RIBA - Principal Designer's Handbook - 2015

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RI BA 1/# Publishing
RI BA -~Publishing
II
CONTENTS
About The Association for Project Safety VI

Acknowledgements VI
Who can be the Principal Designer? VIII

Role requ irements IX
1 THE PRINCIPAL DESIGNER ROLE 1

1.1 Role overview 2
1.2 Different role responsibilities 6
1.3 Commercial projects 7
1.4 Domestic projects 14
1.5 Partial design service 17
If' A DE ':R IN PRACTICE

2. 1 Appointment and fees 22
2.2 Pre-Construction Info rmation 28
Publisher: Steven Cross
Principal Designer's Handbook
2.3 Pre-Construction Information development 33
© The Associati on f or Project Safety, 2015 Production: R1chard Bl ackburn
2.4 General Principles of Prevention 37
Published by RIBA Publishmg, part of RIBA Enterprises Lt d, Designed and Typeset: Kalina Norton, Studto Kalinka
The Old Post Off•ce. St Nicholas Street. Newcastle upon Tyne,
2.5 Particular risks 40
tuustrat1ons: Pages 6, 12, 13, 33 and 35- John Banks
NE11RH
Pages 7, 9, 14, 15, and 18- Andrew Leslie
2.6 Design Risk Management 42
ISBN 978 1 85946 692 6 Page 34- Grant Bulloch Architect Ltd I 2.7 Preparing the Health and Safety File 51
Andrew Leslie
Stock code 87202
Printed and bound by Page Bros, Norwoch, UK
The right of The Associatoon for ProJeCt Safety to be identified as 3 LIAISON WITH THE PRINCIPAL CONTRACTOR 55
the Author of thos Work has been asserted in accordance with the While every effort has been made to check the accuracy and
Copynght. Desogns and Patents Act 1988 sections 77 and 78. quahty of the mformatton gtven in this publication, neither
3.1 The Construction Phase 56
All nghts reserved. No part of thos pubt1cat1on may be reproduced,
the Author nor the Publisher accept any responsibility for the 3.2 Continuing liaison during the Constru ction Phase 58
subsequent use of thts mformation, for any errors or omissions
stored tn a retrieval system. or transmttted, in any form or by any
that tl may contam, or for any mtsunderstandmgs arising from it.
3.3 The defects liability period 60
means, electrontc, mechantcal, photocopytng, recording or other-
wtse. wtthout pnor permisston of the copyright owner. www.nbaenterpnses.com
Bntosh Library Catalogumg-on-Publ•cat1on Data
A catalogue record for this book os available from the
Bnt•sh Library.
PRINCIPAL DES IGNE R'S HANDBOOK
., :NTS FOREWORD
I
4.1 Resourcing, fees and appointment 62
4.2 Pre-Construction Information 68 This Handbook has been prepared to assist organisations and individuals to
4.3 Design Risk Management 71 deliver t he new Principal Designer ro le introduced to the construction industry
4.4 Health and Safety File 75 by the COM 2015 Regulations on 6 April2015. It is primarily aimed towards
the needs of the single pract itione r or small/medium size practices who offer
0 Principa l Designer services either as a stand-alone service or in add ition to
5.1 Precis of the duties of various duty holders under COM 2015 84 other design services.
5.2 General duties 85
5.3 Client 86 The Handbook is intended to assist the industry achieve a proportionate
5.4 Principal Designer [Pre-Construction Phase) 88 respo nse to Health and Safety Design Risk Management in the Pre-Construction
5.5 Designer 90 Phase by helping those who have sufficient health and safety skill, knowledge
5.6 Principal Contractor 91 and experience to carry out the Principal Designer role where they fee l confident
5.7 Contractors 93 to do so.
5.8 Workers 95
5.9 COM Adviser 96 The COM 2015 Regu lations have presented the indust ry with a signifi cant
cha llenge to change the way it delivers design and construction hea lth and
safety coord ination. The coordination of all project design work and Design
Training and support 100 Risk Management with respect to health and safety in t he Pre-Co nstruction
Bibliography and reference material 102 Phase has been placed firmly within the rem it of the Principal Des igner. COM
2015 changes the whole dynamic of how and when consideration of desig n risk
commences and concludes.
This authoritative Hand book draws from the skill, k nowledge and experience
of APS members practising as design risk practitioners to the construction
industry for many years, and adds to that the experience gained from the initial
period of COM 2015. The Handboo k is easily consulted and provides a quick
reference reso urce for both new Principal Designers and experienced design
risk practitioners.
Over and above the practi ca l, day- to -day demands of regulato ry compliance
and making COM 2015 work, the industry faces a highe r level, strategic
challenge to make construction hea lthier and sa fer for all invo lved in or
affected by it. COM 2015 w ill mean different thi ngs to different people.
However, we are all in agreement about worker protection and sustainable ,
safe and healthy des ign.
Richard G. Wilks, President, The Association for Project Safety
IV v
PRINC IPAL DESIGNER"S HANDBOOK
About The Association for Project Safety INTRODUCTION
The Association for Project Safety [APS] is the leading membership body for
Pre-Construction design and construction health and safety risk management.
Its aims are to improve and promote the professional practice of design and
construction health and safety risk management. The Association works to set
standards and provide guidance, ed ucation and training.
The Principal Designer's Handbook is aimed speci f ically at Desig ners taking
on th e ro le of Pr incipa l Designe r on a small/medium sized project, and is
intended to help t hem understand the ir responsibilities in relat ion to the COM
Regulations 20 15. The Principal Designer cont rols t he Pre-Construction Phase
of a construction project, re lating to health and safety.
I
Acknowledgements Thi s Handbook w ill not generally re ite rate th e content of the Guidance or
Regu lations [L 153] or t he Construction Industry Traini ng Board [C ITB] guides.
Contributors
It is assumed that readers will have acquired, read and assimilated t he
Editorial team: John Banks, Andrew Leslie, John Nielsen and Stella Saunders
contents of t hese documents.
Other contributors
Gillian Birkby and Graham Leech
VI VII
PRINCIPAL DESIGNER'S HANDBOOK
6. On a commercial project, if a Client fails to appoint a Principal Designer,

Who can be the Principal Desiqner?
I
the obligation to fulfil the Principal Designer duties falls on the Client
Where there is li ke ly to be more than one Contractor at wor k on a by default, whether or not they have the necessary skills, knowledge
project at any time, the Client for that project must appoint, in writing, and exper ience.
a Principal Designer.
7. On a domestic proj ect, if a Client fa ils to appoint a Principa l Designer, the z
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Designe r in contro l of the Pre-Construction Phase becomes the Principal ::0
1. The Principal Designer must be: 0
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Designer by defau lt. c(")
o EITHER: one of the desig n organisations or sole practitioner Desi gners
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designing the project. Role requirements
o OR: a separate Designer or design organisation not part of the team This Handbook provides the basic support and resources you will need
designing the project to fulfil the Principal Designer role. You can obtain additional support-
The COM 2015 Regulations and Guidance do not specify that the Principal including accredited training courses, and access to a website, COM helpline
Designer must actually be designing any part of the project. and lega l advice - by becoming a member of The Association for Project Safety
[APSI. While information has been presented in this Handbook to reflect
2. The Princ ipal Designer must be a design organisation or sole practitioner current good practice, you will also be directed to a designated area on the
Designer wi th design experience appropr iate to the project. APS website that will expand on some of the po ints and will provide the most
up-to-date information.
3. The Principal Designer must have skills, knowledge and experience
relevant to the design, construction, maintenance and use of the project.
A Designer must not accept an appointment for the Pr incipal Designe r role
unless they have the necessary skills, knowledge and experience, and the
organisational capabi lity, relevant to the project.
4. The Principal Designer must also have knowledge of and the skill to apply
the principles of Design Risk Management, and have knowledge of the
COM 2015 Regulations.
5. Designers offering their services as Principal Designers will need to

consider how to establish the ir organisation's ability and resources to offer
the Principal Designer service. Those withou t previous COM experience w ill
need to undertake training in order to demonstrate skills and knowledge
sufficient to understand and deliver the Principal Designer role.
VIII IX
To summarise. the Principal Designer role:
• Is not a replacement for the COM Coordinator- it is a new role
• Includes duties qualified by the term 'so far as reasonably practicable·
• Is not necessarily complex, particularly on small and straightforward

projects; nor does it involve an overly onerous set of tasks for an
experienced Designer with suitable health and safety and COM
knowledge and experience
• Is not about an endless round of administration. but rather proactive

management and practical. design-based focus on real risk prevention in
relation to Pre-Construction health and safety
• Is not a role that practising Designers should shy away from; on more
complex projects, Designers may wish to appoint a specialist Health and
Safety Consultant with knowledge and experience in Pre-Construction
Phase to help them fulfil their duties as Principal Designer.
What does 'so far as (is) reasonably practicable' mean?
A suggested definition could be (subject to clarification

in a court of law]:
so far as (is] reasonably practicable· means balancing the level of risk

against the measures needed to control the real risk. The Principal
Designer (or Designer] is allowed to take considerations such as time,
cost, inconvenience and aesthetics into account when determining
whether or not it is reasonable and/or practical to redesign part of a
project to remove significant risk.
X
PR IN CIPAL DESIGNER"S HANDBOOK
• The Principal Designer and Designers will identify
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1.1 Role overview Pre-Construction Information gaps as the design proceeds.
The Principa l Designer must plan, manage and monitor the Pre-Construction • The Principal Designer w ill gather information from the Designers,
Phase, and coordinate construction health and safety during this phase to complete w ith Design Risk Management information, to pass to the
ensure that the project is carried out without risk to health and safety (so far Pri nci pal Contractor or tenderers. -l
as is rea sonably practicable; it is not possible to ensure that constructio n work :I:
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is carried out without riskl. • The Principal Designer will contin ue to gathe r Pre-Construction -o
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Information from Designers (including Contractors undertaking des ign) z
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during the Construction Phase, and will liaise with the Principa l ~
Pre-Construction Phase Contractor about how to manage design risks id entified during the r
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Pre-Construct ion Phase. V>
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The Pre-Construction Phase is any period during which design or ;o
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preparatory work is carried out for a project, and often continues during Risk management 0
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The Principal Designer must identify, eliminate or control foreseeab le risks m
the Construction Phase.
to health and safety (so far as is reasonably practicable!. They are expected to
have the necessary skills, knowledge and experience for the size and type of
Preparation of Pre-Construction Information structure[s) on which they are appointed, in order to work wi th all Designers
The Principal Designer provides assistance to the Client in preparation of to identify r isk issues to those w ho construct, use and maintain the structure.
Pre- Constru ction Information, which is continuously developed as follows: This does not mean that all risks must be removed, or all r isks listed. Again,
remember the definition of ·so far as rea sonably prac ticable· .
• The Principal Designer will gather and distribute Pre-Construction
Information in the Client's possession at th e start of the project. In Cooperation of all involved
practice, the information a Client has will depend on the type of Client The Pri ncipal Designer must ensure the cooperation of all those involved in a
(domestic or commercial], th e size and type of project, and so on. project. They therefore require soft skills and peop le management ca pabilities .
Domestic Clients are unlikely to have much information available, but In many cases a Principal Designer w ill also be a Designer on the project, and
Comme rcial Clients should have information about their building and will have both Principal Desig ner and Designer duties. The Principa l Designer
site. For example, Commercial Clients instructing refurbishment should has a duty to make sure that the other Designers on th e project are also
have asbestos, structural and services information. complyi ng with their Desig ner duties.
• The Principal Designer and Designe rs will identify gaps in the Pre- The Principal Designer must ensure prompt provision of appropriate Pre-
Construction Information where the Client needs to instruct, either Construction Information to all Designers and all Contractors appointed by the
th emselves or through a consulta nt, fu rther investigation s and stud ies Client. They must pass appropriate Pre-Construction Information to Designers
during the initial design phases. and Contractors at different stages of a project, as and when the information
• The Princi pal Desig ner will distribute appropriate becomes availab le.
Pre -Construction Informat ion to Designers and Contractors.
2 3
PRINCIPAL DESIG NER"S HANDBOOK
Extent of the role

