Construction (Design and Management) Regulations 2015 - Legal Compliance Audit.

Information

Audit Title
Client / Site
Conducted on
Prepared by
Department/Section

Duty Holders

Client:
Principal Designer:
Designer(s):
Principal Contractor:
Contractor(s):

Client Duties

Regulation 4 (1) Have sufficient time and recourses been allowed for the project (take advice from other duty holder if necessary).
Regulation 4 (1) (b) Arrangements / evidence for ensuring suitable welfare facilities are in place for contractors prior to the construction phase starting on site.
Regulation 4 (3) Evidence for ensuring the client arrangements, for managing the project, are reviewed and maintained throughout the duration of the project.
Regulation 4 (4) Has the client provided pre-construction information to designers and contractors?
Regulation 4 (5) (a) Arrangements / evidence for ensuring the construction phase plan is in place prior to works commencing.
Regulation 4 (5) (b) Arrangements / evidence for ensuring that the principal designer prepares a health and safety file for the project.
Regulation 4 (6) (a) Arrangements / evidence for ensuring the principal designer comply with their respective duties.
Regulation 4 (6) (b) Arrangements / evidence for ensuring the principal contractor comply with their respective duties.
Regulation 5 (a) Has a principal designer been appointed in writing (projects with more than one contractor).
Regulation 5 (b) Has the principle contractor been appointed in writing (projects with more than one contractor).
Regulation 6 Where applicable has the HSE been notified via the F10?
Regulation 6 Where applicable is the F10 displayed on site.
Regulation 8 (3) Are Client arrangements in place to satisfy themselves that those who will be carrying out the work have the skills, knowledge and experience and , when applicable, organisational capacity to undertake the work in a way that secures health and safety?
Regulation 8 (4) Where applicable are arrangements in place for cooperation when working on or in relation to a project, at the same or on an adjoining site.
Regulation 8 (6) Ensure any information or instructions provided by the client are comprehensible and provided as soon as practicable.

Principal Designer Duties

Regulation 11 (1) What arrangements / evidence is there for planning, managing and monitoring and coordinating matters relating to health and safety during the pre-construction phase of the project.
Regulation 11 (2) What arrangements / evidence are there for confirming the principles of prevention have been taken into account regarding the construction phase plan and any existing health and safety file?
Regulation 11 (3) What arrangements / evidence are there to ensure foreseeable risks have been identified?
Regulation 11 (4) Arrangement / evidence that they are ensuring designers comply with their respective duties and cooperate with each other.
Regulation 11 (5) Arrangements / evidence for ensuring coordination and cooperation between everyone working on the pre-construction phase of the project.
Regulation 11 (6) (a) Arrangements / evidence for assisting the client in the provision of pre-construction information and assessing the adequacy of the information.
Regulation 11 (6) (b) Arrangements / evidence that where in the control of the principal designer they have provided pre-construction information to appointed (or those being considered for appointment) duty holders.
Regulation 11 (7) Arrangements / evidence that the principal designer is liaising with the principle contractor and sharing information relevant to the planning, management, monitoring and the coordination of health and safety matters during the construction phase of the project.
Regulation 12 (3) Has the principal contractor been supplied pre-construction and design information to assist him in preparing the construction phase plan?
Regulation 12 (6) Arrangements / evidence for ensuring the health and safety file reviewed updated and revised as the work progresses.
Regulation 12 (8) Where applicable is there arrangement for passing the health and safety file over to the principal contractor should the principal designer’s appointment end.
Regulation 12 (10) Arrangements for passing the health and safety file over to the client on completion of the project.
Regulation 8 (1) Does the principal designer have the skills, knowledge and experience relevant to the type of work?
Regulation 8 (4) Where applicable are arrangements in place for cooperation when working on or in relation to a project, at the same or on an adjoining site.
Regulation 8 (5) Arrangement for any person working under the control of others to report anything they are aware of that is likely to endanger the health and safety of any person.
Regulation 8 (6) Ensure any information or instructions provided by the principal designer are comprehensible and provided as soon as practicable.

Designer Duties

Regulation 9 (1) Are arrangement in place to ensure that the client are aware of their duties
Regulation 9 (2) Arrangements / evidence that the principles of prevention have been taken into consideration for the whole life of the project (construction, cleaning and use as a workplace).
Regulation 9 (3) Arrangements / evidence for reducing risk and where appropriate controlling and residual risk through the design process.
Regulation 9 (4) Where necessary has the designer taken reasonable steps to provide, with the design, sufficient information about the design to assist other duty holders to comply with their respective duties?
Regulation 8 (1) Does the designer have the skills ,knowledge and experience relevant to the type of work.
Regulation 8 (4) Where applicable are arrangements in place for cooperation when working on or in relation to a project, at the same or on an adjoining site.
Regulation 8 (5) Arrangement for any person working under the control of others to report anything they are aware of that is likely to endanger the health and safety of any person.
Regulation 8 (6) Ensure any information or instructions provided by the designer are comprehensible and provided as soon as practicable.

