Throughout this book, the other CDM 2015 duty holders and non-statutory roles have been referenced as part of the context within which the Principal Designer works. This chapter explains the key roles and responsibilities of the non-statutory CDM Adviser who may provide advice and guidance to the duty holders.

5.1 Précis of the duties of various duty holders under CDM 2015

This précis provides an outline of the duties and requirements for the various duty holders under CDM 2015. It is, of necessity, an abbreviated version of the requirements of CDM 2015, and needs to be read in conjunction with the Guidance on Regulations (L153), issued by the Health and Safety Executive, to ensure that a full and complete understanding of particular requirements are understood.

The précis cannot, and is not intended to, provide for all the vagaries that occur when undertaking construction work.

For complex situations, it is recommended that definitive advice is sought from an Incorporated, Certified or Fellow Member of The Association for Project Safety to provide full and detailed guidance.

5.2 General duties

Designers and Contactors must:

• ⦿ be capable of fulfilling their roles (Principal Designers are Designers and Principal Contractors are Contractors)
• ⦿ not accept an appointment unless capable

• Those appointing Designers and Contractors must check the capability of appointees.
• Duty holders must cooperate with any other person working on the project or an adjoining construction site.
• A person working on a project under the control of another must:
  • ⦿ report to that person anything they are aware of in relation to the project which is likely to endanger their own health or safety or that of others
  • ⦿ provide comprehensible information or instruction as soon as practicable.

5.3 Client

The Client must:

• Make suitable arrangements for managing a project in relation to health and safety including allocation of sufficient time and resources to ensure that:
  • ⦿ work undertaken, so far as is reasonably practicable, without health and safety risks to persons affected by the project
  • ⦿ welfare is provided for construction workers
• Ensure arrangements are maintained and reviewed during the project
• Provide Pre-Construction Information as soon as is practicable to every Designer and Contractor appointed, or potential Designers/Contractors
• If there is more than one Contractor on site, at any one time, appoint, as soon as practicable:
  • ⦿ Principal Designer
  • ⦿ Principal Contractor
• Failure to appoint the Principal Designer and Principal Contractor results in these roles and associated duties defaulting to the Client (except Domestic Clients - see page 14)
• Ensure that:
  • ⦿ before the Construction Phase begins, a suitable Construction Phase Plan is in place, prepared by the Contractor or Principal Contractor
  • ⦿ the Principal Designer prepares a Health and Safety File for the project, that the Health and Safety File is reviewed/revised as necessary and kept available for inspection by those who need it
  • ⦿ Health and Safety File is passed on when structure is sold/transferred to new Client

The Client must continued:

• Ensure that:
  • ⦿ Principal Designer complies with Principal Designer duties
  • ⦿ Principal Contractor complies with Principal Contractor duties
• Where there is more than one Client agree, if desired, how certain duties can be undertaken by a single Client entity
• Notify the project, to the appropriate Regulator, and ensure a copy is displayed on site, updating as necessary
• If appointing Designers who are based abroad, ensure that they undertake duties under CDM 2015 for design work undertaken outwith Great Britain for construction work within Great Britain.

5.4 Principal Designer (Pre-Construction Phase)

The Principal Designer must:

• Plan, manage, monitor and coordinate health and safety matters to ensure that, so far as is reasonably practicable, the project is carried out without risks to health or safety
• Consider the General Principles of Prevention/Construction Phase Plan/Health and Safety Files when:
  • ⦿ design, technical and organisational aspects for items of work take place simultaneously or in succession
  • ⦿ estimating the period of time required to complete such work or work stages
• Identify, eliminate or control, so far as is reasonably practicable, foreseeable risks to the health or safety of any person:
  • ⦿ carrying out or liable to be affected by construction work
  • ⦿ maintaining or cleaning a structure
  • ⦿ using a structure designed as a workplace
• Ensure all Designers comply with their duties
• Ensure, in relation to the Pre-Construction Phase, all persons cooperate with Client, Principal Designer and each other
• Assist the Client in provision of Pre-Construction Information
• Provide Pre-Construction Information, promptly and in a convenient form, to every Designer and Contractor appointed, or being considered for appointment

