A Single Copy of This Document Is Licensed To: Leedsm

Licensed copy from CIS: leedsm, LEEDS BECKETT UNIVERSITY, 17/03/2021, Uncontrolled Copy.
A single copy of this document is licensed to
leedsm
On
17/03/2021
This is an uncontrolled copy. Ensure use of the

most current version of the document by searching
the Construction Information Service.
Licensed copy from CIS: leedsm, LEEDS BECKETT UNIVERSITY, 17/03/2021, Uncontrolled Cop
EC
M
EN
SP
and Guide to
EC
o the
Regulation
PRINCIPAL
IM
CDM 2015 Regulations
OK
HANDBOOK
R’S
DESIGNER’S
EN
EN
IM
EC
Principal Designer’s Handbook

book Publisher: Steven Cross
SP
© The Association for Project Safety, 2015 Production: Richard Blackburn
Published by RIBA
A Publishing, Enterprises Ltd,
ublishing, part of RIBA En
Ente Designed and Typeset: Kalina Norton, Studio Kalinka
e, St Nicholas Street, Newc
The Old Post Office, Newcastle upon Tyne,
Illustrations: Pages 6, 12, 13, 33 and 35 - John Banks
NE1 1RH
Pages 7, 9, 14, 15, and 18 - Andrew Leslie
ISBN 978 1 85946 692 6 Page 34 - Grant Bulloch Architect Ltd /
Andrew Leslie
Stock code 87202
Printed and bound by Page Bros, Norwich, UK
The right of The Association for Project Safety to be identified as
the Author of this Work has been asserted in accordance with the While every effort has been made to check the accuracy and
Copyright, Designs and Patents Act 1988 sections 77 and 78. quality of the information given in this publication, neither
the Author nor the Publisher accept any responsibility for the
All rights reserved. No part of this publication may be reproduced,
subsequent use of this information, for any errors or omissions
stored in a retrieval system, or transmitted, in any form or by any
that it may contain, or for any misunderstandings arising from it.
means, electronic, mechanical, photocopying, recording or other-
wise, without prior permission of the copyright owner. www.ribaenterprises.com
British Library Cataloguing-in-Publication Data

A catalogue record for this book is available from the
British Library.
CONTENTS
FOREWORD V
About The Association for Project Safety VI
Acknowledgements VI
EN
INTRODUCTION VII
Who can be the Principal Designer? VIII
Role requirements IX
IM
1 THE PRINCIPAL DESIGNER ROLE E 1
1.1 Role overview 2
1.2 Different role responsibilities
ies 6
1.3 Commercial projects 7
1.4 Domestic projects 14
EC
1.5 vice
Partial design service 17
2 THE PRINCIPALPAL
P L DES IGNE
GN R IIN
DESIGNER NPPRACTICE 21
2.1 Appointment
ent and fees 22
2.2 Pre-Construction Information
nstruction Informa 28
2.3 Construction
structio Information
Pre-Construction Inform development 33
SP
2.4 General
eneral Princip of Prevention
Principles o 37
2.5 Particular risks 40
2.6 Design Management
esign Risk Ma
M 42
2.7 paring
aring the
Preparing th Health and Safety File 51
3 LIAISON WITH THE PRINCIPAL CONTRACTOR 55

3.1 The Construction Phase 56
3.2 Continuing liaison during the Construction Phase 58
3.3 The defects liability period 60
4 STANDARD AND EXEMPLAR DOCUMENTS 61

4.1 Resourcing, fees and appointment 62
4.2 Pre-Construction Information 68
4.3 Design Risk Management 71
4.4 Health and Safety File 75
5 KEY CDM ROLES 83

5.1 Précis of the duties of various duty holders under CDM
DM 2015 84
5.2 General duties 85
EN
5.3 Client 86
5.4 Principal Designer (Pre-Construction Phase) e) 88
5.5 Designer 90
5.6 Principal Contractor 91
5.7 Contractors 93
5.8 Workers 95
IM
5.9 CDM Adviser 96
REFERENCE 99
Training and support 100
EC
eference
efer ce material
Bibliography and reference 102
SP
IV
PRINCIPAL DESIGNER’S HANDBOOK
FOREWORD
This Handbook has been prepared to assist organisations and individuals to
deliver the new Principal Designer role introduced to the construction industry
by the CDM 2015 Regulations on 6 April 2015. It is primarily aimed towards
the needs of the single practitioner or small/medium size practices
ic who offer
Principal Designer services either as a stand-alone service orr in addition to
n add
other design services.
EN
The Handbook is intended to assist the industry achieve
ve a proportio
proportionate
response to Health and Safety Design Risk Management
ement Pre-Construction
ment in the Pre-C
Pre-Co
lth
Phase by helping those who have sufficient healthth and safety skill, k
knowledge
and experience to carry out the Principal Designer
igner they feel confident
er role where the
to do so.
IM
esented
The CDM 2015 Regulations have presented ented the indust
industry with a significant
challenge to change the way it delivers construction health and
elivers design and co
ination
nation of all project
safety coordination. The coordination projec design work and Design
Risk Management with respectpectt to health and ssafety in the Pre-Construction
EC
Phase has been placed firmly

rmly within the reremit of the Principal Designer. CDM
rem
2015 changes the wholeole
le dynamic of how a and when consideration of design risk
commences and concludes.
ncludes.
cludes.
This authoritative draws from the skill, knowledge and experience

ative Handbook draw
mbers
of APS members ers practising as design risk practitioners to the construction
SP
industryy for many years,

yea andan adds to that the experience gained from the initial
periodd of CDM 2015. ThThe Handbook is easily consulted and provides a quick
nce
ce resource for both new Principal Designers and experienced design
reference
risk practitioners.
titioners.
ioners.
Over and above the practical, day-to-day demands of regulatory compliance

and making CDM 2015 work, the industry faces a higher level, strategic
challenge to make construction healthier and safer for all involved in or
affected by it. CDM 2015 will mean different things to different people.
However, we are all in agreement about worker protection and sustainable,
safe and healthy design.
Richard G. Wilks, President, The Association for Project Safety
V
About The Association for Project Safety

The Association for Project Safety (APS) is the leading membership body for
Pre-Construction design and construction health and safety risk management.
Its aims are to improve and promote the professional practice of design and
construction health and safety risk management. The Association woworks to set
standards and provide guidance, education and training.
Acknowledgements
EN
Contributors
Editorial team: John Banks, Andrew Leslie, John Nielsen and Stella Saunders
S
Other contributors
IM
Gillian Birkby and Graham Leech
EC
SP
VI
INTRODUCTION
The Principal Designer’s Handbook is aimed specifically at Designers taking
on the role of Principal Designer on a small/medium sized project, and is
intended to help them understand their responsibilities in relation to the CDM
nstr
str
Regulations 2015. The Principal Designer controls the Pre-Construction Phase
of a construction project, relating to health and safety.
EN
This Handbook will not generally reiterate the contentt of the Guidance or
aining Board (CIT
Regulations (L153) or the Construction Industry Training (CITB) guides.
It is assumed that readers will have acquired, read
ead and assimilated the
contents of these documents.
IM
EC
SP
VII
Who can be the Principal Designer?

Where there is likely to be more than one Contractor at work on a
project at any time, the Client for that project must appoint, in writing,
a Principal Designer.
1. The Principal Designer must be:
EN
EITHER: one of the design organisations or sole practitioner Designers
Design
designing the project.
OR: a separate Designer or design organisation
nisation
sation not part of the
t team
designing the project
IM
The CDM 2015 Regulations and Guidance that the Principal
ance do not specify tth
Designer must actually be designing project.
ng any part of the p
pr
2. The Principal Designer must organisation or sole practitioner

ustt be a design org
orga
Designer with design experience appropriate to the project.
xperience approp
appropria
EC
3. The Principal Designer

signer skills, knowledge and experience
gner must have sk
relevant to the design, constructio
construction, maintenance and use of the project.
A Designer must not accept an appointment for the Principal Designer role
hey have the necess
unless they necessary skills, knowledge and experience, and the
SP
organisational
nisational capability,
capability relevant to the project.
capa
4. The Principal De
Designer must also have knowledge of and the skill to apply
Desig
the principles
nciples of Design Risk Management, and have knowledge of the
ciples o
CDM 2015 ReRegulations.
5. Designers offering their services as Principal Designers will need to

consider how to establish their organisation’s ability and resources to offer
the Principal Designer service. Those without previous CDM experience will
need to undertake training in order to demonstrate skills and knowledge
sufficient to understand and deliver the Principal Designer role.
VIII
6. On a commercial project, if a Client fails to appoint a Principal Designer,

the obligation to fulfil the Principal Designer duties falls on the Client
by default, whether or not they have the necessary skills, knowledge
and experience.
INTRODUCTION
7. On a domestic project, if a Client fails to appoint a Principal Des
Designer, the
Designer in control of the Pre-Construction Phase becomes mes the
he Pr
Principal
Designer by default.
EN
Role requirements
This Handbook provides the basic support and nd resources you wi
will need
an obtain additional support –
to fulfil the Principal Designer role. You can
IM
including accredited training courses, and access to a web
we
website, CDM helpline
ember
and legal advice – by becoming a membermber of The Asso
Assoc
Association for Project Safety
(APS). While information has been en presented in th
this Handbook to reflect
ll also be directed to a designated area on the
current good practice, you will
APS website that will expandnd on some of ththe p
points and will provide the most
EC
up-to-date information.
SP
IX
To summarise, the Principal Designer role:
• Is not a replacement for the CDM Coordinator – it is a new role

• Includes duties qualified by the term ‘so far as reasonably practicable’
htfo
tfo
• Is not necessarily complex, particularly on small and straightforward
projects; nor does it involve an overly onerous set of taskss for an
experienced Designer with suitable health and safety and nd CDM
EN
knowledge and experience
• Is not about an endless round of administration,, but rather proactiv
proacti
proactive
management and practical, design-based focuscus on real risk pre
prev
prevention in
afety
relation to Pre-Construction health and safety
IM
• Is not a role that practising Designersrs should shy away from; on more
complex projects, Designers mayy wish to appoint a sspecialist Health and
Safety Consultant with knowledgeedge and experien
experience in Pre-Construction
heir
Phase to help them fulfil theireir duties as Princi
Prin
Principal Designer.
EC
What does ‘so far ass (is) reasonably pr

practicable’ mean?
efinition could be (s
A suggested definition (subject to clarification
in a court of law)
law):
SP
‘so farr as (is) reaso

reasonably practicable’ means balancing the level of risk
nst the measures
against measure needed to control the real risk. The Principal
Designer
gner (or Designer)
Des is allowed to take considerations such as time,
onvenie
cost, inconvenience and aesthetics into account when determining
whether or not it is reasonable and/or practical to redesign part of a
project to remove significant risk.
X
THE
EN
PRINCIPAL
OLE
DESIGNER ROLE
IM
1.1 Role overview
sibilities
EC
ects
1.3 Commercial projects
ts
1.4 Domestic projects
sign service
1.5 Partial design
SP
1.1 Role overview

The Principal Designer must plan, manage and monitor the Pre-Construction
Phase, and coordinate construction health and safety during this phase to
ensure that the project is carried out without risk to health and safety (so far
nst
as is reasonably practicable; it is not possible to ensure that construction work
is carried out without risk).
EN
Pre-Construction Phase
The Pre-Construction Phase is any period during

uring which desdesign or
preparatory work is carried out for a project, and often ccontinues during
IM
the Construction Phase.
ion Information
Preparation of Pre-Construction
EC
rovides assistance to the Client in preparation of

The Principal Designer provides
rmation, which is co
Pre-Construction Information, continuously developed as follows:
• The Principal Designer will gathe

gather and distribute Pre-Construction
Information n in the Client’s pos
possession at the start of the project. In
practice,, the information
inform a Client has will depend on the type of Client
SP
mestic or comme
(domestic commercial), the size and type of project, and so on.
estic Clients are unlikely to have much information available, but
Domestic
mercial Clie
Commercial Clients should have information about their building and
site. For examp
example, Commercial Clients instructing refurbishment should
have asbestos, structural and services information.
• The Principal Designer and Designers will identify gaps in the Pre-
Construction Information where the Client needs to instruct, either
themselves or through a consultant, further investigations and studies
during the initial design phases.
• The Principal Designer will distribute appropriate
Pre-Construction Information to Designers and Contractors.
2
• The Principal Designer and Designers will identify

Pre-Construction Information gaps as the design proceeds.
• The Principal Designer will gather information from the Designers,
complete with Design Risk Management information, to pass to the
Principal Contractor or tenderers.
THE PRINCIPAL DESIGNER ROLE

ruction
• The Principal Designer will continue to gather Pre-Constructionon
ndertaking
ertaking desig
Information from Designers (including Contractors undertaking design)
EN
during the Construction Phase, and will liaise with the Princip
Principal
Contractor about how to manage design risks identified
dentified
entified during th
the
Pre-Construction Phase.
Risk management
IM
The Principal Designer must identify,, eliminate or contro
control foreseeable risks
easonably
asonably practicab
to health and safety (so far as is reasonably practicable). They are expected to
wledge and experien
have the necessary skills, knowledge experience for the size and type of
structure(s) on which they are re appointed, in ord
order to work with all Designers
EC
to identify risk issues to those

hose who construct
constru
construct, use and maintain the structure.
This does not mean thathat
at all risks must be removed, or all risks listed. Again,
nition
remember the definition ion of ‘so far as re
reasonably practicable’.
Cooperation of all involved

SP
ipal Designe
The Principal Designer must ensure the cooperation of all those involved in a
t. They therefore require
project. req soft skills and people management capabilities.
nyy cases a Princip
In many Princi
Principal Designer will also be a Designer on the project, and
will havee both Princ
Principal Designer and Designer duties. The Principal Designer
has a duty to mak
make sure that the other Designers on the project are also
complying with their Designer duties.
The Principal Designer must ensure prompt provision of appropriate Pre-

Construction Information to all Designers and all Contractors appointed by the
Client. They must pass appropriate Pre-Construction Information to Designers
and Contractors at different stages of a project, as and when the information
becomes available.
3
Extent of the role

The Principal Designer must liaise with the Principal Contractor for the
duration of their appointment. An initial Principal Designer may be appointed
to provide a partial service (for example, production of drawings and
specification only). However, the Client must appoint a Principal Designer
for as long as the Pre-Construction Phase lasts. The following sce
scenarios
may apply:
EN
• If there is no further design or temporary works design
sign when the Pre-
Construction Phase has ended, the Principal Designer
signer role can ccease and
the Principal Contractor could complete the Health and Safety FFile.
rks design wh
• If there is continuing design or temporary works which ceases
before the end of the project, a Principal
pal Designer must be appointed
IM
(the Client takes on the role by default commercial projects) while
ault for commercia
design continues.
signer appointm
• If design or the Principal Designer appointment continues to the end of
the project, the Pre-Construction
nstruction Phase is as long as the Construction
EC
Phase, and the Principal appointment needs to continue to

cipal Designer appo
ction Phase fo
mirror the Construction for the Principal Designer to deliver the
Health and Safety Client.
fety File to the Clien
pal Designer role m
• The Principal may be carried out by the Principal
SP
Contractor have the capability.