Health and Safety File
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The Principal Designer must liaise with the Principal Contractor for the
duration of their appointment. An initial Principal Designer may be appoi nted The Princ ipa l Designer must pre pa re an appropr iate Health and Safety
to provide a partial service (for example. production of drawings and File during t he Pre-Construction Phase. Gathering of inform atio n fo r the
specification only). However, the Client must appoint a Principal Designer File should be a continuo us process throughout the Pre-Constr uction and
for as long as the Pre-Construction Phase lasts. The following scenarios Constructio n Phases. The Pr incipal Designe r should tailor their approach ~
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may apply: m
accord ing to the size and type of project, and is responsi ble for passing the -o
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Hea lth and Safety File to the Client, un less the Principa l Designer appointment z
• If there is no further design or temporary works design when the Pre- Q
ends before th e conclusio n of th e project. In these circumstances the Principa l
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Construction Phase has ended, the Principal Designer role can cease and Designer must pass t he partially completed Fi le to the Pr incipa l Contractor for r
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the Principal Contractor could complete the Health and Safety File. m
completion and handover to the Client , and advi se the Client that this has Vl
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• If there is continuing design or temporary works design which ceases been done. z
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before the end of the project. a Principal Designer must be appointed ;u
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(the Client takes on the role by default for commercial projects] while r
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design continues.
• If design or the Principal Designer appointment continues to the end of

the project, the Pre-Construction Phase is as long as the Construction
Phase, and the Principal Designer appointment needs to continue to
mirror the Construction Phase for the Principal Designer to deliver the
Health and Safety File to the Client.
• The Principal Designer role may be carried out by th e Principal

Contractor if they have the capability.
4 5
PRINC IPAL DESI GNER'S HANDBOOK
1.2 Different role responsibilities 1.3 Commercial projects

The figu re below shows who is respons ible for carrying out t he duties and
undertaking the functi ons within th e COM Regul ations 2015. For more about
th e other duty holders· roles listed here, see Chapter 5.
Clients undertaking projects las part of a busmess]

The Client, the Principal Designer and the Prin cipa l Contractor are the key
triumvirate who plan, ma nage and monitor hea lth and safety in a commercial
construction project. Each has a distinct role under COM 2015 [Chapter 5].
and the ro les are jo ined in the com mo n purpose of preve nting workers,
the pub lic and user s com ing to any harm. COM 20 15 ant icipates that the
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Principal Designe r w ill be a design organ isation, assum ing that they have :z
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the appropriate skills, knowledge and ex perie nce of the type and size of ~
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project as Designer s, and have the requisite knowledge and und erstanding of c
Clie nt Pre-Constructio n Information Client Pre-Construction Information rr
construction healt h and sa fety, the re levant legislatio n and regu lation - and !!
c;:
Designer!sl Information with design Designerlsl Information with design
COM 2015 in pa rti cula r. :z
Principal Designer Pre-Construction Information I rr
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(written appointment Health an d Safety File ::t
by Client) c
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Contractorlsl Information to workers Contractor Constructio n Phase
Plan a nd Informatio n
to workers
Principal Contractor Construction Phase Plan I
(wri tten appointment Health and Safety File
by Client)
Duty holders Providing: Duty holders Providing:
Domestic Clients undertaking projects (not as part of a business]
Client Pre-Construction Information Client Pre-Construction Information

(undertake n by Principal (undertaken by
Contractor or Principal Contractor)
Designer if Principal
Designer appointed)
Designer [s) Information w ith design Designerlsl Information with design
Principal Designer Pre-Construction Information I
(if appointed) Health and Safety File
Contractor[s) Information to workers Contracto r Cons truction Phase
Plan and Information
to workers
Principal Contractor Construction Phase Plan I
Health and Safety File
Duty holder s Providing : Duty holders Providing : Figure 1.2
Key relationships in Pre-Construction Phase design work for commercial projects
F ig u re 1 .1
6 7
PRINCIPAL DESIGNER 'S HANDBOOK
If the Lead Designer is capable of undertaking the design work and managing
and coordinating the design team, but is not capable of delivering the health
and safety services required of a Principal Designer, then two choices
are available:
• The Lead Designer can accept the Principal Designer appointment,

but subcontract the Principal Designer role to a suitably experienced
CDM 2015 PROJECT LIFELINE
HEALTH AND SAFETY FILE- PRINCIPAL DESIGNER
PRE-CONSTRUCTION PHASE -
PRINCIPAL DESIGNER
FUTURE REFERENCE I
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consultant; in this scenario, the appointed Principal Designer retains the CONSTRUCTION PHASE PLAN-
PRINCIPAL CONTRACTOR
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full legal responsibility for the Principal Designer service supplied by ~

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their consultant, OR CJ
• The Client can appoint a separate design organisation or individual as

Principal Designer.
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Designers and Contractors on commercial projects who historically have not had r
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1 2 3 4 5 6 7 RIAS ASP/2005 WORKSTAGES 8
to produce Pre-Construction Information, Construction Phase Plans and Health
and Safety Files will require training in order to combine their COM 2015 roles with
their traditional roles. Figure 1.3
Overlaps between relationships in a typical trad itiona lly procured construction project
Figure 1.3 shows the relationships and overlaps in a typical traditionally

procured construction project. It is important to note that the Principal
Designer role will continue into the Construction Phase for as long as the How the Principal Designer fits into the larger project
Pre-Construction Phase continues or as long as the Principal Desig ner is
appointed. This means liaising with the Principal Contractor and Contractors In lia ison with the Client, Designers and the Principal Contractor, the Principa l
who are carrying out design work. If the Principal Designer appointment Designer has an im porta nt role in influenci ng how the risks to health and
concludes at the end of the Pre- Construction Phase, the Principal Designe r safety should be managed and incorporated into the wider management of
must hand the Health and Safety File as developed at that date to the Principal a project.
Contractor for completion. However, it is better if possible for the Principal
Designer role to continue, to avoid the need to pass completion of the Healt h Decisions about the design taken du ring the Pre -Construction Phase can have
and Safety File to a different person and to deal with the continuing design that a signi ficant effect on whether the project is delivered in a way that secures
invariably takes place during the Construction Phase on the vast majo rity healt h and safety.
of projects.
The Princ ipa l Designer's ro le involves coordinating the work of others in
the project team to ensure that significant and foreseeable risks emanating
from construction, use and maintenance are managed througho ut the
design process.
8 9
The Principal Designer should be appointed as early as possible in the design It is not the Principa l Designer"s res ponsibi lity to:
I
process, if practicable at the concept stage. Appointing the Principal Designer
early [RIBA Stage 2 or earlier, or CIC/NEC equivalent- see RIBA Plan of Work • Submit the notification [F1 0] to the Healt h and Safety Executive or check
2013] will provide the Client with help in matters such as pulling together the that the Client has done so
Pre-Construction Information and giving the Principal Designer enoug h time
to carry out their duties. Remember that in commercial projects the Client • Check the skills and experience of the Designers or Contra ctors unless -1
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takes on the role of Principal Designer by default in the absence of a Principa l they are appointing them directly m
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Designer written appointment. 22
• Advise the Client on their appointment of Designers and Contract ors, z
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including the ir skills, k nowledge and experience. ~

The duration of the Principal Designer's appointment should take into account r
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any design work that may continue into the Construction Phase, or any • Advise the Client on their health and safety arrangements for the project, m
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issues that may arise during construction involving the need to make suitable including welfare faci lities Gi
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modifications to the designs. • Review or approve the Constructio n Phase Plan or check that it has been
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implemented r
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For projects involving early work by a concept Designer, a Project Management
company or where a Design and Build Contractor or novated Designer is • Appoint the Principal Contractor
subsequently involved, it may be appropriate for the initial Principal Designer • Review or approve health and safety arrangements on site, including
appointment to be concluded and a new Principal Designer appointed. method statements
The Principal Designer should be in place for as long as there is a need for • Take on ove rall design responsibility for the project- the Principal
their role to be performed. Desig ner role is only to manage health and safety during the
Pre-Construction Phase
In conjunction with the Principal Designer, the Client should make sure that • Supervise or monitor health and safety on site- this is the res po nsibility
the Principal Designer passes the partially completed Health and Safety File of the Principa l Contractor
to the Principal Contractor so it can be revised during the remainde r of the
project. {For more about the Health and Safety File, see page 51./ • Check or approve desig ns; the Principal Designer ro le
invo lves the review of health and safety ri sks emanating from
the design process.
10 11
Figure 1.4
The role of the Princi pal Designer
PREPARE
PRINCIPAL
DESIGNER BRIEF
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AGREE
WITH
CLIENT
ASCERTAIN
RESOURCES
AND
ASSOCIATED
FEES
_____,.,
....._
t
AGREE
WITH
CLIENT
SITE VISIT
IIF NOT
UNDERTAKEN AS
PART OF PRINCIPAL
DESIGNER
BRIEF I
COLLATE
PRE-CONSTRUCTION
I NFORMATION
RECEIVED FROM
CLIENT
ASCERTAIN AND
LIST DESIGNER
CONTACTS
(NUMBER OF
DESIGNERS SHOULD
HAVE BEEN AGREED
IN PRINCIPAL
DESIGNER
BRIEFI ,
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PREPARE INITIAL
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OBTAIN FURTHER tn
COMPLETE DESIGN HEALTH AND SAFETY WORK WITH WORK WITH
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PRE-CONSTRUCTION
RISK MANAGEMENT AND FILE AND AGREE WORK WITH INFORMATION VIA CLIENT, INFORM CLIENT OF NEED DESIGNERS TO DESIGNERS
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DESIGNERS PRINCIPAL DESIGNER, FOR FURTHER ASCERTAIN ON DESIGN ::0
INFORMATION AND ISSUE WITH CLIENT ON DESIGN PRE - CONSTRUCTION GAPS IN PRE- ::0
DESIGNERS OR OTHERS RISK MAN-
TO CLIENT AND POTENTIAL RISK MAN- INFORMATION CONSTRUCTION 0
AND UPDATE AGEMENT
PRINCIPAL CONTRACTORS ISSUE INTIAL AGEMENT
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ISSUE TO DESIGNERS HEALTH AND SAFETY
PRE-CONSTRUCTION INFORMATION m
INFORMATION
TO CONFIRM THEIR INPUT FILE TO CLIENT AND
DESIGNERS
----------~~ -- -------------,
OBTAIN FURTHER
ASCERTAIN AND LIST PRE-CONSTRUCTION
LIAISE WITH PRINCIPAL WORK WITH LIAISE WITH
ADDITIONAL DESIGNER INFORMATION AS REQUIRED
CONTRACTOR DESIGNERS PRINCIPAL
CONTACTS WORKING FOR BY TEMPORARY WORKS
ON DESIGN CONTRACTOR OYER
IN CONJUNCTION WITH DESIGNERS/ DESIGN CHANGES
PRINCIPAL CONTRACTOR RISK MAN- ADDITIONAL/CHANGED
PRINCIPAL CONTRACTOR PRE-CONSTRUCTION
PRODUCES THE AGEMENT CONTINUALLY REVIEW AND
(INCLUDING TEMPORARY INFORMATION
CONSTRUCTION WORKS DESIGNERSI UPDATE THE HEALTH AND
PHASE PLAN SAFETY FILE
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OBTAIN FURTHER I
IF APPOINTMENT LAST S
Principal Designer input prior to appointment UNTIL THE END OF THE PRE-CONSTRUCTION WORK WITH I
WORK WITH
CONSTRUCTION PHASE INFORMATION AS REQUIRED DESIGNERS 1
DESIGNERS
- SiteVisit
Pnncipal Designer input during the Pre-Construction Phase THE DOTTED LINE HIGHLIG
(RECOMMENDEDI: ON DESIGN
RISK MAN-
BY TEMPORARY WORKS
DESIGNERS / DESIGN CHANGES
ON DESIGN
RISK MAN- !
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THE CONSTRUCTION PHASE COMPLETE HEALTH AGEMENT CONTINUALLY REVIEW AND AGEMENT I
WHICH I NCLUDES THE AND SAFETY FILE
Work w ith Designers on Design Risk Management dunng
the Pre-Construction Phase: Note- this applies to all ··stars·· CONTINUATION OF THE
PRE-CONSTRUCTION PHASI
AND ISSUE TO CLIENT
UPDATE THE HEALTH AND
SAFETY FILE I •
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• Construction Phase Plan and start on site.

