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October 2011
ESS Health & Safety ArrangementsConstruction Design and Management (CDM)
Distribution: This document must be brought to the attention of all ESS
managers and employees working in construction.
This information can be made available electronically, or in large print should it be required, please contact ESS Health and Safety Officer by telephoning 0191 222 6847 or Emailing [email protected]
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Contents:
1. Introduction to the CDM Regulations
2. The Role of the Client
2.1 Client Responsibilities
3. Summary of Duties
4. Client (ESS Project Managers) Arrangements
5. Additional Information
Appendix 1 - Client ‘Non Notifiable’ CDM Checklist
Appendix 2 - Client ‘Notifiable’ CDM Checklist
Appendix 3 - Assessing Competences of Appointees
Appendix 4 – Pre Construction Information Template
Appendix 5 - Health and Safety File -
Appendix 6 – Client / ESS Project Manager Checklist
Appendix 7 - ESS Client/Project Manager Checklist – CDM Notifiable Projects
Appendix 8 - Designers Red, Amber and Green lists - practical aides to designers on what to eliminate/avoid, and what to encourage. (Developed by HSE)
Appendix 9 – General Requirements for Health and Safety in Construction HSG 150 (see ESS Health and Safety Web Page, Arrangements Health and Safety in Construction)
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1. Introduction to the CDM 2007 Regulations
The CDM 2007 Regulations revise and bring together the CDM Regulations 1994 and the Construction (Health, Safety and Welfare) Regulations 1996 into a single regulatory package.
The new regulations came into force on 6 April 2007.
In addition, a new ‘Approved Code of Practice’ has been published giving further guidance on the application of CDM 2007 and for the management of significant construction hazards/risks.
This new ACOP has special legal status and will be used by the Health and Safety Executive (HSE) as the basis for enforcing the CDM Regulations 2007.
The new CDM 2007 Regulations are divided into 5 parts:
Part 1 deals with the application of the Regulations and definitions.
Part 2 covers general duties that apply to all construction projects.
Part 3 contains additional duties that only apply to notifiable construction projects, i.e. those lasting more that 30 days or involving more than 500 person days of construction work.
Part 4 contains practical requirements that apply to all construction sites.
Part 5 contains the transitional arrangements and revocations.
If a project is 'notifiable' (as defined above), then this means that the Client has to appoint a competent CDM Coordinator who will ensure that the HSE is told about the work via the completion of a standard F10 form.
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2. The Role of the Client
While it is understood that the budget holder/project sponsor for construction projects undertaken by the University ultimately maintains responsibility for their project. Estate Support Service employees in their capacity as Project Managers, Surveyors and Engineers acting on behalf of the budget holder/project sponsor will take on the responsibilities of client for the day to day management of their project.
ESS Project Managers, Surveyors and Engineers will from this point and for the remainder of these arrangements be referred to as ‘the Client’.
2.1 Client Responsibilities
The Client has one of the biggest influences over the way a project is run and therefore Clients have been made accountable for the impact their approach has on the health and safety of those working on, or who are affected by the project.
However, the Regulations also recognise that many Clients know little about construction health and safety, so Clients are not required or expected to plan or manage projects themselves. Nor do they have to develop substantial expertise in construction health and safety, unless it is central to their business. Clients must ensure that various things are done, but are not normally expected to do them themselves.
What you are required to do depends upon whether or not the planned work is notifiable.
A notifiable project is one, which is likely to last more than 30 days or 500 person days e.g. 50 people working continuously over a 10 day period. The HSE must be informed of all projects that fall into this category using Form F10, which you as Client, will be required to sign.
As a Client you have specific duties to comply with, for all construction work that is undertaken on your behalf, however, if the project is notifiable, and then you have additional duties to comply with.
Listed below are the duties as specified within the regulations with some guidance to support each one. This should help you to understand your role more fully.
A checklist has also been developed that can be used as an aide memoir to ensure that you have considered each of your duties (see Appendix 1 if your project is NON-notifiable and Appendix 2 if your project is notifiable) as required by the regulations. The checklist will also allow you to monitor your progress throughout the project and will help you to maintain a written audit trail.
