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Slide deck from presentations given at our CDM for Clients seminar on 24th Feb 2016. Speakers included Katy Milner (Associate) from Addleshaw Goddard and Martin Cook (Director) from Turner & Townsend. Contact [email protected] with queries.
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Constructing Excellence Spring Series#ceyh2016
Wednesday 24th February 2016Addleshaw Goddard LLP
Tom OultonChair of Constructing Excellence in
Yorkshire & Humber
Martin CookDirector
Turner & Townsend© Turner & Townsend Project Management Limited. This content is for general information purposes only and does not purport to constitute professional advice. We do not make any representation or give any warranty, express or implied,
and shall not be liable for any losses or damages whatsoever, arising from reliance on information contained in this document.
It must not be made available or copied or otherwise quoted or referred to in whole or in part in any way, including orally, to any other party without our express written permission and we accept no liability of whatsoever nature for any
use by any other party.
© Turner & Townsend plc July 2014making the difference
CDM 2015 – Role of the Client
An opportunity to improve Construction Health, Safety and Wellbeing
5
Agenda
Item Topic
1 CDM 2015 – Key Changes
2 CDM 2015 – Structure
3 CDM 2015 – Client Statutory Duties
4 Client’s Role – How to Discharge Duties
5 CDM 2015 - Summary
making the difference
CDM 2015 – Key Changes
7
CDM 2015 – Key Changes
Introduces Removes
Extends Separates
■ New duty holder -
Principal Designer
■ Enhanced Client
duties
■ Scope now includes
■ Domestic Clients
■ Small Works
■ Maintenance
Works
■ CDM Coordinator
■ Competency
criteria
■ Link between HSE
notification and
statutory
appointments
■ Pre construction and
construction phases
CDM 2015
making the difference
CDM 2015 – Structure
9
There are five duty holders
CDM 2015 - Structure
ContractorsDesigners
Principal Designer
Principal Contractor
Client
Desig
n R
isk
Constr
uction R
isk
Effective Risk / Performance Management
delivered through
Management Arrangements
Operation and Maintenance Risk
making the difference
CDM 2015 – Client Statutory Duties
11
CDM 2015 – Statutory Duties
Client
Notification to the HSE (F10) Provision of information
Start of Construction Phase –Construction Phase Plan
Health and Safety FileManagement Arrangements
Appointment of Duty holders (Principal Designer /Principal Contractors)
The Client is viewed as the ‘controlling mind’ as their decisions and approach to CDM 2015 have a significant impact on health, safety and welfare.
making the difference
Client Role – How to Discharge Duties
13
Do you have available
Competence – Internal?
■ Competence = Skills, Knowledge
and Experience
Client Role – How to Discharge Duties
ContractorsDesigners
Principal Designer
Principal Contractor
Client
Desig
n R
isk
Constr
uction R
isk
Effective Risk / Performance Management
delivered through
Management Arrangements
Operation and Maintenance Risk
14
Do you have available Competence –
Internal vs External?
■ An external Client Advisor – Not a
Statutory Appointment
■ A Client cannot delegate
accountability only responsibility
Client Role – How to Discharge Duties
ContractorsDesigners
Principal Designer
Principal Contractor
Client
Desig
n R
isk
Constr
uction R
isk
Effective Risk / Performance Management
delivered through
Management Arrangements
Operation and Maintenance Risk
Client Advisor
15
Statutory Appointment -
Principal Designer
■ The Principal Designer is a key
role that is fundamental to
project success
■ Competence – Skills, Knowledge
and Experience
■ They should support the Client
and work closely with the design
team to bring about good design
hazard management
Client Role – How to Discharge Duties
ContractorsDesigners
Principal Designer
Principal Contractor
Client
Desig
n R
isk
Constr
uction R
isk
Effective Risk / Performance Management
delivered through
Management Arrangements
Operation and Maintenance Risk
16
Who can be a Principal Designer?
The definition of the Principal Designer is the ‘designer’ in control of the pre-construction
phase ……” i.e. the Principal Designer must be a “designer”.