The Principal Designer must continued:

• Liaise with the Principal Contractor and share information relevant to monitoring and coordination of health and safety matters during the Construction Phase
• Prepare a Health and Safety File during the Pre-Construction Phase and review, update and revise as necessary, and:
  • ⦿ if Principal Designer appointment to the end of the Construction Phase, hand completed Health and Safety File to Client
  • ⦿ if Principal Designer appointment ceases before the end of the Construction Phase, hand Health and Safety File to Principal Contractor for completion
• Not accept the Principal Designer appointment unless capable
• Provide comprehensible information or instruction as soon as practicable
• Cooperate with others on the site and adjoining sites
• Be satisfied that the Client is aware of their duties under CDM 2015.

5.5 Designer

The Designer must:

• Be satisfied that the Client is aware of their duties under CDM 2015
• When designing, take into account the General Principles of Prevention and Pre-Construction Information to eliminate, so far as is reasonably practicable, foreseeable risks to the health and safety of any person:
  • ⦿ carrying out or liable to be affected by construction work
  • ⦿ maintaining or cleaning a structure
  • ⦿ using a structure designed as a workplace
• If the risks cannot be eliminated, the Designer must, so far as is reasonably practicable:
  • ⦿ take steps to reduce or control the risks through design
  • ⦿ provide information about those risks to the Principal Designer
  • ⦿ ensure appropriate information is included in the Health and Safety File
• Provide sufficient information about the design, construction or maintenance of the structure, to adequately assist the Client, other Designers and Contractors to comply with their duties
• If appointing Designers abroad, ensure they undertake duties under CDM 2015 for designs outside Great Britain for construction work within Great Britain.

5.6 Principal Contractor

The Principal Contractor must:

• Plan, manage and monitor and coordinate matters relating to health and safety to ensure that, so far as is reasonably practicable, construction work is carried out without risks to health or safety
• Consider the General Principles of Prevention when:
  • ⦿ design, technical and organisational aspects are being decided in order to plan work taking place simultaneously or in succession
  • ⦿ estimating the period of time required to complete the work or work stages
• Prepare a suitable Construction Phase Plan before the Construction Phase begins
• Organise cooperation between Contractors
• Coordinate implementation by Contractors of applicable legal requirements for health and safety
• Ensure that employers and, if necessary for the protection of workers, self-employed persons:
  • ⦿ consistently apply the General Principles of Prevention, and in particular when complying with the provisions of Part 4 (General requirements for all construction sites)
  • ⦿ where required, follow the Construction Phase Plan

The Principal Contractor must continued:

• The Principal Contractor must ensure:
  • ⦿ suitable site induction is provided
  • ⦿ prevention of access by unauthorised persons to the site
  • ⦿ welfare facilities are provided throughout the Construction Phase
• Liaise with Principal Designer and share information relevant to the planning, management, monitoring of the Pre-Construction Phase and coordination of health and safety matters during the Pre-Construction Phase
• Consult and engage with Workers.

5.7 Contractors

Contractors must:

• Be satisfied that the Client is aware of their duties under CDM 2015
• Plan, manage and monitor construction work carried out either by the Contractor or by Workers under the Contractor’s control, to ensure that, so far as is reasonably practicable, it is carried out without risks to health and safety
• Where there is more than one Contractor working on a project, comply with:
  • ⦿ directions given by the Principal Designer or Principal Contractor
  • ⦿ relevant parts of the Construction Phase Plan
• If there is only one Contractor working on the project:
  • ⦿ consider General Principles of Prevention when:
    • – design, technical and organisational aspects are being decided in order to plan work taking place simultaneously or in succession
    • – estimating the period of time required to complete the work or work stages
  • ⦿ prepare a suitable Construction Phase Plan before the Construction Phase begins
• Not employ or appoint a person unless they are capable

The Contractor must continued:

• Provide each worker under their control with appropriate supervision, instructions and information so that construction work can be carried out, so far as is reasonably practicable, without risks to health and safety, including:
  • ⦿ suitable site induction is provided
  • ⦿ emergency procedures
  • ⦿ information on risks to health and safety
  • ⦿ other information as necessary
• Not start work:
  • ⦿ unless prevention of access by unauthorised persons to the site is in place and welfare facilities are provided and maintained.

