Contractor Management of Notifiable Construction Projects, Non Notifiable Construction Projects, Non Construction Projects (BAU)

Transcription

1 Title Contractor Management of Notifiable Construction Projects, Non Notifiable Construction Projects, Non Construction Projects (BAU) Reference Number AR-RMD-HSMS17 DOCUMENT HISTORY Review dates Issue Date Issue Date Amendment(s) 0.1 Nov Oct May May May Sept May Nov Jan Dec Jan March 17 Sect 3.5, change to BP12. If authorised by NPMA procedures, Issuing permits-to-work, as appropriate, clearly identifying to the permit receiver 1. Any further actions required 2. The time-scale within the necessary precautions 3. Any isolations to be applied 4. Clearly identify the actions required if the work cannot be completed as specified within the permit New title of policy Full review of policy with Estates & Facilities Services following the new CDM Regulations 2015 Changed support services to professional services. Change of VC name. 6.0 Jan - 08 Author Name: P Varley Sarah Day Andy Lefley Reviewer Name: HSPG Authorised by Name: I. Martin Vice Chancellor Issued by Name: AR-RMD-HSMS17/Issue 12.0 Page 0 of 36

2 Contractor Management of Notifiable Construction Projects, Non Notifiable Construction Projects, Non Construction Projects (BAU) Table of Contents AR-RMD-HSMS17 1. Executive Summary Contractor Management of Notifiable Construction Projects, Non Notifiable Construction Projects, Non Construction Projects (BAU) Policy Application Responsibilities and Requirements Vice Chancellor Health and Safety Policy Group Director of Estates and Facilities Services, Faculty Deans and Directors of Support Services Contract Manager / s Representative Designer Designers Contractor Contractors Workers s Representative (Construction Project Manager (CPM)) Procedure Notifiable and Non-Notifiable Construction Work CDM2015 Flowchart CDM2015 Milestones Identification of Contractors Mid-Tender Meeting Appraisal of Tenders Site Inaugural Meeting Execution of Works Post Contract Review Reference Appendix 1 - Pre-Construction Information Appendix 2 - Information to Request from a Contractor Appendix 3 - Construction Phase Plan Check Sheet Appendix 4 - Construction Site Health and Safety Inspection Form Appendix 5 - Flowchart demonstrating how different types of information relate to and influence each other in a construction project involving more than one Contractor Appendix 6 Contractors Registration Form and Entry Permit AR-RMD-HSMS17/Issue 12.0 Page 1 of 36

3 1. Executive Summary All work at Anglia Ruskin University which falls within the remit of the Construction (Design and Management) Regulations 2015 shall be overseen by Estates and Facilities Services, with practical control being assigned to the director of E&FS. This policy is in place to assist E&FS in selecting competent contractors and ensuring the health and safety of those involved in the site works. Where possible, the site area will be segregated from areas to which others (Anglia Ruskin University staff, students etc) have access. Where this is not possible the work activities of the contractors within areas to which others have access will be monitored. The policy is accompanied by health and safety guidance notes for the contractors, covering such aspects of their work as accident reporting, personal protective equipment, first aid etc. All contractors, prior to working on any site, should complete the attached (Appendix 6) contractors registration form and entry permit. Originating Legislation: Health and Safety at Work Act 1974 Management of Health and Safety Regulations 1999 Construction (Design and Management) Regulations 2015 BS9999 Other relevant documents: Health and Safety Management System Risk Assessment Control of Substances Hazardous to Health (CoSHH) AR-RMD-HSMS22 AR-RMD-HSMS26 AR-RMD-HSMS17/Issue 12.0 Page 2 of 36

4 2. Contractor Management of Notifiable Construction Projects, Non Notifiable Construction Projects, Non Construction Projects (BAU) 2.1 Policy Anglia Ruskin University is committed to ensuring that all its employees and contractors are consistently provided with a level of competent health and safety management appropriate to the degree of risk associated with their activities. Anglia Ruskin University will ensure, so far as is reasonably practicable, that the risks to the health and safety of staff, students, contractors and visitors will be managed in compliance with the Health and Safety at Work etc. Act 1974, the Management of Health and Safety at Work Regulations 1999 and other appropriate regulations and guidance. With regard to building works that fall within the remit of the Construction (Design and Management) Regulations 2015 (hereafter, the CDM Regulations), Anglia Ruskin University will adopt the provisions of the CDM regulations as setting minimum standards. This procedure is applicable to non-construction contracts and both notifiable and non-notifiable construction contracts. The level and depth of application will be dependent on the complexity of the project, project risks, and those requirements for notification under CDM2015. To comply with the relevant legislation and guidance, Anglia Ruskin University will: Appoint competent persons, within (RM), to assist Anglia Ruskin University in understanding, coming to terms with and complying with the regulations Clearly define the role of all personnel in order to help them to effectively meet their responsibilities within the university health and safety management system (HSMS) Ensure that all staff are suitably trained to deal with the health and safety issues relevant to their position Provide suitable and sufficient information, instruction, training and supervision to all relevant staff, students and visitors Ensure effective liaison with local authorities and other external bodies where appropriate Ensure that work carried out by contractors meets the standard of health and safety Require all works that fall within the remit of the CDM regulations to be carried out in compliance with them AR-RMD-HSMS17/Issue 12.0 Page 3 of 36