Note - Assessment of the Construction Phase Plan is not ,..,. _________ _ • • • +------J :
part of the Pr incipal Designer's duties
------ -----------------------------------------~
13
12
PRINCIPAL DESIGNER'S HAN DBOOK
1.4 Domestic projects Designers and Contractors who historically have not had to notify projects,
Domestic projects are dealt with slightly differently from commercial projects;
the Domestic Client has only one duty- to appoint a Principal Designer and
a Principal Contractor. However, if these appointments are not made by
the Client, the Designer in control of the Pre-Construction Phase and the
Contractor in control of the Construction Phase take on the role of Principal
produce Pre-Construction Information, Construction Phase Plans and Health
and Safety Files will requ ire tra ining in order to combine their COM 20 15 roles
with their traditiona l roles, whether or not they decide, initially, to appoint a
Sub-consultant to advise them.
On a typical domestic project, the Lead Designer will be the Principal Designer
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Designer/Principal Contractor by default. All other Client duties are passed to by written appointment or defau lt, and is likely to be in overall control of the z
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the Principal Contractor, or to the Principal Designer if appointed in w riting. management of the project, including acting as Contract Administrator. ~
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COM 2015 PROJECT LIFELINE
HEALTH AND SAFETY FILE • PRINCIPAL DESIGNER FUTURE REFERENCE
DUTIES BY APPOINTMENT
PRE-CONSTRUCTION PHASE •
PRINCIPAL DESIGNER
MORE REALISTIC FOR PO TO ADVISE OR,

IF CAPABLE, TO UNDERTAKE CLIENT DUTIES
O 1 z 3 4 5 RIBA I & ~g~~~~!8~~VALENTI 6 1
~:.-3. · 4 5 6 7 RIAS ASP/ 2005 WORKSTAGES 8
Figure 1.5
Key relationships in Pre- Construction Phase design work in domestic projects Figure 1.6
Overlaps between relationships in a typi cal domestic construction project
14 15
The Client's role in domestic self-build projects

1.5 Partial design service
On domestic projects for self-build Clients the arrangements can be relatively
complex. Where the Client controls how construction work is carr ied out, that
Client must comply with Part 4 of COM 2015 -general requirements for all
con struction sites. In effect, that Client could be considered to be carrying
out the role of the Principal Contractor. Where the self-build Client is also
On some projects the Designer may be asked to produce design and
construction information but their appointments will be terminated before
procurement of a Contractor, which the Client will take control of.
Small, simple projects should only require the production of short and simple
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'designing' and employing Designers for specific roles- e.g. obtaining planning Pre-Construction Information, evaluation of significant design risk issues,
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consent and regulation approval- the Client cannot assume the role of and a short and simple Construction Phase Plan and Health and Safety File .
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Principal Designer unless they are also in business as a Designer. Designers ~

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who have a limited involvement in the project may become Principal Designer m
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by default for the period of th eir appointment. c;
Partial design service for domestic projects z
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The Client's lack of health and safety kn owledge and experience should be On a typical domestic project, the Client will often appoint Designers to 0
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compensated for by the professional Designers providing suitable advice and undertake the design work, well in advance of the appointment of a Principal
guidance during their appointment and by Contractors for the duration of Contractor. It therefore makes sense for the Principal Designer to take
their involvement. on the Client's duties at least until a Principal Contractor is appointed.
However, the Principal Designer should check liability issues with their
professional indemn ity insurer first. Taking on the Client's duties will mean
that the Principal Designer takes on the responsibility for providing the
Pre-Const ruction Information and setting out the Client's arrangements
for managi ng health and safety for the project, and ensuring that these
arrangements are described in the tender documentation. The Principal
Designer undertaking th e Client duties must also ensure, prior to
commencement of construction works, that the Principal Contractor produces
a sufficiently developed Construction Phase Plan and that suitable welfare
facilities are being provided. During the Construction Phase, which may
overlap with the Pre-Construction Phase, the Principal Designer undertaking
the Client role will also liaise with the Principal Contractor about how the
Principal Contractor will maintain the management arrangements during the
Construction Phase.
16
17
Information to give to the Client
I
At the end of their appointment, the Principal Designer needs to hand over
COM 2015 PROJECT LIFELINE
information for the Client's use to enable the Client to obtain tender prices
HEALTH AND SAFETY FILE
and continue with the project. This information should include:
PRINCIPAL DESIGNER FUTURE REFERENCE
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0 • The drawings and specifications :r
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• A statement that the Principal Designer role for the project rn
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• Advice about how to procee d w it h procurement of a Principal Contractor; ::>;)
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the Principal Designer shou ld ensure that the Client is made aware that r
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the Principal Contractor needs to demonstrate COM 2015 capab ility as
CLIENT TAKES RESPONSIBILITY FOR
PROCURING THE COSTRUCTION WORK BASED well as techn ical capability and track record.
ON DESIGN INFORMATION PROVIDED
0 1 2 3 4 s RIBA I& ~g~~~~:g~~VALENTI 6 7

Completion of Principal Designer role
1 2 3 4 . 5. 6 7 RIA:; ~SP{2005 ~O_!l~ST,AG.ES, .';\ ·:·• .'~ l:<?:,t/~·~~ On completion of their ro le, the Principal Designer should send a letter or
email to the Client advising them as follows:
Figure 1.7
Overlaps between relationships in a typical domestic construction project with pa r tial
des1gn serv1ce • That the Principal Designer's role has fi nished; another Principal
For the Domestic Client, the blue area in the diagram represents construction
Designer should be appointed, or the Principal Designer duties cou ld be
procurement and is a period when neither design nor construction is taking place. This carried out by the Principal Contractor. The tendering Contractors, one of
IS also a penod where there may be a consider able delay between completion of design
wh om will be responsible for any desig n changes during the construction
work and commencement of construction.
period, should also be advised
In Figure 1.7, the initial Principal Designer appointment has ceased at an • That the Cl1ent should ensure tha t the tendering Contractors can
agreed point - usually at Build ing Regulation s or tender stage. The Client demonstrate Principal Contractor awareness and capability, including:
then takes over the management of the project for the purpose of obtaining o track record
prices. This is also a period where there may be a considerable delay between
completion of design work and commencement of construction. Once a o ability to deal w ith signi fi can t risk s identified in the Pre-Construct ion
Principal Contractor is appointed, the Client duties will be tra nsferred to the Information
Principal Contractor or to another Principal Designer (if appointed). o provision of references from other Clients/Advisers.
18 19
Client's responsibility
The Client should then issue the following to the tendering Contractors:
• The Designers' drawings and specifications
• The Pre-Construction Information (if separate]
• The partially developed Health and Safety File.
Large domestic projects
It is important to note that not all domestic projects are small and simple.
Designers should only take on the Principal Designer role if they have the
capability to do so or have someone capable to help them discharge their
duties. Larger or more complex projects may require the appointment of
a Construction Health and Safety (COM] Adviser to advise and assist the
Client and/or Principal Designer.
Partial design service for commercial projects
The above scenarios can occur on commercial projects, but the Client's duties
are not transferred, and the Client takes on the Principal Designer role if th ey
do not appoint a Principal Designer in writing.
20
2.1 Appointment and fees
I
Separate roles
The Principal Designer role should not be considered an insignificant 'bolt-on' It is important when acting as both Lead Designer and Principal Designer
to a design service, and remuneration should be considered separa tely. Even to identify the services being provided for the Principal Designer role,
for the simplest project, th e role of Principal Designer will requ ire resources and the period in the project programme during which these services are
-4
beyond those requ ired to undertake techni cal and COM Designer duties. requi red . This may differ from the Lead Designer arrangements. It is :I:
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not sensible to simply state 'provide Principal Designer services as "0
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per COM 2015' as an addendum or insert to a Form of Appointment for z
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technical design services. Separate forms of appointment or bespoke ~

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Extent of the Principal Designer's function and duties appointment letters should be used which clearly set out the services 0
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being provided and the fees being charged for these services. Use of the B
Initial discussions about the role and scope of the Client's duties, the role and APS Terms of Appointment is recommended. z
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duties of the Principal Designer, and any possible additional services that the
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Client may require should be used to establish the service agreement. It is worth "0
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sending a letter/email outlining the basic Principal Designer duties to provide a
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framework for these discussions. Determining a fee 0m
It is a good idea to use a standard APS Form of Appointment as Principal To determine the fee for your role as Principal Designer you should establish
Designer, as a starting point for discu ssions. This can be followed up by an the resources and time it will take to fulfi l the role, bearing in mind what
appropriately com pleted Form of Appointment, with a covering letter. you have to legally provide to the Client over and above the requ irements for
a Designer. COM 20 15 requires by law suffi cient resource s to be provided
A sc hedule of services should be agreed. For an industry-standard approach, to enable the Principal Designer to fulfil their duties, and you will need to
refer to Schedule 1 [Sch edule of Services] of the APS Form of Appointment as demonstrate this to the Client. When estimating costs and expenses, you
Principal Designer. should include:
http://vvww.aps.org.uk/publications • Staff time
• Additional resou rces required, including specialists
• Overheads
• Travel for site visits and attendance at design/project

team meetings
• Assisting the Client in providing the Pre-Construction Informati on and

the delivery of documents, such as drawings, reports, any Designer
deliverables and the Health and Safety File[s].
22 23
PRINCI PAL DESIGN ER'S HAN DBOOK
It is good practice for fees to be based on an assessment of work hours Keeping project changes under review
required, overlaid on the current project programme, incidental costs and
estimated overheads for the Principal Designer work on the project. Changes in service provision can come about for a number of reasons,
inclu ding demands made as a result of the unsuitable or unsatisfactory
perfor mance of others ; sign ificant changes in the nature, timing or scope of
Resources for Domestic projects the project; and t ermination of any of the proj ect appointments . It is therefore
important to:
When working for Domestic Clients, Designers who are in control of the
Pre-Construction Phase [usually the Architect) may find themselves being • Consta ntly reassess the Principal Desig ner ro le
asked to undertake the Principal Designer role by the Client. Bear in mind tha t
• Be proactive in any dialogue with the Client
if the Client does not appoint the Designer as Principal Designer, then tha t
Designer may well find that they are taking on the role by default, only without • Seek changes to the terms of the Principal Des igner appointment w here
any agreed fee for doing so. significant changes to the project occur, or where significant under-
compliance by any pa rty increases the Principal Designer workload
Designers on domestic projects are advised to provide their Client with a fee
• Inform othe r appointees of any changes to your inst ructions.
for both the design services and for undertaking the Principal Designer duties
with their initial fee proposal if they wish to ensure that they have sufficient
resources allocated to discharge their roles. It is advisable for the Designer
Novation -design and build contracts
to make a record within their fees of the resource allocated to each service
they are providing, in order to be able to demonstrate that they have made
In the early stages of a design and build project, before the Design and Build
adequate provision.
Contractor is appointed, t here is almost always some design wo rk ca rr ied ou t.
The APS resource estimator is availa ble to m embers at
The Client should appoint a Principal Designer for this early design work.
http :/ /a ps.leg allio. com/aps-p rinc ipal-des igner -advise r- resource-estimato r/183/11 /16/3
If the Designer appointe d as Pri nci pal Designer ha s been novated to the
Design and Build Contractor and can no longer fulfil the Princi pal Des igner
Site visit role, the Client must appoint a new Princ ipal Designer. One obvious cho ice for
the ro le will be the Design and Build Contractor. Even if they have no Designer s
The Principal Desig ner should visit the site to assess the health and work ing for them in-house, the Design and Bui ld Contractor cou ld fulfil the
safety issues affecting the project, preferably before th e fee agreement is role as Principal Designer by making arrangements wit h one of the novated
conclu ded. If this is not possible, the use of Google Street View is useful Designers t o carry out those fun ctions. There is no problem with this unde r the
but should always be supplemented by an actual site visit. Regulations. If the same Designer acts as Principal Designer throug hout, this
has the added advantage of providing continuity.
24 25
PR INCIPAL DESIGN ER'S HANDBOOK
Late appointment It is important to identify the areas where the late-appointed Princ ipa l
--------------------------------------
I
Designer cannot fu lly discharge thei r duties and for which the Clie nt is
In the case of late appointment, the Principal Designer will need to inform the responsib le; the Principal Designer role defaults to the Client with
Client of any significant health and safety implications, which can include: non-appointment.
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• Time required to enable Pre-Construction Information to be obtained and J:
provided to Designers Additional COM 2015 services ,

