Construction law and management

Construction law and management 9.1 Introduction Management of health and safety in the construction industry is more important now than it has ever been. The number of construction projects continues to grow in terms of both new build and refurbishment. The labour force is also changing as more and more migrant

Figure 9.1

9

workers join the industry. At the same time, the fatalities and injuries to the workforce, even when measured as an incidence rate, are increasing. So concerned are the Government and the Health and Safety Executive (HSE) with this trend that a new Framework for Action has been agreed between the Government, the HSE, the employers and the trade unions.

Building site entrance.

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Introduction to Health and Safety in Construction This chapter covers the scope and nature of construction activities and the moral, legal and financial consequences of failing to manage health and safety in the construction industry. Details of the amended Construction (Design and Management) (CDM) Regulations are given. Since these regulations now incorporate the Construction (Health, Safety and Welfare) Regulations (CHSW), they form the legal foundations for the management of health and safety in construction activities. It is important to stress that this chapter must be read in conjunction with Chapter 1 which dealt with the health and safety foundations of law and management systems.

9.2 The scope and definition of construction The scope of the construction industry is very wide. The most common activity is general building work, which is

Figure 9.2

144

Ground clearance and foundations.

domestic, commercial or industrial in nature. This work may be new building work, such as a building extension or, more commonly, the refurbishment, renovation, alteration, maintenance or repair of existing buildings. The buildings may be occupied or unoccupied. Such projects may begin with a partial or total demolition of a structure which is a particularly hazardous operation. Larger civil engineering projects involving road and bridge building, water supply and sewage schemes and river and canal work all come within the scope of construction. Most construction projects cover a range of activities such as site clearance, the demolition or dismantling of building structures or plant and equipment, the felling of trees and the safe disposal of waste materials. The work could involve hazardous operations, such as roof work or excavation, or contact with hazardous materials, such as asbestos or lead. The site activities will include the loading, unloading and storage of materials and site movements of vehicles and pedestrians. Finally, the construction processes themselves are often hazardous. These processes include fabrication, decoration, cleaning,

Construction law and management installation and the removal and maintenance of services (electricity, water, gas and telecommunications). Construction also includes the use of woodworking workshops together with woodworking machines and their associated hazards, painting and decorating and the use of heavy machinery. It will often require work to take place in confined spaces, such as excavations and underground chambers. At the end of most projects, the site is landscaped, which will introduce a new set of hazards.

9.3 Particular issues relating to the construction industry Nearly all construction sites are temporary in nature and, during the construction process, are constantly changing. The workforce, itself, is transitory in nature and, at any given time, there are often many young people receiving training on site in the various construction trades. These trainees need supervision and structured training programmes. The level of numeracy and literacy among some of the workforce may make the communication of health and safety information difficult. The progress of work on the site can be impeded by poor weather conditions leading to the possibility of contract penalties. Clients are usually keen to see the work finished as soon as possible and put additional pressure on the contractor. All these issues always lead to the temptation to compromise on health and safety issues, such as the provision of adequate welfare facilities or the safe re-routing of site traffic. In recent years, some additional management issues have arisen with the increasing employment of migrant workers.

9.3.1

Migrant workers in the construction industry

It has been estimated that, in 2007, migrant labour accounted for 6% of the total construction workforce; around Greater London it represents 26% of the workforce. In the United Kingdom, five foreign workers were killed on construction sites in 2005/06 and a further five were killed in 2006/07. The average proportion of migrant worker deaths over the last 3 years was 8% of the total deaths in the industry. It is not easy to define where the responsibility for health and safety lies – with the gangmaster or the construction employer. It is recommended that there should be liaison between the two so that all relevant issues, such as personal protective equipment (PPE), are covered. The HSE have held various events to familiarize migrants with the important aspects of the health

and safety regime in the United Kingdom and provided several translations of health and safety publications including the practical checklist in ‘Health and Safety in Construction HSG150’. Construction Skills, the Sector Skills Council for construction, has developed webbased material to provide construction employers with information so that they can ensure that any migrants they employ are properly qualified, competent and safe. For many migrants there are cultural as well as language differences that need to be taken into account. Sometimes the cultural differences are more important than language differences. Before migrants begin work, the following checks should be made by the employer: ➤ Are any special vocational skills required for the job? If so, ensure that any worker supplied has those qualifications or skills. ➤ Have they a reasonable command of written and spoken English? ➤ What information, instruction and training will need to be provided as a result of the risk assessment? A special risk assessment is important in assessing the risks posed to migrant workers when on site. Particular issues include: ➤ the ability to speak and write English to a reasonable standard so that basic communication on site is possible ➤ the required basic competencies in terms of literacy, numeracy, skills and past work experience ➤ any physical and health attributes needed for the job ➤ the compatibility or equivalence of foreign vocational qualifications with those required in the UK ➤ the provision of necessary information, instruction, training and supervision ➤ the provision of safe equipment, substances and PPE ➤ the provision of any special welfare and emergency arrangements. The risk assessment will need to be reviewed on a very regular basis to reflect changes in migrant nationalities and changes to work processes and procedures. It is important to give migrant workers relevant induction and general health and safety training and to ensure that such training is fully understood. The key points are to ensure that: ➤ essential induction information is given ➤ any necessary job-related and/or vocational training is given ➤ consideration is given to the needs of workers with a poor command of English; the use of accredited

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Introduction to Health and Safety in Construction translation services will probably be needed together with visual non-verbal material, such as pictures, signs, videos and DVDs ➤ any safety critical documents, such as safe systems of work, permits-to-work, method statements and emergency procedures, are translated by a professional interpreter ➤ the workers know the identity of their supervisor and with whom they can raise any concerns about health and safety issues ➤ the workers have clearly understood all the information, instruction and training that they have received. Finally, while it is not the responsibility of construction employers to provide transport to and from the site, it is reasonable for them to check that some form of safe transport is available to the migrant workers.

Table 9.1 Accidents involving all workers on site in the construction industry 2002/03

2003/04

2004/05

2005/06

Death

71

71

71

59

Major

4,721

4,728

4,486

4,419

Over 3 day

9,578

8,995

8,250

8,291

Table 9.2 shows, for the year 2005/06, the breakdown in accidents between employees, self-employed and members of the public. Table 9.2 Accidents for different groups of people for 2005/06

9.4 Moral, legal and financial arguments for health and safety management 9.4.1

Injury

Moral arguments

The moral arguments are reflected by the occupational accident and disease rates.

Deaths

Major

Over 3-day

Total

64

4,607

8,291

Employees

42 (66%)

3,677

7,492

Self-employed

17 (27%)

742

799

Members of the public

5 (7%)

188

n/a

Accident rates Accidents at work can lead to serious injury and even death. A major accident is a serious accident typically involving a fracture of a limb or a 24-hour stay in a hospital. An ‘over 3-day accident’ is an accident that leads to more than 3 days off work. Statistics are collected on all people who are injured at construction workplaces not just employees. In 2006/07, the construction industry had the highest total of fatal injuries to workers (77) of all the main industrial sectors. This represented 31% of all fatal injuries of workers and a 28% increase on the number of construction industry fatalities in the previous year (2005/06). There was a concern that the increase in the number of migrant workers in the industry may be one of the causes of this increase. The sharpest increase in the number of fatalities (39) occurred in the repair, refurbishment and new-build housing sector of the industry. Table 9.1 shows the number of accidents involving all site workers in the construction industry from 2002 to 2006. In 2005/06, there were 59 fatal injuries to construction workers. Falls from height caused 24 deaths (41%) and being struck by a moving vehicle caused 8 deaths (14%). There were also more that 4,000 major accidents.

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Table 9.3 shows the figures for employees in the construction industry only.

Table 9.3 Accidents involving employees in the construction industry Injury

2002/03

2003/04

2004/05

2005/06

Death

56

52

56

42

Major

4,031

3,978

3,760

3,677

Over 3 day

8,949

8,256

7,509

7,492

The main causes of fatal accidents in the construction industry in 2005/06 were: ➤ ➤ ➤ ➤ ➤

falling through roof lights and fragile roofs falling from ladders, scaffolds and other workplaces being struck by excavators, lift trucks or dumpers being struck by falling loads and equipment being crushed by collapsing structures.

Construction law and management Table 9.4 Accidents to all people in various employment sectors (2005/06)

In the same year, falls from height accounted for 25% of the major injuries in the construction industry. The occupations where the proportion of major injuries due to falls from height was higher included: ➤ ➤ ➤ ➤

Sector

Deaths

Education

painters and decorators (62%) bricklayers and masons (38%) scaffolders, stagers and steeplejacks (36%) electrical fitters (36%).

