1 Speaker: Tony Mitchell (HSE),Workshop 4a: The risks and pitfalls associated with the appointment of a principal designer Speaker: Tony Mitchell (HSE), Tim Clark (Kendall Kingscott), Richard Parry (Ian Williams Ltd) Chaired by: Stephen Chalmers (Kingsdale Group) Room: Arden Room

2 The Evolving Principal Designer RoleTony Mitchell Principal Inspector Construction, West Midlands

3 The PD – Child of CDM 2015 Born out of necessityCDM-C role was not working The PD Should Strengthen design risk management and co-operation Mirror the PC role in achieving co-ordination Simplify Health and Safety in the pre construction phase

4 CDM 2015 Principal Designer Principal ContractorPre construction phase Liaison phase Construction Phase Principal Designer Principal Contractor Pre construction information CDM Information H&S File Construction Phase Plan BIM Common Data Environment Concept Stage Options Models show mass Site evaluation Risk analysis Design 3D Models Methods of construction Liaison with contractors Site logistics Define end user needs Detailed design Clash detection 4D Models Constructability Using models to communicate Risk mitigation Construction Information on risk informs CPP Visual method statements Handover H&S File Maintenance info Information to inform ongoing risk assessment

5 PD Appointment – 5(1)(a) Required where there is more than one, or reasonably foreseeable to be more than one, contractor Must be appointed in writing Must be in control of pre-construction phase Must be a designer “designer” means any person (including a client, contractor or other person referred to in these Regulations) who in the course or furtherance of a business— prepares or modifies a design; or arranges for, or instructs, any person under their control to do so, relating to a structure, or to a product or mechanical or electrical system intended for a particular structure, and a person is deemed to prepare a design where a design is prepared by a person under their control

6 PD requirements 8(1) - A designer (including a principal designer) ….. appointed to work on a project must have the skills, knowledge and experience, and, if they are an organisation, the organisational capability, necessary to fulfil the role that they are appointed to undertake, in a manner that secures the health and safety of any person affected by the project. 8(2) - A designer …must not accept an appointment to a project unless they fulfil the conditions in paragraph (1).

7 PD – main duties – regs 11 (1 to 7)Role is to plan, manage and monitor the pre-construction phase To co-ordinate the health and safety Pre-construction is defined as any period which design or preparatory work is carried out PD must: assist the Client in identifying, obtaining and collating the pre-construction information provide pre-construction information to Designers, the Principal Contractor and Contractors ensure that Designers comply with their duties and co-operate with each other liaise with the Principal Contractor for the duration of the appointment prepare the Health and Safety file (possible handover)

8 PD role – what is industry trying to achieve?Designers taking responsibility during pre-construction Mirror role to the Principal Contractor (PC) Ability to influence the Client and PC More strategic approach on a project Designers taking responsibility for health and safety Health & Safety part of their design (not at the end) Needs to be an integral part of design – not separate / part of the thought process Added value Reduce no of dutyholders Change accountability and behaviours Perception of delegating H&S to consultant Remove the Notifiable / Non-Notifiable behaviours

9 what we expect of the PD and the professional design institutions in support for developing the role. Encourage & Build Confidence Skills, Knowledge & Training Know CDM2015 Know the Principles of Prevention Know how to influence the Client Know how to manage the design risk process Experience in benefitting from BIM tools Confidence to influence the supply chain Training started i.e. Consultants Forum, RIBA, ICE

10 PD is in control of process of risk management - but Client is keyInput Client brief Standards / Codes Existing Information Assumptions Risks Design Appropriate competency Changes identified Risk information created Output Drawings Calculations Check (errors) & Review (requirements) Client resources PD Client instructs PD …….but Client is entitled to look to PD for leadership in Health and Safety

11 Principal Designer Risks & Pitfalls A Practitioner’s View & ExperienceTim Clark Kendall Kingscott Limited January 2017

12 Principal Designer Risks & Pitfalls A Practitioner’s View & ExperienceWill be looking at: Complying with Duties and ‘Tools’ available Late Appointment, and Types of Appointment Typical Technical Issues Design Changes Not being ‘Kept in the Loop’ Security/ASB Issues Conclusions

13 Complying with Duties Principal Designer duties – as Regulation 11, include… Must plan, manage, monitor pre-construction phase Must identify, eliminate or control, SFARP, foreseeable risks Must take into account General Principles of Prevention More emphasis than the old CDMc role – previously had to ‘ensure’ arrangements were in place