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In many instances, the Principa l Designe r will be asked to provide

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• Time for checks that management arrangements are in place to enable
satisfactory planning; managing and monitoring of the Pre-Construction additional COM 2015 services (see Chapter 5.9- the COM Adviser) but ~
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Phase, and the coordination of all relevant matters should carefully consi de r thei r capability to undertake these. m
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• Time required to enable the Principal Designer to revisit design work to z
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check suitability and compatibility of designs Exemplar letters z
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• Time for cooperation with the Principal Contractor to ensure they have all Some typical wordi ngs for letters from the Principa l Designer to the )>
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the relevant information they need to proceed Client are included in Chapter 4.
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• Mi ssed opportunities to eliminate, reduce and manage risk and redu ce
whole-life costs
• Failure to take into account the General Principles of Prevention.

(The General Principles of Prevention are described in Chapter 2.4)
26 27
PRINCIPAL DESIGNER"S HANDBOOK
Typical Client information
I
2.2 Pre-Construction Information
Client's responsibilities • Client brief and requ irements
• Key dates during the Construction Phase

A Client must provide Pre- Construction Information as soon as is practicable
• Geotechnical and contaminated land surveys -
to every Designer and Contractor appointed, or being considered for :I
IT
appointment, to the project. Pre-Construction Information is information that -c
• Existing services locations [priva te and public] ::c
is already in the Client's possession [such as an existing Health and Safety 2(""
File, an asbestos survey, structural drawings, services, etc.]. or which is • Structural/bu ilding sa fety reports
,...;-:;
straightforward to obtain through reasonable enquiry. The Client should expect • Survey reports for hazardous mate ria ls [e.g. lead, asbestos] c
IT
the Principal Designer to help bring the Pre-Construction Information together If
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and provide it to the Designers and Contractors involved . • Su rvey reports for hazardous areas [e.g. confined spaces] IT
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• Su rvey reports for hazardous locations [e.g. fra gile roof access] 2
Appendix 2 of L 153 gives further guidance on the provision of Pre-Const ruction -c
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Information, which must include proportionate information about: • Site access and other restrictions r.
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• Local enviro nm ental conditions and adjacent land uses IT
• The project, such as the Client brief and key dates of the Construction
Phase • Neighbours [e.g. schools, petrol stations, supermarkets and
m ajo r roadways]
• The planning and management of the project, such as the resou rces and
time being allocated to each stage of the project and the arrangements to • The cu rrent Health and Safety File
ensure that there is cooperation between duty holders and that the work • For occupied sites, proposed site rules [e.g. existing permit to
is coordinated. It is a Client duty to supply this information. It is not a work systems]
Principal Designer duty to assist the Client with these arrangements.
• Proximity of watercourses, transport systems and so on
• The health and safety hazards of the site, including design and
construction hazards and how th ey will be addressed • Any history of previous damage [e.g. from fire or floods]
• Any relevant information in an existing Health and Safety File.
The information should be in a convenient form and must be clear, conc ise Principal Designer's responsibilities
and easily understandable to help other duty holders involved in the project to
carry out their duties. The Principal Designer will assist the Client to assem ble The Pre-Construction Information is initia lly prepared or made avai lable by
information, identify gaps and make reasonable enquiries about obtaining the Client [with the assistance of the Pri nc ipa l Designer] for distr ibution to the
information about their premises [building and land] and local environment. Designers. Depending on t he nature of the project, the Designers will then add
t o, and seek fu rther information for, the Pre-Construction Information, as the
design process progresses and becomes more detailed.
28 29
PRINCIPAL DESIGNER"S HAN DBOOK
The Pre-Construction Information !continuously developed by the Principal

Designer during the initia l design] is intended to be passed to the Designers. Pre-Construction considerations
It will: Most project design work is 'preparing for construction',
with decisions being made that affect health and sa fety.
• Provide information about the project The fo llowing may affect the Pre-Construction Information:
• Provi de information about risks identified during the design process.
This can be in the form of a Project Risk Register. • Client needs, design brief, scope, and costs
• Provide details of the type of work and activities that the Client foresees • Land acquisition and ownership
or intends to undertake • Esta blishing the needs and liaising with stakeholders and
• Provide details of any ongoing use or occupation of parts of the site or neighbouring 'enterprises·
areas adjoining the site so the Designers can take this into account when • Activi ties in multiple occupied areas
considering space, access and methods of work
• Assessing the availability of personnel, materials, supplies and
• Alert the Designers to health and safety hazards associated with the site other resources
or its surroundings or use while the Construction Phase is under way
• Undertaki ng site surveys comprising topographic, geotechn ical
• Provide details of the arrangements already in place and/or expected by (strength and stability] and geoenvironmental !chemical and
the Client for the planning and the management of th e project con tamination). Note that all ground investigations should be
• Provide health and safety informat ion about any existing structures or preceded by a desk-top study
parts of structures, through the provision of any relevant existing Health • Structu ral investigation
and Safety File[s]
• Services [public and private]
• Create a 'Level playing fie ld' for pri cing [so that tho se offering to carry out
desig n work will be less likely to put in a low price because of omissions • Asbestos, lead and other specialist surveys
of health and safety management]. • Construction feasibility, or constructability, reviews
• Estimating time and sequences of works
• Design decisions
• Temporary works
• Project/site logistics plan.
30 31
PR IN CIPAL DESIGNER"S HANDBOOK
These factors are often overlooked in Design and Construction Risk 2.3 Pre-Construction Information development
Management, and the effects that decisions made in these areas may have
on the risks to health or safety of the project are often misunderstood or Designers
underestimated, resulting in unexpected additional costs and delay to the
When deve loping Pre-Construction Information, the Principal Desig ner should
Client during construction.
meet the Designers and discuss any issues that arise. They must ensure th at
Take account of the nature, scale and complexity of the health or safety Design Risk Management issues are discussed in design review meetings,
matters involved in the project and activities required for the whole life team meetings, health and safety coordination meetings and workshops for
of the project when establishing suitable arrangements as Principal specific issues and continuing commun ication.
Designer for, and throughout, the Pre-Construction Phase.
Supplementary Pre-Construction Information provided by Designers as th e
design of the project progresses should:
• Be relevant
• Have an appropriate leve l of detail
• Be proportionate to t he risks involved.
PROPORTIONALITY
( )
SIGNIFICANT RISKS, NOT HIGH RISKS. SIGNIFICANT RISKS ARE:
• NOT LIKELY TO BE OBVIOUS TO A CONTRACTOR OR OTHER DESIGNERS
• UNUSUAL
• LIKELY TO BE DIFFICULT TO MANAGE EFFECTIVELY
32 33
Pre-Construction Information gathered during the Pre-Construction Principal Designer

Phase should be incorporated into drawings, where possible. In addition to
drawings, a document should be prepared, if required, to describe emergency The Principal Designer shou ld use a schedule to keep a record of required
procedures, the surrounding environment and the Client's management information as it is received . Th is should cover:
arrangements during construction. Significant risk information should be
hig hlighted on drawings with symbols and a brief description. • Adequ acy of information provided
• Date of recei pt and source of information.

Remember, the Pre-Construction Phase extends for as long as design is
taking place. Significant remaining risk information from Designers
When receiving informat ion on significant remaining r isk fro m Designers,