4 (1%)

5,746 (11%)

58 (9%)

4,150 (8%)

437 (67%)

34,060 (62%)

Manufacturing

46 (7%)

5,554 (10%)

Construction

64 (10%)

4,607 (8%)

Agriculture

43 (6%)

Health and social work Service industries

Injuries due to handling, lifting and carrying and being hit by moving/falling objects, each accounted for 16% of the major injuries in the construction industry. Table 9.3 shows that fatalities, having fallen considerably to one of the lowest for the industry in 2003/04, increased again in 2004/05. Table 9.4 gives an indication of accidents in different employment sectors and includes accidents to members of the public in 2005/06. These figures indicate that there is a need for health and safety awareness even in occupations which many would consider very low hazard, such as schools and health and social work. In fact, 70% of all deaths occur in the service sector and manufacturing appears safer than construction. Although there has been a decrease in fatalities over recent years since 2000/01, there has been a large increase in 2006/07.

Majors

Total

652

597 (1%) 54,714

Disease rates Work-related ill-health and occupational diseases can lead to long absences from work and even death. In the construction industry, recent figures indicate that average prevalence rates for all illnesses are similar to those found in other industries with some notable exceptions. Table 9.5 compares the annual cases seen by specialist doctors in the construction and all industries. The incidence rates show that asbestos-related diseases, musculoskeletal disorders and the effects of exposure to

Table 9.5 Annual cases and incidence rates for work related ill-health seen by the Health and Occupational Reporting Network Disease Specialists from 2002 to 2004 Construction Average annual cases

All industries

Rate per 100,000

Average annual cases

Rate per 100,000

Diffuse pleural thickening

399

19.3

976

1.5

Mesothelioma

278

13.4

819

1.0

All musculoskeletal disorders

214

10.0

2,020

7.0

Asbestosis

24

1.2

122

0.1

Dermatitis

143

7.0

1,687

6.0

Vibration white finger

86

4.1

171

0.3

Stress

28

1.0

2,223

8.0

Asthma

19

1.0

370

1.0

Occupational deafness

17

1.0

99

0.0

1

0.0

1,207

4.0

Infections

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Introduction to Health and Safety in Construction noise and vibration are far more prevalent in the construction industry. Diffuse pleural thickening of the lung lining is thought to be principally due to exposure to asbestos but can be caused by other diseases, such as tuberculosis, or certain drugs. One positive fact is that the construction industry has one of the lowest rates for stress. In 2005/06 there were 3.2 million days lost in the construction industry due to work-related ill-health and workplace injuries. This was equivalent to 1.5 days per worker in construction compared to a rate for all industries of 1.3 days. Not all of the injury and ill-health statistics for 2006/07, except fatalities, were available as this edition of the book went to press.

9.4.2

Legal arguments

In 2002, the Construction Division of the HSE undertook four construction blitzes across the country. They concentrated on falls from height and gave advance warning of their visits. Work was stopped on nearly 50% of sites visited. A number of prosecutions followed involving large as well as small companies. Thus there were

Figure 9.3

148

some clear legal reasons for implementing sound health and safety management systems. During the summer of 2007, the HSE conducted almost 1,600 inspections of construction sites and stopped work on 244 of them because they felt that there was a high risk of a serious injury. These inspections followed the publication of the fatality statistics for 2006/07 mentioned earlier in this chapter. The inspection emphasis was on working at height and keeping the site tidy so that accidents due to slips, trips and falls could be reduced. The HSE has made it clear that it is determined to continue its campaign to protect workers in the industry from serious injury. The Head of Construction at the HSE said after the inspections: ‘Nearly 1 in 3 construction refurbishment sites inspected put the lives of workers at risk. We stopped work on site immediately during 244 inspections because we felt there was a real possibility that life would be lost or ruined through serious injury. It is completely unacceptable that so many lives have been put at risk. Our inspectors were appalled at the apparent willingness to ignore basic safety precautions.

Bare wires on a concrete mixer wedged in with chipboard. Earth wire cut off.

Construction law and management Local Authority Environmental Health Officers. For construction, most of these prosecutions are for infringements of the various Construction Regulations and the Provision and Use of Work Equipment Regulations. The fines quoted exclude all large fines so that it is easier to compare year with year. The average fine for each offence between 2003 and 2005 was £9,000.

‘The simple fact is that despite knowing what they should be doing, too many people are prepared to allow bad practices to continue, even though last year 39 people died on refurbishment, repair and maintenance sites. ‘We are determined to tackle this issue head on and will continue to take enforcement action against those rogues who flout safety precautions. Let me be clear to all those who put lives at risk – we will continue to carry out further inspections and will take all action necessary to protect workers, including closing sites and prosecution. ‘Work at height remains the biggest concern. Over half of the enforcement action taken during this inspection initiative was against dangerous work at height, which last year led to the death of 23 workers. Table 9.6 compares the number of enforcement notices served by the HSE on the construction industry with those given to all industries over a 3-year period. Although construction received only 11% of all improvement notices, it received 57% of all prohibition notices. In addition to these figures, Local Authorities, through their Environmental Health Officers, served 40% of all improvement notices and 20% of all prohibition notices. Table 9.7 shows the number of prosecutions by the HSE over the same 3-year period. The HSE present 80% of all prosecutions and the remainder are presented by

9.4.3

Financial arguments

Costs of accidents Any accident or incidence of ill-health causes both direct and indirect costs and incurs an insured and an uninsured cost. This is particularly the case in the construction industry where the cost of non-injury accidents is considerably higher than the costs of ill-health and injury accidents. A non-injury accident is an accident that causes damage or loss to property, plant, materials, the environment or a business opportunity. Table 9.8 shows the range of costs for ill-health, injury and non-injury accidents in a study undertaken by the HSE in 1999. While the figures will have increased since then, the relative differences between them should have remained the same. It can be seen that non-injury accident costs are 80% of the total costs and between 3 and 11 times the injury accident costs.

Table 9.6 Number of enforcement notices issued by the HSE over a 3-year period All industries

Construction

Improvement notice

Prohibition notice

2002/03

8,140

5,184

778

2,804

2003/04

6,798

4,537

798

2,689

2004/05

5,167

3,278

548

1,933

Year

Improvement notice

Prohibition notice

Table 9.7 Number of prosecutions by the HSE over a 3-year period All industries

Year

Offences prosecuted

Convictions

Construction Average fine (£)

Offences prosecuted

Convictions

Average fine (£)

2003/04

1,720

1,317

6,524

617

418

6,174

2004/05

1,320

1,025

6,990

574

405

7,530

2005/06

1,012

741

6,219

448

303

4,553

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Introduction to Health and Safety in Construction Table 9.8 Range of accident costs in the construction industry Ill-health (£ million) Min 100

Max 180

Injury (£ million) Min 140

Max 140

Direct costs and indirect costs Direct costs are directly related to the accident. They may be insured (claims on employers’ and public liability insurance, damage to buildings, equipment or vehicles) or uninsured (fines, sick pay, damage to product, equipment or process). Indirect costs may also be insured (business loss, product or process liability) or uninsured (loss of goodwill, extra overtime payments, accident investigation time, production delays). It is important that all of these costs are taken into account when the full cost of an accident is calculated. Section 1.15.3 covered this topic in detail and most of the costs mentioned are also relevant to construction. Probably one of the most significant costs for the construction industry is contract penalty costs.

9.5 The role of the regulator in the improvement of health and safety in the construction industry The health and safety problem in the construction industry is its poor record when compared with the other parts of British industry. This performance deteriorated in 2000 and certain actions were taken by the HSE. A new construction division was launched in April 2002 and a new intervention strategy was developed. Clients and developers as well as construction sites have been targeted. The Construction Industry Advisory Committee (CONIAC) to the Health and Safety Commission (HSC) has set a series of targets for the industry and these targets considerably exceed those set for the rest of industry. The targets, known as ‘revitalizing targets’, are: ➤ to reduce the incidence rate of fatalities and major injuries by 40% by 2004/05 and by 66% by 2009/10 ➤ to reduce the incidence rate of cases of workrelated ill-health by 20% by 2004/05 and by 50% by 2009/10 and

150

Non-injury (£ million) Min 420

Max 1,570

Total (£ million) Min 660

Max 1,890

➤ to reduce the number of working days lost per 100,000 workers from work-related injury and illhealth by 20% by 2004/05 and by 50% by 2009/10. They are ambitious targets since by aiming to reduce the incidence rate of major injuries and deaths by 66%, there will need to be 3,000 fewer reported in 2009/10 than there were in 1999/2000. By 2004/05 the number of fatalities was 71, which were the same as for 2003/04, but the workforce had increased so that the fatal injury rate had fallen by 3%. The 40% reduction in fatalities target had therefore been met. However the reduction in the major injury and 3-day injury rates were both below the target of 40%. As mentioned earlier in this chapter, the downward trend in fatalities was reversed in 2006/07, leading to 1,600 site inspections and the intervention of the Government. The Secretary of State for Work and Pensions convened a Construction Forum which was attended by the Government, the HSE, employers, trade unions, trade associations, contractors and suppliers. A Framework for Action was agreed to reduce the number of future fatalities and major accidents. Key areas singled out for urgent action were: ➤ sharing best practice – particularly in house building, repair and refurbishment projects ➤ ensuring that all construction workers receive induction training before starting work on a site ➤ raising competence levels of all site workers in the house building sector, enabling them to carry a Construction Skills Certification Scheme (CSCS) card, or be able to demonstrate their competence ➤ encouraging worker involvement, by ensuring that all projects include trade union and worker safety representatives ➤ tackling the problem of the informal economy and the use of casual labour. A Strategic Forum Health and Safety Task Group is to oversee the implementation of the framework.