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3. Summary of Duties for all Duty Holders C
lient
s (e
xclu
ding
dom
estic
clie
nts)
All construction projects(Part 2 of the Regulations)
Additional duties for notifiableprojects (Part 3 of the Regulations)
Check competence and resources of all appointees
Ensure there are suitable Management arrangements
for the project including welfare facilities
Allow sufficient time and resources for all stages
Provide pre-construction information to designers
and contractors
Appoint CDM co-ordinator*
Appoint principal contractor*
Make sure that the construction phase does not start unless
there are suitable; welfare facilities, and construction phase plan in place
Provide information relating to the health and safety file to the CDM co-ordinator
Retain and provide access tothe health and safety file(* There must be a CDM coordinator and principalcontractor until the end of theconstruction phase)
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CD
M c
o-or
dina
tors
Advise and assist the client with his/her duties
Notify HSE (as soon as possible after appointment)
Co-ordinate health and safety aspects of design work and
cooperate with others involved with the project
Facilitate good communication between client, designers and contractors
Liaise with principal contractor regarding ongoing design
Identify, collect and pass on pre-construction information
(The template in Available in Appendix 4 should be used to help you do this)
Prepare/update health and safety file (The template
available in Appendix 5 should be used for work on the University Estate)
Des
igne
rs
Eliminate hazards and reduce risks during design Provide information about remaining risks
Check client is aware of duties and CDM co-ordinator has been appointed
Provide any information needed for the health and safety file
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Prin
cipa
l con
tract
ors
Plan, manage and monitor construction phase in liaison with contractor
Prepare, develop and implement a written plan and site rules. (Initial plan completed before the construction phase begins)
Give contractors relevant parts of the plan
Make sure suitable welfare facilities are provided from the start and maintained throughout the construction phase
Check competence of all Appointees
Ensure all workers have site inductions and any further information and training needed for the work
Consult with the workers
Liaise with CDM co-ordinator regarding ongoing design
Secure the site
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Con
tract
ors
Plan, manage andmonitor own work andthat of workers
Check competence of alltheir appointees andworkers
Train own employees
Provide information to their workers
Comply with the specificrequirements in Part 4 ofthe Regulations (Duties relating to health and safety on construction sites)
Ensure there areadequate welfarefacilities for their workers
Check client is aware of dutiesand a CDM co-ordinator hasbeen appointed and HSEnotified before starting work
Co-operate with principalcontractor in planning andmanaging work, includingreasonable directions and siterules
Provide details to the principalcontractor of any contractorwhom he engages in connection with carrying out the work
Provide any information neededfor the health and safety file
Inform principal contractor ofproblems with the plan
Inform principal contractor ofreportable accidents, diseasesand dangerous occurrences
Eve
ryon
e
Check own competence
Co-operate with others and co-ordinate work so as to ensure the health and safety of construction workers and others who may be affected by the work
Report obvious risks
Comply with requirements in Schedule 3 and Part 4 of the Regulations for any work under their control
Take account of and apply the general principles of prevention when carrying out duties
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4. Client Arrangements
In order to comply fully with the Client duties, you should apply the following guidance.
4.1 To check the competence and resources of all appointees.
Non-Notifiable Projects
One of the aims of the Regulations is to promote effective communication, co-ordination and co-operation. For none notifiable projects, a low-key approach will be sufficient. In the first instance the contractor must satisfy the contractor assessment process as identified in the ESS Arrangements for the Management of Contractors. An initial meeting with your appointed designer and/or contractors to discuss the job and in particular any risks associated with the job. The ESS Health and Safety Officer will be available to attend the meeting with you if you require assistance.
If the tendering or partnering process has not included a detailed specification of the work and known health and safety risks, it is at this meeting that information about the site should be passed onto the designer and/or contractor using the contractor induction booklet as a guide, you should also discuss how any risks associated with the work are going to be controlled to ensure that no-one is harmed. You should ask the designer and/or contractor about their past experience and where possible, obtain references Note: Don’t forget anyone can be considered to be a designer if make design decisions this includes the Client.
Notifiable Projects
Clients should ensure they have access to competent safety advice for all projects. Competent advice for general ‘at work activities’ is required under the Management of Health, Safety at Work Regulations and this is normally provided by the ESS Health and Safety Officer and where necessary the University Safety Office.
For projects, which are defined as notifiable within the regulations, the Client must appoint a competent and adequately resourced CDM Co-ordinator who will support them.
To ensure you meet your obligations under this requirement you should ask the CDM Co-ordinator specifically whether or not they have undertaken their duties e.g. whether they have checked the competence and resources of all other appointees, keep a record of their response, the Client Notifiable CDM Checklist in Appendix 2 has been designed to help you do this.
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In all cases, appointees i.e. Designers, Contractors etc., should be given adequate time to prepare for the work and you need to establish how long the job is likely to take. This will allow you to plan the work effectively and will ensure a thorough approach is taken and realistic deadlines are set.
4.2 To ensure that there are suitable management arrangements for health and safety in place
As a Client, what should you be looking for as suitable arrangements for managing the project? You will need suitable arrangements to ensure: Clarity of roles, functions and responsibilities for members of the
project team so everyone knows, who does what.
Those appointed by you have sufficient time and resources to comply with their duties.
There is good communication, co-ordination and co-operation between members of the project team (e.g. between designers and contractors);
Your designers are able to confirm that their design (and any design changes) have taken account of the requirements of regulation 11 of CDM 2007 (Designers duties), and that the different design elements will work together in a way which does not create risks to the health and safety of those constructing, using or maintaining the structure;
Your contractor is provided with the pre-construction information.
A pre-start meeting with the contractor is required; you should invite the ESS and Health and Safety Officer to attend this meeting.
Your contractor is able to confirm that health and safety standards on site will be controlled and monitored, and that welfare facilities will be provided for the duration of the construction phase.
These arrangements should focus on the needs of the particular job and be proportionate to the risk arising from the work. They will mainly be made by, others in the project team, such as designers and contractors.
Before they start work, a good way of checking is to ask the relevant members of the team to explain their arrangements, or to ask for examples of how they will manage these issues during the life of the project. Keep a record of your discussions. When discussing roles and
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responsibilities, on simple projects all that may be needed is a simple written list of who does what.
Does this mean that I as Client must carry out detailed checks, and get involved in the construction work itself?
No. Health and safety on site is a matter for the contractor, and the duty to reduce risks through design is a duty of the designer.
Clients simply have to ensure that the initial project management arrangements, which have been made are maintained.
This can be achieved by seeking assurance from the designer and contractor.
