the organisational structure to ensure that
individuals are either competent or under the
supervision of a competent person.
The client must appoint a principal contractor for
every notifiable project, subject to competence
and resource adequacy having been established
The need to appoint should have been affirmed
by the design teams.
Both the above appointments must be in writing.
The client must appoint a CDM co-ordinator for
and resource adequacy having been established.
The client can rely on the advice and assistance
of the CDM co-ordinator in fulfilling his duties
APPOINT CDM COORDINATOR
Additional requirements for all construction projects of notifiable status.
CLIENT CHECKLIST: NOTIFIABLE PROJECTS (Sheet 1 of 3)
If appointments are not made at
the appropriate time, or the
service to be undertaken is not
fully defined, the client will be
deemed to function as the CDM
co-ordinator and principal
The actual timing of this
appointment will reflect the
procurement strategy, but there
is strong emphasis that the
appointment should be made
early enough to provide the
necessary perspective for
constructability and planning/
initial design. If there is any
doubt the appointment should
be made sooner rather than
The client or someone on his behalf must sign to
confirm that the client understands his duties
under the CDM Regulations 2007.
This must be someone strategically placed within
the client’s organisation who can sign on the
client’s behalf. It should not be signed purely for
This information has to be identified and
collected by the CDM co-ordinator.
It is information which is in the client’s
possession or reasonably obtained by the client.
Such information includes the stipulated
minimum amount of time for planning and
managing before construction work starts.
Thus on notifiable projects the CDM coordinator will facilitate a number of the duties to
be discharged by the client on all projects.
However, this does not translate into being a
transference of legal duty.
This is a primary control gateway to be exercised
by the client, who must be satisfied that the
principal contractor has developed the
construction phase plan compatible with the basic
obligation to ensure that work activities can be
undertaken without risk to health and safety to
those undertaking construction and those who
might be affected by it.
The CDM co-ordinator must be available to
assist the client in this respect.
This ensures that the principal contractor is
adequately prepared and that the start of
construction is not premature due to the
perceived need for an early start without due
preparation of controls.
SIGN THE RELEVANT
THE HSE OR THE
REGULATION (F10)
PROVIDE THE CDM
WITH PRECONSTRUCTION
CLIENT CHECKLIST: NOTIFIABLE PROJECTS (Sheet 2 of 3)
This includes enabling works
and any works for the
preparation of the structure,
including site clearance, etc.
(refer to Interpretation,
Regulation 2)
Note: Failure to ensure
compliance with Regulation 16
confers a right of civil action.
Such information must be
As soon as practicable after the
appointment of the CDM coordinator.
provided to the client by the
CDM co-ordinator, whose
further role is to ensure it is sent
off to either the HSE or the
The CDM co-ordinator must hand the health
and safety file to the client and should receive a
signature for its delivery and acceptance.
The information within the health and safety file
must be kept up to date and available for
inspection by any person who might reasonably
The health and safety file must accompany
change of ownership together with an explanation
of the nature and purpose of the health and
safety file for the benefit of the new owner.
RECEIPT OF HEALTH
The CDM co-ordinator should discuss at an
early stage the form and format of the health and
safety file with the client. This becomes a client
document after eventual handover and hence the
client should be involved in its compatibility with
existing management systems, computerised or
Information in a single file must be easily
The client should also expect to receive a
proportional health and safety file in respect of
partial handover and sectional completion, since
insurance cover has also been transferred.
The client must provide the CDM co-ordinator
with relevant information in his possession or
reasonably obtained by him needed for inclusion
in the health and safety file. Particular mention is
made of the Control of Asbestos Regulations
The CDM co-ordinator identifies such
information for the client and subsequently
CLIENT CHECKLIST: NOTIFIABLE PROJECTS (Sheet 3 of 3)
conveyancing procedure.
This is an ongoing duty and
relates to maintaining the
security of access to the health
and safety file as well as
managing future amendments/
modifications to any existing
An explanatory letter should
accompany the health and safety
Soon after the appointment of
the CDM co-ordinator.
phase. Essentially when the
insurance arrangements for the
project transfer from the
principal contractor’s cover to
that of the client.