5 2.2 Application It is policy of Anglia Ruskin University to ensure that the selection of contractors takes into account their health and safety record, policies and procedures. When planning projects that fall within the remit of the CDM Regulations, Anglia Ruskin University will comply with the requirements of the CDM regulations and require the selected contractors to do the same. Furthermore, Anglia Ruskin University will ensure, so far as is reasonably practicable, the health, safety and welfare of contractors whilst working on behalf of Anglia Ruskin University. This policy document applies to those responsible for managing such projects (i.e. the director of Estates and Facilities, the contract manager and their managers and supervisors). 3. Responsibilities and Requirements 3.1 Vice Chancellor The vice chancellor has overall responsibility for the establishment, ongoing development, implementation, monitoring and review of the HSMS 3.2 Health and Safety Policy Group The health and safety policy group (HSPG) have been delegated operational responsibility for planning and guiding the ongoing development, implementation, monitoring and review of the HSMS, including this procedure 3.3 Director of Estates and Facilities Services, Faculty Deans and Directors of Support Services This group of people are responsible for the implementation of this procedure within their area of responsibility. This will vary, dependant on their skills, knowledge and experience (SK&E) and therefore required competence to fulfil the role for the contract works, including the selection requirements for notifiable, non-notifiable and non-construction projects. They must ensure the tender process, selection, assessment and control of contractors meets the requirements of this procedure and are appropriate to the level of risk. The director of Estates and Facilities services must fulfil the role of client on all ARU construction projects both notifiable and non-notifiable or authorise in writing a suitable representative. AR-RMD-HSMS17/Issue 12.0 Page 4 of 36

6 There are a number of strict liabilities and duties required of the client (and all other duty holders under CDM2015), and the penalties for noncompliance can be severe. A copy of the Permit to Work Procedure document is available from Estates and Facilities Services. 3.4 Contract Manager/ s Representative The contract manager/client s representative is responsible for, and key to the control and management of all activities associated with the nonconstruction contract. The contract manager/client s representative may be authorised in writing to act as the client for construction contracts The contract manager/client s representative will be involved with the director of Estates and Facilities Services, faculty deans and directors of support services during the tender and subsequent selection and assessment process for contractors employed on non-construction contracts. The contract manager/client s representative is a key party in terms of the planning, implementation and monitoring of all contracts. The contract manager/client s representative must ensure that all processes within this procedure have been followed, implemented and documented from contract conception through to contract completion. Included within this project assurance function will be meeting minutes, where, among other items, will be an opportunity to table for discussion health and safety issues, challenges and recognised good practice. The contract manager/client s representative will be the primary point of contact for all contractors and is responsible for providing relevant information to the right people at the right time to help ensure all works can be planned and carried out safely without undue hazards and their associated risks being presented to all persons including students, staff and visitors. 3.5 s are organisations or individuals for whom a construction projects carried out. This will normally be the director of Estates and Facilities services or an authorised deputy. Summary of role/main duties: Make suitable arrangements for managing a project. This includes making sure: AR-RMD-HSMS17/Issue 12.0 Page 5 of 36

7 Other duty holders are appointed; Sufficient time and resources are allocated; Relevant information is provided to other dutyholders; The principal designer and principal contractor carry out their duties, and; Welfare facilities are provided throughout the construction phase. For more information please consult paragraphs of the HSE CDM2015 Guidance Publication L Designer designers are designers appointed by the client in projects involving more than one contractor. They can be an organisation or an individual with sufficient skills, knowledge and experience to carry out the role. Summary of role/main duties: Plan, manage, monitor and coordinate health and safety in the preconstruction phase of a construction project. This includes: Identifying, eliminating or controlling foreseeable risks; Ensuring designers carry out their duties; Prepare and provide relevant information to other dutyholders; Provide relevant information to the principal contractor to help them plan, manage, monitor and coordinate health and safety in the construction phase. For more information please consult paragraphs of the HSE CDM2015 Guidance Publication L Designers Designers are those, who, as part of a business, prepare or modify designs for a building, product or system relating to construction work. AR-RMD-HSMS17/Issue 12.0 Page 6 of 36