For a non-notifiable job, simple enquires will be enough to check that the arrangements are in place to ensure that: There is adequate protection for the Client’s workers and/or
members of the public; if appropriate for the project.
Adequate welfare facilities have been provided by the contractor.
There is good ongoing co-operation and communication between designers and contractors.
The management arrangements for the project, which the contractor agreed to make to control key risks on-site have been implemented.
You do not need to get involved with the day-to-day running of the project. There is no obligation for a Client to visit the site.
If you feel you need advice then it is likely to be available from the ‘competent person’ you have appointed under the Management of Health and Safety at Work Regulations (ESS Health and Safety Officer)
What about larger projects? Surely these are too complex for Clients to know what is needed?
For projects lasting longer than 30 days or involving more than 500 person days of construction work, Clients must appoint a CDM Co-ordinator.
Their primary function is to advise the client.
The CDM Co-ordinator will be able to advise the client on the appointment of competent duty holders; assessing the adequacy of other team members’ management arrangements for the project and assessing the adequacy of the health and safety plan.
The Client is entitled to rely on the advice of the CDM Co-ordinator when making their judgements.
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4.3 To allow sufficient time and resources for all stages of the project.
This means that work needs to be effectively planned (see earlier) and that elements of the project cannot be omitted or 'downsized' simply because you have run out of money, particularly if the omissions are likely to put people's health and safety at risk.
Planning is important because it enables you to consider all aspects of the job prior to the work commencing, for example, you may need to have preliminary surveys undertaken, asbestos may need to be removed etc.
A prime example of this is the undertaking of a pre demolition/refurbishment survey to construction works, e.g. an electrical re-wire.
If asbestos is found and removal of it was deemed necessary before the work could begin, then this would immediately add over 14 days onto the time-frame needed to do the job as the HSE require a 14 day notification period for asbestos removal works.
Realistic deadlines must be set.
You should consult with appointees to find out how much time they will need for planning and preparation work before work is expected to start in order that both (or all) parties can agree a suitable time period.
For notifiable projects, the CDM Co-ordinator will advise you accordingly.
4.4 To provide pre-construction information to the designers and
contractors.
The pre-construction information provided should be sufficient to ensure that significant risks during the work can be anticipated and planned for e.g. exposure to asbestos, contaminated land issues, etc.
It should concentrate on those issues that Designers and Contractors could not reasonably be expected to anticipate or identify and not upon obvious hazards such as the project would involve working at height. Refer to Appendices 1 and 2.
For small projects that are not notifiable, it may not always be necessary to draw up a comprehensive pre-construction information document.
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The level of detail should be proportionate to the risks involved in the project. You should use Appendix 1 or 2 as a guide and where necessary, pass on any information to the contractor.
4.5 For notifiable projects you must also do the following:-
Appoint a CDM Co-ordinator.
The CDM Co-ordinator must be able to demonstrate that they are competent and adequately resourced to undertake their duties (advice of competency assessment is available from the ESS Health and Safety Officer). The CDM Co-ordinator's main role is to:
1. Advise and assist the Client in his/her duties; 2. Notify the HSE (the F10 which you as Client will need to sign);
3. Co-ordinate health and safety aspects of design work and co-operate with others involved with the project;
4. Facilitate good communication between Client, Designers and Contractors;
5. Liaise with Principal Contractor regarding on-going design; 6. Identify, collect and pass on pre-construction information; 7. Prepare and update the health and safety file.
The CDM Co-ordinator should be appointed as soon as practicable after the initial design work or other preparation for construction work has begun. This is crucial to allow for effective planning and to establish good communication between appointees from the outset.
4.6 Appoint a Principal Contractor
It is the role of your CDM Co-ordinator to advise you on the competency and suitability of a Principal Contractor, however, the ACOP does provide guidance on how to appoint competent individuals, including both the CDM Co-ordinator and the Principal Contractor. This information can be found in Appendix 3.
Note: Procurement Regulations must be taken into account when appointing Principal Contractors
Remember, you as Client, are responsible for the successful outcome of the project and for any failures that result in harm to an individual(s). Therefore, you should ensure that you follow the guidance provided and keep records of your actions.
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4.7 To make sure that construction does not start until there are suitable welfare facilities and a suitable Construction Phase Plan in place.
In the case of notifiable projects, CDM Co-ordinators will normally advise the Client as to what is needed and arrange for relevant information to be given to Designers and Contractors.
Guidance for CDM Co-ordinators is given in paragraphs 84 -108 of the ACOP and in Appendix 6 of this document. It is the responsibility of the Principal Contractor to prepare the construction phase plan and to make arrangements for suitable welfare facilities to be present from the start of work.
4.8 To provide information relating to the health and safety file to the CDM Co-ordinator.
The health and safety file is for future reference so this means that you as Client must provide any information that you have that will be useful for projects life cycle including repairs maintenance, cleaning and other operations. For example, the roof may be fragile or asbestos may still be present in parts of a building therefore this would affect how future work is undertaken.
Any surveys that have been carried out should be made available e.g. the management survey, as should plans of the building including the location of utilities and services both above and below ground. Ask the CDM Co-ordinator what information they want and then provide it. Always keep records. You should have regular meetings with your CDM Co-ordinator (probably weekly initially) and minutes/notes of the meetings should be kept.
4.9 To retain and provide access to the health and safety file.
You only have to retain and provide access to the health and safety file. (It is the CDM Co-ordinators role to prepare and update it during a project)
4. 10 Important Information re additional responsibilities
Please note that duty holders including Client’s can sometimes, intentionally or unwittingly, take on additional responsibilities.
