SC13 - Construction (CDM)
06 Dec 2010
Yes
-  

 

 

Construction (Design and Management)

No

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Contents

Revisions

​1
​Initial launch
​December 2007
1.1​​Update to Appendix 8 for SWMP
​January 2009
1.2​​Update to 4.2.11 for SWMP
​January 2012
​1.3
​Minor amendment to training sec​​tion
​May 2013
​2.0
Major up​date in line with CDM 2015
September 2018​

​​NB - The changes to version 2.0 were considerable and readers should assume that significant portions of the body and Appendices have changed.​

1. Purpose

The purpose of this SHE Code is to define how the STFC will manage projects where the Construction (Design and Management) Regulations 2015 (CDM2015) apply.

CDM2015 applies to all projects involving any construction work on a structure. Where any project activity involves construction processes, requires construction skills and uses construction materials, it is likely to fall within the term ‘construction work’ (see Section 3 Definitions for more info.)

CDM2015 is primarily about following good health and safety practices, including communicating, cooperating and being aware of potential hazards.

If CDM does not apply (ie the project does not fit the definition of construction work) other health and safety legislation will still apply and risks must still be managed – see SHE Code 15.

STFC must have management arrangements in place for all projects that are proportionate to the risks arising from the work and are suitable to ensure that the project can be carried out at minimised risk to the health and safety of any person.

Under CDM2015

All projects involving construction work must be overseen by a Client.

For projects with more than a single contractor:-

  • the Client must appoint a Principal Designer (PD) to manage the health and safety aspects of the design / pre-construction phase.
  • the Client must appoint a Principal Contractor (PC) to manage the health and safety aspects of the construction phase.
  • if the Client does not appoint a PD or a PC then the Client takes on all the duties of these roles.

For projects with only one contractor:-

  • the Principal Designer (PD) and Principal Contractor (PC) are not required.
  • the Contractor must still produce a construction phase plan.

Note - If STFC staff are carrying out construction work alongside an external contractor the project is classed as having more than one contractor.

2. Scope​

This Code applies to all building, science and engineering construction work as defined by the CDM2015 Regulations. (See definition of construction work in Section 3).

Many types of maintenance and repair work also fall within the definition of construction work and there are no exemptions for short duration work, but the controls should be proportionate to the risks.

Under CDM2015 the STFC will have duties as the Client; and could take on the duties of Principal Designer, Designer, Principal Contractor or Contractor.

Some large construction projects carried out by STFC may need to be notified to the HSE. See Appendix 2 on how to determine whether the work is notifiable.

Note: this Code may need to be considered in association with the STFC Project Management Framework​.​

3. Definitions

​​Table 3.1
​​Client
A Client is an organisation or individual for whom a construction project is carried out. For the purposes of this Code, the Client is the STFC.​
​Appointed ClientFor the purpose of this Code, an Appointed Client is an STFC employee who has been appointed by the Department Director to carry out all the duties of the Client as described in CDM2015.​
Construction phase plan (CPP)​​A document prepared by the Principal Contractor (or Contractor) recording the health and safety arrangements, site rules and any special measures for construction work. (see Appendix 6).

The CPP should be proportionate to the scale and risks of the project. For single contractor work and for maintenance/repair work the Risk Assessments and Method Statement (RAMS) may form the CPP.
​Construction work​Where any project activity involves construction processes, requires construction skills and uses construction materials, it is likely to fall within the term ‘construction work’.

This covers any building, civil engineering or engineering construction work and will include:

  • The construction, alteration, conversion, fitting out, commissioning, renovation, repair, upkeep, redecorating or other maintenance (including high pressure cleaning), de-commissioning, demolition or dismantling of a structure;
  • Site preparation – site clearance, exploration, investigation (but not site survey) and excavation;
  • The assembly on site of prefabricated elements to form a structure or the disassembly on site of prefabricated elements which, immediately before disassembly formed a structure;
  • The removal of a structure or of any product or waste resulting from demolition or dismantling of a structure;
  • 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.