ctor if they h
4
Health and Safety File
The Principal Designer must prepare an appropriate Health and Safety

File during the Pre-Construction Phase. Gathering of information for the
File should be a continuous process throughout the Pre-Construction and

Construction Phases. The Principal Designer should tailor theirr apapproach
according to the size and type of project, and is responsible for passin
passing
assin the
Health and Safety File to the Client, unless the Principal Designer appoi
appointment
EN
cumstances the Pri
ends before the conclusion of the project. In these circumstances Principal
Designer must pass the partially completed File to the Principal Co Contr
Contractor for
completion and handover to the Client, and advise se the Client that th
this has
been done.
IM
EC
SP
5

The figure below shows who is responsible for carrying out the duties and
undertaking the functions within the CDM Regulations 2015. For more about
the other duty holders’ roles listed here, see Chapter 5.
Clients undertaking projects (as part of a business)
EN
Number of contractors on site at any time
More than one contractor Only one contractor
tracto
Client Pre-Construction Information Client Pre-Constructio Information
Pre-Construction
Designer(s) Information with design Designer(s)
ner(s Information with design
Principal Designer Pre-Construction Information /
(written appointment Health and Safety File
by Client)
IM
Contractor(s) Information to workers Contractor Construction Phase
Plan and Information
to workers
Principal Contractor Construction Phase
ase Plan /
(written appointment Health and Safety
ty File
F
EC
by Client)
Duty holders Providing:
ding: Duty holders Providing:
Domestic Clients undertaking

king projects (not as part of a business)
Number
mber of contractors
co on site at any time
More than one contractor
ntract Only one contractor
SP
Client Pr
Pre-Construction Information Client Pre-Construction Information
(undertaken
en by Principal
Prin (undertaken by
Contractor
or or Principal Contractor)
Designer if Principal
Principa
Designer appointed)
i
Designer(s) Information with design Designer(s) Information with design
Principal Designer Pre-Construction Information /
(if appointed) Health and Safety File
Contractor(s) Information to workers Contractor Construction Phase
Plan and Information
to workers
Principal Contractor Construction Phase Plan /
Duty holders Providing: Duty holders Providing:
Figure 1.1
6
1.3 Commercial projects

The Client, the Principal Designer and the Principal Contractor are the key
triumvirate who plan, manage and monitor health and safety in a commercial
construction project. Each has a distinct role under CDM 2015 (Chapter 5),

wor
and the roles are joined in the common purpose of preventing workers,
the public and users coming to any harm. CDM 2015 anticipatespates that the
Principal Designer will be a design organisation, assumingngg that they have
hav
EN
the appropriate skills, knowledge and experience of thehe type and size of
ledge
edge and understan
project as Designers, and have the requisite knowledge unders
understanding of
islation
slation and regulation
construction health and safety, the relevant legislation regulat – and
CDM 2015 in particular.
IM
ADVISER
EC
CLIENT
PLAN
PRINCIPAL
PRINCIPA
DESIGNER
DESIG FILE
SP
PRINCIPAL
ADVISER
CONTRACTOR
PRE-
CONSTRUCTION
PHASE
DESIGNER DESIGNER DESIGNER CONTRACTOR CONTRACTOR
DESIGN
WORK
Figure 1.2
Key relationships in Pre-Construction Phase design work for commercial projects
7
If the Lead Designer is capable of undertaking the design work and managing
and coordinating the design team, but is not capable of delivering the health
and safety services required of a Principal Designer, then two choices
are available:
• The Lead Designer can accept the Principal Designer appointment,tm

rienc
but subcontract the Principal Designer role to a suitably experienced
signer retains the
consultant; in this scenario, the appointed Principal Designer
EN
ervice supplied by
full legal responsibility for the Principal Designer service
their consultant, OR
ganisation or individual
• The Client can appoint a separate design organisation indiv as
Principal Designer.
IM
Designers and Contractors on commerciall projects who his historically have not had
to produce Pre-Construction Information, on, Construction Phase Plans and Health
ng in order to comb
and Safety Files will require training combine their CDM 2015 roles with
their traditional roles.
EC
lationships and ove

Figure 1.3 shows the relationships overlaps in a typical traditionally
procured construction n project. It is important
imp to note that the Principal
Designer role willl continue into the Construction
C Phase for as long as the
ion Phase continues
Pre-Construction continue or as long as the Principal Designer is
is means liaising with the Principal Contractor and Contractors
appointed. This
SP
who are carrying out design work. If the Principal Designer appointment
des at the end of the Pre-Construction Phase, the Principal Designer
concludes
and the Health
must hand Hea and Safety File as developed at that date to the Principal
com
Contractor for completion. However, it is better if possible for the Principal
Designer role to continue, to avoid the need to pass completion of the Health
and Safety File to a different person and to deal with the continuing design that
invariably takes place during the Construction Phase on the vast majority
of projects.
8
CDM 2015 PROJECT LIFELINE
HEALTH AND SAFETY FILE - PRINCIPAL DESIGNER FUTURE REFERENCE

PRE-CONSTRUCTION PHASE -
PERIOD
PRINCIPAL DESIGNER
TS PE
PCI - PD CONSTRUCTION PHASE PLAN -
DEFECTS
EN
PRINCIPAL CONTRACTOR
IDEA
DE
DESIGN
TENDER
CONSTRUCTION - PRINCIPAL
L CONTRACTOR
CONT CTOR USE
U
0 1 2 3 4 5
/NEC E
RIBA (& CIC/NEC ALENT)
EQUIVALENT)
6 7
IM RKSTAGES
WORKSTAGES
1 2 3 4 5 6 7 RIAS ASP/2005 WOR
WORKSTAGES
STAGES 8
Figure 1.3
Overlaps between relationships traditionally procured construction project
s in a typical tradition
EC
How the Principal

pal Designer fits iinto the larger project
In liaison with the Client, Desi

Desig
Designers and the Principal Contractor, the Principal
SP
Designererr has an important

impo role in influencing how the risks to health and
safetyy should be manage
manag
managed and incorporated into the wider management of
ct
ct.
a project.
ou the design taken during the Pre-Construction Phase can have

Decisions about
a significant effect on whether the project is delivered in a way that secures
health and safety.
The Principal Designer’s role involves coordinating the work of others in

the project team to ensure that significant and foreseeable risks emanating
from construction, use and maintenance are managed throughout the
design process.
9
The Principal Designer should be appointed as early as possible in the design

process, if practicable at the concept stage. Appointing the Principal Designer
early (RIBA Stage 2 or earlier, or CIC/NEC equivalent – see RIBA Plan of Work
2013) will provide the Client with help in matters such as pulling together the
Pre-Construction Information and giving the Principal Designer enough time
to carry out their duties. Remember that in commercial projectss ththe Client
takes on the role of Principal Designer by default in the absence of a Principal
Designer written appointment.
EN
The duration of the Principal Designer’s appointment into account
ent should take in
struction Phase, or any
any design work that may continue into the Construction
issues that may arise during construction involving
ving the need to make suitable
modifications to the designs.
IM
For projects involving early work by a concept Designe
Designer, a Project Management
company or where a Design and Build Contractor or novated Designer is
subsequently involved, it may be appropriate fo
for the initial Principal Designer
appointment to be concluded ed and a new Pr
Principal Designer appointed.
EC
The Principal Designerer should be in place

pl for as long as there is a need for
erformed.
their role to be performed.
In conjunctionn with the Princip

Principal Designer, the Client should make sure that
SP
cipal Designe
the Principal Designer passes the partially completed Health and Safety File
to the Principal Contrac
Contractor so it can be revised during the remainder of the
project. (For more aabout the Health and Safety File, see page 51.)
10
It is not the Principal Designer’s responsibility to:
• Submit the notification (F10) to the Health and Safety Executive or check
that the Client has done so
• Check the skills and experience of the Designers or Contractors unless

they are appointing them directly
nd
d Contractor
• Advise the Client on their appointment of Designers and Contractors,
s,
EN
including their skills, knowledge and experience.
rangements
angements for the project,
• Advise the Client on their health and safety arrangements
including welfare facilities
ase Plan or check tthat it has been
• Review or approve the Construction Phase
implemented
IM
or
• Appoint the Principal Contractor
• Review or approve health and
d safety arrange
arrangem
arrangements on site, including
method statements
EC
sign
ign responsibility for
• Take on overall design fo the project – the Principal
ly to manage health
Designer role is only h
hea and safety during the
ction
tion Phase
Pre-Construction
se or monitor health and safety on site – this is the responsibility
• Supervise
SP
e Principal Contractor
of the Contract
Co
eck
ck or approve designs;
• Check de the Principal Designer role
es the
involves he review
revie of health and safety risks emanating from
gn process.
the design pro
11
Figure 1.4
The role of the Principal Designer
PREPARE
PRINCIPAL ASCERTAIN
CLIENT DESIGNER BRIEF RESOURCES
BRIEF ------- AND
RECEIVED INFORM CLIENT AGREE ASSOCIATED
OF THEIR WITH FEES
DUTIES CLIENT
EN
PREPARE INITIAL
PREP NITIA
COMPLETE DESIGN HEALTH AND SAFETY
SA
RISK MANAGEMENT AND F
FILE AND AGREE
A WORK WITH
PRE-CONSTRUCTION FORMA
FORMAT ANDND C NTENT
CONTENT DESIGNERS
INFORMATION AND ISSUE WIT LIENT
WITH CLIENT ON DESIGN
TO CLIENT AND POTENTIAL ------- RISK MAN-
PRINCIPAL CONTRACTORS ISSUE IN
IM INTIAL AGEMENT
ISSUE TO DESIGNERS HEALT AND
HEALTH N SAFETY
TO CONFIRM THEIR INPUT FILE TO CLIENT AND
DE
DESIGNERS
EC
LIAISE WITH PRINCIPAL

WORKS START ON SITE
CONTRACTOR
CLIENT
ENT AFTER SUFFICIENTLY
-------
APPOINTS
APPO NTS DEVELOPED
PRINCIPAL
RINC L CONSTRUCTION PHASE
PRODUCES THE
CONTRACTOR
TRA PLAN PRODUCED TO CLIENT
CONSTRUCTION
SATISFACTION
PHASE PLAN
SP
Client interface/decisions
interfac
Principal Designer input prior to appointment
Site Visit
THE DOTTED LINE HIGHLIGHTS
Principal Designer input during the Pre-Construction Phase THE CONSTRUCTION PHASE
Work with Designers on Design Risk Management during WHICH INCLUDES THE
CONTINUATION OF THE
the Pre-Construction Phase: Note - this applies to all “stars” PRE-CONSTRUCTION PHASE
Construction Phase Plan and start on site.
Note - Assessment of the Construction Phase Plan is not
part of the Principal Designer’s duties
12
SITE VISIT ASCERTAIN AND

(IF NOT LIST DESIGNER
CLIENT UNDERTAKEN AS COLLATE CONTACTS
APPOINTMENT PART OF PRINCIPAL PRE-CONSTRUCTION (NUMBER OF
OF PRINCIPAL DESIGNER INFORMATION DESIGNERS SHOULD
AGREE DESIGNER BRIEF) RECEIVED FROM HAVE BEEN AGREED
WITH IN WRITING CLIENT IN PRINCIPAL

CLIENT DESIGNER
BRIEF)
EN
OBTAIN FURTHER
PRE-CONSTRUCTION WORK WITH
WO WORK WITH
INFORMATION VIA CLIENT, INFORM CLIENT OF NEED DESIGN RS TO
DESIGNERS DESIGNERS
PRINCIPAL DESIGNER, FOR FURTHER ASCERT N
ASCERTAIN ON DESIGN
DESIGNERS OR OTHERS PRE-CONSTRUCTION APS IN PR
GAPS PRE- RISK MAN-
AND UPDATE INFORMATION CONSTRUCTION
NST UCTIO
IM AGEMENT
PRE-CONSTRUCTION INFORM
INFORMATIONO
INFORMATION
EC
OBTAIN FURTHER
OBT
ASCERTAIN AND LIST P
PRE-CONSTRUCTION
WORK WITHH LIAISE WITH
ADDITIONAL DESIGNER INFORMATION AS REQUIRED
SIGNERS
DESIGNERS PRINCIPAL
CONTACTS WORKING FOR BY TEMPORARY WORKS
ON DESIGN
ESIGN CONTRACTOR OVER
OR IN CONJUNCTION WITH DESIGNERS/DESIGN CHANGES
RISK MAN-
AN- ADDITIONAL/CHANGED
PRINCIPAL CONTRACTOR -------
AGEMENT
AGE PRE-CONSTRUCTION
(INCLUDING TEMPORARY Y CONTINUALLY REVIEW AND
INFORMATION
WORKS DESIGNERS) UPDATE THE HEALTH AND
SP
SAFETY FILE
OBTAIN FURTHER
IF APPOINTMENT LASTS
PRE-CONSTRUCTION
UNTIL THE END OF THE WORK WITH WORK WITH
INFORMATION AS REQUIRED
CONSTRUCTION PHASE DESIGNERS DESIGNERS
BY TEMPORARY WORKS
(RECOMMENDED): ON DESIGN ON DESIGN
DESIGNERS/DESIGN CHANGES
RISK MAN- ------- RISK MAN-
COMPLETE HEALTH AGEMENT AGEMENT
CONTINUALLY REVIEW AND
AND SAFETY FILE
UPDATE THE HEALTH AND
AND ISSUE TO CLIENT
SAFETY FILE
13
1.4 Domestic projects

Domestic projects are dealt with slightly differently from commercial projects;
the Domestic Client has only one duty – to appoint a Principal Designer and
a Principal Contractor. However, if these appointments are not made by
se a
the Client, the Designer in control of the Pre-Construction Phase and the
Contractor in control of the Construction Phase take on the role of Pr
Principal
Designer/Principal Contractor by default. All other Client duties are pass
passed to
EN
the Principal Contractor, or to the Principal Designer if appointed in writ
writing.
IM
ADVISER?
EC
DUTIES BY APPOINTMENT
A OINT
CLIENT
DUTIES PASS TO
CONTRACTOR
PR CIPAL
PRINCIPAL
DESIGN
DESIGNER FILE
SP
ADVISER?
ADVISE PRINCIPAL
T N
TRAINING? CONTRACTOR PLAN
PRE-
CONSTRUCTION
PHASE
DESIGNER DESIGNER DESIGNER CONTRACTOR CONTRACTOR
DESIGN
WORK
Figure 1.5
Key relationships in Pre-Construction Phase design work in domestic projects
14
Designers and Contractors who historically have not had to notify projects,
produce Pre-Construction Information, Construction Phase Plans and Health
and Safety Files will require training in order to combine their CDM 2015 roles
with their traditional roles, whether or not they decide, initially, to appoint a
Sub-consultant to advise them.

