Brief guide to purchasing construction work under the Construction Design Management (CDM15) regulations in relation to minor construction works.

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1 INTRODUCTION This guide is for use within the University of Oxford only and is intended for departments who instruct/purchase minor construction works (defi nition below). Under the CDM15 regulations there are duties that must be carried out by duty holders. Please note failure to comply is a criminal offence punishable by unlimited fi nes and, for individuals, imprisonment. The main objective of the regulations is to minimise any health and safety risk in construction work and to ensure the correct and relevant information is available to companies and individuals who carry out such construction work. In addition it sets out a line of responsibility for all those involved, and aims to ensure the individual or organsiations have the necessary skills, knowledge, training and experience to carry out their role. This guide is aimed at construction work that falls below the threshold that requires notifi ying the HSE (Health and safety Executive): Any work scheduled to last 30 working days or more AND involving 20 or more workers at any one time; or exceed 500 person days, requires HSE notifi cation. NOTE: This brief guide to the CDM15 regulation provides an overview and does not intend to be fully exhaustive. Please refer to the HSE CDM15 Guidance for further information - see below. DEFINITIONS Construction Work: The HSE defi nition of construction work is broad and includes any work carried out to a structure. Included in the defi nition are: painting and decorating, demolitions, electrical and data, mechanical (heating and plumbing) and fi tting of fi xtures to a structure. As a note it also includes the assembly of on-site prefabricated elements to form a structure (for example a marquee). Please see the full HSE defi nition: Regulation 2 Interpretation: Minor Construction Work: This is not a legal term under the regulations but a term used by the University of Oxford to defi ne the size of construction work. It is deemed that minor construction work takes less than 6 weeks to complete and/or has a construction value of up to 100, VAT. Anything beyond this must be managed by the Estates Services. Please contact the Estates Services if you are unsure. Number of Contractors: The CDM15 regulation requirements change if more than one contractor is involved with the construction work of a project. If this is the case, then a Principal Designer and a Principal Contractor have to be appointed. For example: If a general builder is appointed to carry out some alterations and sub contracts elements of the project out to other contractors such as electricians or painters and decorators, then this is deemed to have more than one contractor.

2 DEFINED DUTYHOLDERS AND RESPONIBILITIES WITHIN CDM15 The Client: Is the university department for whom a construction project is carried out. - Ensure other dutyholders are appointed. - Allow suffi cient time and resources are allocated to plan and carry out the works. - Ensure the relevant information is prepared and provided to other dutyholders. - Ensure welfare facilities are provided for the Contractors - Ensure the principal Designer and principal Contractor carry out their duties. - Full Client s Guide to CDM15: Principal Designer: Is a designer/ organisation appointed by the client (department) for projects involving more than one contractor. This should be an organisation or individual with suffi cient knowledge, experience and ability to carry out the role. (NOTE: A principal designer must be appointed in writing). - Plan, Manage, monitor and coordinate health and safety in the pre-construction phase of the project. - Identify, eliminate or control foreseeable risks. - Ensure the relevant information is provided to other dutyholders (e.g. provide the information to the principal contractor - see below). - Full Principal Designer s guide to CDM15: ance-principal-designer.pdf Designer: Those who are in the business of modify designs for a building, product or system relating to construction (for example architects, surveyors, engineers or anyone who carries out a design including contractors) - When modifying designs, to eliminate, reduce and control foreseeable risks that may arise during construc tion or while maintaining the building once the works are completed. - Full Designer s guide to CDM15: Principal Contractor: Is the contractor appointed by the client to coordinate the construction phase of a project where it involves more than one contractor. - Plan, manage, monitor and coordinate health and safety in the construction phase of the project. This includes; liaising with the client and principal designer, preparing the construction phase plan, organise cooperation between contractors and coordinating their work. - Ensure site inductions are carried out, maintain security and control access on to a site, making sure workers are engaged in securing their health and safety and welfare facilities are provided. Full Principal Contractor s Guide to CDM: cdm-2015-principal-contractors-printer-friendly.pdf