Definition of a Designer
The definition of a Designer is ‘any person (including a client, contractor or other person
referred to in these Regulations) who in the course or furtherance of a business’ –
a) prepares or modifies a design; or
b) arranges for or instructs any person under their control to do so
Note: the definition of a designer does not require the preparation or modification of a design
– through the use of the word “or” rather than “and” it allows for the management of the
design function.
Who is the Principal Designer?
17
Project Management
Arrangements
■ The framework provided by CDM
2015 assists in the delivery of
solutions that improve project /
programme health, safety and
wellbeing, achieved through the
creation of management
arrangements and supporting
assurance process that together
will effectively control risk
(proportionally) and drive
continual improvement.
Client Role – How to Discharge Duties
ContractorsDesigners
Principal Designer
Principal Contractor
Client
Desig
n R
isk
Constr
uction R
isk
Effective Risk / Performance Management
delivered through
Management Arrangements
Operation and Maintenance Risk
18
Project Management Arrangements
■ Effective project management
arrangements drive performance /
control risk
■ HSG65 – Delivery model utilising a
Plan, Do Check Act process
■ Project Managers – Not a statutory
CDM Appointment they will assist
you deliver your management
arrangements
Client Role – How to Discharge Duties
CDM 2015 Delivery Model
Planning for Delivery (Plan)
Implementing the Plan (Do)
Monitoring Delivery (Check)
Continual Improvement (Act)
HSW CharterHSW Strategy / Delivery Plan
Risk Profile
Risk AssessmentMinimum Standards
Knowledge Management
Performance Measurement Performance Reporting
Performance Analysis Improvement Initiative
19
Project Management Arrangements
■ Consider underpinning project
management arrangements using ‘Five
enablers to success’
Client Role – How to Discharge Duties
Leadership Expectation Knowledge Engagement Incentive
Define Exceptional
Visible and proactive management, drive and commitment.
Understanding Exceptional
Define the mission, the standards, objectives and benefits.
Ability to Deliver Exceptional
Feel empowered through increased skills & understanding of best practice
Share and discuss Exceptional
Make Safety Personal and place it on your agenda and respond to issues with positive actions & feedback
Celebrate achieving Exceptional
Inspiring commitment and embed best practice in our culture.
20
Project Management Arrangements
Client Role – How to Discharge Duties
Project Management
Assurance ImprovementExecution Plan
Leadership Expectation Knowledge Engagement Incentive
1. Strategic HSW planning
2. HSW risk management / performance deliveryCDM 2015 Delivery Model
Planning for Delivery (Plan)
Implementing the Plan (Do)
Monitoring Delivery (Check)
Continual Improvement (Act)
HSW CharterHSW Strategy / Delivery Plan
Risk Profile
Risk AssessmentMinimum Standards
Knowledge Management
Performance Measurement Performance Reporting
Performance Analysis Improvement Initiative
21
Project Management Arrangements
Client Role – How to Discharge Duties
Project Management
Assurance Improvement
Leadership Expectation Knowledge Engagement Incentive
1. Strategic HSW planning
2. HSW risk management / performance deliveryCDM 2015 Delivery Model
Planning for Delivery (Plan)
Implementing the Plan (Do)
Monitoring Delivery (Check)
Continual Improvement (Act)
HSW CharterHSW Strategy / Delivery Plan
Risk Profile
Leadership -
Project/Programme policy
objectives, vision and goals
Leadership -
Project/Programme
structure, roles and
responsibilities
Expectation -Design /
Construction Management
arrangements - Minimum
Standards
Knowledge - Competence
(Skills / Knowledge &
Experience) requirements
and training
Engagement -
Communications Plan –
Interfaces / Handover
Incentive - Assurance
process – Define KPIs,
tracking and reporting
22
Project Management Arrangements