On a typical domestic project, the Lead Designer will be the Principal
cipal Designer
verall
erall control of the
by written appointment or default, and is likely to be in overall
EN
management of the project, including acting as Contract act Administrator.
IM
INE
TY FILE - PRINCIPAL
HEALTH AND SAFETY CI L DESIGNER
DES FUTURE REFERENCE
EC
CONS CTIO PHASE -

PRE-CONSTRUCTION
DEFECTS PERIOD
PRIN
PRINCIPAL DESIGN R
DESIGNER
PCI - PD CONSTRUCTION PHASE PLAN -

PRIN
IDEA
DESIGN
DESIG
TENDER
TE
SP
CONSTRUCTION - PRINCIPAL CONTRACTOR USE
PC RESPONSIBLE FOR CLIENT DUTIES

- WHAT HAPPENS BEFORE THEN?
MORE REALISTIC FOR PD TO ADVISE OR,

IF CAPABLE, TO UNDERTAKE CLIENT DUTIES
RIBA (& CIC/NEC EQUIVALENT)

0 1 2 3 4 5 WORKSTAGES 6 7
1 2 3 4 5 6 7 RIAS ASP/2005 WORKSTAGES 8
Figure 1.6
Overlaps between relationships in a typical domestic construction project
15
The Client’s role in domestic self-build projects
On domestic projects for self-build Clients the arrangements can be relatively

complex. Where the Client controls how construction work is carried out, that
Client must comply with Part 4 of CDM 2015 – general requirements for all
e ca
construction sites. In effect, that Client could be considered to be carrying
out the role of the Principal Contractor. Where the self-build Clientt is a
also
‘designing’ and employing Designers for specific roles – e.g. g. obtaining pla
planning
EN
consent and regulation approval – the Client cannot assumesume the role of
Principal Designer unless they are also in businesss as a Designer. D Designers
who have a limited involvement in the project may ay become Principa
Principal Designer
by default for the period of their appointment.
IM nowledge and experience
The Client’s lack of health and safety knowledge expe should be
esigners providing
compensated for by the professional Designers providi suitable advice and
guidance during their appointment nt and by Contractors
Contract for the duration of
their involvement.
EC
SP
16
1.5 Partial design service

On some projects the Designer may be asked to produce design and
construction information but their appointments will be terminated before
procurement of a Contractor, which the Client will take control of.

Small, simple projects should only require the production off short and simple
rt an
esign
sign risk issue
Pre-Construction Information, evaluation of significant design issues,
EN
and a short and simple Construction Phase Plan and Health and Safety F File.
Partial design service for domestic projects

ects
ts
On a typical domestic project, the Client nt will often appoin

appoint Designers to
IM
undertake the design work, well in advancevance of the app
appo
appointment of a Principal
Contractor. It therefore makes sense Principal Designer to take
ense for the Princ
Principa
on the Client’s duties at least until
ntil a Principal Co
C
Contractor is appointed.
signer should ch
However, the Principal Designer check liability issues with their
EC
professional indemnity insurer

nsurer first. Taking on the Client’s duties will mean
esigner
signer takes on the responsibility for providing the
that the Principal Designer
Pre-Construction Information and sse setting out the Client’s arrangements
for managing health and safety fo for the project, and ensuring that these
arrangements ntss are described in the tender documentation. The Principal
SP
Designerr undertaking the Client

C duties must also ensure, prior to
mencement
encement of cons
commencement const
construction works, that the Principal Contractor produces
ciently
iently develope
a sufficiently develo
developed Construction Phase Plan and that suitable welfare
e being provided. During the Construction Phase, which may
facilities are
overlap with the Pre-Construction Phase, the Principal Designer undertaking
the Client role will also liaise with the Principal Contractor about how the
Principal Contractor will maintain the management arrangements during the
Construction Phase.
17
HSF-PD HEALTH AND SAFETY FILE - FUTURE REFERENCE

PRINCIPAL DESIGNER
PRE-CPD PRE-CONSTRUCTION PHASE -
PERIOD
PRINCIPAL DESIGNER
CONSTRUCTION PHASE PLAN -
ECTS P
PCI - PD
DEFECTS
EN
IDEA
DESIGN
D
TENDER
CONSTRUCTION - PRINCIPAL
L CON
CONTRACTOR
ACTOR USE
US
PD TO PC RESPONSIBLEE FOR CLIENT

TDDUTIES
TIES
ADVISE
IM TRACT AWARD
- ON CONTRACT AWA D
OR IF
CAPABLE
UNDERTAKE CLIENT TAKES RESPONSIBILITY
SPON BILITY FOR
CLIENT PROCURING THE COSTRUCTION
COS UCTION WORK BASED
DUTIES ON DESIGN
ESIGN INFORMATION
F PROVIDED
ION P V
EC
0 1 2 3 4 RIBA (& CIC/NEC

/NE EQUIVALENT)
5 WORKSTAGES
6 7
ORK
1 2 3 4 5 6 7 RIAS ASP/20
ASP/2005 WORKSTAGES 8
Figure 1.7
Overlaps between typical domestic construction project with partial
en relationships in a typ
design service
SP
For the Domestic Client, the blue area in the diagram represents construction
procurement
ement and is a period
perio when neither design nor construction is taking place. This
is also a period where ther
there may be a considerable delay between completion of design
work and commencement of construction.
nd commencem
In Figure 1.7, the initial Principal Designer appointment has ceased at an

agreed point – usually at Building Regulations or tender stage. The Client
then takes over the management of the project for the purpose of obtaining
prices. This is also a period where there may be a considerable delay between
completion of design work and commencement of construction. Once a
Principal Contractor is appointed, the Client duties will be transferred to the
Principal Contractor or to another Principal Designer (if appointed).
18
Information to give to the Client

At the end of their appointment, the Principal Designer needs to hand over
information for the Client’s use to enable the Client to obtain tender prices
and continue with the project. This information should include:

• The drawings and specifications
• The Pre-Construction Information
EN
e
• The Health and Safety File as developed to that date
orr the projec
• A statement that the Principal Designer role for project
has concluded
urement of a Princi
• Advice about how to proceed with procurement Principal Contractor;
IM
the Principal Designer should ensure re that the Client is made aware that
the Principal Contractor needs to o demonstrate CDCDM 2015 capability as
nd track record.
well as technical capability and
EC
Completion of Principal Designer role

On completion of theirr role, the Principal Designer should send a letter or
email to the Client advising
vising them as fo
follows:
• That the Principal

rincipal Designer’s role has finished; another Principal
SP
er should be appoin
Designer appointed, or the Principal Designer duties could be
ried
ed out by the Principal
carried Princ
Pr Contractor. The tendering Contractors, one of
om
whomm will be respon
responsible for any design changes during the construction
d, should
period, hould aals
also be advised
lie should ensure that the tendering Contractors can
• That the Client
demonstrate Principal Contractor awareness and capability, including:
track record
ability to deal with significant risks identified in the Pre-Construction
Information
provision of references from other Clients/Advisers.
19
Client’s responsibility
The Client should then issue the following to the tendering Contractors:
• The Designers’ drawings and specifications

• The Pre-Construction Information (if separate)
• The partially developed Health and Safety File.
EN
Large domestic projects
rojects are small and
It is important to note that not all domestic projects an simple.
Designers should only take on the Principal Designer role if they
t have the
pable to help them discharge their
capability to do so or have someone capable
IM
duties. Larger or more complex projects cts may require the
t appointment of
a Construction Health and Safety (CDM)CDM) Adviser to advise and assist the
ner.
Client and/or Principal Designer.
EC
Partial design service

vice commercial projects
ice for commerc
commerci
The above scenarios

narios can occur on commercial projects, but the Client’s duties
nsferred,
erred, and the Cl
are not transferred, Client takes on the Principal Designer role if they
SP
do not appoint
ppoint a Princ Designer in writing.
Principal D
20
EN
THE PRINCIPAL
N PRACT
DESIGNER IN PRACTICE
IM
2.1 Appointment and fees
rmatio
EC
2.3 Pre-Construction Information develo

development
es of prevention
2.4 General principles preventio
2.5 Particular risks
2.6 Design Risk
isk Management
SP
2.7 Preparing Health and Safety File

eparing the He
2.1 Appointment and fees

The Principal Designer role should not be considered an insignificant ‘bolt-on’
to a design service, and remuneration should be considered separately. Even
for the simplest project, the role of Principal Designer will require resources
beyond those required to undertake technical and CDM Designer ner
er d
duties.
EN
Extent of the Principal Designer’s function and
d duties
Initial discussions about the role and scope of the

hee Client’s duties, th
the role and
duties of the Principal Designer, and any possible services that the
ssible additional ser
serv
Client may require should be used to establish
ablish agreement. It is worth
blish the service ag
a
IM
asic
sic Principal Desi
sending a letter/email outlining the basic Design
Designer duties to provide a
framework for these discussions.
It is a good idea to use a standard

andard APS Form oof Appointment as Principal
EC
Designer, as a starting point for discussion

discussions. This can be followed up by an
eted
appropriately completedted Form of Appoin
Appointment, with a covering letter.
A schedule of services should be a agreed. For an industry-standard approach,

refer to Schedule
hedule of Services) of the APS Form of Appointment as
dule 1 (Schedule o
SP
Principall Designer.
http://www.aps.org.uk/publications
www.aps.org.uk/pub
ww.aps.org.uk/
22
Separate roles
It is important when acting as both Lead Designer and Principal Designer
to identify the services being provided for the Principal Designer role,
and the period in the project programme during which these services are
THE PRINCIPAL DESIGNER IN PRACTICE

required. This may differ from the Lead Designer arrangements. ents It is
not sensible to simply state ‘provide Principal Designer services es as
per CDM 2015’ as an addendum or insert to a Form of Appointment fo for
EN
technical design services. Separate forms of appointment
ntment or bespoke
appointment letters should be used which clearly services
rly set out the ser
being provided and the fees being charged for or these services. Use of the
APS Terms of Appointment is recommended.
IM
Determining a fee
To determine the fee for your

our role as Princ
Principa
Principal Designer you should establish
C
the resources and time it will take to fulfil tthe role, bearing in mind what
you have to legally provide
ovide to the Client over and above the requirements for
rovide
a Designer. CDM 2015 requires by la law sufficient resources to be provided
to enable the Principal Designer tto fulfil their duties, and you will need to
demonstratete this to the Client
Client. When estimating costs and expenses, you
nclude
nclude:
should include:
• Stafff time
al res
• Additional reso
resources required, including specialists
• Overheads
• Travel for site visits and attendance at design/project
team meetings
• Assisting the Client in providing the Pre-Construction Information and
the delivery of documents, such as drawings, reports, any Designer
deliverables and the Health and Safety File(s).
23
It is good practice for fees to be based on an assessment of work hours

required, overlaid on the current project programme, incidental costs and
estimated overheads for the Principal Designer work on the project.
Resources for Domestic projects
When working for Domestic Clients, Designers who are in n control of the
EN
Pre-Construction Phase (usually the Architect) may find nd themselves being
bein
asked to undertake the Principal Designer role by thehe Client. Bear in mind
m that
rincipal Designer, then
if the Client does not appoint the Designer as Principal th that
Designer may well find that they are taking on n the role by defaul
default, only without
any agreed fee for doing so.
IM
dvised to provide their
Designers on domestic projects are advised t Client with a fee
for both the design services and for undertaking the th Principal Designer duties
ens
ensur that they have sufficient
with their initial fee proposal if they wish to ensure
charge
harge their roles.
resources allocated to discharge role It is advisable for the Designer
EC
res
re
to make a record within their fees of the resource allocated to each service
they are providing, in n order to be able to demonstrate that they have made
adequate provision.on.
n.
The APS resource

rcee estimator is availab
available to members at
SP
http://aps.legallio.com/aps-principal-designer-adviser-resource-estimator/183/11/16/3
egallio.com/aps-principa
gallio.com/aps
Site visit
The Principal Designer should visit the site to assess the health and
safety issues affecting the project, preferably before the fee agreement is
concluded. If this is not possible, the use of Google Street View is useful
but should always be supplemented by an actual site visit.
24
Keeping project changes under review
Changes in service provision can come about for a number of reasons,

including demands made as a result of the unsuitable or unsatisfactory
performance of others; significant changes in the nature, timing or scope of

s. It is therefore
the project; and termination of any of the project appointments.
important to:
EN
• Constantly reassess the Principal Designer role
• Be proactive in any dialogue with the Client
• Seek changes to the terms of the Principal appointment where
al Designer appoint
appointm
r, or where significa
significant changes to the project occur, significant under-
IM
compliance by any party increases the Designer workload
he Principal Desig
Design
• Inform other appointees of any changes to your
your instructions.
ins
EC
Novation – design and build contracts
In the early stages of a design and bbuil

build project, before the Design and Build
pointed, there is alm
Contractor is appointed, almost always some design work carried out.
hould
ould appoint a Prin
The Client should Principal Designer for this early design work.
SP
If the Designer
esigner appointed
appoint a as Principal Designer has been novated to the
Design n and Build Contr
Contractor and can no longer fulfil the Principal Designer
e Client mus
role, the must appoint a new Principal Designer. One obvious choice for
the role willl be th
the Design and Build Contractor. Even if they have no Designers
working for them in-house, the Design and Build Contractor could fulfil the
role as Principal Designer by making arrangements with one of the novated
Designers to carry out those functions. There is no problem with this under the
Regulations. If the same Designer acts as Principal Designer throughout, this
has the added advantage of providing continuity.
25
Late appointment
In the case of late appointment, the Principal Designer will need to inform the
Client of any significant health and safety implications, which can include:
• Time required to enable Pre-Construction Information to be ob

obtained and
provided to Designers
• Time for checks that management arrangements are in n place
place to enable
EN
satisfactory planning; managing and monitoring of thehe Pre-Construction
Pre-Constr
rss
Phase, and the coordination of all relevant matters
• Time required to enable the Principal Designerner to revisit design
igner desi work to
es
esigns
check suitability and compatibility of designs
IM
cipal Contractor
• Time for cooperation with the Principal Contractor to ensure they have all
eed
ed to proceed
the relevant information they need
minate, reduce
mina
• Missed opportunities to eliminate, reduce
duce and
an manage risk and reduce
whole-life costs
EC
Genera Principles of Prevention.