8 Summary of role/main duties: When preparing or modifying designs, designers must eliminate, reduce or control foreseeable risks that may arise during construction and the maintenance and use of a building once it has been built; Provide information to other members of the project team to help them fulfil their duties. For more information please consult paragraphs of the HSE CDM2015 Guidance Publication L Contractor contractors are appointed by the client to coordinate the construction phase of a project where it involves more than one contractor. Summary of role/main duties: Plan, manage, monitor and coordinate health and safety in the construction phase of a project. This includes: Liaising with the client and principal designer; Preparing the construction phase plan; Organising cooperation between contractors and coordinating their work. Ensuring that suitable site inductions are provided; That reasonable steps are taken to prevent unauthorised access; That workers are consulted and engaged in securing their health and safety, and; That welfare facilities are provided throughout the duration of the construction [phase. For more information please consult paragraphs of the HSE CDM2015 Guidance Publication L Contractors Contractors are those who do the actual construction work and can be either an individual or a company. Summary of role/main duties: AR-RMD-HSMS17/Issue 12.0 Page 7 of 36

9 Plan, manage and monitor construction work under their control so that it is carried out without risks to health and safety; For projects involving more than one contractor, coordinate their activities with others in the project team in particular, comply with directions given to them by the principal designer or principal contractor, and; For single contractor projects, prepare a construction phase plan. For more information please consult paragraphs of the HSE CDM2015 Guidance Publication L Workers Workers are the people who work for or under the control of contractors on a construction site. Workers must: Be consulted about matters which affect their health, safety or welfare; Take care of their own health and safety and others who may be affected by their actions; Report anything which they see which is likely to endanger their own or others health and safety, and; Cooperate with their employer, fellow workers, contractors and other duty holders s Representative (Construction Project Manager (CPM)) The role of a CPM is a non-legislative role under CDM2015. While it is recognised teams deliver outcomes and outputs, construction projects must be managed and led by an individual in order to achieve success. The CPM must possess the requisite skills, knowledge and experience to deliver the role of CPM and an assessment of their skills, knowledge and experience must be carried out by ARU (regardless of whether the role is being delivered by an internal or external resource) using the same process as for the appointment of other CDM2015 dutyholders. The construction project manager or contract manager may be an individual or a team. For projects and works that fall under CDM2015 this may also AR-RMD-HSMS17/Issue 12.0 Page 8 of 36

10 include the role of principal contractor, principal designer or designer. This however, will be at ARU s discretion. In line with the principles identified in this document the good practices for both notifiable and non-notifiable construction projects will be followed at all times by the client s representative. The minimum requirements to undertake the role of a construction project manager on ARU construction projects are as follows: Formally assessed qualification from the Association for Project Management (for example the APMP or Prince 2 Practitioner as an equivalent); Five years experience in the role of construction project manager; Demonstrable experience and proven track record of delivering construction projects in higher education establishments and environments, and; Full membership (or working towards) of a recognised and relevant professional institution, association or body is responsible for: Providing support, as requested, to E&FS and attending health and safety inspections, if requested and appropriate 4. Procedure 4.1 Notifiable and Non-Notifiable Construction Work To ensure contracts are managed in a consistent manner the steps identified below should be adhered to and followed. Dependant on the scope of works to be undertaken within the contract each step will vary in depth. All efforts to manage health and safety must be proportionate with the risks identified this is particularly important for both notifiable and nonnotifiable construction projects. Identification of the works Identification of the contractors AR-RMD-HSMS17/Issue 12.0 Page 9 of 36

11 Information to be given to a contractor (Appendix 1) Information to request from a contractor (Appendix 2) Mid-tender meeting Appraisal of tenders for the works Site inaugural meeting Supply of spares and materials Arrangements for co-operation and co-ordination Execution of the works Post contract review Further to the above, all contracts relating to construction work, as defined within CDM2015, will be required to comply with the CDM2015 Regulations. For clarity, under CDM2015, construction work means the carrying out of any building, civil engineering or engineering construction work and includes a). The construction, alteration, conversion, fitting out, commissioning, renovation, repair, upkeep, redecoration or other maintenance (including cleaning which involves the use of water or an abrasive at high pressure, or the use of corrosive or toxic substances), de-commissioning, demolition or dismantling of a structure; b). The preparation for an intended structure, including site clearance, exploration, investigation (but not site survey) and excavation (but not pre-construction archaeological investigations), and the clearance or preparation of the site or structure for use or occupation at its conclusion; c). The assembly on site of prefabricated elements to form a structure or the disassembly on site of the prefabricated elements which, immediately before such disassembly, formed a structure; AR-RMD-HSMS17/Issue 12.0 Page 10 of 36