Construction law and management In contrast to the situation in the United Kingdom, the Republic of Ireland almost halved its construction fatalities in 2006 and increased its site inspections by 13%. The Irish Health and Safety Authority also introduced a safe system of work plans for house building, ground works and demolition. These plans, in the form of pictograms, must be completed and signed off by the site manager and shared with the rest of the site team. The HSE has published on their website a list of topics that they will be checking during site visits. These include: ➤ competence and control of contractors and employees ➤ risk assessments, particularly for work at height ➤ communication of risk controls to the workforce ➤ selection, use, inspection and maintenance of equipment and ➤ welfare facilities and site tidiness. Finally, the HSE have launched a ‘Falls from Vehicles’ campaign in the construction industry. Annually, approximately 200 workers in the construction industry are seriously injured and even lose their lives as a result of falling from a vehicle; 70% of all falls from vehicle injuries

Figure 9.4

occur to non-drivers. Such accidents often occur during unloading of delivery vehicles.

9.6 Scope and application of the CDM Regulations 9.6.1

Introduction

The management of construction work, including the selection and control of contractors, is governed by the CDM Regulations 2007 known as CDM 2007. CDM Regulations apply to the whole of a construction project, from the initial feasibility study to the hand over of the completed structure to the customer. CDM 2007 came into force on 6th April 2007. They replace both the Construction (Design and Management) Regulations 1994 (CDM94) and the Construction (Health, Safety and Welfare) Regulations 1996 (CHSW). The new Approved Code of Practice replaces the ACOP under CDM94. The key aim of the CDM 2007 is to integrate health and safety into the management of the project and to encourage everyone involved to work together.

Design and management of construction work.

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Introduction to Health and Safety in Construction

A detailed summary of the CDM 2007 is given in Section 21.10. Table 9.9 shows a summary of the responsibilities of various duty holders.

on the basis of the principles of prevention specified in the MH&SW Regulations. Clients now have the duty (which already exists in the HSW Act and MH&SW Regulations) to take reasonable steps to ensure that managerial arrangements made by duty holders (including time and other resources) enable construction work to be carried out without risk to health or safety. Clients have the duty to ensure that the arrangements are maintained and reviewed throughout the project. Clients must tell designers and contractors how much time they have, before the start of work on site, for planning and preparing construction work.

9.6.2

9.6.3

CDM 2007 is split into several main parts: ➤ Part 2 covers all construction projects and sets out general management duties. ➤ Part 3 sets out additional duties where the project is notifiable. ➤ Part 4 sets out the duties relating to health and safety on construction sites and Schedule 2, welfare arrangements. (Largely the former Construction (Health, Safety and Welfare) Regulations 1996).

Key differences between CDM 94 and CDM 2007

Regulations in CDM 2007 have been re-ordered to group duties together by duty holder and to show whether individual provisions apply to all projects, only notifiable projects, or only non-notifiable projects. (The definition of ‘Notifiable’ is unchanged, but the application provision relating to fewer than five workers on site has been removed.) The construction health and safety requirements formerly in the Construction (Health, Safety and Welfare) Regulations have now been included within the CDM 2007 as Part 4 and Schedule 2. Work for domestic clients no longer needs to be notified. Under CDM 2007, a group of clients involved in a project can now elect one or more of its members to be the only client(s). The ‘CDM co-ordinator’ is introduced to support and advise the client and to co-ordinate design and planning. Therefore, the role of the planning supervisor ceases to exist. The appointment of a CDM co-ordinator, principal contractor and preparation of a written health and safety plan are only required for notifiable projects (but demolition work requires a written system of work). Duty holders cannot accept an appointment/ engagement unless they are competent to carry it out. Additionally, they cannot arrange for, or instruct, anyone to carry out or manage design or construction work, unless that person is competent (or being supervised by someone who is competent). Assessment and demonstration of competence is simplified. The new ACOP (L144 Managing Health and Safety in Construction) has specific sections on individual and corporate competence. Everyone involved in a project has general cooperation and co-ordination duties (relating to others on the same or adjoining sites). This is a specific requirement to implement any preventive and protective measures,

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Explanation of terms used in the CDM 2007 and ACOP

(a) A Client is an organization or individual for whom a construction project is carried out. Clients only have duties when the project is associated with a business or other undertaking (whether for profit or not). This can include, for example, local authorities, school governors, insurance companies and project originators or Private Finance Initiative (PFI) projects. Domestic clients are a special case and do not have duties under CDM 2007. (b) Construction work See Chapter 21 for more information on the definition of construction. (c) Designer Designers are those who have a trade or a business which involves them in: ➤ preparing designs for construction work, including variations; this includes preparing drawings, design details, specifications, bills of quantities and the specification (or prohibition) of articles and substances, as well as all the related analysis, calculations, and preparatory work or ➤ arranging for their employees or other people under their control to prepare designs relating to a structure or part of a structure. it does not matter whether the design is recorded (e.g. on paper or a computer) or not (e.g. it is only communicated orally). Designers may include: ➤ architects, civil and structural engineers, building surveyors, landscape architects, other consultants, manufacturers and design practices (of whatever discipline) contributing to, or having overall responsibility for, any part of the design (e.g. drainage engineers) ➤ anyone who specifies or alters a design, or who specifies the use of a particular method of work or material, such as a design manager, quantity surveyor who insists on specific material, or a client who stipulates a particular layout for a new building

Construction law and management Table 9.9

Summary of the responsibilities of various duty holders under CDM 2007

Clients (excluding domestic clients)

All construction projects (Part 2 of the Regulations)

Additional duties for notifiable projects (Part 3 of Regulations)

➤ Check competence and resources of all appointees. ➤ Ensure there are suitable management arrangements for the project including welfare facilities. ➤ Allow sufficient time and resources for all stages. ➤ Provide pre-construction information to designers and contractors.

➤ ➤ ➤ ➤

Appoint CDM co-ordinator.* Appoint principal contractor.* Provide pre-construction information to CDM co-ordinator. Make sure that the construction phase does not start unless there are suitable: ➤ welfare facilities and ➤ a construction phase plan in place. ➤ Provide information relating to the health and safety file to the CDM co-ordinator. ➤ Retain and provide access to the health and safety file. (* There must be a CDM co-ordinator and principal contractor until the end of the construction phase)

➤ Advise and assist the client with his/her duties. ➤ Notify HSE. ➤ Co-ordinate health and safety aspects of design work and cooperate with others involved in the project. ➤ Facilitate good communication between client, designers and contractors. ➤ Liaise with principal contractor re ongoing design. ➤ Identify, collect and pass on pre-construction information. ➤ Prepare/update health and safety file.

CDM Co-ordinators

Designers

➤ Eliminate hazards and reduce risks due to design. ➤ Provide information about remaining risks.

➤ Check client is aware of duties and CDM co-ordinator has been appointed. ➤ Check HSE has been notified. ➤ Provide any information needed for the health and safety file. ➤ Plan, manage and monitor construction phase in liaison with contractors. ➤ Prepare, develop and implement a written plan and site rules. (Initial plan completed before the construction phase begins.) ➤ Give contractors relevant parts of the plan. ➤ Make sure suitable welfare facilities are provided from the start and maintained throughout the construction phase. ➤ Check competence of all their appointees. ➤ Ensure all workers have site inductions and any further information and training needed for the work. ➤ Consult with the workers. ➤ Liaise with CDM co-ordinator re ongoing design. ➤ Secure the site.

Principal contractors

Contractors

➤ Plan, manage and monitor own work and that of workers. ➤ Check competence of all their appointees and workers. ➤ Train own employees. ➤ Provide information to their workers. ➤ Comply with requirements in Part 4 of the Regulations. ➤ Ensure there are adequate welfare facilities for their workers.