check the following :
• Is the information clear, precise and in a form suitab le for others?
• Could or shou ld the information be on a drawing?
The Principa l Designer should log the responses from Designers; it is easy
,----
~-• :rorc-.- ~}~~ ~
~:?*-Er=-~
===:;'"•-:-;..•
~~~?.
to lose track of returns. The Pri ncipa l Designer should be proactive about
seeking information.
~
( .. 1(
==-
~- 5
<- ~- -- - - .,. ,...._ - :::>
:.--::..==-·· NO
.---
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----
· -- -
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- )
I - . TOO RISKY TO BUILD
DO NOT SWAP
A LOW RISK FOR
A HIGHER ONE
_
~~
.._,...
THEN RE-DESIGN
YES
NO
Figure 2.1
When passing Pre-Construction Information to Contractors who may be tendering for
the work, written information is almost always required, even on smaller projects - but
information on drawings may be all that is required on simple projects
Figure 2.2 The Design Risk Management procedure in practice
34 35
Contractor's Designers
2.4 General Princioles of Prevention
I
A Principal Designer should be involved in considering the health and safety
The General Principles of Prevention [from th e Management of Health and
implications of all design work on a project, including design undertaken
Safety at Work Regulations 19991 provide the fram ework to help the Principal
during the Construction Phase. which also covers temporary works.
Designer identify and implement measures to control r isks on
a co nstruction project. -t
Considerations when liaising with Desi gners during the Construction Phase :z:
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include the following : "0
The following information is taken from HSE's L 153 'Managing health and ::0
safety in construction·. Appendix 1 part 2.

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• The Principal Contractor should let the Principal Designer know whic~ ~
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design will be used and how they are proposing to plan, manage, mon1tor 0
The general principles of prevention are to: 'T'
and coord inate these packages. Vl
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• The Principal Contractor should keep a project directory up-to-date so • Avoid risks ::0
that it is clear who is responsible for which design packages. z

• Eva luate the risks which cannot be avoided "0
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• A programme showing proposed dates and the duration of the n
• Combat the risks at source :j
appointments of these designs is essential for the Client land the . n
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Principal Designer! to determine whether the arrangements are likely to • Adapt the work to the individual, especially regarding the design of
be adequate to enable the Designers to discharge their duties. workplaces, the choice of work equipment and th e choice of working and
production methods, with a view. in particular, to alleviating monotonous
• Invite the Princi pal Contractor to design team meetings to support
work, work at a predetermined work rate and to reducing their effect
coordination between the designs undertaken during the Pre- on health
Construction Phase and those undertaken by other Designe rs during
the Construction Phase. • Adap t to technical progress
• The Principal Designer should use progress meetings and continu ing • Replace the dangerous by the non-dangerous or the less dangerous
liaison with the Principal Contractor [as advised in paragraph 104 of
• Develop a coherent overall prevention policy which covers technology,
L 1531 to remain abreast of design development and identify where closer
organisation of work, working conditions. social relationships and the
coordination between Designers may be needed. Even if they cannot
influence of factors relating to the working environment
attend all these meetings, they should receive the minutes and periodic
coordinated design drawings. • Give collective protective measures priority over individual
protective measures
• There is an overarching duty for the Principal Contractor and Principal
Designer to liaise and cooperate, so be prepared for conversations and • Give appropriate instructions to employees.
meetings throughout the process to he lp resolve specific issues.
36
37
In general terms. hazard identification and risk assessment are processes by

The Principal Designer .and oth.er Designers must have the skills, knowledge
which Designers and the Principal Designer will interrogate the design work and expenence to rdentrfy the nsks associated with the:
as it progresses.
• Site conditions
ERIC • Site surroundings
Once the Principal Designer has evaluated the risk. they must consider • Structure -e recting, installing or constructing the structures and
how to control it. Think ' ERIC': Eliminate, Reduce, Inform, Control elements they are designing
of significant risks resulting from building/use/maintenance by the • Materials used in their design
Contractor/Principal Contractor/Structure Users.
• Work activities necessary to make their design a reality
• Maintenance and cleaning of the structure for its whole life
ELIMINATE
R
REDUCE
I
INFORM CONTROL
• Replacement of the parts or elements forming the design
• Impact and effect the carrying out of any of the above work may
have on the people affected by the construction
• Use of the structu re as a place of work.
38
39
2.5 Particular Risks 8. Work carried out by workers in caissons with a compressed
I
air atmosphere.
A Construction Phase Plan prepared by the Principal Contractor
must include specific measures to address any risk information provided by 9. Work involving the use of explosives.
the Client or Principal Designer in relation to the Particular Risks identified in
the HSE's L 153, 'Managing health and safety in construction·, and listed below. 10. Work involving the assembly or dismantling of heavy .....
I
Whilst not stated in L 153, the Principal Designer should identify Particular prefabricated components.
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Risks, and include these in the Pre-Construction Information. The Principal ~
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Designer should review the responses to the Particular Risks with the (")
Principal Contractor, as these may have an impact on buildability, use Some of these Particular Risks will not occur on many projects, particularly ~
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and maintenance. small and domestic projects. 0
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The following information is taken from HSE's L 153 'Manag ing health and In ord~r to identi~ where any of the above Particular Risks might be an issue, m
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safety in construction·, Schedule 3- Particular Risks: the Pnnc1pal Des1gner should review the nature of the works and activities on .,z
the project, ~he surr~undings, ground conditions and adjoining sites. Always ::0
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ens~re tha t 1nformat1on about these works is known to, and shared by, the
(")
1. Work which puts workers at risk of burial under earthfalls, engulfment ~
(")
in swampland or falling from a height, where the risk is particularly Des1gners and others 1n the Pre-Construction Phase. Information about any m
aggravated by the nature of the work or processes used or by the residual works and nsks (after the Designers have sought to eliminate the risks
environment at the place of work or site. through the subsequent design process) should be provided to Contractors and
the Principal Contractor in good time to allow for the information to be taken
2. Work which puts workers at risk from chemical or biological substances in.to account in allocating resources, including time and money. This information
constituting a particular danger to the safety or health of workers or Will form part of the Pre-Construction Information.
involving a legal requirement for health monitoring.
Design Risk Mana~ement is the term given to the management process in
3. Work with ionising radiation requiring the designation of controlled the Pre-ConstructiOn Phase that seeks to deliver a design that meets all the
or supervised areas under regulation 16 of the Ionising Radiations health andsa~ety requirements, and that makes building, using, maintaining
Regulations 1999. and demol1shmg the project safe for workers and users.
4. Work near high voltage power lines. The next section describes the principles of Design Risk Management.
5. Work exposing workers to the risk of drowning.
6. Work on wells, underground earthworks and tunnels.
7. Work carried out by divers having a system of air supply.
40
41
PRINCIPAL DESIG NERS HAN DBOOK
2.6 Design Risk Management Design considerations that will inform Design Risk Management
A common misconception among Designers since the introduction of the COM

Regulations has been to think that the Design Risk Management process
required them simply to identify the residual hazards in their designs and to
provide information so that others [usually the Contractor] could deal with the
risk issues. In fact, it is essential that Designers direct their actions towards
• Wh at is bei ng bui lt? What shou ld it Look li ke, and what is its function?
• Where is the project be ing built?
• Wh at mate ria ls w ill be used, and how will they be specified?
• How will it be bui lt [risks to site workers, users and/ or th e general public]?
I
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eliminating hazards and, if they cannot do this, towards reducing risks through z
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design decisions or provisions. Only as a Last resort should Designers rely • Wh en will it be built, how Long will it take to build [or how Long does th e
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on actions by the Contractors on site to provide the means of protecti on for Client wa nt to allow]?
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workers and others during work activities. [Remember ERIC -see page 38.} lJl
• What are the constra ints and circumstances affecting the design G;
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and construction? m
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• Who else is designing this, and what elements or aspects are

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they add ressing? l>
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• What is happening on the adjacent sites or areas ? m
• What will be continuing to be done or used on the site during the

Construction Phase?
• Is this a structure that will be used as a workplace and/ or used by th e

genera l public?
• How will thi s structure or element be maintained [risks to site worker s,

maintainers, users and/or the genera l public] ?
• How will this structure be cleaned , accessed, altered, refu rbished,

removed or demolished?
42 43
Designers must (so far as is reasonably practicable): Design Risk Management procedures must address the following:
• Identify forseeable hazards, and particular and significant risks affecting • Identification, elimination and reduction of hazards and risks
health and safety • Proportional responses to foreseeable hazards and risks
• Eliminate hazards
• Adeq~ate .time all~wances for design and construction programming
• Minimise remaining identified risks by design (the nght mformat1on to the right people at the right time]
• Consider pre-fabrication to minimise hazardous work (e.g. pre-fabricated • Undertaking systematic design reviews at suitable stages to check for
and pre-stressed concrete bridge beams] significant risks and issues and coordinated management responses_ )
r
see RIBA Plan of Work and the Construction Industry Council (CIC] Scope c
r
• Design in features to redu ce risks, !i.e. from working at height, deep of Services, Stages 2, 3 and 4 ~
excavations, etc.] §
I'
• Ensuring effective cooperation with adjacent sites
• Ensure that designs are suitable and compatible with any interacting or '
interrelating designs • Keeping adequate records of the Design Risk Management process-
,
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not everything; everything that is significant

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):
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• Take into account the Workplace (Hea lth, Safety and Welfare] Regulations ('
1992 (and Amendments] • Reviewing hazard and risk information before design informa tion "
is issued
• Provide information on signi ficant ri sks associated with their design
(e.g. information on drawings, suggested construction sequences] • Providing hazard and risk information in a clear, concise and
appropriate format.
• Ident ify any future cleaning, maintenance, alteration and demolition
hazards for the Health and Safety File.
Information sharing- practical advice
It is the Princ.ipal Designer's duty to ensure, so far as is reasonably practicable,

~hat 1nformat1on is being passed on to those who need it, when they need
1t- even though they may not know they need it - including what is needed
by the Client, other Designers, those tendering, Principal Contractor and, if
necessary, other Contractors.
44 45
PRINC IPAL DESIGNER·s HANDBOO K
On any project, the application of Design Risk Manageme~t requires a ~ew Designers should critically assess th eir design proposals at an early stage, and
basic steps and documents. The effort given to the followmg needs to e then throughout th e design process. to ensure that health and safety issues
appropriate and proportionate to the nature of the design and to the nature are ident ified, integrated into the overall design process and addressed as they
and complexity of the health and safety Issues : go along. It is pointless to complete the design fi rst. and to then try to address
the risk s that the design has introduced . By then, all of the key decisions
• Identify ownership of risk/hazard issues to ensure actions are taken are Likely to have been taken and no one will be willing to make any changes
because of t he time and cost involved.
• Ensure all Designers are included in the process
• Try to close out risk/hazard issues before information is finalised and
passed on to tho se who need it.
Evaluating the Design Risk Management procedure
Principal Designers are responsible for ensuring the Design Risk

Design Risk Management checklist Management process is being undertaken by Designers and for collating
the results
Desig n Risk Management should take place during :
• Is there any evidence of Des ign Risk Management by the Designers?
• Feasibility - Preparation and Brief [RIBA Stage 1 or
CIC/NEC equiva lent) • Is there a need to que ry any Design Risk Manage ment conclusions?
• Outline design- Concept Design [RIBA Stage 2 or CIC/NEC equivalent) • Does the informat ion re late to signi ficant hazards or risks and unusual
or difficult-to-ma nage elements of construction? Information about ri sks
• Detailed design stages- Developed Design and Technical
that a capable and experienced Contractor should be aware of need not
Design [RIBA Stages 3 and 4 or CIC/NEC equivalents) be included.
• Construction - [RIBA Stage 5 or CIC/NEC equivalent) • When hazards are identified but no acti on is recorded by Designer s:
o explain the implications of the Lack of reco rds should an investigation

be made Later