Immediately such information is
The design team occupies a unique position in the construction process not only as
professional advisor to the client but also through their strategic position near the top
of the supply chain. The Health and Safety Executive (HSE) acknowledge this and
continue to emphasise the influential position of design in the delivery of effective health
The CDM Regulations 2007 require much less of a cultural step from the designer
than that imposed on the client in the fulfilment of duties. Co-operation (Regulation 5)
and co-ordination (Regulation 6) are there to be discharged, as are the general principles
of prevention (Regulation 7). However, these regulations reinforce the good practice
approach of old and the standard tenet of health and safety management generally discharged by the practitioner for some time.
The main areas of change surround:
the competence of the designer
the process of design demonstration
designing for the provisions of the Workplace (Health, Safety and Welfare) Regulations 1992
the interface between designer, CDM co-ordinator and principal contractor in respect
of design change.
The definition of design now includes:
specification and bill of quantities (including specification of articles or substances)
relating to a structure
calculations prepared for the purpose of design
the need in designing a structure as a place of work to account for the provisions of
Designer itself means:
‘any person (including a client, contractor or other person referred to in these Regulations)
who in the course or furtherance of a business:
arranges for or instructs any person under his control to do so relating to a structure
or to a product or mechanical or electrical system intended for a particular structure,
and a person is deemed to prepare a design where a design is prepared by a person
under his control.’
The designer’s perspective embraces all those foreseeable aspects of health and safety
associated with constructability, useability, maintainability and replacement up to and
including demolition and dismantling. These duties to be discharged by the designer
apply to both permanent and temporary design.
Regardless of their pedigree, designers must consider the need to design in a way
which avoids risks to health and safety or reduces those risks as far as is reasonably
practicable so that the projects they design can be constructed, used, operated, maintained, replaced and taken down safely. Where risks cannot be avoided, suitable and
sufficient information on them has to be provided to those who need the information.
Designers must therefore be able to:
identify the hazards inherent in their designs
identify the resultant risks from construction through to demolition
understand how to eliminate the hazards or reduce the risks
communicate relevant information to others.
Fundamentally, designers must not produce designs that cannot be constructed, used,
maintained, replaced and removed safely.
Much of design is interdisciplinary and the process itself requires co-ordination. This
is addressed in Regulation 6, with the ACoP promoting the concept of the lead designer.
Whilst there is no legality to this position it is a legal requirement that duty holder roles
must be co-ordinated. Hence, the lead designer as the point of co-ordination should be
identified on all projects.
Designers are more comfortable with the interpretation of their role after the 12-year
experience offered under the CDM Regulations 1994. The HSE’s interventionist strategies associated with raising the awareness of the designer in the discharge of duties were
helpful but have now moved away from the demands of form-filling evidence to sensible
realism and focus on managing risk and not paperwork.
Designers own their process and should therefore be capable of demonstrating their
contribution to effective health and safety management through the visibility of their
systems rather than demonstrability with detail at every stage. Indeed the most effective
design contributions come from strategies developed with other duty holders and in
particular the integrated contribution between design and construction. Within the
context of project management it is the team that delivers success rather than one party
working in isolation. The same is true within the health and safety environment and
designer–contractor–end user interfaces and perspectives remain critical.
Paragraph 144 of the ACoP reminds us that there is no legality in the form of the
records kept, although it is useful to have some record. This needs to be balanced against
the information overload that accompanies excess paperwork or bureaucratic responses
and the danger of losing key messages because of the irrelevance of much that accompanies that excess. The communication of relevant information is based on the concept
of the competence of other duty holders, particularly the contractor, and the need to
communicate in areas of significance rather than the mundane. Accompanying this
approach must also be the awareness that inadvertently this is a political arena and the
design process must be seen to have addressed those issues that are the concern of the
HSE. This concern is based on statistical feedback and therefore it is sensible to give
visibility in the design process to those valid areas of address without succumbing to the
gross excesses of the past, which serve no one’s best interests.