➤ Check client is aware of duties and a CDM co-ordinator has been appointed and HSE notified before starting work. ➤ Co-operate with principal contractor in planning and managing work, including reasonable directions and site rules. ➤ Provide details to the principal contractor of any contractor whom he engages in connection with carrying out the work. ➤ Provide any information needed for the health and safety file. ➤ Inform principal contractor of problems with the plan. ➤ Inform principal contractor of reportable accidents, diseases and dangerous occurrences.

Everyone

➤ Check own competence. ➤ Co-operate with others and co-ordinate work so as to ensure the health and safety of construction workers and others who may be affected by the work. ➤ Report obvious risks. ➤ Comply with requirements in Schedule 2 (ACOP says schedule 3 but believed a mistake) and Part 4 of the Regulations for any work under their control.

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Introduction to Health and Safety in Construction ➤ building service designers, engineering practices or others designing plant which forms part of the permanent structure (including lifts, heating, ventilation and electrical systems), for example a specialist provider of permanent fire extinguishing installations ➤ those purchasing materials where the choice has been left open, for example those purchasing building blocks and so deciding the weights that a bricklayer must handle ➤ contractors carrying out design work as part of their contribution to a project, such as an engineering contractor providing design, procurement and construction management services ➤ temporary works engineers, including those designing auxiliary structures, such as formwork, falsework, façade retention schemes, scaffolding and sheet piling ➤ interior designers, including shopfitters, who also develop the design ➤ heritage organizations, who specify how work is to be done in detail, for example providing detailed requirements to stabilize existing structures ➤ those determining how buildings and structures are altered (e.g. during refurbishment) where this has the potential for partial or complete collapse. (d) CDM co-ordinator as with e, f, g below means the person appointed as the CDM co-ordinator under regulation 14(1) for notifiable projects only. The CDM co-ordinator provides clients with a key project adviser in respect of construction health and safety risk management matters. Their main purpose is to help clients to carry out their duties; to co-ordinate health and safety aspects of the design work and to prepare the health and safety file. (e) Principal contractor is the contractor appointed by the client for notifiable projects. The principal contractor can be an organization or an individual, and is the main or managing contractor. A principal contractor’s key duty is to co-ordinate and manage the construction phase to ensure the health and safety of everybody carrying out construction work, or who are affected by the work. (f) Contractor is any person (including a client, principal contractor or other person referred to in the regulations) who, in the course or furtherance of a business, carries out or manages construction work. (g) Pre-construction health and safety information must be provide by the client to designers and contractors and for notifiable projects the CDM co-ordinator, specific health and safety information needed to identify the hazards and risks associated with the design and construction work. The information needs to be identified, assembled and sent out in good time, so that those who need it when preparing a bid or preparing for work can decide what resources will be needed to enable

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design, planning and construction work to be organized and carried out properly. The topics which should be addressed in the preconstruction information are given in Appendix 9.2 (h) Construction Phase health and safety plan Principal contractors must set out the way in which the construction phase will be managed and the key health and safety issues for the particular project must be set out in writing. The health and safety plan should set out the organization and arrangements that have been put in place to manage risks and co-ordinate the work on site. It should not be a repository for detailed generic risk assessments, records of how decisions were reached or detailed method statements, but it may, for example, set out when such documents will need to be prepared. It should be well focused, clear and easy for contractors and others to understand – emphasizing key points and avoiding irrelevant material. It is crucial that all relevant parties are involved and co-operate in the development and implementation of the plan as work progresses. The plan must be tailored to the particular project. Generic plans will not satisfy the requirements of regulation 23. Photographs and sketches can greatly simplify and shorten explanations. It should also be organized so that relevant sections can easily be made available to designers and contractors. The Construction phase health and safety plan for the initial phase of the construction work must be prepared before any work begins. Later details may need to be added as work progress and full designs become available. See Appendix 9.3 for details of what should be included in the construction phase health and safety plan. (i) Health and safety file this is a record of information for the client to retain which focuses on health and safety. It alerts those who are responsible for the structure and equipment in it to the significant health and safety risks that will need to be dealt with during subsequent use, construction, maintenance, cleaning, repair, alterations, refurbishment and demolition work. See later for further information on the file. (j) Method statement is a written document laying out the work procedures and sequences of operations to ensure health and safety. It results from the risk assessment carried out for the task or operation and the control measures identified. If the risk is low, a verbal statement may suffice. More information is contained in Chapter 6 (k) Notifiable work Construction work (except for a domestic client) is notifiable to the HSE if it lasts longer than 30 working days or will involve more than 500 persondays of work. (For example, 50 people working for 10 days). Holidays and weekends do not count if no construction work takes place on those days. The CDM co-ordinator is responsible to make the notification as soon as possible after their appointment for a particular project. The notice must be displayed where it can be read by people

Construction law and management working on the site. A F10(rev) may be used and is available from local HSE offices or can be completed online. This form does not have to be used as long as all the particulars shown in Schedule 1 (see Figure 21.2 in Chapter 21) are provided. How to decide if your project has to be notified to the HSE Nondomestic client

Domestic client

Will the construction phase involve more than 30 days’ work?

YES

NO

Written notification to the HSE required

Will the construction phase involve more than 500 person days of construction work?

YES

NO

Notification not required

covers the competence of each duty holder in some depth. This is an essential part of the effective management of construction projects. The ACOP should be consulted for further details. Co-ordination and co-operation are the two main requirements for all members of the project team. However, there is no requirement for the appointment of a CDM co-ordinator or principal contractor, or a constructionphase health and safety plan for non-notifiable projects. For low risk projects a low key approach will suffice. However, for higher-risk projects, for example those involving demolition a more rigorous approach is required. The architect or lead designer should normally lead the co-ordination of the design work while the main contractor or builder should co-ordinate the construction work. A brief summary plan may be all that is required in many cases, but where the risks are higher, something close to the construction phase plan will be needed. For example where work involves: ➤ structural alterations ➤ deep excavations, and those in unstable or contaminated ground ➤ unusual working methods or safeguards ➤ ionizing radiation or other significant health hazards ➤ close proximity to high voltage power lines ➤ a risk of falling into water which is, or may become, fast flowing ➤ diving ➤ explosives ➤ heavy or complex lifting operations. For all demolition work, those in control of the work are required to produce a written plan showing how danger will be addressed.

Clients Figure 9.5

Notification requirements.

For notifiable projects, designers are prohibited from doing anything more than initial design work before the CDM co-ordinator has been appointed. In preparing or modifying a design they are required, so far as is reasonably practicable, to avoid risks to the health or safety of any person using a structure designed as a workplace. They must eliminate hazards which may give rise to risks and reduce risks from any remaining hazards.

9.6.4

Part 1 non-notifiable project responsibilities of duty holders

General A summary of duties is shown in Table 9.9. Also see the flow diagram in Appendix 9.1. The ACOP for CDM 2007

The role of the client has been given a higher profile in CDM 2007 to ensure that the construction project has sufficient leadership. Clients are clearly accountable for the effect that their attitudes to health and safety has on those working on, or affected by, the project. Clients are not expected to manage or plan projects themselves. They are not expected to develop substantial expertise in construction health and safety, unless this is central to their business. Clients must ensure that various things are done, but are not normally expected to do them alone. If help is needed this should be available from the competent person appointed under regulation 7 of the Management of Health and Safety at Work Regulation. Alternatively, clients could seek advice from someone who has acted as a CDM co-ordinator on other projects. (The appointment of a CDM co-ordinator is not a requirement for non-notifiable projects.)

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Introduction to Health and Safety in Construction

Figure 9.6 (a) Notifiable over 30 days but domestic client.