Notes:

  • The above is likely to include scientific projects involving equipment, building and infrastructure changes.
  • Where maintenance activity involves construction processes, requires construction skills and uses construction materials, it is likely to fall within the term ‘construction work’.
  • General maintenance of fixed plant which mainly involves mechanical adjustments, replacing parts or lubrication is unlikely to be construction work.
  • Work on a piece of experimental equipment is unlikely to be construction work.
Contractor
An external organisation, or the STFC itself, carrying out works.

Note - 'contractor' is the organisation and not the individual employees.​
Principal Contractor (PC)​
​An external organisation, or the STFC itself, undertaking the duties of Principal Contractor as set out in CDM2015.

The Principal Contractor is in overall control of the construction phase of the project.

Note – ‘the Principal Contractor’ is the organisation and not an individual.

For some projects (especially smaller projects) the Principal Contractor may also be the Principal Designer.
​Competency
​This is the demonstration by an individual or organisation that they have sufficient experience, knowledge and other skills to carry out their duties to a satisfactory standard.
Design
This covers specifications, drawings, construction details, experimental requirements, scientific limitations, bills of quantities etc. relating to a structure and calculations prepared for the purpose of design.​
​Principal Designer (PD)
An external organisation, or the STFC itself, undertaking the duties of Principal Designer as set out in CDM2015.

The Principal Designer is in overall control of the pre-construction phase of the project.

Note – ‘the Principal Designer’ is the organisation and not an individual. ​​
Designer
An external organisation, or the STFC itself, who:
  • Prepares or modifies a design; or
  • Arranges for, or instructs any person under its control to do so.​
General Principles of Prevention
  1. ​​​avoid risks;
  2. evaluate the risks which cannot be avoided;
  3. combat the risks at source;
  4. adapt the work to the individual, especially regarding the design of workplaces, the choice of work equipment and the choice of working and production methods, with a view, in particular, to alleviating monotonous work, work at a predetermined work rate and to reducing their effect on health;
  5. adapt to technical progress;
  6. replace the dangerous by the non-dangerous or the less dangerous;
  7. develop a coherent overall prevention policy which covers technology, organisation of work, working conditions, social relationships and the influence of factors relating to the working environment;
  8. give collective protective measures priority over individual protective measures; and
  9. give appropriate instructions to employees. 
Health and Safety File
​​A document containing significant health and safety information relating to the project which is likely to be needed during subsequent project / construction work, maintenance and decommissioning (see Appendix 8).
​Notifiable project
​A notifiable project is one that meets certain criteria (see Appendix 2) such that it needs to be notified to the HSE.
Pre-construction information
Information required by CDM2015 to be given by STFC to Designers and Contractors appointed by the Client. Information includes:
  • Information affecting the site of the works e.g. known hazards
  • ​Information concerning the proposed use of the finished product.
  • The amount of time to be provided to the Contractor to make preparations before starting on site
  • Information in any existing health and safety file.
​Structure
​​“structure” means—
  1. 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, and fixed plant;
  2. any structure similar to anything specified in paragraph (a);
  3. any formwork, false work, scaffold or other structure designed or used to provide support or means of access during construction work, and any reference to a structure includes part of a structure;
Table 3.2 Examples of projects classed as construction work
Table 3.3 Examples of projects not classed as construction work
Table 3.4 Examples of CDM application with escalating project complexity

4. Responsibilities​​

Any of the following roles (apart from Departmental Director) can be undertaken by any person e.g. Division Heads, Group Leaders, Line Managers, Project Managers, etc. They are not position, functional or departmental dependant, but are based on competency for the role to be performed.