Associated perspectives must embrace not only safety but also related occupational
ill-health issues, including:
sensitory dermatitis
hand/arm vibration syndrome.
This is not an exhaustive list and it will need to be extended to capture the specifics of
For many years the design fraternity has made wide use of the design risk assessment
pro forma and all its variations. Whilst these can be useful, design itself has recourse to
other means of demonstrating its process from numerous systems/techniques/approaches,
project risk (health and safety) registers
accompanying minutes.
Indeed, there is much merit in using existing project management techniques where they
can accommodate the shared objectives of CDM management. In that sense the project
risk (health and safety) register offers a facility that more closely represents the iterative
nature of the design process and provides a broad canvas to which design teams and
others contribute.
The example project given in Chapter 9 illustrates the main characteristics of such a
register, namely:
integrated document with contributions from all duty holders
the promotion of a team-based approach
a dynamic approach and issues kept alive until delivered
a move away from pseudo-numerical classifications towards general categories
visibility throughout to significant issues
documentation accompanies the project from start to finish.
Such registers are in common use by project management teams (mainly for aspects
of financial exposure and control) and if health and safety is to be truly integrated into
the considerations of the team then an extension of standard procedures to accommodate health and safety demonstrability and communication has much merit. The remaining question, however, relates to the ownership of the register. This should not be
difficult – it could be owned by the project manager, lead designer and/or the CDM
co-ordinator as appropriate.
Regulations 10 and 15(a)
Designs prepared or
modified outside Great Britain
Duties of designers:
11(1) client is aware
11(2) duties SFARP
11(3) avoid risks to
11(4) eliminate and reduce
11(5) Workplace (Health, Safety and Welfare) Regulations 1992
11(6) information
REGULATIONS TO BE DISCHARGED BY DESIGNERS
For all projects designers must:
ensure they are competent and adequately resourced
co-operate with other duty holders on this and adjoining sites
co-ordinate their activities to improve the management /control of risk
design in conjunction with the general principles of prevention
ensure client is aware of his duties
discharge a hierarchal approach to health and safety contribution
account for the provisions of the W(H,S&W) Regulations 1992
provide sufficient (and suitable) information about aspects of design to:
– other designers
– and contractors.
As such the process must achieve integration between the various elements of design
including clients scope of works and other relevant stakeholder interest groups, permanent and temporary design, work specialist package design and sub-design generally. As
with all other duty holders, focus cannot solely be on the specifics of the CDM Regulations 2007, for it is the whole portfolio of construction related legislation that is relevant
to the task that needs to be embraced.
Throughout the Regulations duty holders have to discharge duties:
‘so far as is reasonably practicable.’
The Court of Appeal’s interpretation of this phrase is:
‘Reasonably practicable is a narrower term than physically possible, and implies that a computation must be made in which the quantum of risk is placed in one scale, and the sacrifice,
whether in money, time or trouble, involved in the measures necessary to avert the risk, is
placed in the other; and that, if it be shown that there is a gross disproportion between them,
the risk being insignificant in relation to the sacrifice, the person upon whom the duty is laid
discharges the burden of proving that compliance was not reasonably practicable. This computation falls to be made at a point of time anterior to the happening of the incident
complained of.’
On every project the design team must be able to demonstrably answer the question:
‘what is your contribution to health and safety management on this project?’
How this strategy is implemented is judgmental but like other related processes it
must be demonstrable. The focus at all times is towards significant (and principal)
issues specific to the site, based on the concept of the competent contractor.
For the designer, occupying such an influential position in the health and safety management chain, an appropriate hazard identification and management strategy is fundamental. All stages of design starting with initial design must embrace this holistic concept
and deliver an appropriate strategy (See the holistic diagram on page 22).
Principally, the purpose of a hazard identification and management strategy in relation
to health and safety follows a simple audit trail of:
This is the first step in the health and safety risk management process and if team
members are unable to identify the issues either through ignorance or complacency the
succeeding elements are flawed. Often it involves a lateral perspective allowing freedom
to think outside the ‘box’ and hence the process is not facilitated from a checklist
approach. The competent team should have no problem in identifying the salient health
and safety management issues.