Clients must make sure that: ➤ designers, contractors and others whom they propose to engage are competent or work under the supervision of competent people, and are adequately resourced and appointed early enough to fulfil their duties ➤ they allow sufficient time for each stage of the project ➤ they co-operate with others concerned as necessary to allow people to fulfil their duties ➤ they co-ordinate their own work with others to ensure the safety of those carrying out the construction work ➤ there are reasonable management arrangements in place throughout the project to ensure the work can be carried out (SFARP) safely and without risks to health (this does not mean managing the risk themselves as few clients have the expertise) ➤ contractors have made arrangements for suitable welfare facilities to be provided from the start and throughout the project

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➤ any fixed workplaces which are to be constructed comply with the Workplace (Health Safety and Welfare) Regulations ➤ relevant information (pre-construction information) likely to be needed by designers, contractors or others to plan and manage the work is passed to them. The client will need to ensure that arrangements are in place to ensure that: ➤ there is clarity as to the roles, functions and responsibilities of members of the project team ➤ those with duties under the regulations have sufficient time and resources to comply with their duties ➤ there is good communication, co-ordination and co-operation between members of the project team (e.g. between designers and contractors) ➤ designers are able to confirm that their designs (and any design changes) have taken account of the

Construction law and management

Figure 9.6 (b) Non-notifiable domestic client but only 3 days’ work.

requirements of Regulation 11 (designers’ duties), and that the different design elements will work together in a way which does not create risks to the health and safety of those constructing, using or maintaining the structure ➤ that the contractor is provided with the preconstruction information ➤ contractors are able to confirm that health and safety standards on site will be controlled and monitored, and welfare facilities will be provided by the contractor from the start of the construction phase through to handover and completion. Most of these arrangements will be made by others in the project team, such as designers and contractors. Before they start work, a good way of checking is to ask the relevant members of the team to explain their arrangements, or to ask for examples of how they will manage these issues during the life of the project. When discussing roles and responsibilities, on simple

projects all that may be needed is a simple list of who does what. Having made these initial checks before work begins, clients should monitor the project to ensure that the arrangements which have been made are maintained. For non-notifiable projects, only simple checks will be needed, for example: ➤ checking that there is adequate protection for the client’s workers and/or members of the public ➤ checking to make sure that adequate welfare facilities have been provided by the contractor ➤ checking that there is good co-operation and communication between designers and contractors ➤ asking for confirmation from the contractor that the arrangements that they agreed to make have been implemented. Most clients on non-notifiable projects should be able to carry out these checks for themselves.

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Introduction to Health and Safety in Construction

Figure 9.7

Protection of the public in main shopping area.

Designers CDM 2007 recognizes the key role the designers have in construction projects for health and safety. The aim of the Regulations is to ensure that the designers do not produce designs which cannot be constructed, used or maintained safely and with proper consideration for health issues. The amount of effort put in to eliminating hazards and reducing risk should be proportional to the degree of risk. Designers should: ➤ make sure that they are competent and adequately resourced to address the health and safety issues likely to be involved in the design ➤ check that clients are aware of their duties ➤ when designing the project, avoid foreseeable risks to those involved in the construction and future use of the structure and, in so doing, they should eliminate hazards So Far As is Reasonably Possible (SFARP), and reduce risks associated with the hazards that remain

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➤ provide adequate information about any significant risks associated with the design ➤ co-ordinate their work with that of others in order to improve the way in which risks are managed and controlled. Designers need to consider risks to those carrying out the construction work including demolition; those cleaning and maintaining the structure (particularly windows or translucent panels); those who use the structure for a workplace; and those who may be affected by the work (e.g. the public or other customers). Designers may not commence work in relation to the project unless their client is aware of their duties under the Regulations. This, in turn, will help to ensure that the client’s requirements are clearly understood by encouraging discussion and co-operation. These duties apply whenever designs are prepared which may be used in construction work in Great Britain. This includes concept design, competitions, bids for

Construction law and management grants, modifications of existing designs and relevant work carried out as part of feasibility studies. It does not matter whether or not planning permission or funds have been secured; the project is notifiable or high risk; or the client is a domestic client.

Contractors Contractors and their employees, those actually doing the construction work, are most at risk of injury and ill-health. They have a key role to play, in co-operation with other duty holders planning and managing the work, to ensure that risks are identified and are properly controlled. Contractors may include utilities, specialist contractors, contractors nominated by the client and selfemployed persons. Contractors are often sub-contractors to the principal contractor. Contractors may also have duties as designers if they are involved in designing elements of their work, such as precast concrete planks or curtain walling. Anyone who directly employs or engages construction workers, or manages construction work, is a contractor for the purposes of these regulations. This

Figure 9.8

includes companies that use their own workforce to carry out construction work on their own premises. For all projects contractors must: ➤ check that the clients are aware of their duties ➤ satisfy themselves that they and anyone they employ or engage are competent and adequately resourced ➤ plan, manage and monitor their own work to make sure that workers under their control are safe from the start of their work ➤ ensure that any contractor whom he appoints or engages to work on the project is informed of the minimum amount of time which will be allowed for them to plan and prepare before starting work ➤ provide workers under their control (whether employed or self-employed) with any necessary information, including relevant aspects of other contractors’ work, and site induction which they need to work safely, to report problems or to respond appropriately in an emergency ➤ ensure that any design work they do complies with the requirements on designers in regulation 11

Contractors at work.

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Introduction to Health and Safety in Construction ➤ comply with any relevant requirement in part 4 and schedule 2 of the Regulations regarding health and safety on construction sites ➤ co-operate with others and co-ordinate their own work with others working on the project ➤ obtain specialist advice where necessary when planning high-risk work – for example, alterations that could result in a structural collapse or work on contaminated ground. Contractors should always plan, manage, supervise and monitor their own work and that of their workers to ensure that it is carried out safely and that health risks are also addressed. The effort invested in this should reflect the risk involved and the experience and track record of the workers involved. Where contractors identify unsafe practices, they must take appropriate action to ensure health and safety.

9.6.5

Additional things duty holders must do for notifiable projects

Clients For notifiable projects the client has the following additional duties: ➤ appoint a CDM co-ordinator to advise and assist with their duties and to co-ordinate the arrangements for health and safety during the planning phase ➤ appoint a principal contractor to plan and manage the construction work – preferably early enough for them to work with the designer on issues relating to buildability, usability and maintainability ➤ ensure that the construction phase does not start until the principal contractor has prepared a suitable health and safety plan and made arrangements for suitable welfare facilities to be present from the start of the work ➤ make sure the health and safety file is prepared, reviewed, or updated ready for handover at the end of the construction work. This must be kept available for any future construction work or to pass on to a new owner. Early appointments are essential as the client is likely to have to rely on the advice from the CDM coordinator on the competence of appointees and the adequacy of the arrangements. If a client does not make these appointments they are liable for the work of the CDM co-ordinator and the principal contractor as well as not making the appointment.

CDM co-ordinators (notifiable projects only) A new role of CDM co-ordinator has been created by CDM 2007. It is a wider role than that of the planning

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supervisor, which it replaces. The CDM co-ordinator is effectively the client’s health and safety adviser for the project. The role involves advising and assisting the client in undertaking the measures needed to comply with CDM 2007, in particular, the client’s duties both at the start of the construction phase and during it. CDM co-ordinators must: ➤ give suitable and sufficient advice and assistance to clients in order to help them to comply with their duties, in particular: ➤ the duty to appoint competent designers and contractors and ➤ the duty to ensure that adequate arrangements are in place for managing the project. ➤ notify the HSE about the project ➤ co-ordinate design work, planning and other preparation for construction where relevant to health and safety ➤ identify and collect the pre-construction information and advise the client if surveys need to be commissioned to fill significant gaps ➤ promptly provide, in a convenient form, to those involved with the design of the structure, and to every contractor (including the principal contractor) who may be or has been appointed by the client, such parts of the pre-construction information which are relevant to each ➤ manage the flow of health and safety information between clients, designers and contractors ➤ advise the client on the suitability of the initial construction phase plan and the arrangements made to ensure that welfare facilities are on site from the start ➤ produce or update a relevant, user friendly, health and safety file suitable for future use at the end of the construction phase. The CDM co-ordinator should assist with the development of these arrangements, and should advise the clients on whether or not the arrangements are adequate. They should assist the client with decisions about for how much time a contractor will need to prepare before construction work begins. When advising and assisting the client, the following issues should be considered: 1. Is the client aware of their duties and do they understand what is expected of them? 2. Has the client prepared relevant information about the site in order to meet their duties under regulation 10? 3. Have the necessary appointments been made, and has the project been notified? 4. Is there an established project team who meet regularly to discuss and co-ordinate activities in relation to the project?

Construction law and management 5. Are project team members clear about their roles and responsibilities? 6. Are there arrangements in place for co-ordinating design work and reviewing the design to ensure that the requirements in regulation 11 are being addressed? 7. Are there arrangements in place for dealing with late changes to the design, and for co-operating with contractors, so that problems are shared? 8. Has the principal contractor been given enough time to plan and prepare for the work, and mobilize for the start of the construction phase? 9. Has the principal contractor made arrangements for providing welfare facilities on site from the outset, and have they prepared a construction phase plan that addresses the main risks during the early stages of construction? 10. Are there suitable arrangements for developing the plan to cover risks that arise as the work progresses? 11. Has the format for the health and safety file been agreed, and are arrangements in place for collecting the information which it will contain? 12. Has the principal contractor put in place suitable arrangements for consulting with workers on site; for carrying out site induction; and for ensuring that workers are adequately trained and supervised? Not all of these questions will need answers at the start of the project, and the arrangements will need to evolve as the project develops. The key thing is to plan ahead so that arrangements are in place before the risks that need managing materialize on site.