3 Contractor: Are those who carry out the actual construction work and can be either an individual or a company. - Plan and manage health and safety construction work under their control so that it is carried out without risk to health and safety. - Prepare a construction phase plan. Contractor s guide to CDM15: teractive.pdf Workers: Are the people who work for or under the control of contractors on a construction site. - be consulted about matters which affect health, safety and welfare. - Take care of their own health and safety and others around them. - Report anything they see which is likely to endanger others. - Cooperate with other workers and dutyholders. Worker s guide to CDM15: NOTES ON DUTYHOLDER ROLES - An individual or company can take on more than one role within the CDM15. - If a construction project is going to have more than one contractor then a Principle Designer is required. - Either a designer/consultant is to be employed to carry out this role OR the Principle Contractor is employed to also be Principle Designer OR the client (university department) takes on the role as the Principle Designer. Diagram 1. Example of a construction team set up

4 USEFUL INFORMATION CDM15 Regulations HSE Full Guide to CDM15 University Safety Office Policy Statements HSE Guide to Managing Abesbestos in Buildings HSE Guide to Old Lead Paint HSE Guide to Confined Spaces HSE Guide to Silica Dust Useful App for Contractors to help write a Construction Phase Plan

5 GUIDE TO THE REQUIRED TASKS Identify required construction work Appoint the required designers/consultants including a Principal Designer (if the university department is not taking on these roles). Prepare the Preconstruction information Start the Health and Safety File. Prepare the relevant information required for the project (This could be a brief, drawings, specifi cation and schedule of works for example.) Issue the prepared information to the Principal Contractor or single Contractor. (These should be issued as part of any tender process) Principal Contractor or single Contractor prepares for the construction work and issues their Construction Phase Health and Safety Plan. Principal Contractor appointed if more than one contractor is required. Principal Contractor or single Contractor carrys out the construction work including monitoring and managing health and safety. Principal Contractor to issue operational and building manuals. The Principal Designer to issue the completed Health and Safety File (only if there has been more than one contractor)

6 BRIEF GUIDE TO USING THE PRE-CONSTRUCTION INFORMATION PROFORMA FOR MINOR WORKS Below is an example of a complete form: University of Oxford Estates Services PRE-CONSTRUCTION INFORMATION FOR MINOR CONSTRUCTION WORKS Construction (Design and Management) Regulation 2015 This should be a basic description of the proposed works that encompasses the whole project. Project Address: Murphy's Law Department, University of Oxford, Parks View Lane, Oxford. OX1 1AB. Project Ref: MLD03 Date: 16/10/2015 By: HSS These dates should be reasonable and realistic time periods to allow for preparation and completion of the construction Scope of works: Internal alterations including demolition of internal walls, electrical and heating works, making good and decorations. Installation of an external entrance canopy. Start date: 09/11/2015 Completion date: 26/11/2015 Existing Site Health and Safety Hazards: The building will be kept in use. There are existing electrical services running along walls to be demolished. This should be anything specifi c to the site and works. Anything trhat you think might be considered a hazard (working in a restricted space or next to a laboratory with gas tanks for example) (NOTE: All contractors must have a site induction before starting works) Is there Asbestos: TBC An asbestos demolition and Refurbishment survey is to be taken. Is there an existing Health and Safety file: No. Health and Safety Construction Hazards: Demolition of internal walls. Walls to be checked by a structural engineer. An asbestos demolition and refurbishment survey must be carried out by law to any building built before 2000 if you are demolishing, altering or fi xing to the existing building. Residual Health and Safety Hazards : Access to new canopy gutter will be over a fragile roof. Access via a cherry picker or scaffolding. Welfare: Contractor to use Departments facilities Contractor to supply Principle Designer: Helen Smith (facilities manager of the Depart) Telephone: helens@oxuni.com Any existing Health and Safety fi le must be passed on to contractors working in an existing building. If there isn t one, any information such as existing drawings will help. Dept. Contact/ Safety Officer: Sam Taylor Telephone: samt@oxuni.com Consultant: Philip Reed Structural Engineer. Telephone: pr@reed.org NOTE: All Contractors must be familiar with the university's relevant safety policy statements which can be found at: Any construction hazard specific to the proposed works. This should not be a list of every task (e.g using a hammer), but specifi cs like installing very large windows or working in a confi ned space for example. Copyright of Jessop and Cook Architects Ltd. NOTES: It is not your job to tell contractors how to carry out the task, they should be competent on how to carry out the work safely. If in doubt about any of the above please ask the Estates Services or University Safety Offi ce. Any asbestos removal requires the University Safety Office to be informed beforehand. Workers on site must have access to a toilet, wash facilities, drinking water, a place to change clothing (if required) and a place to rest. In addition contractors may require a site offi ce and storage facilities.