All evaluation processes are challenged in respect of their validity in the process of design
contribution. The method of hazard evaluation or appraisal after identification is not
prescribed and ranges from the simple qualitative description of high, medium or low
to the quasi-numerical approach based on a 10 × 10 matrix accounting for likelihood
and severity. More sophisticated methods can be used such as HAZOP (Hazard and
Operability Studies) and probabilistic methodologies but these are not often required
for main stream design. Most evaluation methods provide a ranking for the prioritisation
of action by the design team. What is critical is that the hazard is identified and a design
contribution made based on a hierarchy of prevention and protection. There remains a
strong argument that the evaluation stage can be omitted with no detriment to the overall
process for the designer has already exercised judgement in listing the issue.
The design team is aware of the need to identify the issues and having identified them
are then challenged to make a health and safety contribution based on the following
hierarchy of response in respect of the content of regulation 7 and its linkage with
Appendix 7 (of ACoP):
Minimisation/reduction
It is vital not to embark on a generic approach (anathema to the Health and Safety
Executive[HSE]) for today’s design team challenge is to think ‘outside the box’. The
checklist mentality only ensures that the designer becomes a prisoner of the checklist
boundaries, which stifles creativity and health and safety management contribution.
Design teams must be aware of the health and safety management issues before they
are in a position to proactively contribute. That awareness must extend to a competent
appreciation of relevant health and safety issues aligned to the focus projected by any
current HSE interventionist strategy. This must also be a perspective from which CDM
co-ordination approaches the interface with design.
Thus, design teams must:
in a health and safety management process, which engages all design team members,
and includes design changes arising from variation orders and architects instructions.
The transfer of residual information down the supply chain is part of the communication
link and the ACoP informs that this can be achieved by:
written information provided with the design
suggested construction sequences.
A visible system based on appropriateness and minimisation of paperwork must accompany the design process to ensure transparency and accountability and to provide
documentary evidence that duties have been fulfilled without perpetuating the bureaucratic nightmare associated with self-generating paperwork systems.
ACoP paragraph 145 reminds us all that
‘Too much paperwork is as bad as too little, because the useless hides the necessary. Large
volumes of paperwork listing generic hazards and risks, most of which, are well known to
contractors and others who use the design are positively harmful, and suggest a lack of competence on the part of the designer.’
Documentary evidence should merge with existing management systems and could be
demonstrated in a variety of forms, including:
design office manuals
project risk registers
design philosophy statements.
However in establishing a trail of accountability, management control systems must
support the practitioner in discharging legal duties without enslaving him/her to a
bureaucratic response.
Further to the contribution made, there is a design team requirement to ensure that
adequate information is provided to others so that work at all stages (constructability;
operability; facilities management; and de-commissioning) can be undertaken safely.
Thus appropriate outputs must be delivered into the pre-construction information and
the health and safety file process at the appropriate time.
This should also focus attention on design liability associated with the extended duration of health and safety files as well as amendment/modifications requirements to existing files on the non-notifiable project.
The designer must be aware of the need to provide information to clients, other
designers and contractors as part of the information flow process. This process is iterative and information must flow out of design to ensure that work can be carried out
safely at the appropriate time
Design changes during the construction phase are usually initiated by variation orders
(VOs) or architect’s instructions (AIs). Where such instructions are received during the
construction phase they can have greater implications within the confines of a construction programme.
These instructions will also need to have been subjected to the ongoing design risk
management strategies and supporting documentation will provide the information
Consideration, coordination, contribution
CIRIA reports
Material hazard data sheet
Risk assessment and registers
Residual hazard information
and de-erection
Sketches/sequence
Adequate information for work
Undertaken safely
SYSTEMS APPROACH FOR THE DESIGNER
DESIGNER FLOWCHART:
DESIGNER FLOWCHART: ALL PROJECTS (Sheet 1 of 2)
design phas
No person appointing
can rely on selfcertification arising
4(1)(b).
duties can extend
As such it is not
limited solely to
phases prior to the
since certain design
packages will only
be appointed during
proposed use of the
whenever appointed
must be assessed for
design team selfcertify their
Client to be
Imperative that before
design starts client
is made aware of
client’s duties.