The following responsibilities are based on the CDM2015 duty holders and not specific roles within the STFC. Hence the role of the Project Manager is not included here. The Project Manager could carry out all or some of the duties on behalf of the duty holder ​​​

4.1 Directorate/Business Unit Head shall:
  • 4.1.1 ​Ensure an appropriate STFC staff member is appointed to act as Client for each identified project. (Annual appointments can be made if appropriate.) These appointments will be recorded (see Appendix 11).​
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  • 4.1.2 Ensure the person chosen has adequate experience and knowledge to carry out the duties of the Client.
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  • 4.1.3 Ensure Appointed Clients are provided with sufficient time and resources to carry out their duties.
4.2 Appointed STFC client shall:
  • 4.2.1 Ensure duty holders from an external organisation, or other STFC appointed staff members, assigned roles under CDM2015 are provided with sufficient time and resources to carry out their duties.
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  • 4.2.2 Appoint a competent Principal Designer to plan and manage the pre-construction phase early enough to work with the project team on issues relating to design, buildability, usability and maintenance. The appointment should be in writing, and may be transferred to other parties through the project (see Appendix 11).
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  • 4.2.3 Appoint a competent Principal Contractor to plan and manage the construction phase early enough to work with the project team on issues relating to buildability, usability and maintenance. The appointment should be in writing, and may be transferred to other parties through the project (see Appendix 11).
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  • 4.2.4 Ensure that any STFC staff appointed as a duty holder (ie Principal Designer, Designer, Principal Contractor, Contractor) is aware of their duties under CDM2015 and are able to carry them out.
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  • 4.2.5 Check competence and resources of all appointees – internal as well as external.
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  • 4.2.6 For Notifiable projects ensure an F10 is prepared and updated for the project and submitted to the HSE.
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  • 4.2.7 Ensure there are suitable management arrangements for the project. Refer to Appendix 3 for Client’s Management Arrangements.
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  • 4.2.8 Provide pre-construction information to Designers and Contractors. Refer to Appendix 4.
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  • 4.2.9 Ensure, as far as the Appointed Client is able, that all duty holders carry out their duties.
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  • 4.2.10 Ensure that Contractors are told the minimum notice that they will be given before they are expected to start construction work, to ensure that Contractors have sufficient time to plan and prepare.
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  • 4.2.11 Ensure that the construction phase does not start unless suitable welfare facilities; a suitable construction phase plan; and a Waste Management Plan are in place.
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  • 4.2.12 Ensure that the health and safety file is prepared, reviewed, or updated ready for handover at the end of the construction work. The completed file should be kept available for inspection by any person who may need information after the project is completed.
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  • Note: Appointed Clients may require support to satisfy the delivery of these duties. Support can be provided by external CDM specialist companies who operate as advisors to the process. The use of such advisors can ensure that all the regulatory requirements have been met, but the legal responsibility remains with the Appointed Client.
4.3 Designers shall:
  • 4.3.1 Ensure sufficient time and resources are set aside to carry out their duties.
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  • 4.3.2 Assess their designs during all design stages, and then throughout the design process, to ensure the general principles of prevention are applied to eliminate hazards and reduce risks during design.
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  • 4.3.3 Provide information about remaining risks within the construction documentation.
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  • 4.3.4 Check that the STFC as the Client is aware of their duties.
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  • 4.3.5 Take account of any pre-construction information provided.
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  • 4.3.6 Provide any information needed for the health and safety file.
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  • 4.3.7 Co-operate with all other duty holders
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  • 4.3.8 Consider the hazards and risks to those who:
    • Carry out construction work including demolition
    • Undertake maintenance activities
    • Use the building / area / facility
    • May be affected by the work – visitors or the general public.