• Failure to take into account the General
inciples
iples of Prevention
(The General Principles Preventio
Preven are described in Chapter 2.4)
SP
26
It is important to identify the areas where the late-appointed Principal

Designer cannot fully discharge their duties and for which the Client is
responsible; the Principal Designer role defaults to the Client with
non-appointment.

Additional CDM 2015 services
ked to provide
In many instances, the Principal Designer will be asked
EN
additional CDM 2015 services (see Chapter 5.9 - the Adviser) but
he CDM Advis
ertake the
should carefully consider their capability to undertake these.
Exemplar letters
IM
rom the Principa
Some typical wordings for letters from Principal Designer to the
Client are included in Chapter 4.
EC
SP
27

Client’s responsibilities
A Client must provide Pre-Construction Information as soon as is practicable

to every Designer and Contractor appointed, or being considered ed ffor
appointment, to the project. Pre-Construction Information iss informa
information
orma that
is already in the Client’s possession (such as an existing Health and Safe Safety
EN
File, an asbestos survey, structural drawings, services, s, etc.), or which is
straightforward to obtain through reasonable enquiry. iry. The Client shshou
should expect
the Principal Designer to help bring the Pre-Construction Information together
nstruction Informat
orss involved.
and provide it to the Designers and Contractors
IM
Appendix 2 of L153 gives further guidance
nce provisio of Pre-Construction
ce on the provision
oportionate
ortionate inform
Information, which must include proportionate informa
information about:
ient
ent brief and key da
• The project, such as the Client dates of the Construction
Phase
EC
• The planning and management of the p project, such as the resources and
time being allocated
ated
ed to each stag
stage oof the project and the arrangements to
here is cooperation between duty holders and that the work
ensure that there
ated.
ted. It is a Client du
is coordinated. d
duty to supply this information. It is not a
SP
al Designer duty to assist the Client with these arrangements.

Principal
• The
e health and safet
safety hazards of the site, including design and
construction
struction hazards and how they will be addressed
truction haz
hazar
ant in
• Any relevant information in an existing Health and Safety File.
The information should be in a convenient form and must be clear, concise
and easily understandable to help other duty holders involved in the project to
carry out their duties. The Principal Designer will assist the Client to assemble
information, identify gaps and make reasonable enquiries about obtaining
information about their premises (building and land) and local environment.
28
Typical Client information
• Client brief and requirements

• Key dates during the Construction Phase

• Geotechnical and contaminated land surveys
• Existing services locations (private and public)
EN
• Structural/building safety reports
ead,
ad, asbesto
• Survey reports for hazardous materials (e.g. lead, asbestos)
• Survey reports for hazardous areas (e.g. confined
onfined
fined spaces)
nss (e.g. fragile roof a
• Survey reports for hazardous locations access)
IM
• Site access and other restrictionss
ons and adjacent la
• Local environmental conditions land uses
ls,
s, petro
• Neighbours (e.g. schools, petrol stations,
ns ssupermarkets and
stations,
EC
major roadways)
alth and Safety Fil
• The current Health File
d sites, proposed
• For occupied pr posed si
site rules (e.g. existing permit to
stems)
ms)
work systems)
SP
ximity
imity of watercourses,
• Proximity water
watercours
co transport systems and so on
• Any history of previ
pre
previous damage (e.g. from fire or floods)
Principal Designer’s responsibilities
The Pre-Construction Information is initially prepared or made available by

the Client (with the assistance of the Principal Designer) for distribution to the
Designers. Depending on the nature of the project, the Designers will then add
to, and seek further information for, the Pre-Construction Information, as the
design process progresses and becomes more detailed.
29
The Pre-Construction Information (continuously developed by the Principal

Designer during the initial design) is intended to be passed to the Designers.
It will:
• Provide information about the project

n proc
• Provide information about risks identified during the design proc
process.
This can be in the form of a Project Risk Register.
EN
• Provide details of the type of work and activities thatt the Client foresee
foresees
or intends to undertake
tion
• Provide details of any ongoing use or occupationon of parts of the ssite or
areas adjoining the site so the Designers can take
ake this into ac
acc
account when
considering space, access and methods dss of wo
work
IM
• Alert the Designers to health andd saf
afety
ety hazards associated
safety ass
as with the site
ile the Constructio
or its surroundings or use while Construction Phase is under way
angements
gements already in place and/or expected by
• Provide details of the arrangements
EC
ning and the mana

the Client for the planning manag
management of the project
• Provide health and d safety information
inf ti about any existing structures or
ures, through the p
parts of structures, pr
provision of any relevant existing Health
and Safety File(s)
File(s
SP
• Create a ‘le
level
vel playi
‘level playing field
field’ for pricing (so that those offering to carry out
ign
gn work will be less
design l likely to put in a low price because of omissions
of health
ealth and safety management).
30
Pre-Construction considerations
Most project design work is ‘preparing for construction’,
with decisions being made that affect health and safety.
The following may affect the Pre-Construction Information:

• Client needs, design brief, scope, and costs
• Land acquisition and ownership
• Establishing the needs and liaising with stakeholders and
eholders a
neighbouring ‘enterprises’
• Activities in multiple occupied areas
onnel, materials, ssupplies and
• Assessing the availability of personnel,
other resources
• Undertaking site surveys comprising topogr
topographic, geotechnical
d geoenvironme
(strength and stability) and geoenvironmental (chemical and
te that all ground iinvestigations should be
contamination). Note
esk-top study
preceded by a desk-top
nvestigation
• Structural investigation
privat
• Services (public and private)
bestos, lead an
• Asbestos, and other specialist surveys
onstruction feas
• Construction feasibility, or constructability, reviews
ating ti
• Estimating time and sequences of works
• Design decisions
• Temporary works
• Project/site logistics plan.
31
These factors are often overlooked in Design and Construction Risk

Management, and the effects that decisions made in these areas may have
on the risks to health or safety of the project are often misunderstood or
underestimated, resulting in unexpected additional costs and delay to the
Client during construction.
Take account of the nature, scale and complexity of the health or safsafety
matters involved in the project and activities requiredd for the whole life
EN
ments as Prin
of the project when establishing suitable arrangements Principal
ction Phase
Designer for, and throughout, the Pre-Construction Phase.
IM
EC
SP
32
2.3 Pre-Construction Information development

Designers
When developing Pre-Construction Information, the Principal Designer should

ust
st e
meet the Designers and discuss any issues that arise. They must ensure that
Design Risk Management issues are discussed in design review meetings,
view mee
team meetings, health and safety coordination meetings and workshops for
EN
specific issues and continuing communication.
Supplementary Pre-Construction Information provided Designers as the

rovided by Designe
Designer
design of the project progresses should:
• Be relevant
IM
ail
• Have an appropriate level of detail
kss in
• Be proportionate to the risks involved.
involved.
EC
PROPORTIONALITY
P
ACT
ACTIONS
SP
SIGNIFICANT
CONTROL
TO C
RISKS
RISKS
THIS IS A BALANCING ACT. IT IS A QUESTION OF SCALE.
SIGNIFICANT RISKS, NOT HIGH RISKS. SIGNIFICANT RISKS ARE:

• NOT LIKELY TO BE OBVIOUS TO A CONTRACTOR OR OTHER DESIGNERS
• UNUSUAL
• LIKELY TO BE DIFFICULT TO MANAGE EFFECTIVELY
33
Pre-Construction Information gathered during the Pre-Construction

Phase should be incorporated into drawings, where possible. In addition to
drawings, a document should be prepared, if required, to describe emergency
procedures, the surrounding environment and the Client’s management
arrangements during construction. Significant risk information should be
highlighted on drawings with symbols and a brief description.
Remember, the Pre-Construction Phase extends for as long

ong as design is
EN
taking place.
Figure 2.1
When passing Pre-Construction Information to Contractors who may be tendering for
the work, written information is almost always required, even on smaller projects - but
information on drawings may be all that is required on simple projects
34
Principal Designer
The Principal Designer should use a schedule to keep a record of required

information as it is received. This should cover:

• Adequacy of information provided
• Date of receipt and source of information.
EN
Significant remaining risk information from Designers
ers
aining
ining risk from Des
When receiving information on significant remaining Designers,
check the following:
IM
d in a form
• Is the information clear, precise and form suitable for others?
n be on a drawing?
• Could or should the information
The Principal Designer should ld log the rresponses
esponse from Designers; it is easy
esponses
he Principal Desi
to lose track of returns. The Designe
Designer should be proactive about
EC
seeking information.
NO
DESIGN/ IDENTIFY ELIMINATE
SP
DESIGN
RE-DESIGN HAZARD HAZARD
DO NOT SWAP
YES A LOW RISK FOR
TOO RISK
RISKY TO BUILD A HIGHER ONE
THEN RE-DESIGN
CREATES YES
NO HIGHER
RISK
YES NO
SAFE
COMMUNICATE REDUCE RISK
TO BUILD
Figure 2.2 The Design Risk Management procedure in practice
35
Contractor’s Designers
A Principal Designer should be involved in considering the health and safety

implications of all design work on a project, including design undertaken
during the Construction Phase, which also covers temporary works.
Considerations when liaising with Designers during the Construction

ction Phase
nstruction
include the following:
• The Principal Contractor should let the Principall Designer know

know which
wh
ng to plan, manage
design will be used and how they are proposing manage, monitor
and coordinate these packages.
• The Principal Contractor should keep p a project
project directory up-to-date so
or which design packages.
that it is clear who is responsible for pac
pa
• A programme showing proposed sed dates and the dduration of the
igns
appointments of these designsgns is essential for
fo the Client (and the
etermine whether
Principal Designer) to determine whethe the
t arrangements are likely to
be adequate to enablele the Designers to discharge their duties.
pal Contractor to
• Invite the Principal to design
de team meetings to support
coordination between the design
designs undertaken during the Pre-
ion
Constructionon Phase and those
thos undertaken by other Designers during
nstruction
struction Phase.
the Construction Ph
• Thee Principal Designer
Design
Designe should use progress meetings and continuing
on with the Principal
liaison Pri
P Contractor (as advised in paragraph 104 of
L153) too remain abreast of design development and identify where closer
on between Designers may be needed. Even if they cannot
coordination
attend all these meetings, they should receive the minutes and periodic
coordinated design drawings.
• There is an overarching duty for the Principal Contractor and Principal
Designer to liaise and cooperate, so be prepared for conversations and
meetings throughout the process to help resolve specific issues.
36
2.4 General Principles of Prevention

The General Principles of Prevention (from the Management of Health and
Safety at Work Regulations 1999) provide the framework to help the Principal
Designer identify and implement measures to control risks on

a construction project.
naging
aging health an
The following information is taken from HSE’s L153 ‘Managing and
EN
safety in construction’, Appendix 1 part 2.
The general principles of prevention are to:
• Avoid risks
IM
e avoided
• Evaluate the risks which cannot be av ded
• Combat the risks at source
ividual,
dual, especially rregarding the design of
• Adapt the work to the individual,
EC
workplaces, the choice equipment and the choice of working and

e of work equipme
equipmen
production methods,s, with a view, in particular,
pa to alleviating monotonous
work, work at a predetermined
edetermined worw
work rate and to reducing their effect
on health
• Adapt to technical
chnical progress
pr
SP
lace
ace the dangero
• Replace dangerous by the non-dangerous or the less dangerous
elop
lop a coherent
• Develop ccoheren
ere overall prevention policy which covers technology,
ation
tion of work, working conditions, social relationships and the
organisation
influence of ffactors relating to the working environment
• Give collective protective measures priority over individual
protective measures
• Give appropriate instructions to employees.
37
In general terms, hazard identification and risk assessment are processes by

which Designers and the Principal Designer will interrogate the design work
as it progresses.
ERIC
Once the Principal Designer has evaluated the risk, theyy must consi
consider
orm, Control
how to control it. Think ‘ERIC’: Eliminate, Reduce, Inform,
EN
of significant risks resulting from building/use/maintenance
aintenance by the
Contractor/Principal Contractor/Structure Users.rs.
IM
EC
SP
38
The Principal Designer and other Designers must have the skills, knowledge
and experience to identify the risks associated with the:
• Site conditions
• Site surroundings

• Structure – erecting, installing or constructing the structures
ures and
elements they are designing
EN
• Materials used in their design
gn
n a reality
• Work activities necessary to make their design
re forr its whole life
• Maintenance and cleaning of the structure
IM
ntss forming the des
• Replacement of the parts or elements desi
design
• Impact and effect the carrying out
ut of any of the abo
above work may
have on the people affected by the construction
• Use of the structure as a place of work.
k.
work.
EC
SP
39
2.5 Particular Risks

A Construction Phase Plan prepared by the Principal Contractor
must include specific measures to address any risk information provided by
the Client or Principal Designer in relation to the Particular Risks identified in
the HSE’s L153, ‘Managing health and safety in construction’, and nd listed below.
Whilst not stated in L153, the Principal Designer should identify Particular
ntify Parti
ation.
tion. The Princ
Risks, and include these in the Pre-Construction Information. Principal
EN
Designer should review the responses to the Particular ar Risks with the
Principal Contractor, as these may have an impactt on buildability, u use
and maintenance.
The following information is taken from HSE’s

SE’s L153 ‘Managin
‘Managing health and
IM
safety in construction’, Schedule 3 – Particular
articular Risks
Risks:
1. Work which puts workers at risk earthfalls, engulfment

isk of burial under e
om
m a height, where tthe risk is particularly
in swampland or falling from
re of the work or pro
aggravated by the nature processes used or by the
EC
environment at the place

lace of work or site
site.
2. Work which putsuts workerss at risk ffrom chemical or biological substances

ts worker
g a particular dange
constituting danger to the safety or health of workers or
g a legal requiremen
involving requirement for health monitoring.
SP
ork
3. Workk with ionising rra
radiation requiring the designation of controlled
upervised
pervised ar
or supervised area
areas under regulation 16 of the Ionising Radiations
tions
ons 199
Regulations 1999.
4. Work near high voltage power lines.
5. Work exposing workers to the risk of drowning.
6. Work on wells, underground earthworks and tunnels.
7. Work carried out by divers having a system of air supply.
40
8. Work carried out by workers in caissons with a compressed

air atmosphere.
9. Work involving the use of explosives.