Client Role – How to Discharge Duties
Assurance Improvement
Leadership Expectation Knowledge Engagement Incentive
1. Strategic HSW planning
2. HSW risk management / performance deliveryCDM 2015 Delivery Model
Planning for Delivery (Plan)
Implementing the Plan (Do)
Monitoring Delivery (Check)
Continual Improvement (Act)
Risk AssessmentMinimum Standards
Knowledge Management
• Leadership
Visible and Proactive Advise –Risk Assessment
• Knowledge Management
Competency / Induction
Engagement
Effective Safety Discussions (Toolbox Talks)
Expectation
Minimum Standards – Design / Contractor Site HSW Management
Execution Plan
23
Project Management Arrangements
Client Role – How to Discharge Duties
Improvement
Leadership Expectation Knowledge Engagement Incentive
1. Strategic HSW planning
2. HSW risk management / performance deliveryCDM 2015 Delivery Model
Planning for Delivery (Plan)
Implementing the Plan (Do)
Monitoring Delivery (Check)
Continual Improvement (Act)
Performance Measurement Performance Reporting
Execution PlanProject Management
HSW Data Collection (Audit/Inspection)
Focus on Management Inputs (Leading Indicators)
Principal Designer / Contractor Performance
HSW Reporting
IT Enabled / Dashboard / Consistent / Transparent
Accident / Incident / Near Miss investigation
Root Cause Identification (Behaviour / System)
24
Project Management Arrangements
Client Role – How to Discharge Duties
Leadership Expectation Knowledge Engagement Incentive
1. Strategic HSW planning
2. HSW risk management / performance deliveryCDM 2015 Delivery Model
Planning for Delivery (Plan)
Implementing the Plan (Do)
Monitoring Delivery (Check)
Continual Improvement (Act)
Performance Analysis Improvement Initiative
Execution PlanProject Management Assurance
HSW Data Analysis
New Initiatives / Targeted Intervention
Communication
Lessons Learnt / Knowledge Share (SharePoint)
Culture Enhancement
Behavioural Safety Campaigns
Wellbeing
Campaigns / Health Promotion
25
Project Management Arrangements
Client Role – How to Discharge Duties
Project Management
Assurance ImprovementExecution Plan
Leadership Expectation Knowledge Engagement Incentive
1. Strategic HSW planning
2. HSW risk management / performance deliveryCDM 2015 Delivery Model
Planning for Delivery (Plan)
Implementing the Plan (Do)
Monitoring Delivery (Check)
Continual Improvement (Act)
HSW CharterHSW Strategy / Delivery Plan
Risk Profile
Risk AssessmentMinimum Standards
Knowledge Management
Performance Measurement Performance Reporting
Performance Analysis Improvement Initiative
making the difference
CDM 2015 – Summary
27
■ Client – ‘Controlling Mind’
■ A Client cannot delegate
accountability only responsibility
■ Competence – Internal or
External?
■ Appointments = Skills, Knowledge
& Experience
■ Effective management
arrangements drive performance -
‘Five enablers to success’
■ HSG65 – Delivery model utilising a
Plan, Do Check Act process
CDM 2015 - Summary
ContractorsDesigners
Principal Designer
Principal Contractor
Client
Desig
n R
isk
Constr
uction R
isk
Effective Risk / Performance Management
delivered through
Management Arrangements
Operation and Maintenance Risk
Katie MilnerAssociate
Addleshaw Goddard LLP
The Construction (Design and
Management) Regulations 2015(The CDM Regulations)
Katie Milner
30
2015 – The Main Changes from the 2007 Regulations
► Principal Designer role replaces the CDM coordinator
► The CDM 2015 further enhances the role of the client (key health and
safety responsibility on the client)
► Responsibility to notify is now on the client
31
Client Duties
► Making Suitable Arrangements
1. To ensure construction works are carried out without risk to health and
safety of any person affected by the project (ongoing obligation)
2. Site welfare requirements (toilets, facilities, drinking water etc.)
3. Appointment of Principal Designer and Principal Contractor (in writing
before the construction phase begins)
4. Notify the HSE (30 working days and more than 20 workers on site)
32
Client Duties (Cont.)