12 d). The removal of a structure, or of any product or waste resulting from demolition or dismantling of a structure, or from disassembly of prefabricated elements which immediately before such disassembly formed such a structure; e). The installation, commissioning, maintenance, repair or removal of mechanical, electrical, gas, compressed air, hydraulic, telecommunications, computer or similar services which are normally fixed within or to a structure, But does not include the exploration for, or extraction of, mineral resources, or preparatory activities carried out at a place where such exploration or extraction is carried out. CDM2015 applies to all construction work, however, some construction work (a project) may be required to be notified (under Regulation 6 of CDM2015) to the Health and Safety Executive (HSE). A project is notifiable if the construction work on a construction site is scheduled to Last longer than 30 working days and have more than 20 workers working simultaneously in the project: or exceed 500 person days. Where there is more than one contractor, or if it is reasonably foreseeable that more than one contractor will be working on a project at any time, the client must appoint in writing; a). A designer with control of the pre-construction phase as principal designer, and; b). A contractor as principal contractor The appointments must be made as soon as is practicable, and in any event, before the construction phase begins. If a client fails to appoint a principal designer, the client must fulfil the duties of the principal designer in Regulations 11 and 12 of CDM2015. If a client fails to appoint a principal contractor, the client must fulfil the duties of the principal contractor in Regulations 12 to 14 of CDM2015. AR-RMD-HSMS17/Issue 12.0 Page 11 of 36

13 4.2 CDM2015 Flowchart Anglia Ruskin University Higher Education Corporation The following flowchart provides a guide to the application of CDM2015 for projects involving one or more contractor. The flowchart identifies the processes involved for notifiable and non-notifiable construction projects. AR-RMD-HSMS17/Issue 12.0 Page 12 of 36

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15 4.3 CDM2015 Milestones Anglia Ruskin University Higher Education Corporation 01 Planning and preparation (initial/concept design phase) Deliverable Confirm if the project will be a single or more than one contractor project. to draft and issue their management arrangements which must identify how the health, safety and welfare of all will be secured. If it is a more than one contractor project the client must formally appoint in writing a principal designer after reasonable steps have been taken to confirm their skills, knowledge and experience if they are an individual, or their organisational capability if they are an organisation. PAS 91 and SSiP should be reference /adhered to here. An assessment of individual skills, knowledge and experience of all those being considered for appointment at this stage should be undertaken. An assessment of organisation capability of all those being considered for appointment at this stage should be undertaken. Designers initiate design work. Duty Holder Lead Appointing party Appointing party All designers and principal designer Supported by Designers complete a designer review checklist. All designers Designers open and create a designer risk register (DRR). All designers, led by the principal designer designer reviews the DRR and circulates. designer implements their project assurance processes to ensure the principal designer is discharging their duties. designer plans, manages and monitors the pre-construction phase and ensures the designers are discharging their duties., with input from the principal designer, prepares the preconstruction Information. The pre-construction Information is issued to all designers and contractors who have been appointed to date and /or who are being considered for appointment. designer designer The health and safety file is opened and commenced. designer If it is already known the project will be notifiable to the HSE, the F10 should be produced, submitted to the HSE and issued to the relevant members of the team. AR-RMD-HSMS17/Issue 12.0 Page 14 of 36

16 02 Implementation (Pre-Construction and Detailed Design Phase) Designers continue with ongoing design development and detailed design. Specialist designers are appointed as necessary - after reasonable steps have been taken to confirm their skills, knowledge and experience if they are an individual or their organisation capability if they are an organisation. Designers Appointing party Designers update the DRR. Designers designer reviews the updated DRR and circulates. Designers designer continues to plan, manage and monitor the Pre-construction phase and ensure the designers are discharging their duties., with input from the principal designer, updates and reissues the pre-construction information. implements their project assurance processes to ensure the principal designer is discharging their duties., with input from the principal designer reviews and updates the pre-construction information. The revised and updated pre-construction information is issued to all designers and contractors who have been appointed to date and/or who are being considered for appointment. The health and safety file is reviewed and updated. The F10 is reviewed and updated as necessary and resubmitted as additional information F10 to the HSE and issued to the relevant members of the team. designer designer designer 03 Implementation (Pre Construction Design Phase /Tender Returns from Contractor) Evaluate health and safety sections of tender returns, focusing on: SK&E assessments of individuals proposed to deliver key roles in the construction phase; Organisational capability assessments of each tendering principal contractor; Reviews of the proposed construction phase plan from each tendering principal contractor ensuring the construction phase plans are site specific, and that they clearly set out how site specific hazards, their associated risks, and all other constraints which have AR-RMD-HSMS17/Issue 12.0 Page 15 of 36