10. Work involving the assembly or dismantling of heavy
prefabricated components.
EN
Some of these Particular Risks will not occur on many
any projects, par
partic
particularly
small and domestic projects.
In order to identify where any of the above Particular Risks mi mig

might be an issue,
IM
the Principal Designer should review the he nature of the wor
work
works and activities on
the project, the surroundings, ground d conditions and aadj
adjoining sites. Always
ensure that information about these ese works is know
known to, and shared by, the
re-Construction
e-Construction Pha
Designers and others in the Pre-Construction P
Phase. Information about any
after
fter the Designers
residual works and risks (after Designer h have sought to eliminate the risks
EC
through the subsequentt design process) sh should be provided to Contractors and

sho
ctor
tor in good time to a
the Principal Contractor allow for the information to be taken
ocating resources, iincluding time and money. This information
into account in allocating
will form part of the Pre-Construc
Pre-Construct
Pre-Construction Information.
SP
Design Risk Managem

Management is the term given to the management process in
re-Construction
-Construction Ph
the Pre-Construction P
Phase that seeks to deliver a design that meets all the
health and safety re
requ
requirements, and that makes building, using, maintaining
lishing
shing th
and demolishing the project safe for workers and users.
The next section describes the principles of Design Risk Management.
41
2.6 Design Risk Management

A common misconception among Designers since the introduction of the CDM
Regulations has been to think that the Design Risk Management process
required them simply to identify the residual hazards in their designs and to
provide information so that others (usually the Contractor) could ld
dddeal with the
risk issues. In fact, it is essential that Designers direct theirr actions towards
ons to
eliminating hazards and, if they cannot do this, towards reducing
ducing risks th through
EN
design decisions or provisions. Only as a last resort should
hould Designers re rely
rel
on actions by the Contractors on site to provide the e means of protec
protectio
protection for
workers and others during work activities. (Remember
IM member ERI ERIC – see page 38.)
EC
SP
42
Design considerations that will inform Design Risk Management
• What is being built? What should it look like, and what is its function?
• Where is the project being built?

• What materials will be used, and how will they be specified?
• How will it be built (risks to site workers, users and/or the
he public)?
e general pu
EN
or how long does th
• When will it be built, how long will it take to build (or the
Client want to allow)?
• What are the constraints and circumstancess affecting the desi
desig
design
and construction?
IM
• Who else is designing this, and whatt elements or aspe
aspec
aspects are
they addressing?
djacent
jacent sites or area
• What is happening on the adjacent areas?
• What will be continuing to be done or us
used on the site during the
EC
Construction Phase?
re that
• Is this a structure hat will be use
used as a workplace and/or used by the
ic?
general public?c?
• How will this
is structure or el
element be maintained (risks to site workers,
SP
tainers, users and/o

maintainers, and/or the general public)?
w will this structu
• How structure be cleaned, accessed, altered, refurbished,
ved or demo
removed em
demolished?
43
Designers must (so far as is reasonably practicable):
• Identify forseeable hazards, and particular and significant risks affecting

health and safety
• Eliminate hazards
• Minimise remaining identified risks by design
rk
k (e.g. pre-fabricated
• Consider pre-fabrication to minimise hazardous work pre-fabrica
EN
and pre-stressed concrete bridge beams)
d
• Design in features to reduce risks, (i.e. from working at height, deep
excavations, etc.)
an interacting or
• Ensure that designs are suitable and compatible with any
IM
interrelating designs
ace (Health, Safety and
• Take into account the Workplace a Welfare) Regulations
1992 (and Amendments)
EC
• Provide information onn significant

significant risks associated
as with their design
n drawings, suggested
(e.g. information on suggest construction sequences)
ture
ure cleaning, maintenance,
• Identify any future maint
main alteration and demolition
Safe File.
Saf
hazards for the Health and Safety
SP
44
Design Risk Management procedures must address the following:
• Identification, elimination and reduction of hazards and risks

• Proportional responses to foreseeable hazards and risks

ram
am
• Adequate time allowances for design and construction programming
e)
(the right information to the right people at the right time)
tages to check for
• Undertaking systematic design reviews at suitable stages
EN
agement resp
significant risks and issues and coordinated management responses –
ndustry
dustry Council (CIC
see RIBA Plan of Work and the Construction Industry (CI
(CIC) Scope
of Services, Stages 2, 3 and 4
jacent
acent sites
• Ensuring effective cooperation with adjacent
IM
• Keeping adequate records of the Design Management process –
esign Risk Manage
not everything; everything that iss significant
• Reviewing hazard and risk inf
nformation
ormation befor
information before design information
is issued
EC
nd risk information
• Providing hazard and information in a clear, concise and
mat.
appropriate format.
Information
ion sharing – prac
practical advice
SP
It is the
he
e Principal Desig
Designer’s duty to ensure, so far as is reasonably practicable,
that information being passed on to those who need it, when they need
rmation is b
it – even though
ough tthey may not know they need it – including what is needed
by the Client, other Designers, those tendering, Principal Contractor and, if
necessary, other Contractors.
45
On any project, the application of Design Risk Management requires a few

basic steps and documents. The effort given to the following needs to be
appropriate and proportionate to the nature of the design and to the nature
and complexity of the health and safety issues:
ken
• Identify ownership of risk/hazard issues to ensure actions are taken
• Ensure all Designers are included in the process
EN
on is finalised and
• Try to close out risk/hazard issues before information
passed on to those who need it.
Design Risk Management checklist

IM
ake place during:
Design Risk Management should take during
nd Brief (RIBA Stag
• Feasibility – Preparation and Stage 1 or
CIC/NEC equivalent)
EC
oncept Design (RIB

• Outline design – Concept (RIBA Stage 2 or CIC/NEC equivalent)
• Detailed design stages – Devel
Developed Design and Technical
BA Stages 3 and 4 or
Design (RIBA o CIC/NEC equivalents)
ction – (RIBA Stag
• Construction Stage 5 or CIC/NEC equivalent)
SP
ncipal
cipal Designer
The Principal Design
Desig should ensure that Designers contribute to the agreed
sign Ris
project Design Risk Management method (using a consistent pro-forma).
They must talk,k communicate by other means and keep all appropriate
parties in the loop. They must also provide information about their design for
construction and the Health and Safety File.
46
Designers should critically assess their design proposals at an early stage, and
then throughout the design process, to ensure that health and safety issues
are identified, integrated into the overall design process and addressed as they
go along. It is pointless to complete the design first, and to then try to address
the risks that the design has introduced. By then, all of the key decisions

are likely to have been taken and no one will be willing to make e an
any changes
because of the time and cost involved.
EN
Evaluating the Design Risk Management procedure
cedure
edur
Principal Designers are responsible for ensuring

uring
ring the Design R
Ri
Risk
Management process is being undertaken n by Designers and for collating
the results
IM
• Is there any evidence of Design Management by the Designers?
n Risk Manageme
ny Design Risk Man
• Is there a need to query any Management conclusions?
EC
• Does the information rela

relate tto
o significant
significan hazards or risks and unusual
or difficult-to-manage
nage
age elements of coconstruction? Information about risks
that a capable and experienced C Contractor should be aware of need not
Co
be included.
azards
ds are identifie
• When hazards id
identified but no action is recorded by Designers:
SP
explain
xplain the implica
implicat
implications of the lack of records should an investigation
e made later
be
explain
n the iimplications should changes to the design be required in
order to build the structure due to lack of information
request that Designers provide records of their Design Risk Management
procedures and actions on hazard elimination and risk reduction.
47
Eliminating and managing risk
Below are examples of high and significant risks that Designers are
likely to be able to eliminate or manage through good design.
Risks to health include:
• Disturbance of asbestos insulation board
EN
• Manual lifting of cladding/glazing panels
n a windowless room
• Application of solvent-based floor adhesive in
• Welding in confined spaces
IM
• Noise, dust and vibration from concrete
rete scabbling
ned
ed space.
• Maintenance of plant in a confined space
Risks to safety include:

EC
• Buried, concealed or overhead

o rhead servic
services
ect in an operationa
• A major project operational educational establishment
k during
• Hot work uring a refurbish
refurbishment project
SP
• Poorr site layout for

for ssafe vehicle and pedestrian movement
ntentional
tentional co
• Unintentional colla
collapse during temporary works or demolition
ineeri work on a live motorway.
• Civil engineering
48
NO
DESIGN/ IDENTIFY ELIMINATE
RE-DESIGN HAZARD HAZARD

DO NOT SWAP
YES A LOW RISK FOR
TOO RISKY TO BUILD A HIGHER
ER ONE
THEN RE-DESIGN
EN
CREATES YES
NO HIGHER
RISK
YES NO
SAFE
COMMUNICATE REDUCE RISK
TO BUILD
IM
Figure 2.3
The Design Risk Management procedure
dure in practice
EC
Significant risk
SP
Bear in mind that tthere is a difference between high risk

and significant risk. S
Significant risks are those that are:
kely to be obvious to a Contractor or other Designers

• Not likely
• Unusual
• Likely to be difficult to manage effectively.
49
Summary
Designers do not have to eliminate all risks, but if they let them remain they
do need to justify this. They must identify foreseeable significant residual
risks and communicate these clearly to others. The Principal Designer should
ask questions and prompt the Designers to comply with good Des es
Design Risk
Management and the intentions of CDM 2015.
50
2.7 Preparing the Health and Safety File

The Health and Safety File is intended to highlight significant health and safety
risks for future construction work, and is required for projects involving more
than one Contractor. It is important to note that it is not a maintenance and

operation manual.
The Principal Designer must prepare the Health and Safetyety

ty File, and rev
review,
EN
update and revise it as the project progresses. The Principal
rincipal
incipal Designer mmust
also pass the completed Health and Safety File to the
he Client to keep.
keep
If the Principal Designer’s appointment finishes

hess before the end of the project,
the Health and Safety File must be passed d to the Principal C
Co
Contractor for
IM
the remainder of the project. The Principal
cipal Contractor m must then take
mu
ng and revising it a
responsibility for reviewing, updating an
and passing it to the Client
when the project finishes.
EC
SP
51
Content of the Health and Safety File
The Health and Safety File should contain the following:
• A brief description of the work carried out

• Details of any hazards that have not been eliminated through
ghh the design
and construction processes, and how they have been addressed
ddressed
dressed
EN
• Key structural principles and safe working loads forr floors and roofs
• Hazardous materials used (e.g. lead paints and special coatings)
coatings)
• Information regarding the removal or dismantling
ntling of installed plant and
mantling
equipment
IM
ut equipment provid
• Health and safety information about pro d for cleaning or
provided
maintaining the structure
• The nature, location and markings
rkings of significa
signific
significant services
EC
• Information and as-built

uilt building, and its plant and
ilt drawings of the b
e means of safe
equipment (e.g. the safe acce
access for window cleaning; fire
gs).
strategy drawings).
SP
52
Pointers for preparation of the Health and Safety File
There should be enough detail in the Health and Safety File to allow the likely
risks to be identified and addressed by those carrying out work in the future.
The level of detail should be proportionate to the risks. Information must be in

a convenient form, clear, concise and easily understandable.
The Health and Safety File is an information resource that at is needed by tthe
EN
Client to inform them of any residual health and safetyy issues and for the
them to
actor/Principal Co
hand to any Designer/Principal Designer or Contractor/Principal Cont
Contractor
isting
sting structure/buil
involved in a new construction project on the existing structure/bui
structure/building. The
information in the Health and Safety File will, or example, allow the Client
l, for
to develop fire risk assessments and to be e able to develop risrisk assessments
IM
for the maintenance of structures, and requirements of specific
d to meet any requi
requir
uipment.
pment.
warranties attached to material/equipment.
The Principal Designer, when n handing the Heal

Health and Safety File to the
oject, should advi
Client at the end of the project, advise the Client of its purpose and
EC
importance. The Client should be advised tthat any relevant information from
uld
ld be added to the Health and Safety File. This would
a future project should
ed by a Principal De
usually be provided Designer or Principal Contractor, but it
should be noteded that information to update the File could come from a one-
contractor piece
ece of work, wher
where the Regulations do not require a Health and
SP
ile to be prepa
Safety File prepared.
53
The Health and Safety File does not need to include information that
will be of no help when planning future work, such as:
• Pre-Construction Information that has no health and safety relevance

to future work on the structure(s)
• The Construction Phase Plans of any previous projects
• Information generated during the Construction Phase,, such as risk
EN
uction Phase)
assessments, written systems of work and (Construction
COSHH assessments
ompl
mpleted
ted structure or its
• Details about the normal operation of the completed
parts or elements
IM css
• Construction Phase accident statistics
• Details of all the Contractors, Suppliers,
uppliers, Manufact
Manufacturers and Designers
involved in this and previous projects
project
• Contractual documents
EC
• Information about structures, or parts of structures, that have been

nless
ss there are an
demolished – unless any iimplications for remaining or future
structures or works.
SP
ion containe
Information contained in oth
other documents can be cross-referenced in the file
oid
d duplication of inf
to avoid i
information.
54
EN
LIAISON WITH THE
ONTRA
IM
3.1 The Construction Phase
ring the Construction
3.2 Continuing liaison during ru Phase
EC
ty period
3.3 The defects liability
SP
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, er, should form
part of the package of information passed to the Contractorss with h the design
ject.
ect. In a traditio
information, all for the purposes of tendering for the project. traditional
EN
project this will occur at the end of RIBA Stage 4 (or CIC/NEC equivalent); in
IC/NEC equivalent)
tage from RIBA S
a design and build project this could occur at any stage Sta
Stage 3
onwards. In all cases the information is passed to the tendering Co Contractors so
ation
on provided and m
that they can take account of the risk information make suitable
resource provision for dealing with them. The Pre-Construct
Pre-Constructi
Pre-Construction Information
IM
may be on drawings and in a stand-alone one Pre-Construction Information
e Pre-Constructi
Pre-Constructio
document, or incorporated into the tender
nder documents.
documents
Contractor acceptance
EC
The Principal Designer

ner
er provides the Pre-Construction
Pre Information to the
ctors. It is common sense – though not a CDM 2015-specific
tendering Contractors.
duty – that the Principal Designer should comment on the responses relating
ificant
cant risks will be dealt with to identify any obvious omissions or
to how significant
SP
misinterpretations
pretations that
th may affect the validity of the tender.
Initial arrangements
rrangeme
angeme 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.
56
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
LIAISON WITH THE PRINCIPAL CONTRACTOR

projects for Domestic Clients, the Domestic Client can appoint the Principal
Designer to carry out the Client duties; otherwise the Domestic Client’s duties
estic Clien
pal
al Contractor. M
are to be carried out by the sole Contractor or the Principal Most
EN
Commercial Clients will need assistance with this duty.ty.
y. The Principal Des
De
Designer
has no duty to review the content of the Constructionon Phase Plan.
There is no requirement in the Regulations for or any duty holder tto check the
on Phase Plan. How
sufficiency or suitability of the Construction However, the Client
IM
has an absolute obligation to ensure that Construction Phase Plan is
hat the Constructio
alth
drawn up, so that it sets out the health h and safety arra
arran
arrangements and site rules
and takes account of specific risks ks on the project iin question. If a Client is not
gation:
atio
confident in fulfilling this obligation:
EC
ploy an CDM Advise

