3.1 The Construction Phase

Tender/pricing stage

In any project the Pre-Construction Information provided by the Client and Designers, and reviewed and managed by the Principal Designer, should form part of the package of information passed to the Contractors with the design information, all for the purposes of tendering for the project. In a traditional project this will occur at the end of RIBA Stage 4 (or CIC/NEC equivalent); in a design and build project this could occur at any stage from RIBA Stage 3 onwards. In all cases the information is passed to the tendering Contractors so that they can take account of the risk information provided and make suitable resource provision for dealing with them. The Pre-Construction Information may be on drawings and in a stand-alone Pre-Construction Information document, or incorporated into the tender documents.

Contractor acceptance

The Principal Designer provides the Pre-Construction Information to the tendering Contractors. It is common sense – though not a CDM 2015-specific duty – that the Principal Designer should comment on the responses relating to how significant risks will be dealt with to identify any obvious omissions or misinterpretations that may affect the validity of the tender.

Initial arrangements for liaison

The Principal Designer is responsible for planning, managing and monitoring the Pre-Construction Phase for as long as their appointment lasts, including the parts of the Construction Phase that involve design (Pre-Construction Work). The Principal Designer should, as soon as the Principal Contractor is selected, make arrangements to liaise with the Principal Contractor regarding initial design work by Contractors, including scaffolding, other temporary works, any site preparation (e.g. ground stabilisation or crane bases) and stripping out and demolitions.

The Construction Phase Plan in practice

The Regulations require the Client to ensure that a Construction Phase Plan is drawn up by the sole Contractor if there is only one, or by the Principal Contractor if there is more than one, before construction work begins. In projects for Domestic Clients, the Domestic Client can appoint the Principal Designer to carry out the Client duties; otherwise the Domestic Client’s duties are to be carried out by the sole Contractor or the Principal Contractor. Most Commercial Clients will need assistance with this duty. The Principal Designer has no duty to review the content of the Construction Phase Plan.

There is no requirement in the Regulations for any duty holder to check the sufficiency or suitability of the Construction Phase Plan. However, the Client has an absolute obligation to ensure that the Construction Phase Plan is drawn up, so that it sets out the health and safety arrangements and site rules and takes account of specific risks on the project in question. If a Client is not confident in fulfilling this obligation:

• The Client could employ an CDM Adviser to assist with their duties
• The Client could ask the Principal Designer to undertake a review of the Construction Phase Plan.

The Principal Designer has a duty to liaise with the Principal Contractor for the duration of their appointment, and this includes liaison regarding design development during the Construction Phase, and the coordination of health and safety matters during the Construction Phase.

3.2 Continuing liaison during the Construction Phase

Dealing with design changes by Designers and Contractors during the Construction Phase is part of the Principal Designer’s role, and the Principal Designer will consider the impact of these design changes on the Design Risk Management strategy for the project in consultation with the Principal Contractor.

The effort the Principal Designer and the Principal Contractor devote to carrying out this liaison should be in proportion to the size and complexity of the project and the nature of risks involved. The Principal Contractor should expect and receive help from the Principal Designer, and any other duty holders on larger projects, in identifying the risks associated with the work and determining the necessary controls that need to be put in place. Regular meetings will usually be the most effective management tool.

While liaising with the Principal Contractor, the Principal Designer’s objectives must include:

• Sharing of Pre-Construction Information that may affect the planning, management and monitoring of both the Pre-Construction and the Construction Phases
• Coordination of matters relating to Pre-Construction Health and Safety
• Provision of the Pre-Construction Information needed by the Principal Contractor to review and update the Construction Phase Plan
• Effective management of ongoing design, especially design changes
• Obtaining information for the Health and Safety File.

Liaison with the Principal Contractor for the Health and Safety File

Unless the Principal Designer’s appointment finishes before the end of the Construction Phase, the Principal Designer should continue to liaise with the Principal Contractor regarding information for the Health and Safety File. If the Principal Designer’s appointment finishes before the end of the Construction Phase, the Principal Designer should pass the incomplete Health and Safety File developed to that date to the Principal Contractor, and advise the Client that this has taken place. The Principal Contractor should continue to develop the information for the Health and Safety File until the end of the project, when the Health and Safety File is handed to the Client.

The Principal Designer’s duty to prepare the Health and Safety File requires the Client, Designers and Principal Contractor to prepare and assemble information and then pass this to the Principal Designer.

The Regulations do not expressly require the Principal Designer to check the accuracy of the information in the Health and Safety File, but everyone providing information should make sure that it is accurate, comprehensible and provided at the appropriate time. However, the duty on the Principal Designer to 'review, update and revise [the File] from time to time . . . ' does require a proactive response to existing or missing information.

3.3 The defects liability period

Practical completion/handover

It is quite common for there to be a list of incomplete works when the project is handed over to the Client for occupation. These works are construction works and should be considered to be a part of the project, to be completed as soon as possible by the Principal Contractor. This will require appropriate welfare to be provided along with management of the construction and the risks associated with the new circumstances – i.e. working within an occupied building. This is not a new project, but will require the Client, Principal Designer and Principal Contractor to establish arrangements that reflect the changed circumstances. The Principal Designer should provide new or reworked Pre-Construction Information to the Principal Contractor undertaking the defects rectification work. This may entail creating a post-occupation risk register and an addendum to the Construction Phase Plan.

The end of the defects liability period

This should be treated as a new construction project. The Principal Contractor role will remain in place by virtue of the Main Contractor’s and Sub-contractors’ continuing involvement in the contract. The Principal Designer’s appointment will in the majority of projects have ended at the time the Health and Safety File was handed over. Where complex reworking of failed construction is required, it will almost certainly be necessary to appoint a Principal Designer.

Reactive rectification

In some instances immediate action may be required to undertake repair or reinstatement works. These should, if they occur in isolation, be treated as individual construction projects under CDM 2015, and dealt with according to their size and complexity.