If a Client fails to appoint a CDM Co-ordinator and/or a Principal Contractor, then he/she automatically takes on those roles by default.
Similarly, if a duty holder specifies materials or methods of working to be used, the Client may also become the Designer in relation to those specific matters.
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For example:
Procurement Teams advising clients which contractor to appoint would automatically take on the responsibility for ensuring the contractor was competent.
Clients asking for safety features to be removed from projects to cut costs would automatically take on the responsibilities of the designer for that decision
5. Construction Design and Management Coordinator (CDM-C) Arrangements
5.1 CDM-C Duties (see 3. Summary of Duties for all Duty Holders)
5.2 Pre Construction Information
ESS CDM-C’s should use the template in Appendix 5 to help them collate preconstruction information for University projects
5.3 Health and Safety Files
ESS CDM-C’S and externally appointed CDM-C’s should use the template provided in Appendix 6 to develop and produce Health and Safety Files for University projects
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Appendix 1CLIENT ‘NON NOTIFIABLE’ CDM CHECKLIST
Project:…………………………………………………………………………………………………………………………………………………………………………..........................
Start date:Completion date:Identified risks:……………………………………………………………………………………………………………………………………………………………………………………………….……………………………………………………………………….....................................
QUESTION Y N
Are you clear of your responsibilities for this project?
Is the site going to be used as a workplace?
Have you got adequate resources for the project?
Are the appointees, part of the ESS’s partnering arrangements (eg framework, MTC, Approved Contractor List etc)?
If the appointees are not, part of the ESS’s partnering arrangements, have you checked competences of all appointees? (e.g. health and safety policy, certificates, have they done similar work before, can you find out information from other organisations they have undertaken similar works?
Have you checked the resources of all appointees?
Have the appointees had access to the asbestos survey? Have you agreed how often the appointees should meet to discuss
and co-ordinate the project? Are the contractors aware of the normal fire procedure and included
this in the construction fire safety plan? Is there suitable management for the project including welfare
facilities? Have you allowed sufficient time and resources for all stages?
Have you provided pre-construction information to the designers and contractors?
Have you checked whether there is adequate protection of your workers, (students, visitors other users)?
Is there adequate protection of the public?
Do the contractors have adequate welfare facilities?
Have you ensured good communication and co-operation between the designers and the contractors?
Have you confirmed from the contractors the arrangements that they agreed to make have been implemented?
Is there any separation of traffic routes and pedestrians?
Will there be any restrictions to the site?
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Appendix 2CLIENT ‘NOTIFIABLE’ CDM CHECKLIST
Project:…………………………………………………………………………………………………………………………………………………………………………….......................
Start date:Completion date:
Work Site
Client
Who is the appointed CDM Co-ordinator (CDM-C) Appointed Principal Contractor
Subcontractors
Designer
Other Consultants details
Length of Project
What risks have you identified before the start of the project?
Question Y N Have you formally appointed the CDM-C, Designer and Principal
Contractor in writing? Have you allowed sufficient time for the project to start?
Are project team members clear about their roles and responsibilities?
Have you agreed with the CDM-C the format of the health and safety file, how the CDM-C will collect the information and who should provide the information?
Has the Principal Contractor received a copy of any previous health and safety file?
Has the CDM-C received a copy of the pre Construction Phase Plan?
Are the contractors clear of the site rules?
Are there suitable arrangements for developing systems to cover risks that may arise during the work program?
Will the structure be used as a workplace?
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Question Y N Is the CDM-C and or ESS Health and Safety Officer satisfied that
the Principal Contractor is competent to undertake the work and they have good health and safety standards?
Has the CDM-C had sight of the Principal Contractor’s Company Safety Policy Documents?
Has the CDM-C had sight of the Principal Contractor’s Employers Liability Insurance and other insurance documentation?
Has Form F10 preliminary notification been signed by the Client and forwarded to the HSE?
When the Principal Contractor is known has a revised Form F10 been forwarded to the HSE with a copy being provided to the Principal Contractor?
Has a letter of acceptance been sent out from the Procurement Team to the Principal Contractor (approved tender) to give permission to go on site?
Has the Principal Contractor got a copy of the Construction Phase Plan so they can develop the plan further? This plan will be required by the CDM-C to develop the health and safety file.
Has the Principal Contractor received a copy of the asbestos survey
Does the CDM-C have a system in place to monitor the works? State the frequency:
Are there any ongoing or planned works that will encroach on the site and cause a conflict of the CDM requirements?
Have neighbouring properties been fore warned of the intended work?
Are there adequate welfare provisions?
Have you identified an appropriate location for the site compound?
What arrangements are in place regarding, hoarding/securing the site? Explain.
What are the transport arrangements including vehicle movement restrictions?
Are there any parking restrictions?
Are there any restrictions on delivery? (time, size of vehicle, transition on site, etc).
Question Y N
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Are there any protected pedestrian walkways required?
Has a Skip Licence been acquired if waste skips are to be on the highway?
What arrangements are in place regarding waste collection? –
State any work requiring Permit to Work (high risk activities).
State any other “no go/restricted areas”.
Are there any areas you have designated as confined areas?
Are there any existing land uses e.g. busy road, railway lines?
Is there any existing storage of hazardous materials?
