If you have questions about your own project regarding CDM Compliance or would like to explore becoming a member of our Safety~net competent person support scheme please contact us or request a callback.
Further guidance from the Construction Leadership Group (CLG) can be found here which contains helpful case studies examining duties and how the CDM Regulations Apply to domestic projects ranging from £50k – £1.5m: Link and also here: https://www.coniac.org.uk/working-groups/supporting-small-employers
See below for extracted guidance from the CLGs Frequently asked questions which might help you decide how to proceed on your CDM project:
The following FAQs should help any builder or contractor to understand the Regulations by expanding on the common terminology and defined roles mentioned throughout the Regulations. Some answers begin with a reference from ‘L153’ otherwise known as the ‘Managing health and safety in construction’ which is the Health and Safety Executive’s guidance document for the Construction (Design and Management) Regulations 2015.
How do I know if the project/works will require a Principal Designer?
Any project or works involving more than one contractor, requires the client to appoint (in writing) a principal designer and make sure they carry out their duties
How do I know if the project/works will require a Principal Contractor?
Any project or works involving more than one contractor, requires the client to appoint (in writing) a principal contractor and make sure they carry out their duties
Is the pre-construction phase the period of time before construction starts on site?
L153 – Regulation 2 Interpretation – ‘pre-construction phase’ “means any period of time during which design or preparatory work is carried out for a project and may continue during the construction stage”
In simple terms: Pre-construction is everything that happens on a construction project before you do any construction work. You might refer to this as the planning phase or project preparation, but in CDM, it’s known as pre-construction.
Comment – Some projects have distinct design and construction stages, but design work often continues in parallel with construction activities. A wide variety of design activities take place on a typical project, some of them by contractors (e.g. Building services). The principal designer role is to
manage ‘pre-construction’ activities, the principal contractor has to manage the ‘construction’ activities. The greater the overlap of activities, the greater the need for the PD and PC functions to work together. This is particularly relevant where advanced works (often referred to as ‘enabling works’) are carried out before main works packages are let.
Who needs to take on the Principal Designer role and why?
L153 – Regulation 5(1) – “A designer with control over the pre-construction phase”
In simple terms: The Principal Designer is a designer which may be an organisation or an individual (on smaller projects) who is appointed by the client to take control of the pre-construction phase of any project involving more than one contractor to plan, manage, monitor and coordinate
health and safety in the pre-construction phase.
Comment – Depending on the nature and complexity of the project, the client, lead designer or another ‘person’ (who is a designer) with control over the pre-construction activities is the most suitable to take on the function. In legal terms the ‘person’ can be an individual or an organisation.
Every project client must consider what is the best arrangement and this should be done as part of developing the Client Brief. The preceding case studies demonstrate the variety of ways in which the requirements of the Regulations can be satisfied.
Do designers have to identify all risks?
L153 Paragraph 102 – “Identifying insignificant risks is not an effective way of alerting other duty holders to important design issues they need to know about. Designers should be able to demonstrate they have addressed only significant risks. These are defined as “not necessarily those that involve the greatest risks, but those (including health risks) that are not likely to be obvious, are unusual, or likely to be difficult to manage effectively”.
In simple terms: A significant risk is anything that is not trivial, during the work or planning the work that may expose someone to danger and cause them harm for their physical health or their safety, and these should be considered by the Designer. The Designer should then put in place means to
make people safe (control and manage the risks effectively).
Comment – every project team should focus, from the outset, on those areas of the project that could represent a threat to the wellbeing of the workforce and the wider population. The major causes of accidents and ill-health are well recognised in the Construction sector; falls from height,
entrapment due to collapse or overturning; being struck by a flying object or vehicle, slips, trips and falls on the same level and manual handling are the most common and these require to be managed effectively.
Remember, it is important that designers must consider and eliminate/reduce risks during end use, maintenance, and eventual demolition of the building, not just risks which are present during the construction phase. Refer also to Schedule 3 in the Appendix.
What is the principal designer’s role during the construction phase?