17 an impact on health and safety will be controlled and managed. Formal written appointment of the principal contractor is made., with input from the principal designer reviews and updates the pre-construction information. The revised and updated pre-construction information is issued to all designers and the principal contractor and all other contractors who have been appointed to date and/or who are being considered for appointment. designer designer provides information to the principal contractor which aids the principal contractor in preparing the construction phase plan. Construction phase plan is produced and issued to the relevant members of the team. designer reviews the construction phase plan to ensure it has been suitably and sufficiently developed in terms of health and safety risk management to adequately control the site specific hazards, their associated risks and all other constraints which have been identified and which have an impact on health and safety. to assess SK&E and organisational capability of all parties they are considering for appointment as the principal designer during the construction phase. to formally appoint in writing the principal designer for the pre-construction phase within the construction phase. designer begins to interface with the principal contractor. Designers continue with ongoing design development and detailed design. Specialist designers and contractors are appointed as necessary - after reasonable steps have been taken to confirm their skills, knowledge and experience if they are an individual, or their organisation capability if they are an organisation. designer contractor designer designer Designers Appointing party Designers update the DRR. Designers designer reviews the updated DRR and circulates. Designers The health and safety file is reviewed and updated. The F10 is reviewed and updated as necessary and resubmitted as subsequent additional information F10 to the HSE and issued to the relevant members of the team. designer AR-RMD-HSMS17/Issue 12.0 Page 16 of 36

18 designer continues to plan, manage and monitor the pre-construction phase and ensure the designers are discharging their duties. designer implements their project assurance processes to ensure the principal designer is discharging their duties. A pre-start meeting is held where the final draft of the construction phase plan is issued. contractor 04 Implementation (Construction Phase) designer continues to plan, manage and monitor the pre-construction phase and ensure the designers are discharging their duties. designer contractor plans, manages and monitors the construction phase and ensure the contractors are discharging their duties and that construction work is being carried out safely. contractor, with input from the principal designer reviews and updates the pre-construction information. The revised and updated pre-construction information is issued to all designers and the principal contractor and all other contractors who have been appointed to date and/or who are being considered for appointment. client designer implements their project assurance processes to ensure the principal designer and principal contractor are discharging their duties. contractor organises and manages cooperation and coordination between all contractors to ensure they are discharging their duties. contractor ensures that; A site induction is provided; Necessary steps are taken to prevent unauthorised access, and; All welfare provisions are compliant with Schedule 2 of the CDM2015 Regulations for the duration of the construction phase. contractor contractor AR-RMD-HSMS17/Issue 12.0 Page 17 of 36

19 contractor liaises with the principal designer for the duration of the principal designer s appointment. designer liaises with the principal contractor for the duration of the principal designer s appointment. Construction phase plan is reviewed and updated as necessary to ensure it reflects works progress and is issued to the relevant members of the team. The F10 is reviewed and updated as necessary and resubmitted as subsequent additional information F10 to the HSE and issued to the relevant members of the team. contractor designer contractor Designers update the DRR. Designers designer reviews the updated DRR and circulates. Designers The health and safety file is reviewed and updated. Ownership of the health and safety file is formally transferred to the principal contractor if the principal designers appointment concludes prior to the end of the construction phase. designer designer 05 Completion and Handover Health and safety file is handed over to the client at practical completion (by the principal designer if their appointment still exists, or by the principal contractor if the principal designer s appointment has already concluded). designer / principal contractor 4.4 Identification of Contractors The project team, in identifying contractors who they would like to invite to tender, must use a mix of information, all gathered from a previous expression of interest (EoI) or pre-qualification questionnaire (PQQ) before officially going out to tender (OtT). Within the EoI/PQQ stages initial skills, knowledge and experience and organisational capability must assessed, together with such aspects as financial standing and credibility, statutory enforcement history, accident, injury and ill health statistics and resource levels. This information, together with evidence the interested parties have successfully delivered the same roles on similar projects (size, value, environment, etc) before will enable ARU to identify contractors whom they wish to tender to. For construction projects, the intent identified in CDM2015 is to follow the SSIP and PAS 91 model for construction procurement. ARU s policy is to adhere to this and ensure that all contractors they engage are a member of AR-RMD-HSMS17/Issue 12.0 Page 18 of 36

20 one of the SSIP accredited schemes and that their wider procurement strategy follows the process identified in PAS 91. When tenders are issued the tendering contractors must receive, as an appendix to the pre-construction information, the Anglia Ruskin University minimum contractor requirements for health and safety. This document will identify the ARU standards for items such as personal protective equipment, permit to work procedures, risk assessment and method statement submission to ARU, induction, competency, ToRC procedures, traffic management, open days and graduations, lifting operations, temporary works, asbestos, smoking on site, etc. 4.5 Mid-Tender Meeting During the tender period the ARU construction project manager or contract manager for non-construction contracts may find it appropriate and useful to hold site meetings with representatives of the tendering contractors in order to discuss any concerns and to gain an understanding of their approach to managing health and safety management during the contract. 4.6 Appraisal of Tenders The construction project manager and contract manager for nonconstruction contracts will ensure all tender returns are evaluated in line with the ARU policy and procurement protocols. This will include the evaluation of all commercial, technical and health and safety aspects. 4.7 Site Inaugural Meeting This meeting will discuss and cover in depth the applicable points of the contract outlined in Appendix 1 and Appendix 2 of this document with regard to the technical aspects of the works and the arrangements for managing health and safety. Minutes of the meeting should be taken and issued to all parties. Where the works fall under CDM2015, the construction phase plan (CPP) should be reviewed in the meeting (where possible this should be requested prior to the meeting). The CPP check sheet in Appendix 3 should be used to ensure the relevant information relating to the works has been included within the CPP. 4.8 Execution of Works Prior to the commencement of the works, a formal site meeting shall be held to ensure: All details supplied by the contractor for site/contract management and supervision match those identified in the tender, the contract and which were outlined at the inaugural meeting; AR-RMD-HSMS17/Issue 12.0 Page 19 of 36