Where numerous
involved it is
sufficient if they
ensure that the lead
informed the client
Designs prepared
outside Great
to be prepared or
Great Britain must
designers discharge
duties compliant
with regulation 11.
10(1)(a) or 15(a)
provided to all
designers either
client (nonnotifiable project )
or from the CDM
(notifiable project).
seek co-operation
All duty holders must
co-operate with and
actively seek the cooperation of those
same or adjoining
NOTE: The project site
is also an adjoining
site to those around.
This will remain a
must be duly coordinated and the
ACoP recommends
lead designer to
facilitate and own this
process which is
This is the guiding
principle for the
11(2); 11(3) and
related issues and
The basic tenet of
MHSW Regulations
DESIGNER FLOWCHART: ALL PROJECTS (Sheet 2 of 2)
Essential that health
and safety does not
process but is taken
as an integral and
term ‘as far as is
Avoid foreseeable
11(3) & 11(4)
11(3) & (4)
Such risks must
by it; cleaning;
as a workplace.
prevention must be
embraced in the
discharge of these
duties (Appendix7).
Thus collective
Use as a place of
Workplace (Health,
Welfare)Regulations
1992 must be
complied with for
all fixed workplaces.
design of offices,
shops, factories and
Many designs would
Account must be
design of and
corresponding work
of to be undertaken
safely must be
provided to clients;
other designers and
contractors. Such
to relevant aspects
of design of the
structure, its
construction and/or
required as inputs to
documentation such
as pre-construction
drawings; health
and safety files etc.
Designers need to be
aware that as a
result of the nonnotifiable project
modifications might
be required to an
This has impact on
design inputs to both
Modifications to an
DESIGNER FLOWCHART: NOTIFIABLE PROJECTS, ADDITIONAL DUTIES
Significant detailed
of CMD
after initial design.*
All designers must
ensure that this has
Failure to appoint as
after initial design
ensures that the client
takes on the duties
of the CDM
This duty must also link
to ensure the client is
duties can be gauged
by client performance.
If this is not satisfactory
further advice and
given to the client.
and relates to relevant
of the structure or
its construction or
enable the CDM coordinator to distribute
prepare the health and
Note: The design
duties to comply
with the Workplace
(Health, Safety and
Welfare )
will impact on
Provide sufficient information with
Ensure information such
as ‘as built’ drawings
etc and residual hazard
to the CDM coordinator to expedite
the handover of the
health and safety file at
*Paragraph 66 of the ACoP distinguishes between initial design and significant detailed design. Significant detailed design
includes: preparation of the initial concept design and implementation of any strategic brief. Hence the design process
does not have to proceed far before the appointment of the CDM co-ordinator needs to take place, i.e. sooner rather
RECEIPT OF PRECONSTRUCTION
Before the relevant
stage of design
Pre-construction information is to be issued promptly to
all those designing the structure.
This should be forwarded either by the client (nonnotifiable project) or the CDM co-ordinator (notifiable
RECEIVE PRECONSTRUCTION
Designers who commission designs to be prepared outside
Great Britain must ensure that all designers discharge
duties compliant with Regulation 11.
All designers have a duty to ensure that the client is aware
On larger projects it would be sufficient if each designer
received confirmation that this had been undertaken by
the lead designer.
ENSURE CLIENT IS
AWARE OF HIS
In accepting the design appointment do you have the
competence to fulfil the role on this project?
To fulfil the above duty the designer must identify all
designers and contractors who will be appointed by him.
This reflects the procurement strategy of the project.
All duty holders, i.e. designer(s) and contractor(s)
appointed directly by the designers, must be assessed as
The designer must be satisfied that the person/
organisation appointed has the necessary competence to
The designer cannot rely on any party self-certifying
themselves as competent.