Are there any ground conditions or underground services where this may affect the safe use of plant e.g. groundwork?
Are there any materials requiring particular precautions?
Has a pre demolition/refurbishment asbestos survey been undertaken for those areas that may be disturbed?
Has the Principal Contractor had acc to the Asbestos register and completed the Authorisation to commence work?
If asbestos is on site which approved contractors can undertake the work?
Are there any arrangements for co-ordination of ongoing design work and handling design changes?
Is there any information on significant risks identified during design?
State any other safety hazards, which may affect the project:
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Access to Site
Comments
Fire Evacuation Procedures
Will the present fire alarm system be disabled? If so then another system of raising the alarm in case of fire or other emergency is required.What will the fire precautions involve?Will contractor’s workmen be advised as to where fire exit routes are located and the location of the fire fighting equipment? Will they be made aware of the fire evacuation procedure in the building in question?
Comments
Site Power and Utility Services
How will power be supplied (gas/electric)?Does it need to be fenced off?How will water be supplied?Is connection to the main drains/sewer required?Is connection to the telephone system required?
Comments
LPG Storage
Will there be any LPG cylinders on site? Y/NIf so they must be kept in an external lockable wire mesh cage or be removed from site at the end of the working day.
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Comments
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Electrical Supply
Where will the electrical supply come from? Generators/mains? Will the mains supply be isolated?Will the on site supply be 110v?Refer to excavation risks for underground supplies Will any cables be running across acc roads? How will they be protected? Have any risks from overhead and underground services been highlighted?
Comments
Work at Height.
How will working at height issues be addressed? E.g. Roof work, pool drainage, means of access for the operatives i.e. ladders, scaffolds etc. .
Comments
Scaffolding
Has a Pavement Licence for Scaffolding been acquired if the scaffold is to be on the highway?
Where will the scaffold be erected? Are brick guards, protective fans etc. required?
The Principal Contractor should arrange for the register to be available on site for inspection.
Road Traffic Act – Chapter 8 requirements
To be effected only if work means encroaching on the highway.Comments
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Appendix 3ASSESSING COMPETENCES OF APPOINTEES
Assessing Organisations (CDM Co-ordinator, Principal Contractor, Designer and Contractors)
It is the Clients responsibility to ensure that the key appointees are competent to undertake the project. The following criteria may assist choosing the right appointee for the project. The assessment should focus on the needs of the project and the risks should be proportionate to the size and complexity of the work to be undertaken. It is advisable to make reasonable judgements with provided evidence by the appointee that they can work safely. When choosing the appointees:
1. Check whether the company is registered with an accreditation body and the body assures compliance. It is expected that contractors should be registered under the CHAS scheme (or and equivalent Safety Schemes in Procurement).
2. Enquire whether the company has adequate resources and financially assess as necessary (the Procurement Team can assist with this).
3. Assess the company’s organisation arrangements for health and safety relevant to your project to determine whether they can carry out the work safely without risks. If you require assistance in doing this, please contact the ESS Health and Safety Officer.
4. Assess the company’s experience and track record to check if it is capable of doing the work, recognises its limitations and can prevent any arising risks.
5. Ask the company for information relating to any action taken agains the company by the HSE
6. Ask the company for its accident statistics and assess
Construction Design Management Co-ordinator (CDMC) should:
1. Check for qualifications and training records with Construction Clients National Certification as the minimum qualification. These appointees should either be on Fellowship/Membership of a particular register. A NEBOSH construction certificate will need to be coupled with a stage 2 Assessment. Check whether the appointee is signed up for Continuing Professional Development (CPD) programme either though the company or an institution. This enables them to keep up-to-date with changes in legislation and professional practice.
2. Have sufficient knowledge of the work to be undertaken and the risks involved in the work they are expected to perform evidenced by risk assessments and safe systems of work.
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3. Have sufficient experience and ability to carry out the project work and take appropriate action to prevent harm to the contractors, and those who may be affected by the work. It is advisable to check the appointee’s past experience by making enquiries about track records.
4. Capable of advising you about other appointed appointees, assess the Construction Phase Plan adequacy prepared by the Principal Contractor, has good interpersonal skills to encourage co-operation between all appointees evidenced by actual examples.
5. Sound understanding of health and safety, design process, co-ordination of the design proc and identify information others will need to carry out the work safely.
NB Those without relevant experience should work under the supervision of someone who is qualified as above.
6. Contractors need regular refresher training. This can be carried out in-house or externally. The training should cover health and safety aspects of the job as well as the necessary skills elements or a more formal training programme.
e.g. CIBT-Construction Skills. The training scheme should be appropriate in the form that trainees can understand including translation using interpreters, where necessary, and using clear symbols/diagrams.