► Providing pre-construction information to every contractor and
designer
► Construction phase plan is drawn up before construction works
begin (Principal Contractor/Principal Designer)
► Ensuring H&S file prepared
► Ensuring Principal Designer and the Principal Contractor comply
with their duties
► Providing H&S file to the person acquiring the development
33
Client Duties (Cont.)
► General Duties:
1. Principal Designer/Principal Contractor must have skills, knowledge and
experience
2. Cooperation with all others
3. Reporting danger
4. Provision of information
34
Can a CDM Coordinator be appointed as a Principal
Designer?
► A client appointing a Principal Designer must take reasonable steps to
satisfy themselves that the designer has the skills, knowledge and
experience necessary to fulfil their role
► CDM coordinator not necessarily qualified as a Principal Designer
35
Issues with D&B Projects
► Client alone may appoint the Principal Designer - but what about when the design team is novated?
► Appoint a Principal Designer for the pre-construction phase then have the main contractor as Principal Designer and Principal Contractor?
► Sub-contract to a sub-consultant?
► Contractor carry out the Principal Designer role in house?
► Appointment of the Architect as Principal Designer – Risk: once novated this may contravene the Regulations as the Principal Designer would have no direct relationship with the client
36
Sentencing
► HSE will generally enforce the regulations – breaching them
is a criminal offence – prosecution under the Health and
Safety at Work Act 1974
► Directors/senior managers can be prosecuted in their
individual capacity (including prison sentences)
► Fines - criticism for leniency (new sentencing guidelines 1
February 2016)
37
New Sentencing Guidelines – 1 February 2016
► Tougher penalties on companies
► Higher fines to have a “real economic impact” on the organisation
► Individuals are also covered by the guidelines (guidance given as to the
length of custodial sentences)
► Medium sized companies: H&S offence = £1,000-£4m fine; Corporate
Manslaughter offence = £1.2m-£7.5m
► Fee for Intervention Scheme
QUESTIONS?
© 2016 Addleshaw Goddard LLP. All rights reserved. Extracts may be copied with prior permission and provided their source is acknowledged.This document is for general information only. It is not legal advice and should not be acted or relied on as being so, accordingly Addleshaw Goddard disclaims any responsibility. It does not create a solicitor-client relationship between Addleshaw Goddard and any other person. Legal advice should be taken before applying any information in this document to any facts and circumstances.Addleshaw Goddard is an international legal practice carried on by Addleshaw Goddard LLP (a limited liability partnership registered in England & Wales and authorised and regulated by the Solicitors Regulation Authority) and its affiliated undertakings. Addleshaw Goddard operates in the Dubai International Financial Centre through Addleshaw Goddard (Middle East) LLP (registered with and regulated by the DFSA), in the Qatar Financial Centre through Addleshaw Goddard (GCC) LLP (licensed by the QFCA), in Oman through Addleshaw Goddard (Middle East) LLP in association with Nasser Al Habsi & Saif Al Mamari Law Firm (licensed by the Oman Ministry of Justice) and in Hong Kong through Addleshaw Goddard (Hong Kong) LLP (a limited liability partnership registered in England & Wales and registered and regulated as a foreign law firm by the Law Society of Hong Kong) in association with Francis & Co. In Tokyo, legal services are offered through Addleshaw Goddard's formal alliance with Hashidate Law Office. A list of members/principals for each firm will be provided upon request.The term partner refers to any individual who is a member of any Addleshaw Goddard entity or association or an employee or consultant with equivalent standing and qualifications.For further information please consult our website www.addleshawgoddard.com or www.aglaw.com.
Questions?
Tom OultonChair of Constructing Excellence in
Yorkshire & Humber
Constructing Excellence in Yorkshire and Humber Awards 2016
http://ckegroup.org/cexcellenceyh/ceyh-awards-2016/
Headline sponsor
Closing Date for entries - Friday 29th April 2016Shortlist Announced – Friday 20th May 2016Gala Awards Ceremony Evening – Friday 1st July 2016
Thank youOur next breakfast seminar
27th April 2016Equality & Diversity (DDA)