The rigour of the assessment must relate to the
DESIGNER CHECKLIST: ALL PROJECTS (Sheet 1 of 4)
To enable the designer to effectively
embrace relevant information within his
Before design starts.
Before commissioning.
Immediately on the appointment of the
In accepting the party self-certifies he is
Such assessment must be undertaken
There is a continuing need to identify all those with
whom the designer needs to co-ordinate activities.
Emphasis is placed on the role of the lead designer in the
process of co-ordination.
Co-ordination, like co-operation and communication, is
an essential component of effective project management.
The basic tenets of health and safety management must
be embraced by all duty holders.
Such compliance also links with design duties particularly
under Regulations 11(2), 11(3), 11(4) and 11(6).
The designer is reminded that the design process is not
meant to be dominated by health and safety
Health and safety should remain an integral consideration
along with other design issues such as form, function,
aesthetics, environmental impact and other relevant
construction-related legislation.
The designer (and all other duty holders) must coordinate their activities in respect of those carrying out or
affected by construction work.
This is facilitated by the concept of the lead designer.
whom the designer needs to co-operate.
The designer and all other duty holders must seek the cooperation of those involved in construction not only on
the project but also on adjoining sites.
There is a further need to co-operate with those involved
in construction not only on the project but also on
Co-operation is a fundamental of effective project
DESIGNER CHECKLIST: ALL PROJECTS (Sheet 2 of 4)
Particularly at the start of the design
process but actively throughout the
Particularly at the start of the project
but actively throughout the project
The more complex the project the
greater the co-operative effort required.
The continuing need for co-operation
ensures that relevant parties move into
and out of the project throughout its
This is achieved by the design process fulfilling a hazard
identification and management strategy based on the
principles of prevention and protection.
The design process should focus on managing risk and
not the undue management of paperwork.
Whilst documentary evidence of the process is required
the designer should note that the strategy is evidenced
through a portfolio of design aspects, including:
the design office manual
design risk assessments.
Such an approach must be taken with all aspects of
design, including variation orders and architects’
instructions. It must to accepted that late design change
has a great impact on the controls already set up by the
contractor and the full effects of change must be
ALL WITH RESPECT
TO THE TERM ‘AS
FAR AS IS
embrace of the basic
tenets of health and
safety management as
outlined in Appendix 7.
Foreseeable risks must be avoided to those:
liable to be affected by such construction work
cleaning windows, transparent/translucent walls,
ceilings or roofs
maintaining fixtures/fittings
using the structure as a workplace.
This must be undertaken to discharge duties as far as is
reasonably practicable based on a quantum of risk
approach, i.e. a disproportionate response is not required
to remove minor issues.
DESIGNER CHECKLIST: ALL PROJECTS (Sheet 3 of 4)
Account must be taken of the Workplace (Health, Safety
and Welfare) Regulations 1992. These relate to the design
of fixed workplaces such as offices, shops, factories and
Much design is done outside these areas and would
therefore not have to comply.
This applies to the provision of adequate information
about aspects of design, construction and maintenance to:
to enable them to discharge their duties under the
Suitable and sufficient information must be
communicated for the purpose of effective health and
Designers need to be aware that even for non-notifiable
projects management systems must respond and
amendments/modifications might be required to an
existing health and safety file.
ASSIST OTHERS IN
DESIGNER CHECKLIST: ALL PROJECTS (Sheet 4 of 4)
Throughout the design process and
therefore would include information
necessary for the flow into preconstruction information as well as the
necessary inputs to:
amendments/modifications to existing
health and safety files.
ADDITIONAL DUTIES FOR
Before significant
Design should not pass beyond the initial design stage
unless a CDM co-ordinator has been appointed.
Note: Such appointments by the client must be in writing.
Note: An incorrect interpretation of the demarcation
between initial design and significant detailed design will
place the client in the role of the CDM co-ordinator.
Establish effective co-ordination systems between all
This should be effected by the lead designer.
Note: This is a project dynamic with co-ordination
required between all designers throughout the project.