21 All contractor employees attend a site induction which is recorded and where a pass/fail test must be sat at the end of the induction; All contractor competences are checked to be valid and in date; During the works the construction project manager or contract manager will liaise with the contractor to discuss any issues relating to health and safety, and to observe: o That the correct PPE is provided and in use; o That tools and equipment are of a suitable standard; o That copies of all accident/incident/near miss reports have been actioned; o That any statutory notices required by the HSE, or other enforcing authorities are appropriately displayed; o That joint health and safety inspections between ARU and the contractor are being conducted with findings recorded and actions closed out; o That risk assessments and method statements are still valid, are signed by all workers carrying out tasks to which they relate and that their contents are understood by the workers; o That agreed changes to the work programme and work specification have been adopted, and; o That regular health and safety meetings are occurring during the course of the works The construction site health and safety inspection form in Appendix 4 should be used as an aid to ensure all key points are covered during site establishment, and further as a record of inspections throughout the works. 4.9 Post Contract Review Within one calendar month of completing the contracted works a post contract review meeting should be held to identify and discuss lessons learned during the contract. The lessons learned should form the basis of an improvement plan for the management of future similar contracts. Minutes of the meeting must be taken and circulated to all concerned parties. If the contract works have created any modifications to existing buildings and systems within them the contract manager should ensure all relevant AR-RMD-HSMS17/Issue 12.0 Page 20 of 36

22 information is centrally recorded. Examples of information to obtain include, but are not limited to: Relevant drawings; Key features of the change(s); Records of meetings including site inspections, and; Requirements for training relevant to people in respect of the change(s). In the case of a project falling under CDM2015 it is a statutory requirement of the principal designer or principal contractor to compile and deliver a health and safety file to the client on practical completion and handover. While the health and safety file is a requirement under CDM2015, the principles of producing such a document should be used as good practice and adopted by ARU where all contracted works are undertaken. 5. Reference L153 (Managing Health and Safety in Construction (HSE Guidance on the CDM 2015 Regulations)) PAS 91 (Construction Pre-Qualification Questionnaires) (Safety Schemes in Procurement) Anglia Ruskin University Minimum Contractor Requirements for Health and Safety AR-RMD-HSMS17/Issue 12.0 Page 21 of 36

23 Appendix 1 - Pre-Construction Information 1. The Appendix gives guidance on the requirements for pre-construction information and the actions on each dutyholder. Appendix 5 shows how pre-construction information relates to and influences other types of information during a construction project involving more than one contractor. What is pre-construction information? 2. Pre-construction information provides the health and safety information needed by; (a). designers and contractors who are bidding for work on the project, or who have already been appointed to enable them to carry out their duties; (b). principal designers and principal contractors in planning, managing, monitoring and coordinating the work of the project. Pre-construction information provides a basis for the preparation of the construction phase plan (see Appendix 3). 3. Pre-construction information is defined as information about the project that is already in the client s possession or which is reasonably obtainable by or on behalf of the client. The information must: (a). be relevant to the particular project; (b). have an appropriate level of detail; and (c). be proportionate to the risks involved. 4. Pre-construction information should be gathered and added to as the design progresses and reflect new information about the health and safety risks and how they should be managed. Preliminary information gathered at the start of the project is unlikely to be sufficient. 5. When pre-construction information is complete, it must include proportionate information about: (a). the project, such as the client brief and key dates of the construction phase; (b). the planning and management of the project such as the resources and time being allocated to each stage of the project and the arrangements to ensure there is cooperation between dutyholders and the work is coordinated; (c). the health and safety hazards of the site, including design and construction hazards and how they will be addressed; (d). any relevant information in an existing health and safety file. AR-RMD-HSMS17/Issue 11.0 Dec2015 Page 22 of 36