The Principal Designer should ensure that D~signers contribute to the areed
ro·ect Design Ri sk Management method [usmg a con sistent pro-f~rma. o exp lain the implications should chan ges to the design be required in
~h~ must talk, communicate by other means and keep all appropnate order to build the structure due to lack of information
par~es in the Loop. They must also provide informatiOn about their desig n for
o request that Designers provide reco rds of their Design Risk Management
construction and the Hea lth and Safety File.
procedures and actions on hazard elimina ti on and risk red uction.
46 47
PRI NCIPAL DESIGNER"S HANDBOOK
Eliminating and managing risk
I
Below are examples of high and significant risk s that Designers are
likely to be able to eliminate or manage through good design.
NO
Risks to health include :

-t
DO NOT SWAP :I:
• Disturbance of asbestos insulation board TOO RI SKY TO BUILD ._J., YES A LOW RISK FOR
A HI GHE R ONE
'"
"0
THEN RE-D ESIGN ::0
• Manual lifting of cladding/glazing panels z

(")
NO YES
~
• Application of solvent-based floor adhesive in a w indowless room r-
0
m
II'
• Welding in confined spaces YES
(;)
z
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• Noise, dust and vibration from concrete scabbling . ' ::0
z
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• Maintenance of plant in a confined space.
~
Figure 2.3 Q
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Risks to safety include: The Design Risk Ma nagement procedure in practice
• Buried. concealed or overhead services
• A major project in an operational educational establishment
• Hot work during a refurbishment project Significant risk

• Poor site layout for safe vehicle and pedestrian movement Bear !nm!nd th~t there is a difference between high risk
• Unintentional collapse during temporary works or demolition and s1gn1f1cant nsk. Significant risks are those that are:
• Civil engineering work on a live motorway. • Not likely to be obvious to a Contracto r or other Designers
• Unusual
• Likely to be difficult to manage effectively.
48
49
Summary 2. 7 Preparinq the Health and Safety File

- -- - --
I
- -.- iminate all risks, but if they let them remain they
Designers ~o n_ot have to el t identif foreseeable significant residua l The Health and Safety File is intended to highlight significant health and sa fety
do need to JUStify this. They mus l y thers The Principal Designer should risks for future construction wo rk, and is required for proj ects invo lving more
:i:~~~::t~on::nudn~c:t~~~~~: ~::~g~:~: to co~ply with good Design Risk th an one Contractor. It is important to note that it is not a maintenance and
operation manual.
-;
Management and the intentions of COM 2015. m
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The Principal Designer must prepa re the Health and Safety Fi le, and review, :!:1
z
update and revise it as the proj ect progresses. The Principal Designer must (")
also pass the completed Health and Safety File to the Client to keep. ~
r-
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m
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If the Principal Designer's appointment finishes before the end of the project, C)
z
the Health and Safety File must be passed to the Principal Contractor for m
:<)
the rema inder of the project. The Principal Contractor must th en take z
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responsibility for reviewing, updating and revising it and passing it to the Client :<)
l>
when the project finishes . (")
-;
(')
m
50
51
Pointers for preparation of the Health and Safety File

Content of the Health and Safety File
The Health and Safety File should contain the following: There shou ld be enough detail in the Health and Safety File to allow the likely
risks to be identified and addressed by those carrying out wor k in the future.
The level of detail shou ld be proportionate to the risks. Information must be in
• A brief description of the work carried out
a conven ie nt form, clear, concise and easily understandable. -i
:r
Details of any hazards that have not been eliminated through thde design ITl
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• and construction processes, an d how they have been addresse ::0
The Health and Safety File is an information resource that is needed by the z
(')
• Key structural principles and safe working loads for floors and roofs Client to inform them of any res idual hea lth and safety issues and for them to
~
hand to any Desig ner/Principal Designer or Co ntracto r/Principal Co ntracto r r
0
. l s use d [e ·g· lead paints and special coatings]
• Hazardous matena involved in a new construction project on the existing structure/ bu ilding . The ITl
~
C)
• Information regarding the removal or dismantling of installed plant and information in the Healt h and Safety File w ill, for example, allow the Client z
ITl
to develop fi re risk assessments and to be able to develop ris k assessments ::0
equipment . for the maintenance of structu res, and to meet any requirements of speci fic z
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• Health and safety information about equipment provided for cleamng or wa r ranties attached to mate rial/equ ipment. )>
(')
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maintaining the structure (')
ITl
• The nature. location and markings of significant services The Principal Designer, when hand ing the Healt h and Safety File to th e
Client at the end of t he proj ect, shou ld advise the Client of its purpose and
• Information and as-built drawings of the buildi~g. and ilts p~an~ ~-nd importance . The Client should be advised that any re levant information from
.
equ1pme nt [e .g· the means of safe access for wmdow c eanmg. Ire a fu ture project should be added to the Health and Safety File. This wou ld
strategy drawings]. usually be provided by a Principa l Designer or Principal Contracto r, but it
should be noted that information to update the File could come from a one-
contractor piece of work, w here the Regula ti ons do not require a Health and
Safety File to be prepared.
53
52
The Health and Safety File does not need to include information that
will be of no help when planning future work, such as:
• Pre-Construction Information that has no health and safety relevance

to future work on the structure(s]
• The Construction Phase Plans of any previous projects
• Information generated during the Construction Phase, such as risk

assessments, written systems of work and (Construction Phase]
COSHH assessments
• Details about the normal operation of the completed structure or its

parts or elements
• Construction Phase accident statistics
• Details of all the Contractors, Suppliers, Manufacturers and Designers

involved in this and previous projects
• Contractual documents
• Information about structures, or parts of structures, that have been
demolished- unless there are any implications for remaining or future
structures or works.
Information contained in other documents can be cross-referenced in the file

to avoid duplication of information.
54
3.1 The Construction Phase The Construction Phase Plan in practice

Tender/pricing stage
The Regulations require the Client to e
is drawn up by the sole Contractor if th:~:~: that a Construction Phase Plan
In any project the Pre-Construction Information provided by the Client and Contractor if there is more th b only one, or by the Principal
Designers, and reviewed and managed by th e Principal Designer, should form . an one, efore construct" k
projects for Domestic Clients th D . . ion wor begins. In
part of the package of information passed to the Contractors with the design ·
Des1gner · e omest1c Cl1ent can · h
to carry out the Clie t d f . appomt t e Principal r
information, all for the purposes of tendering for the project. In a traditional are to be carried out by the s nl Cu les; otherwise the Domestic Client"s duties j:;:
iii
project this will occur at the end of RIBA Stage 4 [or CIC/NEC equivalent); in Commercial Clients will needo e .ontractor
t .
or the p · · l
nnclpa Contractor. Most
0
z
a design and build project this could occur at any stage from RIBA Stage 3 h d ass1s ance w1th this duty Th p . . ~
as no uty to review the content of th C . . e nne, pal Designer -!
onwards. In all cases the information is passed to the tendering Contractors so e onstruct1on Phase Plan. :r
-!
that they can take account of the risk information provided and make suitable :r
There is no requirement in the R l f -o
IT1
resource provision for dealing with them. The Pre-Construction Informat ion sufficiency or suitability of th C egu a Ions for any duty holder to check the ;u
may be on drawings and in a stand-alone Pre-Construction Information h e onstruct10n Phase Pl H z

n
as an absolute obligation to ensure that th an_. owever, the Client
document, or incorporated into the tender documents. drawn up, so that it sets out the h lth d e Construction Phase Plan is r
~
and takes account of specific r" k ea han s~fety arrangements and site rules
n
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· IS s on t e project in q t. z
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confident in fulfilling this obligation : ues 1on. If a Client is not ;u
Contractor acceptance l>
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0
• The Client could emplo COM . ;u
The Principal Designer provides the Pre-Construction Information to the . y an Adviser to assist with their duties
tendering Contractors. It is common sense- though not a COM 2015-specific • The Client could ask the Princi al Desi n
duty- that the Principal Designer should co mment on the responses relating Constru ction Phase Plan . p g er to undertake a review of the
to how significant risks will be dealt with to identify any obvious omissions or
misinterpretations that may affect the validity of the tender.
The Principal Designer has a dut to liaise . . .
the duration of their appointmen{ and this With the Pn~clpal Contractor for
development during the Canst 't. p Includes liaison regarding design
Initial arrangements for liaison rue 10n hase and th d. ·
and safety matters during th C . . e coor matlon of health
e onstru ct1on Phase.
The Principal Designer is responsible for planning, managing and monitoring
the Pre-Construct ion Phase for as long as their appointment lasts, including
the parts of the Construction Phase that involve design [Pre-Con struction
Work). The Principal Designer should, as soon as the Principal Contractor is
selected, make arrangements to liaise with the Principal Contractor regarding
initial design work by Contractors, including scaffolding, other temporary
works, any site preparation [e.g. ground stabilisation or crane bases) and
stripping out and demolitions.
56
57
3.2 Continuing liaison during the Liaison with the p · ·

nnclpal Contractor for the Health and Safety File
Construction Phase
Unless the Princ ipa l Designer's a oin ..
Dealing with design changes by Designers and Contractors during the Construction Phase the Pr' . lPDP . tment finishes befo re the en d of the
. . , lnCipa es,gner shou ld t. . .
Construction Phase is part of the Principal Designer's role, and the Principal Pnnclpal Contractor regarding . f . con mue to liaise with th e
Designer will consider the impact of these design changes on the Design Principal Designer's appointme'~ ofr mahtlon for the Health and Safety Fi le. If the
Ph h In IS es before the end f th C
Risk Management strategy for the project in consultation with the ase, t e Principal Designer should as . o e onstruction
File developed to that date to th p . ~ s the Incomplete Hea lth and Sa fety
Principal Contractor.
that th is has taken place Th p e. nnclpa l Contractor, and advise the Client
th . . e nnclpa l Contractor sh ld .
The effort the Principal Designer and the Principal Contractor devote to e Information for the Health and S f . . ou contmue to develop
carrying out this liaison should be in proportion to the size and complexity of the Health and Safety File is handed ~oe:~:~~i~~t~il the end of the proj ect, when -
:J
the project and the nature of risks involved. The Principal Contractor should ,n
::1
expect and receive help from the Principal Designer, and any other duty The Principal Designer's duty to prepare the Hea . ::2
Client, Designers and Principa l C t l th and Safety File req uires th e r:
holders on larger projects, in identifying the risks associated with the work ilir
d th on ractor to prepare and b .
and determining the necessary controls that need to be put in place. Regu lar an en pass th is to the Principal Designer assem le Information ('")
a
meetings will usually be the most effective management tool. :z
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The Regulations do not expressly re uire t . . )>
While liaising with the Principal Contractor, the Principal Designer's objectives th e accuracy of the informatio . thq H he Pnnclpal Designer to chec k ....,
('")
a
providing information sho uld n Ink e ealth and Safety Fi le, but everyon e :u
must include: ma e sure that it is
and p rovided at the appropriate tim H accurate, comp reh ensi ble
• Sharing of Pre- Construction Information that may affect the planning, Designer to 'review, update and revi:·e [owever, the duty on the Pri ncipal
management and monitoring of both the Pre-Construction and th e require a proactive response to ex· t' the File] from time to time .. .' does
IS mg or mlssmg Information.
Construction Phases
• Coordination of matters relating to Pre-Constr uction Health and Safety
• Provision of the Pre-Construction Information needed by the Principal

Contractor to review and update the Construction Phase Plan
• Effective management of ongoing design, especially design changes
• Obtaining information for the Health and Safety File.
58
59
3.3 The defects Liability period
Practical completion/handover
It is quite common for there to be a list of incomplete works when the project
is handed over to the Client for occupation. These works are construction
works and should be considered to be a part of the project, to be completed
as soon as possible by the Principal Contractor. This will require appropriate
welfare to be provided along with management of the construction and
the risks associated with the new circumstances- i.e . working within an
occupied building. This is not a new project, but will requ ire the Client,
Principal Designer and Principal Contractor to establish arrangements that
reflect the changed circumstances. The Principal Designer should provide
new or reworked Pre-Construction Information to the Principal Contractor
undertaking the defects rectification work. This may entail creating a post-
occupation risk register and an addendum to the Construction Phase Plan.
The end of the defects liability period
This should be treated as a new construction project. The Principal

Contractor role will remain in place by virtue of the Main Contractor's and
Sub-contractors· continuing involvement in the contract. The Principal
Designer's appointment will in the majority of projects have ended at th e time
the Health and Safety File was handed over. Where complex reworking of failed
construction is required, it will almost certainly be necessary to appoint a
Principal Designer.
Reactive rectification
In some instances immediate action may be required to undertake repair or

reinstatement works. These shou ld, if they occur in isolation, be treated as