Designers In addition to the duties outlined previously, when the project is notifiable, designers should: ➤ check that the client has appointed a CDM co-ordinator ➤ ensure that they do not start design work other than initial design work unless a CDM co-ordinator has been appointed ➤ co-operate with the CDM co-ordinator, principal contractor and with any other designers or contractors as necessary for each of them to comply with their duties; this includes providing any information needed for the pre-construction information or health and safety file. For a notifiable project, designers need to ensure that a CDM co-ordinator has been appointed. If appointment has been done, then designers can assume that the client is aware of their duties.

Principal contractors (notifiable projects only) The principal contractor is the key duty holder, who is required to ensure effective management of health and safety throughout the construction phase of the project. Their main duty is to properly plan, manage and coordinate work during the construction phase in order to ensure that hazards are identified and risks are properly controlled. The principal contractor has a duty to liaise with all duty holders and the workforce. In particular: ➤ consulting with the workforce – directly or via their (sub) contractors ➤ co-operating with designers and CDM co-ordinators, particularly if any changes occur to the design ➤ ensuring clients are aware of their duties. Whilst the principal contractor is under a duty to co-operate and have systems that allow and facilitate co-operation, the duty and responsibility for managing health and safety in the construction phase, lies clearly with the principal contractor. Principal contractors must be competent to carry out the work they are engaged to do in a safe manner, and ensure they give proper consideration to the potential effects of their activities on everyone who may be affected. Principal contractors are required to demonstrate to the client that they have sufficient resources, including properly trained and experienced staff, to carry out the project. It is essential that principal contractors are fully aware of the duties of other CDM duty holders, so that they know the level of information they may reasonably expect. Principal contractors must recognize that time is a resource and that they must be allowed to have reasonable time to plan activities with proper regard to health and safety. Should design changes occur, the principal contractors must allow the CDM co-ordinator to carry out their duties, but must at all times retain responsibility for managing their activities and those of their contractors and sub-contractors. The principal contractor must be in control of the site for clear commercial responsibility as well as for health and safety reasons. Principal Contractors must: 1. satisfy themselves that clients are aware of their duties, that a CDM co-ordinator has been appointed and the HSE notified before they start work 2. make sure that they are competent to address the health and safety issues likely to be involved in the management of the construction phase; attaining a NEBOSH National Certificate in Construction Safety and Health is recommended

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Introduction to Health and Safety in Construction 3. ensure that the construction phase is properly planned, managed and monitored, with adequately resourced, competent site management appropriate to the risk and activity 4. ensure that every contractor who will work on the project is informed of the minimum amount of time which they will be allowed for planning and preparation before they begin work on site 5. ensure that all contractors are provided with the information about the project that they need to enable them to carry out their work safely and without risk to health. Requests from contractors for information should be met promptly 6. ensure safe working and co-ordination and co-operation between contractors 7. ensure that a suitable construction phase plan (‘the plan’) is: ➤ prepared before construction work begins ➤ developed in discussion with, and communicated to, contractors affected by it ➤ implemented ➤ kept up to date as the project progresses

Figure 9.9

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8. satisfy themselves that the designers and contractors that they engage are competent and adequately resourced 9. ensure suitable welfare facilities are provided from the start of the construction phase 10. take reasonable steps to prevent unauthorized access to the site 11. prepare and enforce any necessary site rules 12. provide (copies of or access to) relevant parts of the plan and other information to contractors, including the self-employed, in time for them to plan their work 13. liaise with the CDM co-ordinator on design carried out during the construction phase, including design by specialist contractors, and its implications for the plan 14. provide the CDM co-ordinator promptly with any information relevant to the health and safety file 15. ensure that all the workers have been provided with suitable health and safety induction, information and training 16. ensure that the workforce is consulted about health and safety matters 17. display the project notification.

Barriets to prevent unauthorised access to construction work.

Construction law and management Contractors and the self-employed In the case of notifiable projects, contractors must also: 1.

2.

3. 4.

5.

6.

7. 8.

check that a CDM co-ordinator has been appointed and HSE notified before they start work (having a copy of the notification of the project to HSE (form 10), is normally sufficient) co-operate with the principal contractor, CDM co-ordinator and others working on the project or adjacent sites tell the principal contractor about risks to others created by their work provide details to the principal contractor of any contractor whom they engage in connection with carrying out the work comply with any reasonable directions from the principal contractor, and with any relevant rules in the construction phase plan inform the principal contractor of any problems with the plan or risks identified during their work that have significant implications for the management of the project tell the principal contractor about accidents and dangerous occurrences provide information for the health and safety file.

Contractors must co-operate with the principal contractor, and assist them in the development of the construction phase plan and its implementation. Where contractors identify shortcomings in the plan, the contractor should inform the principal contractor.

9.6.6

Site induction, information and training

Contractors must not start work on a construction site until they have been provided with basic information. This should include information from the client about any particular risks associated with the project (including information about existing structures where these are to be demolished or structurally altered), and from designers about any significant risks associated with the design. Contractors must ensure, so far as is reasonably practicable, that every worker has: ➤ a suitable induction and ➤ any further information and training needed for the particular work. Further advice on training and competence is given in the AC.P. Inductions are a way of providing workers with specific information about the particular risks associated with the site and the arrangements which have been put in place for their control. On non-notifiable sites, induction

will need to be provided by the contractor, or by arrangement with the main contractor on site. Induction is not intended to provide general health and safety training, but it should include site-specific issues as covered in Chapter 10.

9.6.7

Workers

Workers, along with all others involved in the life of a project, have duties to co-operate and to co-ordinate with others. The term ‘worker’ includes managers and supervisors. Workers need to be involved as soon as possible and should: ➤ give feedback to their employer via the agreed consultation method ➤ provide input on risk assessments and developing a method statement ➤ work to the agreed method statement or approach their employer to discuss implementing any change or improvement ➤ use welfare facilities with respect ➤ keep tools and PPE in good condition ➤ be vigilant for hazards and risks and keep management ➤ be aware of arrangements and actions to take if a dangerous situation arises.

9.6.8

Health and safety file (notifiable projects only)

The CDM co-ordinator has the responsibility to prepare a suitable health and safety file or update it if one already exists. Under the CDM94 a separate health and safety file was required for each project. CDM 2007 requires one file for each site, structure or, occasionally, group of structures (e.g. bridges along a road). The file can then be developed over time as information is added from different projects. The health and safety file should contain the information needed to allow future construction work, including cleaning, maintenance, alterations, refurbishment and demolition to be carried out safely. Information in the file should alert those carrying out such work to risks, and should help them to decide how to work safely. The file should be useful to: ➤ clients, who have a duty to provide information about their premises to those who carry out work there ➤ designers during the development of further designs or alterations

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Introduction to Health and Safety in Construction ➤ CDM co-ordinators preparing for construction work ➤ principal contractors and contractors preparing to carry out or manage such work. The file should form a key part of the information that the client, or the client’s successor, is required to provide for future construction projects under Regulation 10. The file should therefore be kept up to date after any relevant work or surveys. The scope, structure and format for the file should be agreed between the client and CDM co-ordinator at the start of a project. There can be a separate file for each structure, one for an entire project or site, or one for a group of related structures. The file may be combined with the Building Regulations Log Book, or a maintenance manual provided that this does not result in the health and safety information being lost or buried. What matters is that people can find the information they need easily and that any differences between similar structures are clearly shown. The potential practical value of the information contained in the file is also likely to increase as more clients make use of the Internet to share this information with designers and contractors. (For example, maintenance contractors could check what access equipment and parts they are likely to need to repair a fault before leaving for the site, saving them and their clients inconvenience, time and money.) Clients, designers, principal contractors, other contractors and CDM co-ordinators all have legal duties in respect of the health and safety file: ➤ CDM co-ordinators must prepare, review, amend or add to the file as the project progresses, and give it to the client at the end of project. ➤ Clients, designers, principal contractors and other contractors must supply the information necessary for compiling or updating the file. ➤ Clients must keep the file to assist with future construction work. ➤ Everyone providing information should make sure that it is accurate, and provided promptly. A file must be produced or updated (if one already exists) as part of all notifiable projects. For some projects (e.g. redecoration using non-toxic materials) there may be nothing of substance to record. Only information likely to be significant for health and safety in future work need be included. The NHBC Purchaser Manual provides suitable information for developers to give to householders. A file on the whole structure is not required if a project only involves a small amount of construction work on part of the structure. The client should make sure that the CDM co-ordinator compiles the file. In some cases (e.g. design and build

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contracts), it is more practical for the principal contractor to obtain the information needed for the file from the specialist contractors. In these circumstances the principal contractor can assemble the information and give it to the CDM co-ordinator as the work is completed. It can be difficult to obtain information for the file after designers or contractors have completed their work. What is needed should be agreed in advance to ensure that the information is prepared and handed over in the required form and at the right time. The contents of the health and safety file are given in the ACOP as follows: ➤ a brief description of the work carried out ➤ any residual hazards which remain and how they have been dealt with (e.g. surveys or other information concerning asbestos; contaminated land; water-bearing strata; buried services) ➤ key structural principles (e.g. bracing, sources of substantial stored energy – including pre- or posttensioned members) and safe working loads for floors and roofs, particularly where these may preclude placing scaffolding or heavy machinery there ➤ hazardous material used (e.g. lead paint, pesticides, special coatings which should not be burnt off) ➤ information regarding the removal or dismantling of installed plant and equipment (e.g. any special arrangements for lifting, order of or other special instructions for dismantling) ➤ health and safety information about equipment provided for cleaning or maintaining the structure ➤ the nature, location and markings of significant services, including underground cables; gas supply equipment; firefighting services ➤ information and as-built drawings of the structure, its plant and equipment (e.g. the means of safe access to and from service voids or fire doors and compartmentalization).