24 6 The information should be in a convenient form and be clear, concise and easily understandable to help other dutyholders involved in the project to carry out their duties. What must dutyholders do? The client 7 the client has the main duty for providing pre-construction information. They must provide this information as soon as practicable to each: (a) (b) designer (including the principal designer); and contractor (including the principal contractor) being considered for appointment, or already appointed to the project. For projects involving more than one contractor, the client can expect help from the principal designer appointed for the project (see paragraphs of this Appendix) who must assist the client in drawing this information together and providing it to the designers and contractors involved. For single contractor projects, it is the client s responsibility alone although they should liaise with the contractor (and any designer) they appoint to provide whatever information is needed. 8 The pre-construction information will evolve as the project progresses towards the construction phrase. At first, drawing together the information should involve identifying relevant documents the client already holds. These might include a health and safety file produced as a result of earlier construction work, any surveys or assessments that have already been carried out (eg asbestos surveys), structural drawings etc. For projects involving more than one contractor, the client must pass this information to the principal designer as soon after their appointment as possible. In liaison with the principal designer, the client should then: (a). assess the adequacy of this information to see if there are significant gaps; (b). take reasonable steps to obtain the information needed to fill any gaps identified by, eg commissioning relevant surveys; and (c). then provide the information to every designer and contractor as soon as practicable. 9 The stage at which it is practicable to provide information will depend on a number of factors such as the scale and complexity of the project, when dutyholders are appointed and when information is obtained. However, the client, together with the principal designer, must also take account of when designers and contractors will need AR-RMD-HSMS17/Issue 11.0 Dec2015 Page 23 of 36

25 pre-construction information to enable them to carry out their duties. For example: (a). designers or contractors who are seeking appointment for work on the project should have sufficient information made available to them at a time which allows them to put together a bid based on a clear understanding of the nature of the work involved; (b). designers already appointed should be provided with sufficient information at a stage early enough to enable them to judge whether it is reasonably practicable to eliminate any foreseeable health and safety risks in the design process and, where it is not, the steps they should take to reduce or control the remaining risks. It may not possible to provide to this information all at once, in which case it should be provided as soon as it becomes available; (c). contractors already appointed should be provided with the information they will need to plan, manage and monitor their work. The designer 10 The designer must take account of the pre-construction information when preparing or modifying designs. They must be provided with this information by the client as soon as practicable (see paragraphs 7-9 of this Appendix), assisted by the principal designer where appropriate (see paragraphs of this Appendix). The information should be: (a). (b). sufficient to enable the designer to judge whether it is reasonably practicable to eliminate foreseeable risks in their designs, and, where it is not, help identify the steps they should take to reduce and control the remaining risks; and provided at a stage where designers can take account of it as early in the design process as it practicable. The principal designers 11 The principal designer must help the client in providing the preconstruction information to each designer and contractor appointed, or being considered for appointment. The extent of the help required will depend on the nature of the project, the risks involved and the client s level of knowledge and experience of construction work. Taking this into account, the principal designer should agree with the client the level of support the client needs to ensure the information is made available when others need it. 12 Soon after their appointment, the principal designer should be provided with any relevant information the client already holds. This might include any health and safety file produced as a result of earlier construction work, any surveys that have already been carried out (eg AR-RMD-HSMS17/Issue 11.0 Dec2015 Page 24 of 36

26 asbestos surveys), structural drawings etc. The principal designer must then help the client to: (a). assess the adequacy of this information to see if there are significant gaps; and (b). take reasonable steps to obtain the information needed to fill the gaps identified by, eg commissioning surveys. 13 As far as it is within their control, the principal designer must then work with the client to provide the information in a convenient form and as soon as practicable. The information provided to those seeking appointment must be sufficient and in good time to allow them to put together a bid based on a clear understanding of the nature of the work involved. After their appointment, the stage at which information is provided will depend on factors such as the scale and complexity of the project, and when the information is obtained. However, the principal designer, together with the client, must also take account of when designers and contractors will need pre-construction information to enable them to carry out their duties. The client guidance (see paragraph 9 of this Appendix) is also relevant for principal designers. The principal contractor 14 The principal contractor has no specific duty in relation to preconstruction information. However, they must liaise with the principal designer for the duration of the principal designer s appointment and share any information relevant to the planning, management, monitoring or coordination of the pre-construction phase. The contractor 15 The contractor has no specific duty in relation to pre-construction information. However, for projects involving more than one contractor, contractors must cooperate with the client, principal designer and principal contractor to ensure the pre-construction information is right. AR-RMD-HSMS17/Issue 11.0 Dec2015 Page 25 of 36

27 Appendix 2 - Information to Request from a Contractor Signed health and safety policy statement Health and safety statistics relating to lost time accidents, injuries and ill health over the previous 3 years Arrangements for monitoring health and safety performance Induction process (including assessment of understanding) Site rules Outline risk assessment and method statements relevant to the works Proposed site management arrangements and structure Arrangements for safety supervision and competencies Schedule of meetings (daily, weekly, monthly, toolbox talks) Safety staff representation Emergency arrangements (fire and first aid) Accident and incident investigation procedure, including near miss reporting Safety incentive schemes (including KPI s) Use of and selection of supply chain partners Welfare arrangements Occupational health monitoring and arrangements Drug and alcohol testing Document control procedures Permit to work procedures Traffic management arrangements AR-RMD-HSMS17/Issue 11.0 Dec2015 Page 26 of 36