individual construction projects under COM 2015, and dea lt with according to
their size and complexity.
60
SAMPLE PROPOSAL FOR PRINCIPAL DESIGNER ROLE

4.1 Resourcing fees and appointment
TO BE USED IN CONJUNCTION WITH APS FORM OF APPOINTMENT
Proposal for Principal Designer role
1.0 THE PROJECT -
It is essential that Designers should be sensibly recompensed for the duties 1.1 The project consists of:
and associated risks they are taking on to adequately perform the Principal 1.2 Th is proposal is based on the fol lowing
Designer role. It is recommended that: list of provided information: ~
1.3
cl
The contract va lue is app roximately: ;;J
• A Brief for the role of Principal Designer is agreed with the Client. This 1.4 The project is to be carried out
c
):
will be based on the Client Brief [if received]. If no written Client Brief ;;:
as a one/two-stage tender : c:
is forthcom ing, it is recommended that a Client Brief is provided by the n
1.5 The intended prog ramme is: >
n
Principal Designer recording the briefing discussions with the Client Construction commencement: 3
"t
Completion:
in writing. £
::t
c:
• Input required [personnel and required hoursl should be assessed c:
\l
once the Brief for the role of Principal Designer has been agreed [and 2.0 APPOINTMENT c:
3::
it is recommended that the Principal Designer Brief is agreed before 2.1 Our appointment will be in accordan .
Safety Form of Appointment a p . ce With The Association for Project
ztTl
~
assessing the input required by the Principal Designer]. Input required s nnc1pal Des1gner 2015. VI
needs to identify who is doing what and when [using the programme 2.2 Collateral Warranties w ill be rovid .
PI insurers, to Purchaser F pd ded , In a form acceptable to our
agreed within the Client Brief and Principal Designer Brietl . · un an up to two Tenants.
• It is recommended that an Association for Project Safety For m of 3.0 PROFESSIONAL INDEMNITY COVER (PI)
Appointment for the ro le of Principal Designer is used . 3.1 The pra ctice carries PI cover on an ea ch d
claim basis an every
3.2 The ma ximu~ ·;·i~·b·i·;i·;y··~~·;a·~·~·e·d··;~ ·t~ ··· ··· ········· ··· ······ · ··.···· ···· ·· ·· ··· ................. .................... .
[http:/ /www.a ps. org. u k/ publi cati onsl
this contract wi ll be contract l e practice result ing from
. va ue up to £.. ............................... .
3.3 Whithllobut prejudice .. .: ..... .... the l iability of [Practice Name] ....................................
s a e furth er l1m1ted .
Please remember to di d. .
scuss lsc/osure of mformation regarding Plf cover with your Insurer
62 63
Programme change letter

4.0 WORKS ELEMENTS .
4.1
4.2
The scope of ou r works listed below are in relation to Regulation 11 of the
COM Regulations 2015.
The schedule of se rvices we will provide is as listed below:
This is example text for a letter from the Principal Designer explaining why a
cha nge in the programme is necessary in order to deal with hea lth or safety
risk management.
I0
l ll
~
z
>
Address line 1 ::0
c
5.0 CLIENT"S ROLE . . Address Line 2 >
Address l ine 3 z
Under COM 2015 the Client or their Adviser has the followmg duties : 0
5. 1 Postcode \.'J
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3::
Dear XXXXXX
"
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In reviewing the overall construction and design programmels) 0
0
6.0 ASSUMPTIONS/INFORMATION BY OTHERS for the project we are concerned about the amount of time that (')
c
has been allowed between preparing the design for [x] and the 3:
m
issu ing of tender documenta tion. There wou ld appear to be z
-1
insufficient time to adequa tely prepare the Pre-Construction lll
Information for issuing to potential Principal Contractors who
w ill be tendering to carry out the work. We recommend that the
7.0 p rogramme is adjusted to enable this to be properly ca rried out.
FEES . . . role will be a lump sum/time and materialldelete
1. Our fees for the Pnnclpal Designer l. lso subject to the programme noted
I £ Our fee proposa IS a d ·ll We also consider that insufficient time may have been allowed
as appropriate o1 .............. l t d beyond the dates note w e W I for the Princ ipal Contracto r to plan and prepare for co nstruc-
within 1.5 above. Should the programme bet e onga elusive of VAT bu t inclusive/exclu-
advise on any additional fees payable. This ee IS exc tion work. includ ing prepa ration of the Construction Phase
sive !delete as appropriate) of expenses. Plan, before you Ithe Client) allow work to sta rt on site.
. .m .. ...... ...... monthly instalments of L ..... ... .. exc VAT.
The fees are to be pa1d
2. In our view it wou ld the r efore be appropriate to consider adjust -
[add payment terms] ing the start date by a suggested period of [X days/ weeks] to
Additional costs if required: [date]. We sugg est that, if necessary, this should be discussed
3.
and resolved at the next design/project team meet ing.
Sign off
This template can be downloa ded f rom the . APS webs1te kat
www.aps .o rg. uk/ guida nee/pri ncipal-deslg ners- hand boo
Th is and other sample let ters can be down loaed fro m the APS w ebsite at
www.aps.org. uk/gu ida nee/p rinc ipa l -d esi gne rs- hand book
64 65
Late appointment 'with qualifications' letter
The following is sample wording for a letter from the Principal Designer to
the Client- this example assumes that a Principal Contractor is already
appointed . The letter can be adapted according to the circumstances.
fu rther inspections. invest igations

Address line 1 necessary to obta · . · surveys or other works
1
Address Line 2 and risk informati~nr:be;~tntt~nformation, resid ual hazard
Address line 3 information about the currente[~lte or your Site activities, and
Postcode
::~hs;r~~:~;~:~s a workplace [:f :~~~:~:~~::.aa:ddf~:~:et~~se °:
0
DearXXXXXX
[If construction has already commenced]
Appointment as Principal Designer under the Construction
[Design and Management] Regulations 2015 As construction work has comme
that you consider putti n need, we wou ld recommend
Further to your confirmation of our brief for the role of Principal until the Const ruction p~::: ~~~~h~r construction work on hold
Designer for the above project in your letter/email/fax/verbal to be suitable bea rin . . as been prepared and found
instruction of [date]. and in view of the lateness of the appoint- [the Client) of,prosec~t::n~~~dt~hat th:re is already a risk to you
ment we note that considerable design, preparation , planning under regu lation 4[5Jia) of th CDe MproR able breach of your duty
e egulat1ons.
and other Pre-Construction Phase work has already been
undertaken and construction work will commence/has com- Sign off
menced on [date]. Accordingly, we need to advise you that the
normal role as Principal Designer will have to be modified as
follows to achieve effective design and project risk management
and compliance from this point forward:
• You must notify the relevant enforcing authority [usually

the HSE] immediately and include our details. Submitting
this notification demonstrates that you have approved the
particulars and that you are now aware of your duties under
the COM Regulations 2015.
• We will review the Pre-Construction Information already Th is and other sample letters can be downlo
provided to those designing and planning the works. and www.aps.o rg.uk/gu idance/principa l- d . aed from the APS website at
es1g ners- handbook
if necessary collect further relevant Pre-Construction
Information from you. the Client. and advise you of any
66 67
4.2 Pre-Construction Information • Site security
Pre-Construction Information is relevant and proportionate Client information • Welfare provision

[already in the Client's possession or obtainable) and includes information:
• Environmental restrictions and existing on-site risks
• About the project • Significant design and construction hazards
• For planning and management of the project • Health and Safety File
• On health and safety hazards, including design and construction hazards

and how they will be addressed
Environmental restrictions and existing on- site risks
• In any existing Health and Safety File r
Health hazards >
n
The following sets out the main areas that must be covered in the Pre- 3
"l
Construction Information, and suggests a way to structure this infor mati on. • Asbestos £
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• Storage of hazardous material r
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Description of the project • Contaminated ground m
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• Project description
Safety hazards
• Key dates
• Project directory- details of other parties • Existing services
• Extent and location of existing record s and plans • Information contained in earlier de .
planks or post t . . srgns, e.g. pre-stressed concrete
- ensronrng
Client's arrangements and requirements Other
• Timing and sequence of appointments • Boundaries

• Review of designs • Adjacent land uses
• Planning and managing construction
• Communication
68
69
PRINCIPAL DESIGNER·s HANDBOOK
4.3 Design Risk Management

· h zards
Significant design and construction a
Principal Designers need to understand and bring about the process of
• Suggested work methods, sequences, etc. Design Risk Management for the construction project.
• Arrangements for coordinating ongoing designs .

Designers need to take into account the General Principles of Prevention
. .th ppropriate information
. .. . k ·dentified during the design WI a and any Pre-Construction Inform ation to eliminate, so far as is reasonably
•s 1gmf1cant ns s I .
to allow management of these nsks practicable, foreseeable health and safety risks to those:
• Materials requiring particular precautions

• Carrying out or liable to be affecte d by construction work
• Maintaining or cleaning a stru ctu re
• Using a structure design ed as a work place.
If it is not possible to elim ina te these risks, the Designer must, so far as is
reasonably practicable:
• Take steps to reduce or, if that is not possible, control the risks through
the subsequent design process
• Provide information about th ose risks to the Principal Designer
• Ensure appropriate information is included in the Health and Safety File.
The Principal Designer must manage the above process (and ensure it
happens) for each and everyone of the Designers involved in the project.
This is best accomplished by combining the assessed results from Designers
into a Design Risk Register.
71
70
Design Risk Register DESIGN RISK REGISTER

DOCUMENT FIRST ISSUED :
A Design Risk Register is a live document used to log the risks that have
been identified on a project. This makes them easy for the Principal Designer CLIENT :
and other duty holders to access them as necessary. Fur ther, it enables the DOCUMENT PURPOSE :
-
Princi pal Designer to:
Date By Details l
• Manage the process of Design Risk Management by assessing the
DO~~~ BE THE CONTRACTOR'S
TENDER ISSUE: SOM E DESIGN
input from each and all of the Designers [and re-assessing) as the RESPONSIB ILITY AND THIS
VIEWED AFTER THE PRINC IP NT SHOULD BE RE-
project proceed s For further revisions. insert the date b who AL CONTRACTOR IS APPOINTED.
Re~lster. strike out the text to be am.en~ed (dm and ref. no. in the columns below In the R. k
• Identify [with Designers) the need tor further Pre-Construction
Information from the Client
ns colour code as required. Revisions can beo
Date By
r~~::~~do~~lDand te~t. Adjust~ ~
insert revised
eslgn Team meet~ngs.
he
~
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c
Ref. Details ('
• Consider the affects of one design solution on other designs c
3
n
[and vice versa) ::;:
v
• Identify necessary information produced with the design tor passing to
o other Designers [as part of the Pre Construction Information)
o Principal Contractor/Contractors [as part of the Pre Construction
Information)
• Identify necessary information produced with the design for inclusion
in the Health and Safety File.
F1gure 4 .1
Sample design r isk register
73
12
4.4 Health and Safetv File

PROJECT:
DATE:
VERSION:
LEGEND: ltin in fatality or disabl ing injury
• Very likely to happen resu l g . I t lity· likely to happen resulti ng in
Un likely to happen but resu tmgtm hap~en ,resulting in first aid injury
injury or illness; almost certain o a. . . .
• Very unlikely to happen resultmg In first aid InJury o
r illness
During the Pre-Construction Phase, the Principal Designer is responsible for
the preparation of a proportionate Health and Safety File containing health and
safety project info rmation likely to be needed during any subsequent project.
The Health and Safety File is a live document that needs to be appropriately
reviewed, updated and revised by the Principal Designer during the
I
VI
£!
2:
0
· ·th otential to cause harm l>
Haza rd= So mething WI a p t l'k l to be obvious to a competent Con- Pre-Constru ction Phase, as the project proceeds. :::0
. · k R. k that are no 1 e Y · l 0
tractor or other Desi gner, unusua or l'k
Significant R1s = IS s l I el y to be difficult to manage elfect1ve Y
l>
z
0
The Principal Contractor must provide the Principal Designer with relevant m
X
information for the Health and Safety File as the project proceeds. m
Ref. No Ele-
ment/
Hazard Persons R1sk
at Risk Level
Rosk
Owner
Desogn
measures
Resodual
Ro sk Level
Information Further
provided about Act1on:
Subcontractor
Responsibility
:s::
~
Acl1vity taken to the residual Add to PCI Competence
eliminate hazard Add to check I desogn £:
:::0
or reduce Oraw1ngs - 0 resp on sibility If the Principal Designer's appointment ends before the end of the 0
hazard Add to H&S
0
Fite- F Construction Phase, the Principal Designer must pass the Health and Safety n
c
File to the Principal Contractor. It is generally recommended that the Principal :s::
m
Designer appointment lasts until the end of the Construc tion Phase to enable : z
-t
Ill
• Completion of the Health and Safety File by the Principal Designer

Substructure • Uninterrupted continuation of th e Principal Designer role to cater for
Design Risk Management that inevitably occurs during most of the
I I Construction Phase
At the end of the project, the Principal Designer, or where there is no Principal
Designer, the Principal Contractor, must pass the Health and Safety File to
the Client.
Se rvices
The File must co ntain information about the current project likely to be
needed to ensure hea lth and safety during any subsequent work, such
as maintenance, cleaning, refurbishment or demolition .
. nce on Design
Fu rther information and guida . Risk hManagement
dbook can be Ioun d on the APS website
at www.aps. org.uk/gu idanc e/pnnclpal-destgners- an
74
75
Document control sheet
I
. the Health and Safety File, information on the following
When prepanng
should be considered for inclusion: A Health and Safety File should be prepared for every project involving more
than one Contractor, and this should be done proportionate ly depending on the
• A brief description of the project size and type of project. In some very small projects it may be sufficient for a
Health and Safety File to comprise only one or two pages. However, for most u
that have not been eliminated through the design and ;;
• Haza rds b ddressed projects the following general format can be used. 2
construction processes, and how they have een a ~
X
c
• Key structural principles The File should be properly titled with project [job] reference, version number l>