• The Client could employ Adviser to assist with their duties
d ask
• The Client could k the Principa
Principal D
Designer to undertake a review of the
Construction Phase Plan.
SP
ncipal Designer
The Principal Designe has a duty to liaise with the Principal Contractor for
uration
ration of their ap
the duration app
appointment, and this includes liaison regarding design
pment
ment during tthe Construction Phase, and the coordination of health
development
and safetyy matters during the Construction Phase.
57
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
he D
Risk Management strategy for the project in consultation with the
Principal Contractor.
EN
The effort the Principal Designer and the Principal devo to
all Contractor devote
carrying out this liaison should be in proportionn to the size and co
com
complexity of
the project and the nature of risks involved. Thee Principal Contr
Cont
Contractor should
expect and receive help from the Principal al Designer, and anany other duty
IM
ng the risks associa
holders on larger projects, in identifying associated with the work
and determining the necessary controls
ntrols
ls that need to bbe put in place. Regular
ost effective manag
meetings will usually be the most manage
management tool.
EC
ncipal Contractor
While liaising with the Principal Contractor, tthe Principal Designer’s objectives
must include:
e-Construction Info
• Sharing of Pre-Construction Infor
Information that may affect the planning,
managementent and monitoring of both the Pre-Construction and the
ction
Constructionn Phase
Phases
SP
ordination
rdination of matt
• Coordination matter
matters relating to Pre-Construction Health and Safety
sion of the Pre-Construction
• Provision Pr
P Information needed by the Principal
tor
or to rreview and update the Construction Phase Plan
Contractor
• Effective management of ongoing design, especially design changes
• Obtaining information for the Health and Safety File.
58
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
LIAISON WITH THE PRINCIPAL CONTRACTOR

Principal Designer’s appointment finishes before the end of the e Co
Construction
Phase, the Principal Designer should pass the incomplete Health h and Safety
nd
d advise the Cl
File developed to that date to the Principal Contractor, and Client
ould continue to de
that this has taken place. The Principal Contractor should dev
develop
the information for the Health and Safety File until the end of the pr
proje
project, when
nt.
the Health and Safety File is handed to the Client.
he Health and Safety File requires the

The Principal Designer’s duty to prepare the
Client, Designers and Principal Contractor assemble information
ctor to prepare and a
esigner.
signe
and then pass this to the Principal Designer.
ssly
The Regulations do not expresslysly require the PPri
Principal Designer to check
ation in the Heal
the accuracy of the information Health aand Safety File, but everyone
hould make sure th
providing information should that it is accurate, comprehensible
and provided at the appropriate
ppropriate time. Ho
H
However, the duty on the Principal
ew, update and revi
Designer to ‘review, revis
revise [the File] from time to time …’ does
ctive response to ex
require a proactive existing or missing information.
59
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
onst
nst
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 comcompleted
as soon as possible by the Principal Contractor. This will require approp
appropriate
EN
welfare to be provided along with management of the construction and
the risks associated with the new circumstances – i.e. working withwithin an
occupied building. This is not a new project, but will require the Cli
Client,
Clie
Principal Designer and Principal Contractor to establish arrang
arrange
arrangements that
reflect the changed circumstances. The Principal
rincipal Designer sshould provide
IM
new or reworked Pre-Construction Information
ormation Principal Contractor
mation to the Prin
Pr
undertaking the defects rectificationn work. This may entail
en
e creating a post-
occupation risk register and an addendum to the Construction
Co
C Phase Plan.
EC
The end of the defectss liability period
This should be treated

eated
ated as a new con
cons
construction project. The Principal
Contractor role e will remain in place
plac by virtue of the Main Contractor’s and
Sub-contractors’
ors’ continuing involvement
ctors’ inv in the contract. The Principal
SP
Designer’s
r’s appointment
appointm will in the majority of projects have ended at the time
the Health
alth and Safety File
ealth F was handed over. Where complex reworking of failed
construction
uction is required,
require it will almost certainly be necessary to appoint a
requ
Principal Designer.
esigner
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.
60
EN
STANDARD AND
D
EXEMPLAR DOCUME
DOCUMENTS
IM
4.1 Resourcing, fees and appointment
oint
EC
ormatio
agement
afety File
4.4 The Health and Safety Fil
SP
4.1 Resourcing, fees and appointment

Proposal for Principal Designer role
It is essential that Designers should be sensibly recompensed for the duties

and associated risks they are taking on to adequately perform the
he Principal
Designer role. It is recommended that:
EN
• A Brief for the role of Principal Designer is agreed withith
th the Client. This
o written Client B
will be based on the Client Brief (if received). If no Brief
is forthcoming, it is recommended that a Client by the
nt Brief is provided b
iscussions
cussions with the Client
Principal Designer recording the briefing discussions
in writing.
IM
uired hours) should be assessed
• Input required (personnel and required
incipal
ncipal Designer has
once the Brief for the role of Principal ha been agreed (and
it is recommended that the Principal Designer B Brief is agreed before
red
assessing the input required d by the Principal Designer). Input required
EC
needs to identify who iss doing what and w when (using the programme
agreed within the Client
lient Brief and Prin
Principal Designer Brief).
ded that an Associ
• It is recommended Associa
Association for Project Safety Form of
Appointmentnt for the role of Pri
Prin
Principal Designer is used.
SP
(http://www.aps.org.uk/publications)
www.aps.org.uk
www.aps.org.uk/publica
62
SAMPLE PROPOSAL FOR PRINCIPAL DESIGNER ROLE
TO BE USED IN CONJUNCTION WITH APS FORM OF APPOINTMENT
1.0 THE PROJECT

1.1 The project consists of:
STANDARD AND EXEMPLAR DOCUMENTS

1.2 This proposal is based on the following
list of provided information:
1.3 The contract value is approximately:
EN
1.4 The project is to be carried out
as a one/two-stage tender:
1.5 The intended programme is:
Construction commencement:
Completion:
IM
2.0 APPOINTMENT
2.1 Our appointment will be in accordance
ordance with The Association
Assoc for Project
Safety Form of Appointmentt ass Principal Designer 2015.
EC
2.2 Collateral Warranties will

ll be provided, in a form
ill fo acceptable to our
PI insurers, to Purchaser,
aser, Fund and up to two
tw Tenants.
3.0 PROFESSIONAL
AL INDEMNITY
IIN
NDEM
MNITY
T COVER
COVE
OVERR (PI)
3.1 The practice
tic
icee carries PI cover on an each and every
claim basiss …………...............................................................................................................
………….................
…………...
SP
3.2 The
hee maximum liability
liabil attached
att to the practice resulting from
this
his contract will be contract
co
c value up to £……….................................................................
3.3 Without
thout prejudice.............
ithout prejudice.
prejudic the liability of [Practice Name]
shall be
e further limited ….........
Please remember to discuss disclosure of information regarding PII cover with your Insurer
63
4.0 WORKS ELEMENTS

4.1 The scope of our works listed below are in relation to Regulation 11 of the
CDM Regulations 2015.
4.2 The schedule of services we will provide is as listed below:
EN
5.0 CLIENT’S ROLE
5.1 llowing
llowing duties:
Under CDM 2015 the Client or their Adviser has the following dutie
IM
6.0 ASSUMPTIONS/INFORMATION BY OTHERS
THE
HERRS
EC
7.0 FEES
1. incipal Designer role
Our fees for the Principal r will be a lump sum/time and material (delete
e) of £.............. Our fee proposal is also subject to the programme noted
as appropriate)
within 1.5 above. Should the programme
progr
prog be elongated beyond the dates noted we will
advise on any additional fees payable.
p This fee is exclusive of VAT but inclusive/exclu-
SP
sive (delete
delete as appropriate)
appr of
o expenses.
2. The
he fees are to be paid
pa ini ..............monthly instalments of £............exc VAT.
[add
add payment terms]
3. Additional
ditional costs
osts if required:
This template can be downloaded from the APS website at

www.aps.org.uk/guidance/principal-designers-handbook
64
Programme change letter
This is example text for a letter from the Principal Designer explaining why a
change in the programme is necessary in order to deal with health or safety
risk management.

EN
Address line 1
Address Line 2
Address line 3
Postcode
Dear XXXXXX
IM
In reviewing the overall construction andnd design programme(
programme(s)
for the project we are concerned aboutt the amount of tim time that
has been allowed between preparing ring the design for [[x] and the
issuing of tender documentation.on. There would appear
appea to be
insufficient time to adequatelyy prepare the Pre-Construction
Pre-Co
Information for issuing to
o potential Principal
Principa Contractors who
EC
will be tendering to carry

arry out the work. We recommend
r that the
programme is adjusted
sted to enable this to be
b properly carried out.
We also consider
ider that insufficient time
tim may have been allowed
for the Principal
ncipal Contractor to plan
pl and prepare for construc-
tion work, preparation of the Construction Phase
k, including preparatio
SP
Plan, before you (the

(th Client) allow work to start on site.
In
n our view it would ttherefore be appropriate to consider adjust-
ing
ng the start date
da by a suggested period of [X days/weeks] to
[date]. We suggest
sugg that, if necessary, this should be discussed
and resolved
esolved at the next design/project team meeting.
Sign off
This and other sample letters can be downloaded from the APS website at
65
Late appointment ‘with qualifications’ letter
The following is sample wording for a letter from the Principal Designer to
the Client – this example assumes that a Principal Contractor is already
appointed. The letter can be adapted according to the circumstances.
EN
Address line 1
Address Line 2
Address line 3
Postcode
Dear XXXXXX
IM
Appointment as Principal Designer under
der the Construction
Constructi
(Design and Management) Regulations
ulations 2015
Further to your confirmation of our brief for the role of Principal

EC
Designer for the above project in your letter/

letter/email/fax/verbal
instruction of [date],, and in view of the late
lateness of the appoint-
ment we note that considerable
considerabl design, preparation, planning
and other Pre-Construction
Construction Phase workw has already been
undertaken and construction work will commence/has com-
menced on [date]. Accordingly, we need to advise you that the
normal role Principal Designer will have to be modified as
ole as Princ
SP
follows
lows to achieve effective design and project risk management
and compliance from this point forward:
• You must notify

no the relevant enforcing authority (usually
the
e HSE) immediately
im and include our details. Submitting
this notification
t demonstrates that you have approved the
particulars and that you are now aware of your duties under
the CDM Regulations 2015.
• We will review the Pre-Construction Information already

provided to those designing and planning the works, and
if necessary collect further relevant Pre-Construction
Information from you, the Client, and advise you of any
66

EN
further inspections, investigations, surveys or other work
works
necessary to obtain relevant information, residual hazard
hazar
and risk information about the site or your site activities, and
an
d future use of
information about the current (if applicable) and
the structures as a workplace (if applicable),
ble), and pass this on
to the Designers.
IM
[If construction has already commenced]
ced]
As construction work has commenced,

menced, we would rec
recommend
that you consider putting any further construction work on hold
EC
until the Construction Phase

hase Plan has been prepared and found
to be suitable, bearing
g in mind that there is already a risk to you
(the Client) of prosecution probable breach of your duty
secution for the probabl
under regulation 4(5)(a) of the CDM Regulations.
Sign off
SP
This and other sample letters can be downloaed from the APS website at
67

Pre-Construction Information is relevant and proportionate Client information
(already in the Client’s possession or obtainable) and includes information:
• About the project

• For planning and management of the project
EN
• On health and safety hazards, including design and construction
d con
construction hazards
ruction hazar
and how they will be addressed
• In any existing Health and Safety File
The following sets out the main areas thatt must be covered iin the Pre-
IM
Construction Information, and suggests structure this information.
ts a way to structur
Description of the project

EC
• Project description
• Key dates
• Project directory
ctory – details
details
de other parties
ils of ot
oth
• Extent and existing
nd location of exist records and plans
SP
Client’ss arrangem
arrangements and requirements
• Timing and sequence of appointments

• Review of designs
• Planning and managing construction
• Communication
68
• Site security
• Welfare provision
• Environmental restrictions and existing on-site risks
• Significant design and construction hazards

• Health and Safety File
EN
Environmental restrictions and existing on-site
te risks
Health hazards
• Asbestos
IM
• Storage of hazardous material
• Contaminated ground
EC
Safety hazards
ces
• Existing services
ion
• Informationn contained in ea
ear
earlier designs, e.g. pre-stressed concrete
SP
plankss or post-ten
post-tensioning
Other
• Boundaries
• Adjacent land uses
69
Significant design and construction hazards
• Suggested work methods, sequences, etc.

• Arrangements for coordinating ongoing designs
te
e in
• Significant risks identified during the design with appropriate information
to allow management of these risks
• Materials requiring particular precautions
EN
IM
EC
SP
70

Principal Designers need to understand and bring about the process of
Design Risk Management for the construction project.

