The role of the Client as defined in the Construction Design and management Regulations (CDM) 2015.
In this blog we are going to look at the duties and responsibilities of the Client under the Construction Design and Management regulations (CDM) 2015
Introduction
The duty of the client to carry out due diligence.
The Client brief
Checklist of the clients’ duties
Summary
Introduction
The client
The client has a major influence over a project. They have substantial influence including contractual control and their decisions and approach to the project determines the culture of safety though the setting of standards and expectations.
Definition of client:
Organisations or individuals for whom a construction project is carried out.
The client determines:
The time, money and other resources available for projects.
Who makes up the project team, their competence, when they are appointed.
Who does what as the project evolves.
Whether or not the team is encouraged to co-operate and work together effectively
The client is also responsible for making the arrangements for managing and co-ordinating the work of the project delivery team.
Including:
Formally appointing a Principal Designer in writing
Formally appointing a Principal Contractor in writing
Clients are not required or expected to plan or manage projects themselves. Nor do they have to develop substantial expertise in construction health and safety unless this is central to their business operations.
The CDM Regulations place duties on all those who can contribute to the health and safety of a construction project.
Duties are placed upon:
Clients, principal designers, designers, principal contractors. contractors and workers.
The duties and responsibilities of all other duty holders will feature in future blogs.
Where there is more than one contractor, clients must appoint a competent Principal Designer and a Principal Contractor. Those clients without construction expertise will rely on the Principal Designer’s advice as to how they can fulfil their duties.
The relationship between Client and Principal Designer is reciprocal and Principal Designer will need the Client’s support and input to be able to carry out their work effectively.
The client remains responsible for ensuring that the client’s duties are met. The client can novate certain duties over to other duty holders if they wish to and another duty holder is willing to take on a client’s duty.
However. It will always be the responsibility of the client to ensure that the duty is fulfilled.
The duty of the client to carry out due diligence.
The client can and should request a variety of documentation for all duty holders prior to awarding a contract.
Examples of the typical documentation a client can request:
Requests for Information (RFI).
Project directory.
Contractors’ competence checks.
Risk assessments and method statements.
Significant risk registers
Drawings (As build, tender issue, outline design)
Construction phase plan from the Principal Contactor
Crane lift plans
Health and safety file structure
Health and safety file (Existing).
Permits to work (Procedure)
Geo-environmental survey
Site rules
Disciplinary system (Red/yellow cards)
Organigram
Design change procedure.
Insurance
Fire risk assessment & fire plan.
The Client Brief
A clear brief is essential to the success of your project. It sets out key requirements, outlines your vision of the project and communicates the aims and aspirations.
The Client must assist those designing, constructing or using the structure or building with input at an early stage helping to shape how each duty holder approaches, plans and accommodates the Clients requirements.
The client brief outlines the health and safety expectations for the project.
Summary checklist of the clients’ duties as defined in the CDM regulations 2015:
General:
Have suitable arrangements been for managing a project.
Have other duty holders been appointed.
Have sufficient resources been allocated to the project.
Has all relevant information been prepared and provided to all other duty holders.
Are the Principal Contractor and Principal Designer able to carry out their duties.
Has the competencies of all other duty holders been checked.
Have welfare facilities been provided. Duty to ensure/ Duty to provide.
Client brief:
Has the client developed and successfully communicated a client brief.
Has the client outlined the main function and operational requirements of the finished building or structure.
Has the client outlined their expectations during the project, including how health and safety risks should be managed.
Has the client explained the design direction they have in mind.
Has the client established a single point of contact for any client queries or discussions during the project.
Has the client set a realistic timeframe and budget.
Suitable arrangements for managing the project:
Requirements for how the project is to be run, taking into account any risks to the public.
Explanation of how the client selected and appointed designers and contractors to ensure they have the necessary capabilities for the work they are required to do.
Allocation sufficient time and resources to each stage of the project, from concept through to completion
Ensure suitable welfare facilities are in place before works start.
What is expected of the design team to ensure that they consider health and safety risks for the construction phase, as well as when maintaining and using the building once it is built.
Arrangements for procuring the design and construction team, including establishing that designers and contractors are adequately trained, and have the right skills and experience of health and safety.
Arrangements for monitoring designers’ and contractors’ performance, for example by arranging progress meetings with the principal designer and principal contractor to ensure that the project runs in line with your expectations and meets legal requirements. The meetings also give you the opportunity to take action where that is not the case.
The format for the health and safety file or a building manual that incorporates the health and safety file.
Client responsibilities – The pre-construction phase:
Select the project team and formally appoint duty holders in writing.
Ensure duty holders have the necessary capabilities and resources.
Ensure duty holders have the right blend of skills, knowledge, training and experience.