14 Complying with Duties Designer Duties under Regulation 9 of CDM 2015, include… Eliminate, reduce and control risk Take into account General Principles of Prevention Designer duties have not significantly changed from CDM 2007 – but Principal Designer MUST ensure that they carry them out Therefore – risk to the PD from poor Designer performance

15 Tools for Compliance – General Principles of PreventionThese come from the Management of Health & Safety at Work Regulations 1999, Schedule 1 Annex D of CDM 2015 “Industry Guidance for Designers” lists them and gives examples of applying them

16 Tools for Compliance – Red, Amber & Green ListsAnnex E of CDM 2015 “Industry Guidance for Designers” includes the HSE Red, Amber, Green lists

17 Tools for Compliance - ERICGet to know ERIC Eliminate risks where possible Reduce to an acceptable level risks that cannot be eliminated Inform those who need to know of the residual risk i.e. PD, PC, C etc. Control of residual risks, could be by the PC, C and end users, future maintenance contractors

18 Other Tools for ComplianceDesigner Risk Assessments Hazard Reduction and Risk Reduction Checklists CDM Risk Registers Attendance/Minutes of Design Team Meetings Other notes/discussions Reference to HSE Guidance, e.g. HSG 264 Asbestos Survey Guide All help demonstrate that the PD role has been properly executed

19 Late Appointment of PD PD should be appointed as early as possible in the design process (as per Regulations guidance) If not, it could be too late to be effective in reducing design risk APS have letter which refers to ‘modified’ PD role What if you don’t like what you see? Who has been PD up to that point (whether they knew it or not), and what have they done? Being named as PD on the F10 form when most of the design was completed without your involvement – not very appealing?

20 Types of Appointment – Principal Designeri) Principal Designer For projects where also appointed as designer ii) Principal Designer For projects where not appointed as designer – has been clarified as acceptable by APS that a Designer rather than the Designer can fulfil the role (initially we thought this was not the case)

21 Types of Appointment – Adviseriii) CDM Consultant/Adviser For projects where not acting as designers, and those involved do not have sufficient knowledge, experience or ability to undertake the role without assistance Not a dutyholder under CDM 2015 May be of use in larger /complex schemes, M&E design lead schemes, and design and build Prior to APS clarification, we thought this was the only alternative where we were not already the designer for the project

22 Typical Issues - AsbestosCorrect type of survey - to HSG 264 by competent person Refurbishment Demolition Survey required for works, not a Management survey Rather that telling the qualified asbestos surveyor what to do, give them the details of the scheme and let them advise what is necessary for providing a targeted/localised R&D Survey suitable for the proposed works Place responsibility with the competent person, otherwise who is responsible for the scope of the survey? Watch out for caveats - read surveys carefully! Occupied premises/contractor design works – two stage process? Archetypes/cloning – again, take advice (refer to HSG 264)

23 Typical Issues – Work At HeightEdge Protection Sufficient height for duration of works? Think about when insulation is laid Can edge details be formed with kickboards in place? Are alternative provisions required, e.g. exclusion zones at ground level? Fragile Surfaces How to temporarily protect – barriers, deck below? Can activities continue beneath? Avoid specifying – see R/A/G lists

24 Typical Issues – Work At HeightFall Restraint versus Fall Arrest Fall arrest stops a fall that has already happened, whereas.. Fall restraint stops a fall from occurring by restricting movement Therefore, where possible always go for fall restraint Prevention, rather than (a potentially very dangerous) cure Maintenance Works When are ladders appropriate? – short term, e.g. less than 30 minutes

25 Typical Issues – Work At HeightHSE WAIT Toolkit suggests methods other than ladders for a light task, despite equipment moves less than 30 minutes apart Food for thought…..... WAIT - Work at Height Access Information Toolkit

26 Typical Issues - Security/Anti-Social Behaviour MattersVacant premises Squatters Syringes VIP properties, ‘Visit In Pairs’ Need to consider how to protect the workforce, whilst paying due regard to data protection issues .

27 Design Changes Construction phase design changes need to be considered to the same extent as pre commencement design This is to eliminate the introduction of unintended risks into the project Process for dealing with these if PD appointment ended at commencement? Still need to have availability of competent person to advise in this regard

28 PD not being ‘Kept in the Loop’Need to be wary of PD ‘box having been ticked’, and then being isolated from the design process – remember your duties Be wary if communications dry up

29 Conclusions The Principal Designer role is a significant responsibility with legal duties Need to have the relevant skills, knowledge, training and experience to fulfill the role In order to adequately discharge the duties, close liaison is required with the Designer(s), Client, and Principal Contractor Demonstrative involvement required in the role of PD – more than the CDM Co-ordinator It remains to be seen whether Designers will embrace the Principal Designer role or whether ‘specialists’ will be required to provide support indefinitely

30 Impact on Service ProvidersRichard Parry Ian Williams

31 The Contractors ConundrumThe responsible contractor carries an obligation Can a contractor be a designer? Principal Contractor also the Principal Designer? Good or bad idea? Simply acquiesce? – The responsible contractor will not want to simply agree where they know it is wrong to do so A contractor may only accept the PC or the PD role where they can demonstrate a sufficient mix of skill, knowledge and experience that is relevant to the project for each role Inevitably many contractors will aim to avoid PD duties in all but the most simplistic of construction projects Mission creep?