Designers need to take into account the General Principles of Prev
Prevention
and any Pre-Construction Information to eliminate, so far ass is reaso
reasonably
easo
practicable, foreseeable health and safety risks to those:
EN
tion work
• Carrying out or liable to be affected by construction
• Maintaining or cleaning a structure
lace.
lac
• Using a structure designed as a workplace.
IM
ese risks, the Desig
If it is not possible to eliminate these Designer must, so far as is
reasonably practicable:
EC
• Take steps to reduce or, possible, control the risks through

r, if that is not poss
pos
sign process
the subsequent design
• Provide information
ation about those rrisks to the Principal Designer
ppropriate
propriate in
• Ensure appropriate informati
mati is included in the Health and Safety File.
information
SP
The Principal
ncipal Designer m
must manage the above process (and ensure it
ns)
happens)s) for each and
a everyone of the Designers involved in the project.
st accom
This is best accomplished by combining the assessed results from Designers
into a Design RRisk Register.
71
Design Risk Register
A Design Risk Register is a live document used to log the risks that have
been identified on a project. This makes them easy for the Principal Designer
and other duty holders to access them as necessary. Further, it enables the

Principal Designer to:
ssessing
sessing the
• Manage the process of Design Risk Management by assessing
EN
input from each and all of the Designers (and re-assessing)
ssessing) as the
project proceeds
• Identify (with Designers) the need for further
err Pre-Cons
Pre-Construction
ction
Information from the Client
IM
• Consider the affects of one design solution designs
olution on other des
de
(and vice versa)
• Identify necessary information
on produced the design for passing to
produced with th
other Designers (as part of the Pre Co
Const
Construction Information)
EC
Principal Contractor/Contractors
ctor/Contractors
ctor/Contractors (as part of the Pre Construction
Information)
essary information produced with the design for inclusion
• Identify necessary
ealth
th and Safety File
in the Health File.
SP
72
SAMPLE DESIGN RISK REGISTER

DOCUMENT TITLE: DESIGN RISK REGISTER
DOCUMENT FIRST ISSUED:
CLIENT:
DOCUMENT PURPOSE:

Date By Details
EN
ILL BE THE CONTRACTOR’S
TENDER ISSUE: SOME DESIGN WILL CONTRAC
C T
OCUMENT
CUMENT SHOULD BE RE-
RESPONSIBILITY AND THIS DOCUMENT
VIEWED AFTER THE PRINCIPAL
AL CONTRACTOR
PAL CONTRA
CONTRACTOR R IS APPOINTED.
A
f. no. in the columns below.
For further revisions, insert the date, by whom and ref. be In the Risk
Register, strike out the text to be amended (do not remove)
e) and insert revised
revis
revi text. Adjust the
risk colour code as required. Revisions can be reviewed
viewed at Design Team meetings.
IM
Date By Ref. Details
EC
SP
Figure 4.1
Sample design risk register
73
PRE-CONSTRUCTION PHASE DESIGN RISK REGISTER

PROJECT:
DATE:
VERSION:
LEGEND: Very likely to happen resulting in fatality or disabling injuryy

Unlikely to happen but resulting in fatality; likely to happen
pen
n resulting
res in
injury or illness; almost certain to happen resulting in n first aid
d injury
inju
Very unlikely to happen resulting in first aid injury orr illness
EN
Hazard = Something with a potential to cause harm rm
m
Significant Risk = Risks that are not likely to bee obvious to a competent
compete Con-
com
tractor or other Designer, unusual or likelyy to
o be difficult to manage
mana effectively
manag
Ref. No. Ele- Hazard Persons Risk Risk Design Residual

esidual Information Fu
Further Subcontractor
ment / at Risk Level Owner measures R
Risk Level provided about Action: Responsibility
Activity taken to the residua
residual Add to PCI Competence
IM eliminate
te haza
hazard Add to check / design
duce
uce
or reduce Drawings - D responsibility
hazard
zard
d Add to H&S
File - F
General site issues

EC
Substructure
SP
Superstucture
tucture
ucture
Services
Maintenance and Cleaning Operations
Further information and guidance on Design Risk Management can be found on the APS website
at www.aps.org.uk/guidance/principal-designers-handbook
74
4.4 Health and Safety File

During the Pre-Construction Phase, the Principal Designer is responsible for
the preparation of a proportionate Health and Safety File containing health and
safety project information likely to be needed during any subsequent project.

The Health and Safety File is a live document that needs to be approp
appropriately
prop
reviewed, updated and revised by the Principal Designer during the
EN
Pre-Construction Phase, as the project proceeds.
cipal Designer with relevant

The Principal Contractor must provide the Principal
information for the Health and Safety File as the proceeds.
e project proceed
IM
If the Principal Designer’s appointment end of the
ntt ends before the e
Construction Phase, the Principal Designer
signer must pas
pass the Health and Safety
File to the Principal Contractor. It is generally reco
recommended that the Principal
recom
Designer appointment lasts untiltil the end of the C Construction Phase to enable:
EC
ealth and Safety File by the Principal Designer

• Completion of the Health
ontinuation
inuation of the P
• Uninterrupted continuation Principal Designer role to cater for
Design Risk Management that in inevitably occurs during most of the
on Phase
Construction
SP
nd of the proje
At the end project, th
the Principal Designer, or where there is no Principal
ner,
er, the Principal Contractor,
Designer, C must pass the Health and Safety File to
ent.
nt
the Client.
The File mustt ccontain information about the current project likely to be
needed to ensure health and safety during any subsequent work, such
as maintenance, cleaning, refurbishment or demolition.
75
When preparing the Health and Safety File, information on the following
should be considered for inclusion:
• A brief description of the project

• Hazards that have not been eliminated through the design and
construction processes, and how they have been addressedd
• Key structural principles
EN
• Hazardous materials used
ntling of installed plant
• Information regarding the removal or dismantling pl
and equipment
quipment provided
• Health and safety information about equipment provided for cleaning
IM
or maintaining the structure
kings of significant
• The nature, location and markings significant services,
s including
upply
pply equipment, fire-fighting
underground cables, gas supply fi services, etc
EC
uilt
ilt drawings of the building,
• Information and as-built b its plant
and equipment.
SP
76
Document control sheet
A Health and Safety File should be prepared for every project involving more
than one Contractor, and this should be done proportionately depending on the
size and type of project. In some very small projects it may be sufficient for a

eve for most
Health and Safety File to comprise only one or two pages. However,
projects the following general format can be used.
EN
ference,
erence, version number
The File should be properly titled with project (job) reference, num
and issue date.
[Project Title]
IM
Reference No [Reference Number] Version
Version [Version]
Date December 2015
EC
The File will be developedd at various stages in the life of a project, with
ant residual risks a
information on significant added to the working file as design
and construction work
orkk progresses. It is possible that the File could be issued
in an incomplete form for others to ccomplete – for example, if the Principal
Designer dutyy holder changes or terminates and the duty is handed to the
ractor.
Principal Contractor.
SP
77
VERSION PURPOSE OF ISSUE/ PREPARED BY REVIEWED BY AUTHORISED BY

AMENDMENT
It is important to provide information on the various duty holders in the File.

This will be important for future construction projects.
VERSION DUTY HOLDER ORGANISATION CONTACT FORMAT

MAT DATE OF
EN
ISSUE
E
Client [Organisation] [Name] Digital/
Digital/
hard copy
Designer 1 [Organisation] [Name]
me]
Designer 2 [Organisation] [Name]
e]
Principal [Organisation] [Name]
[Nam
IM
Designer
Principal [Organisation]
ation] [Name]
Contractor
EC

e – sample struct
structu
structure
The table on Pagess 80 and 81 shows tthe structure of a Health and Safety File
cord with CDM 2015
prepared to accord 2015. It may also include an introduction, and
various appendices
endices necessary.
ndices as necessar
necessa
SP
ble
le also shows th
The table the ttypical sections within the Health and Safety File that
could contain
ontain useful inf in
information to impart to those who will undertake future
ction
ion work, including
construction i cleaning, maintenance, alterations, refurbishment
tion, tto be carried out safely. Descriptions can be omitted if there is
tion
and demolition,
no useful information to be included.
78
The Client, under the CDM Regulations 2015 has the duty to:
• Ensure that the Health and Safety File is kept available for anyone who
needs it to comply with relevant legal requirements
• Pass the Health and Safety File to whoever takes over the structure and

takes on the Client duties if the Client decides to dispose off their
heir interest
in it
EN
th health and safety
• Ensure that the Health and Safety File is updated with
information following any future work, maintenance refurbishment that
nce or refurbishm
refurbishmen
IM ore than one contra
falls within the remit of CDM 2015 involving more contractor.
Information and as-built drawings
As-built drawings for the works should be listed in tthe File. It is not necessary
rated
ted but they can b
for the drawing to be incorporated be if appropriate, particularly
when the information is provided
rovided
ovided digitally.
EC
Designers should noteote Regulations require ‘as-built’ drawings, not

e that the Regulat
Regulati
tion
ion issue, and this m
the last construction means that the Designers and Principal
Designer will have to discuss and confirm any deviations from the construction
drawings withh the Principal CoContractor, perhaps recorded only in written
SP
ins
Variation Instructions or instructions issued directly to the site.
79
Key headings for Health and Safety File
DESCRIPTION REQUIREMENT APPROPRIATE

INFORMATION
SUPPLIED
(a) Description of Brief description of the work
the works carried out
EN
(b) Residual Any hazards that havee not
ot
hazards hrou
hrough
been eliminated through
IM
the design and construction
processes, and how they
have beenn addressed (e.g.
surveys information
ys or other informa
informat
EC
ncerning asbestos o
concerning or
contaminated land)
(c) Key structural structural principles
Key structura
principles (e.g. bracing
bracing, sources of
substantial stored energy
substant
SP
including pre- or post-

tensioned members) and
safe working loads for floors
and roofs
(d) Hazardous Hazardous materials used

materials (e.g. lead paints and
used special coatings)
80
DESCRIPTION REQUIREMENT APPROPRIATE

INFORMATION
SUPPLIED
(e) Information Information regarding the
regarding the removal or dismantling

removal or of installed plant and
dismantling equipment (e.g. any special
of installed arrangements for lifting
EN
plant and such equipment)
equipment
(f) Equipment for Health and safety

cleaning or information about equipment
IM
maintaining provided for cleaning
eaning or
the structure maintaining the e structure
(e.g. fall protection systems
systems,
high reach platforms/
ach mobile platfo
EC
icles)
vehicles)
(g) Location of location and

The nature, lo
loca
significant markings of significant
servicess services, including
underg
underground cables, gas
SP
supply equipment, fire-

sup
fighting services, etc
fi
(h) Information Information and as-built

and as-built drawings of the building, its
drawings plant and equipment (e.g.
the means of safe access to
and from service voids and
fire doors)
81
Other information
It is often appropriate to provide information in the Health and Safety File

relating to specific hazards and risks, particularly where the information has
been provided by specialists, not part of the design or construction teams, and
these can be included as Appendices:
• Appendix A – as-built drawings
EN
• Appendix B – asbestos survey (complete document)
nt)
• Appendix C – other survey information
Other sample formats for the Health and Safety File

ile
le can be downloaded from
f the APS
IM
website at www.aps.org.uk/guidance/principal-designers-handbook
-designers-handbook
esigners-handbook
EC
SP
82
EN
KEY CDM ROLES
IM S
5.1 Précis of the duties of various duty
ty holders under C
CDM 2015
5.2 General duties
5.3 Client
5.4 Principal Designer (Pre-Construction
re onstruction Phase)
EC
5.5 Designer
5.6 Principal Contractor
ctor
5.7 Contractorss
5.8 Workers
SP
5.9 CDM
M Adviser (non-statutory
(no role)
Throughoutt this b
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
ction with the
nction
Guidance on Regulations (L153), issued by the Health and Safety Exec
Executive, to
ensure that a full and complete understanding of particular
ular requirement
requirements
EN
are understood.
de for all the vagarie

The précis cannot, and is not intended to, provide vagaries that occur
when undertaking construction work.
IM
For complex situations, it is recommended
nded that definitive advice is sought from
an Incorporated, Certified or Fellow w Member of The AAs
Association for Project
Safety to provide full and detailed
d guidance.
EC
SP
84
5.2 General duties

Designers and Contactors must:
be capable of fulfilling their roles (Principal Designers
KEY CDM ROLES

are Designers and Principal Contractors are Contractors)
not accept an appointment unless capable
• Those appointing Designers and Contractors must check the capabilit
capability
of appointees.
• Duty holders must cooperate with any otherr person working on
o the
project or an adjoining construction site.
• A person working on a project under the control another must:
control of anoth
anothe
report to that person anything
ng
g they are aware of in relation to the
project which is likely to endanger
ndanger their own health or safety or
that of others
provide comprehensible
ensible
nsible information or instruction as soon
as practicable.
85
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 res
resources
es to
ensure that:
work undertaken, so far as is reasonably practicable,
ble,
le, without
EN
he project
health and safety risks to persons affected by the
welfare is provided for construction workers
rs
• Ensure arrangements are maintained and
d reviewed
viewed during the
t project
• Provide Pre-Construction Information
on as soon as is practicable
pr
prac to every
IM
Designer and Contractor appointed,
ed, Designers/Contractors
d, or potential De
Desi
• If there is more than one Contractor
tractor
tract any one time, appoint,
or on site, at a
as soon as practicable:
EC
Principal Designer
Principal Contractor
tractor
actor
• Failure to appoint
point the Principal Designer and Principal Contractor results
ppoint
in these roles
les and associated duties defaulting to the Client (except
SP
Domestic page 14)

stic Clients - see pa
sure
ure that:
• Ensure
before
ore
e the CoConstruction Phase begins, a suitable Construction Phase
Plan is iin p
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
86
The Client must continued:
• Ensure that:
Principal Designer complies with Principal Designer duties
KEY CDM ROLES

Principal Contractor complies with Principal Contractor duties
ties
es
ow certain duties
• Where there is more than one Client agree, if desired, how d
can be undertaken by a single Client entity
cop is
• Notify the project, to the appropriate Regulator, and ensure a copy i
displayed on site, updating as necessary
• If appointing Designers who are based abroad,d, ensure
broad, ensure that they
t
undertake duties under CDM 2015 forr design work undertaken
under
unde outwith
k within Great Brita
Great Britain for construction work Britain.
87
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 iss ca
carried out
without risks to health or safety
ruction Phase Pla
• Consider the General Principles of Prevention/Construction Plan/
EN
Health and Safety Files when:
design, technical and organisational aspects
cts for items of wor
work take place
simultaneously or in succession
estimating the period of time required
ired
red to complete suc
su
such work or
IM
work stages
• Identify, eliminate or control, so far
far as is reason
reasona
reasonably practicable,
foreseeable risks to the health
ealth any person:
lth or safety of an
EC
carrying out or liable

le to be affected by construction work
maintaining or cleaning a struct
structur
structure
using a structure
ructure designed as a workplace
• Ensure all Designers comp
comply with their duties
compl
SP
ure, in relation to th
• Ensure, the Pre-Construction Phase, all persons cooperate
with
h Client, Principal
Principa Designer and each other
he
e Clien
• 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
88
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
KEY CDM ROLES

ion
n Ph
• 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
he Construction Ph
Phase,
hand completed Health and Safety File to Client
ent
if Principal Designer appointment ceasess before the end of tthe
Construction Phase, hand Health and Safety to Principal
ty File to Princ Contractor
for completion
• Not accept the Principal Designer unless capable
er appointment unl
unle
ormation
rmation or instruction
• Provide comprehensible information instruct as soon as practicable
• Cooperate with others on the ssit
site
e and ad
adjoining
adjoi sites
e Client is aware of their duties under CDM 2015.
• Be satisfied that the
89
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 Prev
Prevention
and Pre-Construction Information to eliminate, so far ass is reasonab
reasonably
ty of any person:
practicable, foreseeable risks to the health and safety
EN
carrying out or liable to be affected by construction
uction wor
work
maintaining or cleaning a structure
using a structure designed as a workplace
kp
kplace
IM
• If the risks cannot be eliminated, the
he Designer must, so far as is
reasonably practicable:
take steps to reduce or control
ontrol the risks thr
th
through design
EC
provide information
n about those risks tto the Principal Designer
ensure appropriate
riate
ate information is included in the Health
and Safety File
ufficient
fficient information about the design, construction or
• Provide sufficient
SP
maintenance
nance of the structure,
enance structu to adequately assist the Client, other
Designers
gners and Contractors
igners Contrac
Contr to comply with their duties
• If appointing Designers abroad, ensure they undertake duties under
pointing Des
Desig
015
CDM 2015 5 for ddesigns outside Great Britain for construction work within
Great Britain.
ain
90
5.6 Principal Contractor