L153 – Regulation 11 (7) – “The principal designer must liaise with the principal contractor for the duration of the principal designer’s appointment and share with the principal contractor information relevant to the planning, management and monitoring of the construction phase and the coordination of health and safety matters during the construction phase”
In simple terms: A principal contractor is the contractor with control over the construction phase of a project involving more than one contractor. They are appointed in writing by the client (commercial or domestic) to plan, manage, monitor and coordinate health and safety during this phase.
Comment – although the principal designer and principal contractor duties are different, a collaborative relationship will allow both parties to benefit from the knowledge and experience of the other and discharge their duties more effectively. The greater the volume of design work to be carried out after the commencement of construction works, the more vital that the two major duty- holders form an integrated team.
What should the health and safety file contain and who should produce it?
L153 – Reg. 12(5) – “During the pre-construction phase, the principal designer must prepare a health and safety file appropriate to the characteristics of the project which must contain information relating to the project which is likely to be needed during any subsequent project to ensure the health and safety of any person. Reg 12(8) If the principal designer’s appointment concludes before the end of the project, the principal designer must pass the health and safety file to the principal contractor”
In simple terms: A Health and Safety File is a collection of health and safety information that serves as a legal record, benefiting both clients and end users – from initial construction through use, cleaning, maintenance, alterations and refurbishment, and demolition. Its purpose is to ensure that, at the end of the project, the client has information that anyone carrying out subsequent construction work on the building will need to know about in order to be able to plan and carry out the work safely and without risks to health.
Comment – the purpose, form and required content of a health and safety file should be addressed as part of the development of the Client Brief. Appendix 4 of L153 provides guidance as to the range of information which project teams should consider for inclusion – but the list is not exhaustive. Only information that will assist future project teams in planning work so that health and safety is ensured should be provided, ‘in a convenient form, clear concise and easily understandable.’ If this approach is agreed at the outset of the project, all parties can contribute appropriate information
and avoid unnecessary bureaucracy.
When and who may need to take on the client duties on a domestic project?
L153 – Regulation 7 (1) – “Where the client is a domestic client the duties in regulations 4(1) to (7) and regulation 6 must be carried out by—
(a) the contractor for a project where there is only one contractor.
(b) the principal contractor for a project where there is more than one contractor: or
(c) the principal designer where there is a written agreement that the principal designer will fulfil those duties.
7(2) If a domestic client fails to make the appointments required by regulation 5—
(a) the designer in control of the pre-construction phase of the project is the principal designer;
(b) the contractor in control of the construction phase of the project is the principal contractor.
In simple terms: A domestic client is any individual who has construction work carried out on their home, or the home of a family member, that is not done as part of any business.
Comment – the guidance to Reg 7 in L153 makes clear that in the normal course of events ‘the builder’ (either the contractor or principal contractor) would be expected to take on the duties normally required of a domestic client:
• allowing sufficient time and resource
• notifying the HSE if the project is notifiable
• arranging construction work so it can be carried out safely
• ensuring adequate welfare facilities are provided
• providing pre-construction information.
For domestic projects where there are no complex design issues, this approach should work well. However, where the design development needs to take account of challenging site conditions the lead designer may feel it is in the best interests of both the client and the project team to take on
what is effectively the project management role (L153 para 55). Refer to the ‘How CDM 2015 Applies to Domestic Clients’ flowchart (see guidance link above).
Any designer contemplating taking this route should be aware that in doing so they would attract additional legal responsibilities so should be confident that they have the capability and resources to discharge their legal and professional duties. The contractor or principal contractor would still be responsible for site safety, provision of welfare facilities etc. The Client Brief setting out these arrangements should be shared with the domestic client, who can influence the site culture, even without taking on the project management role.
Comment – unlike a commercial client, if a domestic client does not make an appointment in writing, they do not take on the duties themselves. Any designer taking on a commission for a domestic project should clarify with the client whether they have or intend to make a written appointment. The Client Brief template can be used in the same way as with a commercial client to clarify the management arrangements and ensure all parties are clear where the legal responsibility for managing risk lies.