4.4 Principal Designers shall:
  • 4.4.1 Plan, monitor and co-ordinate health and safety in the pre-construction phase of a project.
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  • 4.4.2 Check that designers have the necessary competence to carry out their role.
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  • 4.4.3 Apply the general principles of prevention (see Table 3.1​​) to eliminate risks to the health and safety of any person:-
    • carrying out or liable to be affected by construction work
    • maintaining or cleaning a structure / equipment, or
    • using a structure / equipment designed as part of a workplace.
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  • The emphasis is on prevention, as hazards can be designed out at this stage.
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  • 4.4.4 Ensure other Designers carry out their duties.
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  • 4.4.5 Provide pre-construction information to other duty holders.
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  • 4.4.6 Co-ordinate health and safety aspects of design work and cooperate with others involved with the project.
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  • 4.4.7 Provide relevant information to the Principal Contractor to help them plan, manage, monitor and coordinate health and safety in the construction phase.
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  • 4.4.8 Prepare and, during the pre-construction phase of the project, update the health and safety file (see Appendix 8), ensuring it is passed to the Client at the end of the project.
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  • Note: Principal Designers may require support to satisfy the delivery of these duties. Support can be provided by external CDM specialist companies who operate as advisors to the process. The use of such advisors can ensure that all the regulatory requirements have been met, but the legal responsibility remains with the Principal Designer.
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4.5 Principal Contractors shall:
  • 4.5.1 Plan, manage and monitor the construction phase in liaison with other Contractors and persons involved in the project.
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  • 4.5.2 Prepare, develop and implement a written construction phase plan and site rules. (Note that the Initial plan needs to be completed before the construction phase begins). See Appendix 6 for guidance on preparing the Construction Phase Plan.
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  • 4.5.3 Give Contractors relevant information from the plan before they start work (for example the minimum amount of time which will be allowed for planning and preparation prior to commencing work on site).
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  • 4.5.4 Check competence of all their appointees.
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  • 4.5.5 Ensure all workers have site inductions and any further information and training needed for the work (see Appendix 5).
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  • 4.5.6 Consult with the workers on Health, Safety and Welfare matters.
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  • 4.5.7 Ensure the welfare facilities are provided throughout the construction phase.
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  • 4.5.8 Liaise with the Principal Designer regarding ongoing design and ensuring Designers co-operate during the construction phase.
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  • 4.5.9 Secure the site to ensure only authorised persons gain access and implement appropriate site rules.
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  • 4.5.10 Ensure information for the health and safety file is identified from each contractor and that it is promptly provided to the Principal Designer.
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  • 4.5.11 For notifiable projects (Appendix 2), display the F10 Notification so that it can be seen by all on site.
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  • 4.5.12 Plan, co-ordinate, manage and monitor the work of themselves, other contractors and the interface to others working in surrounding areas.
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4.6 Contractors shall:
  • 4.6.1 Ensure they are competent to carry out their duties and that they set aside sufficient time and resources to complete the duties.
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  • 4.6.2 Plan, manage and monitor their own work.
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  • 4.6.3 Check competence of all staff working for them.
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  • 4.6.4 Ensure staff receive any necessary training.
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  • 4.6.5 Provide relevant information to staff.
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  • 4.6.6 Co-operate with the Principal Contractor in planning and managing work, including reasonable directions and site rules.
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  • 4.6.7 Provide details to the Principal Contractor of any sub-contractor they engage in connection with carrying out the work.
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  • 4.6.8 Provide any information needed for the health and safety file.
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  • 4.6.9 Only start work when they receive relevant information from the Construction Phase Plan from the Principal Contractor.
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  • 4.6.10 Inform the Principal Contractor if they consider that the Construction Phase Plan does not adequately identify and mitigate risks.
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  • 4.6.11 Inform the Principal Contractor of accidents, diseases and dangerous occurrences.
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  • 4.6.12 Co-operate with all other duty holders.;
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Notes:

For simple construction works requiring only one Contractor company:-

  • The Client - Contractor relationship can easily be managed on a one to one basis.
  • The STFC Client will be responsible for confirming that a Contractor company has the right competence (skills, knowledge, training and experience) to carry out the intended works (see Appendix 7), and has a clear plan of how this will be achieved. The latter will be evidenced by the presence of a construction phase plan (CPP).
  • The CPP need not be excessively detailed but it must show that the contractor has planned the work and understands the significant hazards and controls. The Risk Assessment and Method Statement may sufficiently fulfil this requirement.

5. Summary Flow Chart

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Contact: Baker, Gareth (STFC,DL,CSD)