Stage 1,2 and 3 assessments for competency (Please see previous blog which addresses the three-stage competency assessment process)
Ensure all duty holders understand their roles and responsibilities when carrying out the work.
Make specific enquires about their basic health and safety knowledge when carrying out the job in question. This can be done in several ways:
For smaller jobs. look for straightforward evidence from previous construction work.
Publicly Available Specification PAS 91 provides a set of health and safety questions that can be asked by construction clients and those who appoint designers and contractors as part of the pre-qualification process.
Safety Schemes in Procurement (SSIP) member-assessed scheme to find designers or contractors who have been assessed and confirmed by a SSIP Forum member as meeting acceptable health and safety standards.
In house pre-qualification questionnaire.
Provide information to help with design and construction planning:
Provision of relevant information which you may already have, or that can be obtained by sensible enquiries, for example any surveys or the results of other investigations.
Pre-construction information passed on at the earliest opportunity to others, such as designers and contractors. It will highlight risks that may have an impact on the design of the building or structure, as well as on its construction and future use.
Project notification - F10 Notice
Is an F10 Notice required Yes/No.
Has the Health and Safety Executive been notified if the project is notifiable.
If required, has it been submitted by the client or on behalf of the client.
Note.
It is the client’s responsibility to ensure that it has been submitted, even if it is submitted by another duty holder.
Ensure the management arrangements are working:
Have reasonable steps been taken to ensure that the principal designer is complying with their duties.
Ensure the construction phase plan is in place.
Before the work starts. Has a construction phase plan is prepared by the principal contractor.
Is the plan project specific. Does it consider the pre-construction information provided, and is it proportionate to the site risks.
An adequate Construction Phase Health & Safety Plan has been prepared and implemented in accordance with CDM Regulations.
The Contract Health & Safety File is being maintained as required by CDM Regulations.
F10 available (if applicable)
Ensure welfare facilities are in place:
Agreement that the clients existing welfare facilities are available to those carrying out the work.
Has the client asked for confirmation from the principal contractor (or contractor on a single contractor project) of what facilities are being provided.
Has the client carried out a site visit to check that welfare has been provided and is suitable.
Are management arrangements working:
Is the Principal Contractor complying with their duties.
Does the client know what the duties of the principal contractor are.
As the client, you are required to ensure that the arrangements made for managing health and safety during construction are working successfully. You will need to take reasonable steps to ensure that the principal contractor is complying with their duties. This may be carried out through face-to-face progress meetings or via written updates. You are not required to undertake routine monitoring of construction phase activities.
Check completion and handover arrangements:
Will the handover be phased.
As the project nears its end, you should check any arrangements made for its completion and handover.
This could include a phased handover, such as you taking partial possession of finished parts of the building and checking that agreed measures are in place to ensure the health and safety of those in the areas that have been handed over.
Co-operate with the principal contractor:
During the construction work, the responsibility for the site is handed over to the principal contractor.
Have suitable arrangements been made for the principal contractor taking responsibility for the site
Have the arrangements been successfully communicated to all duty holders and interested parties
Your staff, or any contractor you have named or nominated (for example a facilities management team) must comply with the principal contractor’s requirements once responsibility for the site has been handed over to the Principal Contractor.
Preparation of the Health and Safety File:
Has the health and safety file been reviewed and updated to ensure that it contains all necessary information
The health and safety file contains the information needed to ensure the health and safety of anyone carrying out any future construction, demolition, cleaning or maintenance work on your building or structure.
Before it is passed to you, it should have been reviewed and updated to ensure it contains all the necessary information. You may wish to ask for an explanation of what the completed file contains, such as any key risks that need to be managed in the future.
Maintain and make available the health and safety file.
Once the project is completed, the client or the owner of the building must keep the health and safety file.
This can be in an electronic format, on paper, on film or in any other durable form.
Keep the file separate from the building maintenance manual to avoid losing information that may be required urgently.
If responsibility for the premises is passed on or shared, you must give the health and safety file to each new owner and make it available to leaseholders.
You should ensure that they are aware of the nature and purpose of the file.
You must also ensure that the file is regularly revised and updated where required, and that it is available to anyone who may need it to comply with health and safety law.
Summary
The duties of the client in all construction projects is extensive but it need not be complex and Yorkshire Health and Safety can assist you in the successful delivery of all your projects from concept to completion.
At Yorkshire Health and Safety, we build strong relationships with clients based on communication, collaboration, commitment, trust and aligning with your key safety performance goals.
With over 30 years’ experience delivering successful projects for clients and working with clients’ principal contractors, we know the challenges that come with delivering successful projects, be it commercial, industrial, construction manufacturing, housebuilding, refurbishment, shopfitting and office interiors.
If you require further assistance with any of the topics raised in this post or assistance with CDM on your current or future projects, please get in touch.
Yorkshire Health and Safety