The Principal Contractor must:
• Plan, manage and monitor and coordinate matters relating to health
KEY CDM ROLES

e,
and safety to ensure that, so far as is reasonably practicable,
construction work is carried out without risks to health orr safety
ety
• Consider the General Principles of Prevention when:
EN
design, technical and organisational aspects are being decided
decide in order
to plan work taking place simultaneously or in succession
estimating the period of time required
d to complete
omplete the work
w or
work stages
IM
• Prepare a suitable Construction Phase
hase Plan before tthe Construction
Phase begins
tween
en Contractors
• Organise cooperation between
EC
• Coordinate implementation
ntation
nt Contractors of applicable legal
ation by Contract
Contracto
requirements for health
ealth and safety
• Ensure that employ
employers necessary for the protection of workers,
ers and, if ne
oyed
yed persons:
self-employed perso
SP
consistently
nsistently apply
app the General Principles of Prevention, and in particular
when
hen complying w wi
with the provisions of Part 4 (General requirements for
lll construction
all constructio sites)
where requ
required, follow the Construction Phase Plan
91
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
uction Phase
EN
• Liaise with Principal Designer and share information relevant
on re
relevant to the
Construction Pha
planning, management, monitoring of the Pre-Construction Phase and
coordination of health and safety matters during Pre-Construction
ring the Pre-Constr
Phase
• Consult and engage with Workers.
IM
EC
SP
92
5.7 Contractors
Contractors must:
• Be satisfied that the Client is aware of their duties under CDM 2015
KEY CDM ROLES

• Plan, manage and monitor construction work carried out either by the
her b
Contractor or by Workers under the Contractor’s control, ol, to ensure tthat,
so far as is reasonably practicable, it is carried out without risks to hea
health
EN
and safety
rking on a project
• Where there is more than one Contractor working project,
comply with:
directions given by the Principal Designer
esigner or Principa
IM
relevant parts of the Construction
ction
on Phase Plan
• If there is only one Contractor project:
or working on the p
consider General Principles
inciples
nciples of Preventio
Preven
Prevention when:
EC
– design, technical
nical organisational aspects are being decided in
ical and organisatio
lan work ttaking
order to plan aking pl
plac
place simultaneously or in succession
– estimating
ating the period of ttime required to complete the work or
ork stages
work
SP
prepare
repare a suitable C
Construction Phase Plan before the Construction
Phase
hase begins
• Not employ
mploy o
or appoint a person unless they are capable
93
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
EN
information on risks to health and safety
other information as necessary
• Not start work:
IM
unless prevention of access by unauthorised perso
persons to the site
ties
es are provided an
is in place and welfare facilities and maintained.
EC
SP
94
5.8 Workers
Workers are the people who work for or under the control of Contractors
on a construction site.
KEY CDM ROLES

Workers must:
afety
ety and welfare
• Be consulted about matters that affect their health, safety welfar
EN
• Take care of their own health and safety and that of others who may be
b
affected by their actions
• Report anything they see which is likely to endanger
ndanger either their
th own
or others’ health and safety
IM
low
ow workers, Contra
• Cooperate with their employer, fellow Contr
Contractors and other
duty holders.
EC
SP
95
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, butut should have
EN
considerable and in-depth knowledge of construction health and safety. T
The
CDM Adviser to the Client could be the appointed Principal Designe
Designer, provided
nowledge and expe
they are a Designer and have sufficient skills, knowledge experience.
The main areas on which they can advise include:
clude:
de:
IM
• Preparation of a Client’s brief for the
e project
• Making suitable arrangements for
or managing the p
project, including time
and other resources
ements tto
• Making suitable arrangements o ensure
ure th
that the construction work can
EC
ut risks to the healt

be carried out without health or safety of any person affected
by the project
ties provided for th
• Welfare facilities the construction work
nagement arrangements
• Project management arran
arrang maintained and reviewed throughout
SP
roject
the project
• Pre-Construction
e-Construction Information to be provided by the Client
Construction In
Inf
nstructio
structio Phase Plan drawn up by the Contractor or by the
• The Construction
Con
• Preparation of the Health and Safety File during the Pre-Construction
Phase
96
• 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:
KEY CDM ROLES

the Principal Designer complies with their duties
the Principal Contractor complies with their duties
EN
• Disposing of the building or structure and handing over
ove the
he Health
and Safety File
• Notification to the Health and Safety Executive,
ve, or the Office of Rail
ive,
Regulation, or the Office for Nuclear Regulation
ion instead of tthe Executive
gulation
as appropriate.
IM
The CDM Adviser can, if required, advise
ise the Client on tthe health and
dvise
safety skills, knowledge, experience
ence and, where it is an organisation, the
eso
organisational capability and resources off propos
prop
proposed Designers and/or
Contractors prior to arrangements
gement being mad
gements made for design or construction
m
EC
work to begin.
CDM Adviserr to the Principal Designer

D (Sub-consultant to the
Principal Designer)
signer)
SP
In circumstances
cumstances
mstances where the Lead Designer or the other Designers on the
projectt are unwilling
unwillin or incapable of undertaking the Principal Designer role,
but the Client
lient insistent on the Lead Designer (or one of the other Designers)
ent is ins
becoming the ePPrincipal 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.
97
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
is should be
undertaken by the appointed Principal Designer.
he appointed Princ
The Sub-consultant will be able to represent the Princi
Principal Designer
as required at design team and Principal Contractor
ontractor
actor liaison m
meetings, and at
site progress meetings.
propriate
ropriate profession
The Sub-consultant will carry appropriate professional indemnity insurance
sultant’s services.
for the delivery of the Sub-consultant’s
EC
When the Client becomes

comes Principal C
Contractor
Clients who control

trol the way in whic
which any construction work is carried out
mply with (or at lea
must also comply leas
least take into account) the requirements of
ns 17–35 (in P
regulations Part 4 o
of the Regulations) so far as they relate to matters
in the Client’s control. T
This also applies to Domestic Clients (regulation 16 (3)).
Thosee Clients who proj
project-manage a series of Contractors and instruct those
tors
ors when to
Contractors t carry out work and in what manner, may find themselves
unwittingly becom
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.
98
SP
Training and support

EC
t
Bibliography and reference material
REFERENCE
IM
EN
Training and support

The Association for Project Safety (APS) believes that their members should
possess the right skills, knowledge, qualifications and experience. Capability is
also about the willingness to deliver resources for the benefit of project health
ed
dp
and safety, the Client’s business objectives and for an integrated project team.
The APS provides the industry with Membership Lists of Individuals

ndividuals and
EN
Businesses to support Clients and project teams needing
ding to appoint with
M 2015 role.
confidence those that are capable of fulfilling a CDM
As well as providing a platform to network and practice, the APS

nd share good pract
st information and ssupport when
provides access to expert advice, the latest
members need it.
IM
Ongoing membership of the APS S and participation in the CPD programme can
tial
help members meet their initialal and annual accr
acc
accreditation requirements, and
er path to becom
support them in their career becoming an industry leader in
EC
Pre-Construction Healthh and Safety Desig

Design Risk Management.
SP
100
Whether in the early stages of a career or a qualified and experienced

professional, the APS offers advice and routes to accreditation and entry
into our professional membership. The APS hosts numerous national CPD
seminars across the United Kingdom each year. Through national and
regional CPD provision, the APS aims to give our members every opportunity
REFERENCE
h,, sa
to keep up-to-date with the latest issues in construction health, safety and
environmental risk management.The CPD Certification Service vice provid
provides
itation
support, advice and recognised independent CPD accreditationation compatib
compatible
EN
with global CPD principles.
As an APS member you will be kept up-to-date and well informed; you
will have access to the Members area of the APS bi-monthly
PS website, our bi
b
magazine, Digest, keeping you informed of important develodevelopments and
IM nd
issues in the sector, Practice notes, and d regular member eBulletins. In
addition to this you will have accesss to panel and legal advice
o our technical p
pa
ember
embers.
service, free of charge to APS Members.
EC
SP
101
Bibliography and reference material

APS Form of Appointment as Principal Designer:
https://www.aps.org.uk/shop/aps-form-of-appointment-as-adviser-to-principal-designer-
2015.html
APS Form of Appointment as CDM Adviser to the Client:

https://www.aps.org.uk/shop/aps-form-of-appointment-as-cdm-adviser-to-client.html
-to-client.h
ient.h
EN
APS CDM 2015 – What Commercial Clients need to do:
https://www.aps.org.uk/guidance/cdm2015
APS CDM 2015 – What Domestic Clients need to do:

https://www.aps.org.uk/guidance/cdm2015
APS CPD presentations CPD35 and CPD36 provided

ed source material and
ded a illustrations
IM
for this publication
The Construction (Design and Management)

ment) Regulations 2015,
201 Health and Saftey Executive,
2015: http://www.hse.gov.uk/construction/cdm/2015/index.htm
ction/cdm/2015/index.h
tion/cdm/2015/index.h
EC
Managing health and safety in construction Contruction

Contructi (Design and Management)
onstruction – Contru
Regulations 2015 – Guidance (L153) Health and Safety Executive, 2015:
e on Regulations (L153),
http://www.hse.gov.uk/pubns/priced/l153.pdf
bns/priced/l153.pdf
CITB guides:
http://www.citb.co.uk/health-safety-and-other-topics/health-safety/construction-
o.uk/health-safety-and
design-and-management-regulations/
anagement-regulations
agement-regulations
SP
RIBA Plan
n of Work 2013: http://www.ribaplanofwork.com/
http://w
htt
Construction
tion Industry Council
ction Cou
C (CIC) Scope of Services:
http://cic.org.uk/services/the-cic-scope-of-services.php
rg.uk/service
uk/servic
102
Principal Designer’s Handbook

The new CDM Regulations came into force on 6 April 2015, changing the face of
construction health and safety risk management on construction projects, large
and small. This Handbook has been specifically written to provide straightforward,
practical and easy-to-read guidance to anyone undertaking the new Principal Designer
role under The Construction (Design and Management) Regulations 2015 (CDM2015).
M20
m-siz
It is primarily aimed towards the needs of the Sole Practitioner or small/medium-sized
practices who offer Principal Designer services, either as a stand-alone service or
in addition to other design services.
The Handbook is a quick, first point of reference for both new Principal
incipal Designers
Designer and
experienced design risk practitioners. It will help the industry achieve a proportiona
proportionate
response to Health and Safety Design Risk Management in the Pre-Construction Phase
by helping those who have sufficient health and safety, knowledge
owledge and experience
experien to
carry out the Principal Designer role, where they feel confident
dent to do so.
The Principal Designer’s Handbook covers:
• The Principal Designer role – provides an overview of the role; details the key
responsibilities; and outlines how theyy differ on commercia
commercial and domestic projects.
• The Principal Designer in practice – includes de
details on fees and appointments;
ils o
ign Risk Management;
Pre-Construction Information; Design Manag and how to prepare a
Health and Safety File.
pal Contractor
• Liaison with the Principal Contracto – includ
includes details of the Construction Phase
son required duri
Plan; the continuing liaison during the Construction Phase; and guidance
bility period.
on the defects liability
• Standard and exemplar documents – includes fees and appointment worked
mples of a Health and Safety File; and other useful templates which
examples; examples
will be modified and up
updated as experience of the Regulations develop.
ey CDM roles – outlines
• The key outl the key roles and responsibilities for the Client,
ner, Principal Designer,
Designer, D Principal Contractor, Contractors, Workers,
dviser.
and CDM Adviser.
The Handbook draws from the knowledge, skill and experience of The Association
for Project Safety (APS) and its members. The APS is the leading membership body
for design and construction health and safety risk management and its aims are to
improve and promote professional practice in these areas, through a programme
of delivering standards and providing guidance, education and training.

A Single Copy of This Document Is Licensed To: Leedsm

Uploaded by

Copyright:

Available Formats

A Single Copy of This Document Is Licensed To: Leedsm

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

A Single Copy of This Document Is Licensed To: Leedsm

Uploaded by

Copyright:

Available Formats

Licensed copy from CIS: leedsm, LEEDS BECKETT UNIVERSITY, 17/03/2021, Uncontrolled Copy.

A single copy of this document is licensed to

This is an uncontrolled copy. Ensure use of the

Principal Designer’s Handbook

© The Association for Project Safety, 2015 Production: Richard Blackburn

British Library Cataloguing-in-Publication Data

3 LIAISON WITH THE PRINCIPAL CONTRACTOR 55

4 STANDARD AND EXEMPLAR DOCUMENTS 61

5 KEY CDM ROLES 83

PRINCIPAL DESIGNER’S HANDBOOK

Phase has been placed ﬁrmly

This authoritative draws from the skill, knowledge and experience

industryy for many years,

Over and above the practical, day-to-day demands of regulatory compliance

Richard G. Wilks, President, The Association for Project Safety

About The Association for Project Safety

PRINCIPAL DESIGNER’S HANDBOOK

Who can be the Principal Designer?

1. The Principal Designer must be:

2. The Principal Designer must organisation or sole practitioner

3. The Principal Designer

5. Designers offering their services as Principal Designers will need to

PRINCIPAL DESIGNER’S HANDBOOK

6. On a commercial project, if a Client fails to appoint a Principal Designer,

To summarise, the Principal Designer role:

• Is not a replacement for the CDM Coordinator – it is a new role

What does ‘so far ass (is) reasonably pr

‘so farr as (is) reaso

1.1 Role overview

The Pre-Construction Phase is any period during

rovides assistance to the Client in preparation of

• The Principal Designer will gathe

PRINCIPAL DESIGNER’S HANDBOOK

• The Principal Designer and Designers will identify

THE PRINCIPAL DESIGNER ROLE

to identify risk issues to those

Cooperation of all involved

The Principal Designer must ensure prompt provision of appropriate Pre-

Extent of the role

Phase, and the Principal appointment needs to continue to

Contractor have the capability.

PRINCIPAL DESIGNER’S HANDBOOK

Health and Safety File

The Principal Designer must prepare an appropriate Health and Safety

THE PRINCIPAL DESIGNER ROLE

1.2 Different role responsibilities

Clients undertaking projects (as part of a business)

Domestic Clients undertaking

PRINCIPAL DESIGNER’S HANDBOOK

1.3 Commercial projects

THE PRINCIPAL DESIGNER ROLE

• The Lead Designer can accept the Principal Designer appointment,tm

lationships and ove

PRINCIPAL DESIGNER’S HANDBOOK

CDM 2015 PROJECT LIFELINE

HEALTH AND SAFETY FILE - PRINCIPAL DESIGNER FUTURE REFERENCE

THE PRINCIPAL DESIGNER ROLE

How the Principal

In liaison with the Client, Desi