Principal Contractors Duties

Regulation 13 (1) Are arrangement in place to ensure that the client is aware of their Duties.
Regulation 13 (2) (a) Have design, technical and organisational aspects been taken into consideration when planning, managing and monitoring the construction phase to ensure the various stages of the construction work is carried out without the risk to health or safety (either simultaneously or in succession) .
Regulation 13 (2) (b) Has the principal contractor estimated the period of time required to complete the work or work stages.
Regulation 13 (3) (a)(b) Arrangements / evidence that the principal contractor has for organising cooperation between contractors on the same construction site, including compliance with their applicable legal requirements for health and safety.
Regulation 13 (3) (c) (i)(ii) Arrangements /evidence that the principal contractor ensures that contractors, and if necessary for the protection of works, self-employed persons apply the principles of prevention and follow the construction phase plan.
Regulation 3 (4) (a) Has the principal contractor provided a suitable site induction.
Regulation 13 (4) (b) Have necessary steps been taken to prevent unauthorised access to the site.
Regulation 13 (4) (c) Are there suitable and appropriate welfare facilities available throughout the construction phase of the project.
Regulation 13 (5) Arrangements / evidence that the principal contractor liaises with the principal designer for the duration of the principal designer’s appointment and shares any information in regards to the planning, management and monitoring of the pre-construction phase and coordination of health and safety matters during the pre-construction phase.
Regulation 14 (a) Arrangements / evidence for involving the workforce to promote and check the effectiveness of measures relating to health, safety and welfare.
Regulation 14 (c) Arrangements / evidence for ensuring and information / documentation relating to health, safety and welfare are readily available to workers on site.
Regulation 12 (1) Was the construction phase plan drawn up prior to the construction phase commencing.
Regulation 12 (2) Does the construction phase plan set out appropriate health and safety arrangements and rules for the construction activities taking place on site.
Regulation 12 (4) Is the construction phase being reviewed, updated and revised as required as the work progresses to ensure the work is undertaken without risk to health and safety.
Regulation 12 (7) Is the principal contractor providing the principal designer with information for inclusion into the health and safety file.
Regulation 12 (9) Are there arrangements in place to ensure that in a situation where the health and safety file is passed to the principal contractor the file is reviewed, updated and revised as necessary to take into account any changes to the work that has occurred.
Regulation 12 (10) Arrangement for passing over the health and safety file at the end of the project where the principal contractor is responsible for the file (should the principal designers role cease before the project is complete).
Regulation 8 (1) Does the principal designer have the skills, knowledge and experience relevant to the type of work.
Regulation 8(4) Where applicable are arrangements in place for cooperation when working on or in relation to a project, at the same or on an adjoining site.
Regulation 8 (5) Arrangement for any person working under the control of others to report anything they are aware of that is likely to endanger the health and safety of any person.
Regulation 8 (6) Ensure any information or instructions provided by the principal contractor are comprehensible and provided as soon as practicable.
Regulation 17 (1)(2)(3) Does the site have safe access and egress and is the site kept safe without risk to health and safety. If areas of the construction site do not have safe access and egress are people prevented from gaining access to these areas.

Contractors Duties

Regulation 15 (1) Has the contractor taken steps to satisfy themselves that the client is aware of their duties under these regulations.
Regulation 15 (2) Arrangements / evidence that all work under their control is planned, managed and monitored to secure health and safety.
Regulation 15 (3)(a)(b) Arrangements / evidence that when working on projects with more than one contractor they comply with any direction given by the principal contractor and principal designer. Including any relevant parts of the construction phase plan.
Regulation 15 (4)(a)(b) If there is only one contractor have they taken into account the principles of prevention when design, technical and organisational aspects are being decided when planning the various stages of the work. And estimating the period of time required to complete the work or work stages.
Regulation 15 (5) When applicable has the contractor drawn up a construction phase plan prior to starting work on site.
Regulation 15 (6) Were applicable does the construction phase plan set out the health and safety arrangements appropriate to the construction activities taking place on site.
Regulation 15 (8) Has the contractor provided each worker under their control appropriate supervision, instruction and information so the work can be carried out safely.
Regulation 15 (9)(a) Have worker received a suitable site induction (if not provided by the principal contractor).
Regulation 15 (9)(b) Are there procedures to be followed in the event of serious and imminent danger.
Regulation 15 (9)(c) Are workers provided with information on risks to health and safety identified by risk assessment (under Reg 3 MHSWR) or arising out of another contractors undertakings.
Regulation 15 (9)(d) Any other information to enable the worker to comply with the statutory provisions.
Regulation 15 (10) Have reasonable steps been taken to prevent unauthorised access to the site.
Regulation 15 (11) Are suitable welfare provision provided for anyone under the contractors control.
Regulation 8 (1)(2) Does the contractor have the skills, knowledge and experience relevant to the type of work. The contractor must not accept appointment unless they fulfil these requirements.
Regulation 8 (4) Where applicable are arrangements in place for cooperation when working on or in relation to a project, at the same or on an adjoining site
Regulation 8 (5) Arrangement for any person working under the control of others to report anything they are aware of that is likely to endanger the health and safety of any person.
Regulation 8 (6) Ensure any information or instructions provided by the contractor are comprehensible and provided as soon as practicable.
Regulation 17 (1)(2) Does the site have safe access and egress and is the site kept safe without risk to health and safety. If areas of the construction site do not have safe access and egress are people prevented from gaining access to these areas.