9.6.8

Health, safety and welfare requirements

Part 4 of the Regulations relates to health and safety on construction sites. Schedule 2 covers welfare arrangements. These parts of CDM 2007 effectively cover the requirements previously contained in the now revoked Construction (Health, Safety and Welfare) Regulations 1996. Chapter 21 covers these requirements in more detail in the summary of the Regulations. Most of the issues are covered in Chapters 10–20. They deal with: 1. safe place of work 2. good order and site security 3. stability of structures

Construction law and management 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24.

demolition and dismantling explosives excavations cofferdams and caissons reports of inspections energy distribution installations prevention of drowning traffic routes vehicles prevention of risk from fire emergency procedures emergency routes and exits fire detection and firefighting fresh air temperature and weather protection lighting sanitary conveniences washing facilities drinking water changing rooms and lockers facilities for rest.

9.7 Sources of information on health and safety in construction 9.7.1

Genereal sources of information

All the sources of information outlined in Chapter 1 (1.14) are relevant to the construction industry in addition to the following: ➤ construction legislation (specific Regulations are now the CDM 2007), and the Construction (Head Protection) Regulations 1909 (see Chapter 21).

as several valuable resources for those working in the industry. http://www.ciob.org.uk/home ➤ CSCS (Construction Skills certification scheme) CSCS was established in 1995 with the objective of helping the construction industry to get quality up, accidents down and cowboy builders out. Since then a great deal of progress has been made. In May 2007 they presented the millionth CSCS card. That’s a million people who have formally proved their competency and their awareness of health and safety, a positive move for them, their colleagues, employers and clients as well as the productivity and wellbeing of the industry. See their website: http://www.cscs. uk.com/RunScript.asp?page=1&p=ASP\Pg1.asp ➤ International Labour Organization http://www.ilo.org/ global/lang–en/index.htm ➤ CEN, the European Committee for Standardization, was founded in 1961 by the national standards bodies in the European Economic Community and EFTA countries. Now CEN is contributing to the objectives of the European Union and European Economic Area with voluntary technical standards which promote free trade, the safety of workers and consumers, interoperability of networks, environmental protection, exploitation of research and development programmes, and public procurement. CEN is a non-profit-making technical organization set up under Belgian law. http://www.cen.eu/cenorm/ businessdomains/businessdomains/isss/index.asp ➤ BSI, British Standards Institute, publish more than 2,000 new and revised standards every year, for all industry sectors. Standards are available from British Standards Online as either a hard copy or electronic format or from their Customer Services department: Tel: +44 (0)20 8996 9001, or email: [email protected]

➤ specific construction publications and reports from the HSC/E. See the HSE’s micros site for Construction URL: http://www.hse.gov.uk/construction/index.htm Also see their infonet and news bulletin sign-up page URL: http://www.hse.gov.uk/construction/ infonet.htm to receive regular free information on construction health and safety

➤ the Internet, a truly global resource for those in the construction industry. Only a very few links have been given here but each of the websites has other links to sources of information. A quick search will also provide numerous sources of specific information.

➤ reports from trade organizations and construction forums, such as CITB (Construction Industry Training Board), CIRIA (Construction Industry Research and Information Association, see Section 9.7.1), CECA (Civil Engineering Contractors Association, see Section 9.7.2) and MCG (Major Contractors Group)

There are several construction health and safety forums to help people discuss and share best practice in the industry. This will assist in the review of standards to determine whether an organization is performing well. Three of the principal organizations are:

➤ CIOB (Chartered Institute of Building) the Health and Safety pages of the CIOB’s website provide all the latest construction health and safety news, as well

9.7.2

1. 2. 3.

Construction health and safety forums

CIRIA – Construction Industry Research and Information Association CECA – Civil Engineering Contractors Association MCG – Major Contractors Group.

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Introduction to Health and Safety in Construction 9.7.3

CIRIA

The Construction Industry Research and Information Association was founded in 1960. In recent times the organizations’ name was shortened to CIRIA. Today, CIRIA is now known solely by its abbreviated name. CIRIA’s mission is to improve the performance of those in the construction and related industries. CIRIA works with the construction industry, government and academia to provide performance improvement products and services in the construction and related industries and currently engages with around 700 subscribing organizations. Activities include collaborative projects, networking, publishing, workshops, seminars and conferences. Each year CIRIA runs about 40 projects, holds over 90 events and publishes 25 best practice guides. CIRIA does not answer technical enquiries. CIRIA provides consensus-driven best practice guidance through publications, seminars, training and multimedia solutions. Many of CIRIA’s members and funders may be able to provide assistance. Website: http://www.ciria.org.uk/faq.htm. Email: [email protected] and assistance will be given where possible. London office: Classic House, 174−180 Old Street, London EC1 V 9BP, UK. Tel: +44 (0) 20 7549 3300; Fax: +44 (0) 20 7253 0523

9.7.4

CECA

The Civil Engineering Contractors Association (CECA) was established in November 1996 at the request of contractors to represent the interests of civil engineering contractors registered in the UK as well as to provide a full range of services to members. CECA promotes the positive contribution that the civil engineering industry makes to the nation. The Industry is an integral part of the economy and provides the transport and other infrastructure necessary for civilized life. CECA’s current membership is in excess of 200 civil engineering companies, which range in size from large and well-known national names to the medium- and smaller-sized company which may operate at a more regional level. CECA’s main objectives are: ➤ to ensure that CECA is and is recognized to be fully representative of British civil engineering contractors ➤ to promote and lobby effectively on behalf of civil engineering contractors ➤ to provide an effective range of services to CECA regional companies and CECA members.

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Website: http://www.ceca.co.uk Contact address: 55 Tufton Street, London SW1P 3QL. Tel: +44 (0) 20 7227 4620; Fax: +44 (0) 20 7227 4621

9.7.5

MCG

The Major Contractors Group (MCG) represents the UK’s large construction companies. MCG’s members carry out over £20 billion worth of construction work each year. MCG represents the interests of major contractors to government and other decision-makers. The MCG’s Health and Safety Charter for member companies is as follows: ➤ Sharing common goals, the member companies of the Major Contractors Group (MCG) are committed to operating construction sites that provide a working environment, which is both safe and free from health hazards for all stakeholders within the construction industry and for members of the public. ➤ MCG member companies working with their supply chains will commit to: ➤ leading behavioural change on all our sites to eliminate accidents and incidence of ill-health ➤ a fully qualified workforce ➤ an effective site-specific induction process before anyone is allowed to work on site ➤ all workers being consulted on health and safety matters in a way that engages them in improving health and safety ➤ exchanging best practice and lessons learned in order to establish the root cause of incidents ➤ raising awareness and insisting on the highest standards of PPE ➤ publishing an annual report of progress made against the commitments of this Charter ➤ reducing the incidence rate of work-related illhealth in the construction industry by health surveillance, education, rehabilitation and reducing exposure. Companies will monitor progress by measuring the total number of days lost due to sickness absence. Website: http://www.mcg.org.uk Contact address: 55 Tufton Street, London, SW1P 3QL. Tel: +44 (0) 20 7227 4503; email: [email protected]

9.8 Practice NEBOSH questions for Chapter 9 1. Outline the benefits to a construction company of maintaining high standards of health and safety.

Construction law and management 2. Outline some of the pressures on managers of construction projects that could lead to accidents on construction sites. 3. A principal contractor needs to employ subcontractors, some of whom may not have English as their first language. Outline how the principal contractor could ensure that all site operatives fully understand site rules with regard to health and safety. 4. The principal contractor on a major new-build project will require a number of sub-contractors to work for him. Outline what health and safety information should be requested from prospective contractors in order to aid the principal contractor to decide which sub-contractors he should appoint. 5. Outline the role of the HSE in improving the health and safety performance of the construction industry. 6. Falls from height are the major cause of accidents in the construction industry, particularly falls from ladders and scaffolds. Outline SIX possible reasons for such accidents. 7. Outline the principal duties of a client under the CDM Regulations. 8. (a) List FOUR duties of designers under the CDM Regulations. (b) Explain, with practical examples where appropriate, how failures on the part of designers to comply with their duties can cause health and safety problems during the construction phase of a project. 9. Outline FOUR duties of each of the following persons under the CDM Regulations: (a) the CDM co-ordinator (b) the principal contractor. 10. Describe, with relevant examples, the information that a principal contractor should provide to other contractors in order to fulfil his duties under the CDM Regulations.

