These regulations set out the requirements for all duty holders involved in a construction project to ensure that the works are carried out as safely as possible.
Whilst there are a number of duty holders under the CDM Regs, this article will focus on the responsibilities of commercial clients ("Clients"), the possible consequences for non-compliance and practical steps to ensure these consequences are avoided.
Which construction projects do the CDM Regs apply to?
The CDM Regs apply to almost all construction work in the UK, including work carried out in domestic households. "Construction work" is widely defined as "the carrying out of any building, civil engineering or engineering construction work". A "construction site" includes any place where construction work is being carried out or to which workers have access. Projects ranging from domestic improvements (such as extensions and renovations) to large-scale infrastructure such as the building of a new housing estate or office building would fall under the CDM Regs.
The CDM Regs apply throughout the lifetime of a project. A Client has duties before, during and after construction. Designers and contractors also have duties as soon as they are appointed.
Who is a Client under the CDM Regs?
Under the CDM Regs, a "Client" means any person for whom a project is carried out. If you are having construction work done in connection with your business, then you are a commercial client and therefore the client duties sit with you. There can be more than one client to any project. It is open to clients to agree amongst themselves that only one of them will be responsible for ensuring compliance with the CDM Regs.
If you are having construction work done in your home and it is not connected to your trade or business, you are a domestic client. A domestic client's duties pass to the people carrying out the construction work (the Contractor/Principal Contractor).
What duties do Clients have?
A Client's primary duty is to make suitable arrangements for managing a project. This is an ongoing duty meaning the Client must ensure that arrangements are put in place, maintained and reviewed throughout the project's life cycle.
Part of these arrangements is responsibility for ensuring that the other duty holders under the CDM Regs are appointed and that those appointed to these roles have the adequate skills, knowledge and experience to fulfil their duties. The other duty holders are:
- Contractor(s)/Principal Contractor - these are the persons responsible for the construction element of the project. Where there is more than one contractor, a Principal Contractor will be appointed, who is responsible for ensuring overall compliance with the contractor duties under the CDM Regs; and
- Designer(s)/Principal Designer - these are the persons responsible for the design phase of the project and ensuring that health & safety measures have been put in place on site.
The Client is also responsible for providing any applicable pre-construction information to the other duty holders. The Client must ensure sufficient time and resources are allocated and relevant information is prepared and provided to other duty holders.
The Client must ensure that the sole or principal contractor prepares a construction phase plan before construction works begin. They must also ensure that the principal designer prepares a health and safety file.
If a project is scheduled to last longer than 30 working days and have more than 20 workers on site at any point, or the construction work is scheduled to exceed 500 person-days, the HSE must be notified. A client can notify the HSE by submitting an F10 online form available via the HSE website.
What happens if a Client doesn’t comply with requirements under the CDM Regs?
The HSE has the power to take enforcement action if a breach of the CDM Regs is found. The enforcement action taken will depend on the nature and severity of the breach that has occurred. The steps that can be taken include:
- Improvement notices/prohibition notices - these can stop the works being carried out until certain imposed changes are made by a Client to ensure compliance; and
- Prosecution - in the most serious of cases, the HSE can recommend to COPFS that prosecution proceedings be raised. This can result in large financial penalties and possible imprisonment.
Breaches can have wider implications for a Client too. Given the nature of the works being conducted, a breach of the CDM Regs can lead to workplace accidents, which can be severe in nature and sometimes fatal.
Breaches of the CDM Regs are often found by the HSE following such accidents, however, they can also be found during routine inspections or incidentally during reviews of unrelated incidents.
I'm a client on a project; what practical tips can you give me?
A Client's duties under the CDM Regs are focused on making suitable arrangements to ensure adequate health & safety provisions are made for the lifetime of a project. The key component for a Client to comply with their duties is through appointing competent persons/organisations to conduct the works. A Client must satisfy themselves that any Contractors or Designers working on a project have the prerequisite skills to complete the works that they are being instructed to do. Second to this, making available all relevant information held by you relating to the project is vital.
Practically speaking, a Client should ensure that:
- Good records are kept of the decision-making process for appointment of Contractors and/or Designers;
- Any relevant information relating to the project is retained for the lifetime of the project and for any period thereafter as deemed necessary (for example, if further works are anticipated in future, these records should be retained to assist with that); and
- Records are maintained of any reviews carried out, ensuring that the appointed Contractors/Designers remain suitable for the roles being carried out - if the scope of works changes at any time, it would be expected that roles should be reassessed at that stage.
It's important to highlight that Contractors and Designers have their own separate duties under the CDM Regs that they must adhere to. You should be careful not to step on your fellow duty holder's toes. Regular, clear communication will help to ensure that all duties are being adhered to and allow for greater management of health and safety risks.
If you are looking to speak to someone about the duties placed on Clients under the CDM Regs in more detail, or any health & safety steps you need to take when managing a project, please do contact a member of our health & safety compliance team and they would be happy to assist.