32 Doing the right thing? Housing Association client awards work packages to three separate contractors Multiple but similar projects over 7 areas Three separate contractors all given written letters of appointment as PD No indication in bid documentation of PD requirement 3 x PD inputs = inconsistency Contractor options?

33 Supplementary conditions to an invitation to bid (extract)

34 Extract – Design and buildDoing the right thing Extract – Design and build

35 A dual role – desirable? It is a client duty to appoint a PD not the principal contractor’s The client must appoint a PD in writing (reg.5 CDM 2015) The majority of the PD role occurs pre-construction phase. Appointment therefore must be as early as possible, ideally at the concept stage Adoption of role during life of the project Failure in timely appointment could result in additional cost and cause delay Failure to appoint results in client adoption of these roles

36 Doing the right thing? Conception of the project / Outline specification If foreseeable that more than one contractor will be involved a Principal Designer (PD) to be appointed PD advises the client on the content and adequacy of the PCI PCI and project put out to tender PD assists in selection of a Principal Contractor (PC) Appointment of a Principal Contractor Project start PC and PD liaison during the construction phase PD liaison and influence on any ongoing design changes PD completes the H&S file

37 The way it (sometimes) appearsConception of the project / Outline specification Client fails to recognise the implications of more than one contractors involvement Client draws up a tender document / model contract without the assistance of a PD Tender document issued for contractor bid ignoring the need for PD & PC appointment Client recognises the implications of more than one contractors involvement Client draws up a tender document / model contract without the assistance of a PD Tender document issued for contractor bid by seeking to discharge PD duty by contract through the PC Client by default adopts the roles of both the PD & PC Consequences Failure to comply with CDM? Delay where PCI info falls short of that required Client may well retain the roles of both the PD & PC Civil (contract) law v Statute Law PD advises the client on the content and adequacy of the PCI PD advises the client on the adequacy of the C Phase plan PC and PD liaison during the construction phase PD completes the H&S file

38 Pre construction phaseTimely PD involvement PD PC PC Pre construction phase Liaison phase Construction phase PD PD Principal Designer Principal Contractor CDM Info Pre construction information H&S File Construction phase plan Make suitable arrangements for managing a project to include the allocation of sufficient time and other resources. Provide pre construction information. The information must: be relevant to the particular project; have an appropriate level of detail; and be proportionate to the risks involved.

39 Areas of concern A contractual clause in tender docs requiring the contractor to fulfil PD role as a contractual condition for award may not be wise Any appointment of a PD in the liaison or construction phase, then the client must ‘brief’ the incoming PD on any design risks or considerations that arise from design activity in the pre-construction phase A potential for conflict? Where a contractor has to discharge by the involvement of a competent third party. Appointment ought to be subject to client agreement bearing in mind their legal obligation The PD can be an organisation or an individual that has: the technical knowledge of the construction industry relevant to the project; the SKE to understand, manage and coordinate the pre-construction phase, including any design work carried out after construction begins. If an organisation it must have the organisational capability.

40 The contractors take on itThe PD manages health and safety, mainly in the pre-construction phase of a project The PD role extends to the construction phase through the PD duty to liaise with the PC and designers for ongoing design work The PC manages the construction phase of a project The PC has to liaise with the client and the PD throughout the project to include the pre-construction phase once appointed

41 Skill, knowledge and experienceClient should check all duty holders have ... Principal Designers shouldn’t accept unless they have ... Principal Contractors shouldn’t accept unless they have ... And the PC should not appoint (sub) contractors unless they have checked that they have ... Regulation 8 CDM 2015 All duty holders must have the skills, knowledge and experience to fulfil their role. If an organisation they must have the capacity to fulfil. Must not accept a role unless above is fulfilled. Person appointing is to check. Co-operate Report to person in control of a project anything that endangers. Provide information or instruction (must be comprehensible) Applicable to all working on a project.

42 Questions? Speakers: Tony Mitchell, HSE Tim Clark, Kendall KingscottRichard Parry, Ian Williams