5.8 Workers

Workers are the people who work for or under the control of Contractors on a construction site.

Workers must:

• Be consulted about matters that affect their health, safety and welfare
• Take care of their own health and safety and that of others who may be affected by their actions
• Report anything they see which is likely to endanger either their own or others’ health and safety
• Cooperate with their employer, fellow workers, Contractors and other duty holders.

5.9 CDM Adviser

The CDM Adviser is not a statutory role. The CDM Adviser can give advice to the Client about how to discharge Client duties, and advice to Principal Designers, Designers, and Principal Contractors about how to discharge their respective duties.

The CDM Adviser need not be a Designer or Contractor, but should have considerable and in-depth knowledge of construction health and safety. The CDM Adviser to the Client could be the appointed Principal Designer, provided they are a Designer and have sufficient skills, knowledge and experience. The main areas on which they can advise include:

• Preparation of a Client’s brief for the project
• Making suitable arrangements for managing the project, including time and other resources
• Making suitable arrangements to ensure that the construction work can be carried out without risks to the health or safety of any person affected by the project
• Welfare facilities provided for the construction work
• Project management arrangements maintained and reviewed throughout the project
• Pre-Construction Information to be provided by the Client
• The Construction Phase Plan drawn up by the Contractor or by the Principal Contractor
• Preparation of the Health and Safety File during the Pre-Construction Phase
• The suitability or otherwise of the Construction Phase Plan and the provision of the proposed welfare facilities prior to construction work commencing on site
• What reasonable steps the Client should take to ensure that:
  • ⦿ the Principal Designer complies with their duties
  • ⦿ the Principal Contractor complies with their duties
• Disposing of the building or structure and handing over the Health and Safety File
• Notification to the Health and Safety Executive, or the Office of Rail Regulation, or the Office for Nuclear Regulation instead of the Executive as appropriate.

The CDM Adviser can, if required, advise the Client on the health and safety skills, knowledge, experience and, where it is an organisation, the organisational capability and resources of proposed Designers and/or Contractors prior to arrangements being made for design or construction work to begin.

CDM Adviser to the Principal Designer (Sub-consultant to the Principal Designer)

In circumstances where the Lead Designer or the other Designers on the project are unwilling or incapable of undertaking the Principal Designer role, but the Client is insistent on the Lead Designer (or one of the other Designers) becoming the Principal Designer, the Lead Designer (or any of the other Designers formally appointed as the Principal Designer) can appoint a design organisation with the capability to undertake the Principal Designer duties, to act as their Sub-consultant Adviser.

The Designer appointing the Sub-consultant retains full responsibility and liability for the Principal Designer service provided by the Sub-consultant.

In most respects the Sub-consultant can virtually undertake the Principal Designer role and will enter into a contract accordingly, with the exception of key interfaces with the other duty holders, such as:

• Distribution of Pre-Construction Information to Designers and Contractors
• Handing over the Health and Safety File to the Client; this should be undertaken by the appointed Principal Designer.

The Sub-consultant will be able to represent the appointed Principal Designer as required at design team and Principal Contractor liaison meetings, and at site progress meetings.

The Sub-consultant will carry appropriate professional indemnity insurance for the delivery of the Sub-consultant’s services.

When the Client becomes Principal Contractor

Clients who control the way in which any construction work is carried out must also comply with (or at least take into account) the requirements of regulations 17–35 (in Part 4 of the Regulations) so far as they relate to matters in the Client’s control. This also applies to Domestic Clients (regulation 16 (3)). Those Clients who project-manage a series of Contractors and instruct those Contractors when to carry out work and in what manner, may find themselves unwittingly becoming a Principal Contractor, with the corresponding CDM duties. This can have particular complications and implications for the actions of Designers and Contractors on self-build projects.