28 Waste management and re-cycling procedures Security arrangements Services (water, electric) Temporary works procedures Use of Eeplosives only expected to be relevant for certain demolition works Minimum standards relating to PPE (Personal Protective Equipment) The above is a guide and will apply in general to most projects. Should the scope of works identify the requirement for other information the list should be populated to meet those requirements. Should the project fall under the scope of CDM2015 a construction phase plan must be drawn up and supplied by the principal contractor before works commence. AR-RMD-HSMS17/Issue 11.0 Dec2015 Page 27 of 36

29 Appendix 3 - Construction Phase Plan Check Sheet Company Name Description of Project (CPP Check Sheet) Project description and programme details including any important dates. Details Details of project team, including: designer Designer(s) contractor Contractor(s) other consultants Management of Work Management structure and responsibilities Health and safety goals for the project and arrangements for monitoring and review of health and safety performance Health and safety arrangements for the construction phase Site rules Arrangements for: Co-operation between project team on site, client and co-ordination of work Consultation with the workforce The exchange of design information between the client, designers, principal designers 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 AR-RMD-HSMS17/Issue 11.0 Dec2015 Page 28 of 36

30 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 safe systems of Work Fire and emergency procedures Arrangements for controlling significant risks Safety risks including (but not restricted to the following): Delivery and removal of materials (including waste) and work equipment taking account of any risks to the public Dealing with services water, electricity and gas, including overhead lines and temporary electrical installations Accommodation adjacent land use Stability of structures, whilst carrying out construction work, including temporary structures and existing unstable structures Preventing falls Work with or near fragile materials Work involving the assembly or dismantling of heavy, prefabricated components Work near high voltage cables Work on excavations and work there are poor ground conditions Work on wells, underground earthworks and tunnels Work exposing workers to the risk of drowning Work carried out by divers having a system of air supply Work in a caisson with a compressed air system Work involving explosives AR-RMD-HSMS17/Issue 11.0 Dec2015 Page 29 of 36

31 Traffic routes and segregation of vehicles and pedestrians Storage of materials (particularly hazardous materials) and work equipment Work which puts workers at risk from chemical and biological substances Work with ionising radiation requiring the designation of controlled or supplied areas Health Risks, including (but not restricted to the following) The removal of asbestos Dealing with contaminated land Manual handling use of hazardous substances, particularly where there is a need for health monitoring (for example materials containing lead) Reducing noise and/or vibration Exposure to UV radiation (from the sun) Control of dust Any other significant health risk The Health and safety File Layout and format Arrangements for co-ordination and gathering of information Storage of information Significant design and construction hazards Significant design assumptions and suggested work methods, sequence or other control measures Arrangements for co-ordinating of ongoing design work and handling design changes Information on significant risks identified during design Materials requiring particular precautions Temporary works (classification) Class 0: low risk (basic construction methods), shallow trenches not exceeding 1.2m depth no significant surcharge of groundwater, low-rise formwork at AR-RMD-HSMS17/Issue 11.0 Dec2015 Page 30 of 36

32 ground/excavation level max 2.4m double sided, standard scaffolds to TG20:13 tables, site hoarding and fencing up to 2m high. Single storey welfare cabins Class 1: low to medium risk (routine construction methods), use of components to catalogue design for support in pits and trenches to CIRIA97 trenching practice, design scaffolds/loading platforms to TG20:13 tables, double sided form work with access platforms at ground/excavation level, single sided formwork to 2.4m, formwork/falsework at not more than 6m height. Permanent formwork e.g. metal decking, mobile crane outrigger pads in good ground, crane to 50Te Class 2: medium to high risk (specialist construction methods) departures from catalogue design for standard components, propping involving multiple props on multiple levels, demolition/dismantling, back propping designs special designed scaffolds, excavation using waling frames, piling, demolition and carnage platforms, outrigger foundations in good ground crane exceeds 50Te, designed lifting equipment, barge mounted equipment, conventional tower crane AR-RMD-HSMS17/Issue 11.0 Dec2015 Page 31 of 36

33 AR-RMD-HSMS17/Issue 11.0 Dec2015 Page 32 of 36

34 Appendix 4 - Construction Site Health and Safety Inspection Form AR-RMD-HSMS17/Issue 11.0 Dec2015 Page 33 of 36

35 Appendix 5 - Flowchart demonstrating how different types of information relate to and influence each other in a construction project involving more than one contractor AR-RMD-HSMS17/Issue 11.0 Page 34 of 36 Dec2015