7 BRIEF GUIDE TO USING THE HEALTH AND SAFETY FILE PROFORMA FOR MINOR WORKS Below is an example of a completed form: University of Oxford Estates Services HEALTH AND SAFETY FILE FOR MINOR CONSTRUCTION WORKS Construction (Design and Management) Regulations 2015 Address and location of works. Project Ref: MLD03 Date: 26/11/2015 By: HSS Project Address: Ground floor and entrance area, Murphy's Law Department, University of Oxford, Parks View Lane, Oxford. OX1 1AB. A brief description of the works carried out: Internal walls demolished and openings created in existing walls. Electrical and heating alterations. Areas affected by the works made good and decorated. New external entrance canopy installed. THE FOLLOWING INFORMATION MUST BE CLEAR, CONCISE AND EASILY UNDERSTANDABLE. 1. Any hazards that have not been eliminated through the design and construction processes: Asbestos within the ceilings, limited roof access. This should be a basic description of the completed works carried out. Any known hazards for example asbestos, lead paint,special coatings, fume cupboards or confi ned spaces etc. 2. How have these hazards been addressed: Demolition and refurbishment survey has been taken. Asbestos to internal walls has been removed. Remaining asbestos is marked with labels. List of any surveys, and any action taken to reduce risk from hazards. 3. Key structural principles including safe working loads for floors and roofs: - See Structural engineers drawing: PR 001 Lintel information. - New lean-to canopy will not support additional loading. 4. Hazardous materials used: None. Any information regarding structural changes including new openings in walls, new structures. Safe working loads for fl oors and roofs. 5. Information regarding the removal or dismantling of installed plant and equipment: New electrical heater installed. Electricity to be isolated from the heater before removal. 6. Health and safety information relating to equipment provided for cleaning or maintaining the structure: Guttering to new canopy to be cleaned twice annually. Access by tower scaffolding or platform. Continued on the next page. Any information required to safely maintain or clean a structure which could include how frequently an element should be cleaned, if harness fi xings require annual checks, if scaffolding is required to check the roof etc. Any information regarding special paints, coating, glues, or particular materials that could be be deemed hazardous. Any information regarding plant or equitment such as isolating of power, gas, removing special fi xings or the need of lifting equiptment in order for it to be dismantled or removed.

8 University of Oxford Estates Services HEALTH AND SAFETY FILE FOR MINOR CONSTRUCTION WORKS Construction (Design and Management) Regulations The nature, location and markings of significant services including underground cables, gas supply equipment, fire-fighting services etc.: No changes made. See existing drawings. This will usually be in the form of drawings indicating main service routes. This could also include services such as nitrogen or carbon dioxide gas pipes. 8. Information and as-built drawings of the building, its plant and equipment: See existing marked-up drawings: UES 001 Ground Floor Plan, UES 002 External Canopy. Project Principal Designer: Helen Smith (facilities manager of the Dept.) Tel: Murphy's Law Department, University of Oxford, Parks View Lane, Oxford. OX1 1AB. This could be existing drawings marked up by hand (a photocopied fi re plan for instance could be adapted) or computer aided drawings. Project Principal Contractor: Moustache Contractors Tel: Boars Hill, Oxford. OX35 9UT NOTES: A. This file should be made available to anyone carrying out any future works in the areas identified. B. This file should hold enough detail to allow the likely risks to be identified and addressed by those carrying out the work, and should be proportionate to those risks. C. This file should only hold information that will be relevant when planning future construction work. Materials such as pre-construction information, the construction phase plan, contractual documents, safety method statements should not be included. D. Full Health and Safety Executive guidance on the CDM15 regulations: FURTHER NOTES: The purpose of the Health and Safety File is to make relevant information easily accessible, with the objective of minimising any risk to persons working on a building. A Health and Safety File is only required to be produced if construction projects involve more than one contractor. As a legal requirement the Health and Safety File needs to be produced regardless of the volume of content. In some cases no or very few hazards will be found, but the fi le will ensure a record exists for future reference.