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Appendix 4
Estate Support Service
Pre Construction Information Template
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Contents
1.00 Description of Project 1
2.00 Clients Considerations and Site Rules
3.00 Environmental Restrictions and Existing On-Site Risks
4.00 Significant Design and Construction Hazards
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1. Description of the Project
1.1 Location of the Project
1.2 Nature of the Project
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1.3 Scope of Works
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1.4 Project Dates
1.5 Pre - Construction Information (Drawings, Surveys, Site Rules, Hazards etc)
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Start Date:
End Date:
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1.6 Project Directory
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Project Sponsor/Client contact details
Designer’s contact details
Principal Contractor contact details
CDM-C Contact details
Project Engineer/Project Surveyor Contact Details
Stakeholders and Neighbours Contact Details
Security Control and ESS Health and Safety Officer Contact Details
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2. Client Considerations and Site Rules
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2.1 Workplace Transport including access and parking restrictions
2.2 Client Permit to Work Systems
2.3 Fire Precautions
2.4 Emergency Procedures
2.5 Confined Spaces
2.6 Risk Assessment
2.7 Smoking restrictions
2.8 Environmental Restrictions and On Site Risks
2.9 Environmental Risks/Waste Disposal
2.10 Utility Services
2.11 Security
2.12 Work outside normal hours
2.13 Access to buildings
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3. Significant Design and Construction Risks
4. Materials Requiring Special Precautions e.g. Radiation
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3.1 Design Risks
Designers must be aware of their responsibilities in accordance with CDM 2007 – So far as is reasonably practicable risks arising through design and associated with the Buildability, Useability and Maintainability of a project should be; eliminated, reduced and or controlled
3.3 Summary of Significant Risks and Hazards associated with this project
Asbestos containing materialsHigh level access for construction and maintenance issuesManual handling and material distributionWorking within existing and occupied buildingsTraffic managementWorking on existing service installationsSlips trips and fallsInterface with existing private and public access routesSite Housekeeping and welfare arrangementsFalls from heightAccess for future maintenance and subsequent life of the projectMaintaining and providing escape and evacuation routesWork in Labs
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Appendix 5
Estate Support Service
Health and Safety File
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1. Introduction
The Co-ordinator has as one of their duties the collation and final preparation of the Health & Safety File. The format will be developed around the following requirements. Information for the file should be provided throughout the duration of the construction phase and not left until practical completion.
Information for the File is to be provided in electronic format only (3 copies) with drawings to be in PDF and CAD versions.
The University model for the Health & Safety File incorporates the O&M information and is required to be site specific and provide only that information applicable to the project, not manufactures catalogues and the like. It is recommended that the principal contractor and design team make themselves familiar with format and the need to assimilate information throughout the design and construction phase in order to present the completed file to the client at the end of the construction phase of the specific phase of the works.
The layout and content for the section of O&M information should comply with all sections of BISRIA BG1/2007 see below for the proposed Health and Safety File Format
This File provides an executive summary of the significant health and safety information relating to this project. This information will be passed to the client upon completion of the construction stage of the project (or as soon as practicable thereafter). The File and the information referred to within it aim to assist any persons involved in later use, maintenance, future construction work and eventual deconstruction.
2. Duties of the Client
It is the duty of the client, to contribute, and provide information for the Health and Safety File;
It is the duty of the client to keep and maintain the Health and Safety File for future reference and make available to those required to carry out work on the structure;
It is the duty of the client to pass the Health and Safety File on to any other person who acquires an interest in the structure.
3. Format
The documentation has been supplied in the following format:No hard copy/ies of information.3 CD Read Only format as a record of the completed structure and 1 CD Rom in a format which will allow the information to be modified and take into account future works.
4. General Note
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Whereas certain basic information must always be included, in order to manage the size of this file, reference has been made to the location of relevant documents supplied by the Client, Designers and Principal Contractor.
1.0 General Information
1.1 Location Information
1.2 Description of the Works
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1.3 Project Directory
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Project Sponsor/Client contact details
Designer’s contact details
Principal Contractor contact details
CDM-C Contact details
Project Engineer/Project Surveyor Contact Details
Stakeholders and Neighbours Contact Details
Security Control and ESS Health and Safety Officer Contact Details
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1.4 General contract details, end of maintenance period date.
1.5 Consents - Building Regulation Approval; Fire Certificates; Practical Completion Certificate etc.
1.6 Health & Safety – Residual Risks and Hazards
1.7 Existing Surveys
1.8 Utilities and Services
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Eg Asbestos floor plans detailing where asbestos has been removed from and where it remains (to include all certificates and supporting documents associated with work with asbestos), Completed Legionella risk assessments, Completed Noise Surveys etc
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1.9 Emergency Procedures
1.10 Cleaning and Maintenance
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2.0 Building Fabric and Structure
2.1 Elemental Breakdown (Common Arrangement of Work Sections)Methods and materials which present residual risk in respect of cleaning, maintenance, modification or demolition
2.2 Structural Design
2.3 Fire Safety Strategy
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3.0 Building Services
(The following may be separate Files provided by the Specialist Subcontractors; each File to be broken down to cover each relevant building service/element.)
3.1 Electrical
3.2 Mechanical
3.3 Lifts
3.4 Specialist
3.5 Statutory Authorities ; Incoming / outgoing services
3.6 Test Certificates
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4.0 As Built Information (Drawings to be checked and marked As built)
4.1 Architects Drawings
4.2 Structural Drawings]
4.3 Structural Safe Loads
4.4 Electrical Services Drawings
4.5 Mechanical Services Drawings
4.6 Plumbing Services Drawings
4.7 Specialist Services Drawings
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4.8 Incoming Services & Utilities
4.9 Site Investigations and Surveys
4.10 Designers Risk Assessments/Considerations
4.11 Fabric & Finishes Layouts & Floor Plans
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5.0 Health & Safety Generally
5.1 Construction Methods used
5.2 Materials used
5.3 Access Arrangements/ confined spaces
5.4 Location of drainage and terminations
5.5 Emergency procedures (including Fire escape strategy etc.)
5.6 Safe working loads
5.7 Residual Design Risk
5.8 General schedule and maintenance information;
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5.9 Legionella Risk Assessments
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6.0 Cleaning and user guide
6.1 User Guide Notes
6.2 Cleaning Instructions and Guide
6.3 Permit to Work Systems
6.4 Manufacturers Instructions
The layout and content of the O & M’s should comply with all sections of BISRIA BG1/2007 Sections 2, 3 & 4. 1 electronic copy
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Appendix 6
6 Construction Phase Plan Approval - Aide Memoir
Format and Content
6.01 The following items are those to be included, as a minimum, within the Construction Phase Plan
6.02 Employer and Design Team information and requirements as contained within the Pre-Construction Information must be fully taken into account in the preparation of the Construction Phase Plan.