11. A brick-built unit for the storage of packaging materials is to be constructed within a chemical processing plant. With respect to the proposed work, outline the areas to be addressed in the health and safety plan: (a) as received by the principal contractor from the CDM co-ordinator (b) as developed by the principal contractor. 12. (a) Outline the responsibilities of the parties involved in a construction project who have particular duties in relation to the preparation of a health and safety file. (b) Identify the types of information that may be appropriate to include in a health and safety file. 13. With reference to the CDM Regulations: (a) identify the circumstances under which a construction project must be notified to an enforcing authority (b) outline the duties of the client under the Regulations. 14. (a) Outline the main duties of a CDM co-ordinator under the CDM Regulations. (b) Identify FOUR items of information in the health and safety file for an existing building that might be needed by a contractor carrying out refurbishment work. 15. Explain the requirements to inform the HSE about the commencement of work on a construction project. 16. In relation to the CDM Regulations, outline: (a) the circumstances under which the main regulations do not apply to a construction project (b) the meaning of ‘notifiable project’ (c) the particulars that must be provided to the enforcing authority when a project is required to be notified. 17. Outline the sources of published information that may be consulted when dealing with a health and safety problem on a construction site.

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Introduction to Health and Safety in Construction Appendix 9.1 – Summary of application and notification under CDM 2007

Key:

I need some construction work done!

‘Shortcuts always cost more and take longer in the end.’

‘You can get it quicker and cheaper than that!’

Notifiable projects only All projects

Think through what you really want/need cost timing time team needed Notifiable if work is expected to: Likely to be notifiable?

last more than 30 working days; or involve more than 500 person days, e.g. 50 people working for over 10 days and not for domestic client

Yes

No

Choose co-ordinator to help you. Tell them about your business needs See how they can help Tell them what you want them to do Notify HSE Begin design

Appoint competent co-ordinator

Continue design Select key contractors Plan for buildability reviews What do you want in the H&S File Communicate your business needs Ensure critical timings are communicated

Appoint competent designer(s)

Appoint competent designer(s)

}

Appoint competent Principal Contractor

Appoint competent contractor(s)

Appoint competent contractor(s)

Ready to award contracts? Yes

Start work on site

Finish work on site

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}

}

Ensure welfare facilities ready when work begins Ensure there is adequate health & safety plan Introduce all parties Establish continuing liaison between designers and contractors

Ensure continuing liaison Review adequacy of arrangements Establish responsible people to ‘own’ the H&S File

Construction law and management Appendix 9.2 – Pre-construction information ➤ client permit-to-work systems ➤ fire precautions ➤ emergency procedures and means of escape ➤ ‘no-go’ areas or other authorizations requirements for those involved in the project ➤ any areas the client has designated as confined spaces ➤ smoking and parking restrictions.

This is taken from Appendix 2 of the ACOP Managing health and safety in construction, L144 When drawing up the pre-construction information, each of the following topics should be considered. Information should be included where the topics are relevant to the work proposed. The pre-construction information provides information for those bidding for or planning work, and for the development of the construction phase plan. The level of detail in the information should be proportionate to the risks involved in the project. 3. Pre-construction information 1.

Description of project (a) project description and programme details including ➤ key dates (including planned start and finish of the construction phase); and ➤ the minimum time to be allowed between appointment of the principal contractor and instruction to commence work on site. (b) details of client, designers, CDM co-ordinator and other consultants (c) whether or not the structure will be used as a workplace (if so, the finished design will need to take account of the relevant requirements of the Workplace (Health, Safety and Welfare) Regulations 1992) (d) extent and location of existing records and plans.

2.

Client’s considerations and management requirements (a) arrangements for ➤ planning for and managing the construction work, including any health and safety goals for the project ➤ communications and liaison between client and others ➤ security of the site ➤ welfare provisions. (b) requirements relating to the health and safety of the client’s employees or customers or those involved in the project such as: ➤ site hoarding requirements ➤ site transport arrangements or vehicle movement restrictions

Environmental restrictions and existing on-site risks (a) safety hazards, including: ➤ boundaries and access, including temporary access (e.g. narrow streets, lack of parking, turning or storage) ➤ any restrictions on deliveries or waste collection or storage ➤ adjacent land uses (e.g. schools, railway lines or busy roads) ➤ existing storage of hazardous materials ➤ location of existing services, particularly those that are concealed – water, electricity, gas, etc. ➤ ground conditions, underground structures or water courses where these might affect the safe use of plant (e.g. cranes, or the safety of ground work) ➤ information about existing structures – stability, structural form, fragile or hazardous materials, anchorage points for fall arrest systems (particularly where demolition is involved) ➤ previous structural modifications, including weakening or strengthening of the structure (particularly where demolition is involved) ➤ fire damage, ground shrinkage, movement or poor maintenance which may have adversely affected the structure ➤ any difficulties relating to plant and equipment in the premises, such as overhead gantries whose height restricts access ➤ health and safety information contained in earlier design, construction or ‘as-built’ drawings, such as details of pre-stressed or post-tensioned structures (Continued )

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Introduction to Health and Safety in Construction Appendix 9.2 – Continued (b) health hazards, including: ➤ asbestos, including results of surveys (particularly where demolition is involved) ➤ existing storage of hazardous material ➤ contaminated land, including results of surveys ➤ existing structures containing hazardous materials ➤ health risks arising from client’s activities. 4.

(b) arrangements for co-ordination of ongoing design work and handling design changes (c) information on significant risks identified during design (d) materials requiring particular precautions. 5.

The health and safety file description of its format and any conditions relating to its content.

Significant design and construction hazards (a) significant design assumptions and suggested work methods, sequences or other control measures

Appendix 9.3 — Construction phase plan ➤ exchange of design information between the client, designers, CDM co-ordinator and contractors on site ➤ handling design changes during the project ➤ the selection and control of contractors ➤ the exchange of health and safety information between contractors ➤ site security ➤ site induction ➤ on-site training ➤ welfare facilities and first aid ➤ the reporting and investigation of accidents and incidents including near misses ➤ the production and approval of risk assessments and written systems of work ➤ site rules ➤ fire and emergency arrangements.

This is taken from Appendix 3 of the ACOP Managing Health and Safety in Construction L144. When drawing up the construction phase plan, employers should consider each of the following topics. Information should be included in the plan where the topic is relevant to the work proposed. The plan sets out how health and safety is to be managed during the construction phase. The level of detail should be proportionate to the risks involved in the project. Construction phase plan 1.

2.

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Description of project (a) project description and programme details including key dates (b) details of client, CDM co-ordinator, designers, principal contractor and other consultants (c) extent and location of existing records and plans that are relevant to health and safety on site, including information about existing structures when appropriate. Management of the work (a) management structure and responsibilities (b) health and safety goals for the project and arrangements for monitoring and review of health and safety performance (c) arrangements for: ➤ regular liaison between parties on site ➤ consultation with the workforce

3.

Arrangements for controlling significant site risks (a) safety risks, including: ➤ delivery and removal of materials(including waste) and work equipment taking account of any risks to the public (e.g. during access to and egress from the site) ➤ dealing with services – water, electricity and gas, including overhead power lines and temporary electrical installations ➤ accommodating adjacent land use

Construction law and management ➤ stability of structures whilst carrying out construction work, including temporary structures and existing unstable structures ➤ preventing falls ➤ work with or near fragile materials ➤ control of lifting operations ➤ the maintenance of plant and equipment ➤ work on excavations and work where there are poor ground conditions ➤ work on well, underground earthworks and tunnels ➤ work on or near water where there is a risk of drowning ➤ work involving diving ➤ work in a caisson or compressed air working ➤ work involving explosives ➤ traffic routes and segregation of vehicles and pedestrians

➤ storage of materials (particularly hazardous materials) and work equipment ➤ any other significant safety risks. (b) health risks, including: ➤ the removal of asbestos ➤ dealing with contaminated land ➤ manual handling ➤ use of hazardous substances, particularly where there is a need for health monitoring ➤ reducing noise and vibration ➤ working with ionizing radiation; any other significant health risks. 4.

The health and safety file (a) layout and format (b) arrangements for the collation and gathering of information (c) storage of information.

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