Particular emphasis needs to be placed on the interface
between permanent and temporary design.
This should be provided to every designer by the CDM
Such information about aspects of the design of the
structure or its construction or maintenance as is necessary
for the CDM co-ordinator to provide further preconstruction information to other designers and
contractors who have been or who might be appointed by
It should include relevant information for input into the
health and safety file such as:
‘as-built’ record drawings.
ENSURE A CDM
CO-ORDINATOR HAS
DESIGNER CHECKLIST: ADDITIONAL DUTIES FOR NOTIFIABLE PROJECTS
Throughout design and
construction up to and
before project handover.
Particularly at the start of
the design process but
Contractors are defined under Regulation 2(1) as:
‘any person (including a client, principal contractor or other person referred to in these
Regulations) who, in the course of furtherance of a business, carries out or manages construction work.’
Contractors are at the exposed end of the construction process and positioned some
way down the supply chain. Within this category are specialist contractors and those
who themselves manage other contractors (sub-contractors).
Paragraphs 177 and 178 of the ACoP indicate that:
‘All contractors (including utilities, specialist contractors, contractors nominated by the client
and the self-employed) have a part to play in ensuring that the site is a safe and healthy
place to work. The key to this is the proper co-ordination of the work, underpinned by good
communication and co-operation between all those involved.
Anyone who directly employs, engages construction workers or controls or manages construction work is a contractor for the purposes of these Regulations. This includes companies that
use their own workforce to do construction work on their own premises. The duties on contractors apply whether the workers are employees or self-employed and to agency workers without
As with other duty holders all must be competent (Regulation 4), co-operate
(Regulation 5), co-ordinate (Regulation 6) and discharge duties compliant with the principles of prevention (Regulation 7). Additional and distinct duties apply beyond
this (Regulation 13) and must embrace further specific duties for notifiable projects
(Regulation 19).
Contractors operate at the exposed edge of construction and make up the major statistical proportion of site fatalities and associated occupational ill-health and disease.
Hence emphasis is placed on the essential nature of management control in respect of
safe and suitable systems, and their constant monitoring throughout the construction
phase. Irrespective of the sophistication of control mechanisms and accompanying
documentation, all exercises remain flawed and fallible if not accompanied by a regular
monitoring regime that reviews and refines to ensure effectiveness.
Communication is the essential prerequisite that enables the delivery of successful
project management and the contractor must ensure that all employees and relevant
others get the right information to the right people at the right time. This is usually achieved
through information and training delivered via the induction process and this remains
one of the vehicles by which some of the duties enshrined in Regulation 13 can be
It should be noted that the induction programme is not a one-off procedure but must
be re-delivered to reflect changes in process and/or procedures.
The contractor, and specifically the sub-contractor, are positioned well down the
supply chain and are often abused within the system. As such the sub-contractor is a
convenient factor fulfilling the role of financial buffer instead of being employed for the
strengths they can undoubtedly bring to the process. They are vulnerable in a process
that continually seeks to transfer risk instead of managing it and end up with no option
but to attempt to manage the issues handed down by others who are adverse to risk
exposures that they are better positioned to deal with.
Whilst the ownership of health and safety should be dealt with by those best positioned
to deal with it, a disproportionate response can often be demanded of the contractor.
The larger contractor has the power to resist, but the smaller contractor does not.
As noted in Research Report 218:
‘almost half of all accidents in construction could have been prevented by designer intervention and that at least 1 in 6 of all accidents are at least partially the responsibility of the lead
designer in that opportunities to prevent accidents were not taken.’
The Report identifies that:
‘In many instances contractor design incompetence was a major contributor to an
This latter statement has further resonance in consideration of the popularity of the
In addressing some of the above points, duty holder roles have been extended to
improve the basics of competence, co-operation and co-ordination, with the client ensuring that management arrangements are effective before work starts and remain so
throughout via regimes of monitoring and review.
The boundary conditions of project cost and limited windows of opportunity remain
challenges for all and particularly the contractor, but must not be used as mitigation for
failure to deploy and maintain effective controls in the harsh environment th