This must be submitted to the CDM-C for consideration; the CDM-C shall, if appropriate, advise the Employer of the Plan's adequacy.
No works shall commence on site until the contractor has received written authorisation from the CDM-C.
6.03 Construction Phase Plan Content
Introduction
Project Description
Programme
Health and Safety Policy (Statement of Intent only, not the entire document)
Project Directory, including site team and responsibilities
Health and Safety Objectives/Monitoring and performance
Scope of Work
Significant risks[identified]
Project Arrangements
Access/Egress
Security/Signage
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Waste
Deliveries and material storage
Welfare/facilities i.e. (toilets, washrooms, changing and drying facilities, hot and cold running water, the ability to heat food and boil water)
First Aid
Emergency Procedures
Power and water provision
Parking
Personal protective equipment (PPE)
Temporary works
Electrical works-temporary supplies-isolation procedures
Testing procedures
Sequence of works/programme
Permits to work
Induction procedure
Workforce consultation
Liaison
Design changes
Subcontractor selection
Subcontractor information
dissemination procedures
Risk control
‘Toolbox Talks'
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Monitoring and consultation procedures
Risk, CoSHH, Noise and Manual Handling Assessments as applicable. (added when produced and throughout the contract period).
Method Statements for all major elements. These to include, where relevant, but not be limited to:
Temporary works : façade retention; shoring- heavy timber ; steel frames; hoarding; scaffold; formwork etc;
Waste removal;
Existing services- especially buried;
Building fabric cleaning [ any method ];
Major glass/window removal;
Asbestos removal-encapsulation;
Dismantling and removal of materials
Lifting Operations inc hoists gin-wheels and cranage;
Emergency Contacts: name/ contacting details
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Site Rules[To take into account the] Fire /emergency plan[ Must not compromise any existing arrangements]
CDM C Approval Print Name Sign Name Date
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Appendix 7
ESS Client/Project Manager Checklist – CDM Notifiable Projects
Project name:Project Location: Description of project:
Start date:Completion date:
Duty Holder Contact detailsClient:
Project Manager: CDM Co-ordinator: Designer(s):
Principal Contractor: Other consultant’s details:
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Questions for Project Managers
Have the duty holders below been formally appointed in writing? Y N Date Signatur
e CDM-C
Designer
Principal Contractor
Questions for Project Managers
Have the duty holders below been assessed to ensure they are competent to undertake the tasks required of them?
Y N Date Signature
CDM-C – explain how competency was assessed here
Designer– explain how competency was assessed here
Principal Contractor– explain how competency was assessed here
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Questions for - CDM Coordinators Y N Date Signature
Has the CDM-C advised the Client of their responsibilities? Explain how this was done here.
Questions for - CDM Coordinators Y N Date Signature
Has the CDM-C requested the client provide information to enable them to produce the necessary pre construction information pack? Has the Client provided all information Requested?Has the CDM-C advised the Client that they consider the Principal Contractor competent to carry out the work? Has the CDM-C advised the Client that they consider the Designer competent to carry out the work. Is the CDM-C satisfied that adequate resources (including time) are allocated to the project to enable work to be carried out safely? Has the CDM-C provided Principal Contractors and Designers all necessary pre construction information? Has the CDM-C Notified the contract to the HSE? Is the CDM-C satisfied that the Construction phase plan is suitably developed to enable work to begin?Has the CDM-C agreed with the Client the format that is to be used when preparing the Health and Safety File?
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Duties - CDM Coordinator Y N Date Signature
Has the CDM-C taken steps to ensure designers comply with their duties?
Designing out and reducing risksAvoiding foreseeable risk to:Construction workers Those affected by construction CleanersMaintenance employeesThose working in/at the structureTaking into consideration the Workplace regs as appropriate Providing necessary information to clients designers and contractors about the design
Explain how this was done here.
Duties - CDM Coordinator Y N Date Signature
Has the CDM-C taken reasonable steps to ensure designers and contractors cooperate during the construction phase with regard to design and design change?
Explain how this is to be/was done here.
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Question – Client (ESS PM) Y N Date Signature
Have you agreed with the CDM-C the format of the health and safety file, how the CDM-C will collect the information and who should provide the information?
Has the Principal Contractor received a copy of any previous health and safety file?
Has the CDM-C received a copy of the pre Construction Information Pack?
Are the contractors clear about site rules?
Are there suitable arrangements for developing systems to cover risks that may arise during the work progress?
Will the structure be used as a workplace?
Question for CDM – C’s Y N Is the CDM-C satisfied that the Principal Contractor
is competent to undertake the work and they have good health and safety standards?
Has the CDM-C had sight of the Principal Contractor’s Company Safety Policy Documents?
Has the CDM-C had sight of the Principal Contractor’s Employers Liability Insurance and other insurance documentation?
Has Form F10 preliminary notification been signed by the Client and forwarded to the HSE?
When the Principal Contractor is known has a revised Form F10 been forwarded to the HSE with a copy being provided to the Principal Contractor?
Has a letter of acceptance been sent out from the Legal Section to the Principal Contractor (approved tender or through the partnering arrangements) to give permission to go on site?
Has the Principal Contractor got a copy of the Construction Phase Plan so they can develop the plan further? This plan will be required by the CDM-C to develop the health and safety file.
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Has the Principal Contractor received a copy of the University’s asbestos survey from the CDM-C/Client?
Does the CDM-C have a system in place to monitor the works? State the frequency:
Are there any ongoing or planned works that will encroach on the site and cause a conflict of the CDM requirements?
Have neighbouring properties been fore warned of the intended work?
Are there adequate welfare provisions?
Have you identified an appropriate location for the site compound?
What arrangements are in place regarding, hoarding/securing the site? Explain.
What are the transport arrangements including vehicle movement restrictions?
Are there any parking restrictions?
Are there any restrictions on delivery? (time, size of vehicle, transition on site, etc).
Question Y N
Are there any protected pedestrian walkways required?
Has a Skip Licence been acquired if waste skips are to be on the highway?
What arrangements are in place regarding waste collection? –
State any work requiring Permit to Work (high risk activities).
State any other “no go/restricted areas”.
Are there any areas you have designated as confined areas?
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Are there any existing land uses e.g. busy road, railway lines?
Question Y N
Is there any existing storage of hazardous materials?
Are there any ground conditions or underground services where this may affect the safe use of plant e.g. groundwork?
Are there any materials requiring particular precautions?
Has a pre demolition/refurbishment survey been undertaken for those areas that may be disturbed?
Has the Principal Contractor had access to the Asbestos survey?
If asbestos is to be removed which contractor is going to be used?
Are there any arrangements for co-ordination of ongoing design work and handling design changes?
Is there any information on significant risks identified during design?
State any other safety hazards, which may affect the project:
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Appendix 8Designers Red Amber Green Lists
Red Lists: Hazardous procedures, products and processes that should be eliminated from the project where possible
• Lack of adequate pre-construction information, eg asbestos surveys, geology, obstructions, services, ground contamination etc.
• Hand scabbling of concrete (‘stop ends’, etc); • Demolition by hand-held breakers of the top sections of concrete piles (pile cropping
techniques are available);
• The specification of fragile rooflights and roofing assemblies; • Processes giving rise to large quantities of dust (dry cutting, blasting etc.);
• On-site spraying of harmful substances;
• The specification of structural steelwork which is not purposely designed to accommodate safety nets;
• Designing roof mounted services requiring access (for maintenance, etc), without provision for safe access (eg. barriers). • Glazing that cannot be accessed Safely, All glazing should be anticipated as
requiring cleaning and replacement, so a safe system of access is essential. • Entrances, floors, ramps, stairs and escalators etc not specifically designed to avoid
slips and trips during use and maintenance, including effect of rain water and spillages.
• Design of environments involving adverse lighting, noise, vibration, temperature,
wetness, humidity and draughts or chemical and/or biological conditions during use and maintenance operations.
• Designs of structures that do not allow for fire containment during construction
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Amber Lists: Products, processes and procedures to be eliminated or reduced as far as possible and only specified/allowed if unavoidable. Including amber items would always lead to the provision of information to the Principal Contractor.
• Internal manholes / inspection chambers in circulation areas; • External manholes in heavy used vehicle access zones; • The specification of “lip” details (i.e. trip hazards) at the tops of pre-cast concrete staircases; • The specification of shallow steps (i.e. risers) in external paved areas; • The specification of heavy building blocks i.e. those weighing > 20kgs;
• Large and heavy glass panels;
• The chasing out of concrete / brick / blockwork walls or floors for the installation of services; • The specification of heavy lintels (the use of slim metal or hollow concrete lintels being alternatives);
• The specification of solvent-based paints and thinners, or isocyanates, particularly for use in confined areas;
• Specification of curtain wall or panel systems without provision for the tying (or raking) of scaffolds;
• Specification of blockwork walls >3.5 metres high using retarded mortar mixes.
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Green Lists: Products, processes and procedures to be positively encouraged.
• Adequate access for construction vehicles to minimise reversing requirements (one-way systems and turning radii);
• Provision of adequate access and headroom for maintenance in plant rooms, and adequate provision for replacing heavy components;
• Thoughtful location of of mechanical / electrical equipment, light fittings, security devices etc. to facilitate access and away from crowded areas;
• The specification of concrete products with pre-cast fixings to avoid drilling;
• Specify half board sizes for plasterboard sheets to make handling easier;
• Early installation of permanent means of access, and prefabricated staircases with hand rails;
• The provision of edge protection at permanent works where there is a forseeable risk of falls after handover;
• Practical and safe methods of window cleaning (eg. from the inside);
• Appointment of a Temporary Work Coordinator (BS 5975);
• Off-site timber treatment if PPA- and CCA-based preservatives are used (Boron or copper salts can be used for cut ends on site).
• Off site fabrication and prefabricated elements to minimize on site hazards. • Encourage the use of engineering controls to minimize the use of Personal
Protective Equipment
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