z
and issue date. 0
m
• Hazardous materials used X
m
3::
• Information regarding the removal or dismantling of installed plant [Project Title] ""0
£:
::0
and equipment Health and Safety File
0
. ·
• Health and safety information about eqUipme
nt provided for cleaning Reference No [Reference Number] I Version I [Version] 0
(")
c:
Date December 2015 3::
or maintaining the structure m
z
-1
• The nature, location and markings of significant servi:es, including t c.n
underground cables, gas supply equipment, fire-flghtmg services, e c The File will be developed at various stages in the life of a project, with
• Information and as-built drawings of the building, its plant information on significant residual risks added to the working file as design
and construction work progresses. It is possible that the File could be issued
and equipment.
in an incomplete form for others to complete- for example, if the Principal
Designer duty holder changes or terminates and the duty is handed to the
Principal Contractor.
77
76
PRINCIPAL DESIGNERS HANDBOOK
The Client, under the COM Regulations 20 15 has the duty to:
• Ensure that the Health and Safety File is kept available fo r anyone wh o
needs it to comply with relevant legal requ irem ents
• Pass the Health and Safety File to whoever takes over the structure and
takes on the Client duties if the Client decides to dispose of th eir interest
in it
I~ l!mi\'7 f:I•l!!.Sit I • r~•~ lli fil•.:tLl!!U 121 •
IM
~F.:l liJ'~U=I.IJil
~
Client [Organisation] [Name] Dig ital/
• Ens ure that the Health and Safety File is updated wi th hea lth and safety
hard copy information fo llowing any future work, maintenance or refu rbishment that
Designer 1 [Organ isation] [Name]
falls within the rem it of COM 20 15 involvin g more than one contractor.
Designer 2 [Organisation] [Name]
Principal [Organisation] [Name]
Designer Information and as-built drawings
Principal [Organisation] [Name]
I Contractor
As - built dr awings for the works should be listed in the File. It is not necessary
for the drawing to be incorpor ated but they can be if appropriate, particularly
Health and Safety File- sample
:....:.s_tr_u_c_tu_r_e_ _ _ _ __ when the information is provided dig itally.
;0~
h ws the structure of a Health and Safety File Designers should note that the Regulations requ ire 'as-built' drawings, not
The table on Pages 80 and 81 5 It may also include an introduction, and
prepared to accord With COM . the last construction issue, and this means that the Designers and Principal
various appendices as necessary. Designer will have to discuss and confirm any devia tions from the construction
dr awings with the Pri ncipal Contractor, pe rha ps reco rded only in written
. tions within the Health and Safety File that Variation Instructions or instruction s issued directly to the site.
The table also shows the typical sec t t those who will undertake future
could contain useful information t~ 1m par. ot nee alterations refu rbishm ent
k . luding cleanmg mam ena , , .
construction war , me , 0 . fons can be omitted if there IS
and demolition, to be carried out safely. escnp I
no useful information to be included .
78
79
Key headings for Health and Safety File

··~ m::onn:J:::t~ · B:.l::f:lel~
' lliiitJJ:I ;o; A ll'iUl
~-
. Information Information regarding the
Description of Brief description of the work regarding the removal or dismantling
the works carried out removal or of installed plant and
dismantling equipment !e.g. any special
of installed arrangements for lifting
plant and such equipment)
equipment
Equipment for Health and safety

Residual Any hazards that have not cleaning or information about equipment
been eliminated through maintaining provided for cleaning or
hazards
the design and construction the structure maintaining the structure
processes. and how they (e.g. fall protection systems,
have been addressed [e.g. high reach mobile platforms/
surveys or other information vehicles}
concerning asbestos or
contaminated land}
• Location of The nature, location and
Key structural Key structu ral principles significant marking s of significant
principles [e.g. bracing, sources of services services, including
substantial stored energy underground cables, gas
including pre- or post- supply equipment, fire-
tensioned members} and fighting services, etc
sa fe working loads for floors
and roofs
Information Information and as-built
Hazardous Hazardous materials used and as-built drawings of the building, its
• [e.g. lead paints and
materials drawings plant and equi pment (e.g.
used special coatings} the means of safe access to
and fro m service voids and
fi re doors)
81
80
Other information
It is often appropriate to provide information in the Health and Safety File

relating to specific hazards and risks, particularly where the information has
been provided by specialists, not part of the design or construction teams, and
these can be included as Appendices:
• Appendix A- as-built drawings
• Appendix B- asbestos survey [complete document)
• Appendix C- other survey information
Other sample formats for the Health and Safety File can be downloaded from the APS
website at www.aps.org. uk/guidance/principal-desig ners-hand book
Throughout this book, th e other dut holder

the context within which the Princi ~l Desi ~ have been referenced as part of
the key roles and responsibilities o~ all the gd et rhwolrdks. Thrs chapter explains
u Y o ers under COM 2015.
82
5.1 Precis of the duties of various duty holders 5.2 General duties
under COM 2015
Designers and Contactors must:
This precis provides an outline of the duties and requirements for the various
duty holders under COM 2015. It is, of necessity, an abbreviated version of o be capable of fulfilling their ro les [Principal 0 .
the requirements of COM 2015, and needs to be read in conjunction with the are De · esrgners
srgners and Principal Contractors are Contractors)
Guidance on Regulations [L 153]. issued by the Health and Safety Executive, to
ensure that a full and complete understanding of particular requirements o not accept an appointment unless cap able
are understood. • Those appointing Des ·
of appointees. rgners and Contractors must ch eck the capability
The precis cannot, and is not intended to, provide for all the vagaries that occur
when undertaking construction work. • Dut.y holders must cooperate with any other person worki
proJ ect or an adjo ining construction site. ng on th e
For complex situations, it is recommended that definitive advice is sought from
• A person working on a project under the control of another must:
an Incorporated, Certified or Fellow Member of The Association for Project
Safety to provide full and detailed guidance. o report to that person anything the are a . .
proj ect which is likely to endange:their o~;eh~:;~relatrofn to the
that of others or sa ety or
o provide comprehensible info rmation or instruction as soon

as practrcable.
84
85
PRINCIPAL DESIGNER'S HANDB OOK
The Client must continued:

The Client must:
• Ensure that:
• Make suitable arrangements for managing a project in relation to

o Pr:nc ipal Designer complies with Principal Des igner duties
health and safety including allocation of sufficient time and resou rces to
ensure that: o Prmcipal Contractor complies with Principal Contractor duties
o work undertaken, so far as is reasonably practicable, without • Where there is more than one Client a re . .
can be undertaken by a single Cl' t g . e, If desired, how certain duties
health and safety risks to persons affected by the project 1en ent1ty
• Notify the p · t
o welfare is provided for construction workers . roJec , to the appropriate Re l
displayed on site updating a gu ator, and ensure a copy is
· s necessary
• Ensure arrangements are maintained and reviewed during the project
• If appointing Designers who are base
• Provide Pre-Construction Information as soon as is practicable to every undertake duties under COM 2015 f d abroad, ensure that they
Designer and Contractor appointed, or potential Designers/Contractors Great Britain for construction k or dheslgn work undertaken outwith
war Wit In Great Britain.
• If there is more than one Contractor on site, at any one time, appoint,
as soon as practicable:
o Principal Designer
o Principal Contractor
• Failure to appoint the Principal Designer and Principal Contractor resu l ts

in these roles and associated duties defaulting to the Client [except
Domestic Clients - see page 14)
• Ensure that:
o before the Construction Phase begins, a suitable Construction Phase

Plan is in place, prepared by the Contractor or Prin cipal Contractor
o th e Principal Designer prepares a Health and Safety File for the project.
that the Health and Safety File is reviewed/revised as necessary and kept
available for inspection by those who need it
o Health and Safety File is pa ssed on when structure is sold/transferred

to new Client
86
87
5.4 Principal Designer (Pre-Construction Phase) The Principal Designer must continued:
The Principal Designer must:
• liaise with the Principal Contractor and . .
to monitoring and coordination of h lth share Information relevant
• Plan, manage, monitor and coordinate health and safety matters to the Construction Phase ea and safety matters during
ensure that, so far as is reasonably practicable, the project is carried out
without risks to health or safety • Prepare a Health and Safety File durin t .
and review, update and . g he Pre-Construction Phase
• Consider the General Principles of Prevention/Construction Phase Plan/ revise as necessary, and:
Health and Safety Files when: o if Principal Designer appointment to the
hand completed Health and S f t F'l end of the Construction Phase
o design , technical and organisational aspects for items of work take place a e Y 1e to Client '
simultaneously or in succession o if Principal Designer appointment ce
Construction Phase hand H lth ases before the end of the
o estimating the period of time required to complete such work or for completion , ea and Safety File to Principal Contractor
work stages
• Identify, eliminate or control, so far as is reasonably practicable, : Not ~ccept the Principal Designer appointment unless capable
foreseeable risks to the health or safety of any person : Provide comprehensible information or instructio
n as soon as practicable
o carrying out or liable to be affected by construction work • Cooperate with others on the site and ad· . . .
JOining s1tes
o maintaining or cleaning a structure
• Be satisfied that the Client is aware of their duties under COM 2015.
o using a structure designed as a workplace
• Ensure all Designers comply with their duties
• Ensure, in relation to the Pre-Construction Phase, all persons cooperate

with Client, Principal Designer and each other
• Assist the Client in provision of Pre-Construction Information
• Provide Pre-Construction Information, promptly and in a convenient

form, to every Designer and Contractor appointed, or being considered
for appointment
88
89
5.5 Designer
5.6 Principal Contractor
The Designer must:
The Principal Contractor must:
· du f le sunderCDM2015 .
• Be satisfied that the Client is aware oft helr
• Plan, manage and monitor and coordin ate matters relati ng to heal th
. ount the General Principles of Prevention and safety to ensure that, so far as is rea sonably practicable,
• When designing, take Into ace . l' . ate so far as is reasonably
f Information toe lmln , construction work is carried out without r isks to health or sa fety
and Pre-Construe IOn . h h lth and safety of any person:
practicab le, foreseeable nsks tot e ea
• Consider the General Principles of Prevention when:
o . ou tor liable to be affected by construction work
carrymg
o design, technical and organisationa l aspects are being decided in order
o maintaining or cleaning a structure to plan work taking place simultaneously or in succession
o using a structure designed as a workplace . o estimating the period of time required to comple te the work or
work stages
• If the risks cannot be eliminate d th e Designer must , so far as IS
reasonably practicable: • Prepare a suitable Construction Phase Plan before the Construction
Phase begins
o take steps to reduce or control the risks through design .
• Organise coopera tion between Contractors
o provide information about those r isks to the Principal Designer
o ensure appropriate information is included in the Health • Coordinate implementation by Contractor s of applicable lega l
requirements for health and safety
and Safety File
. . . . about the design, construction or • Ensure that employers and , if necessary for th e protection of workers,
• Provide sufficient Information d uately assist the Client, other self-employed persons:
maintenance of the structure, to a ~q .th their duties
Designers and Contractors to comp y WI
o consistently apply th e Genera l Principles of Preve ntion, and in particular
. ensure they undertake duties under . when complying with the provisions of Part 4 {General requ ire ments for
• If appo inting Designers abroad, B ·tain for construction work withm all construction sites)
COM 2015 for designs outside Great n
Great Britain. o where requ ired, follow the Construction Phase Plan
90
91
5. 7 Contractors
The Principal Contractor must continued:
Contractors must:
• The Principal Contractor must ensure:
• Be satisfied that the Client is aware of their duties under COM 2015
o suitable site induction is provided
• Plan, manage and monitor construction work carried out either by the
oprevention of access by unauthorised persons to the site
Contractor or by Workers under the Contractor's control, to ensure that,
h t the Construction Phase so far as is reasonably practicable, it is carried out without risks to health
o welfare facilities are provided throug ou
. . . . rand share information relevant to the and safety
• Liaise With Pnnclpal Oeslgne. . f th Pre-Construction Phase and
. ment mon1tonng o e . • Where there is more than one Contractor working on a project,
plannmg, manage · tt during the Pre-Construction
coordination of health and safety ma ers comply with:
Phase o directions given by the Principal Designer or Principal Contractor

• Consult and engage with Workers. o relevant parts of the Construction Phase Plan
• If there is only one Contractor working on the project:
o consider General Principles of Prevention when:
- design, technical and organisational aspects are being decided in

order to plan work taking place simultaneously or in succession
- estimating the period of time required to complete the work or

work stages
o prepare a suitable Construction Phase Plan before the Construction

Phase begins
• Not employ or appoint a person unless they are capable
93
92
The Contractor must continued:

5.8 Workers
• Provide each worker under their control with appropriate supervision,
instructions and information so that construction work can be carried Workers are the people who work for or un
out, so far as is reasonably practicable, without risks to health and on a construction site. der the control of Contractors
safety, including:
Workers must:
o suitable site induction is provided
o emergency procedures • Be consulted about matters that affect their health, safety and welfare
o information on risks to health and safety • Take care of their own health and safet
affected by their actions y and that of others who may be
o other information as necessary
• Report anything they see which is likel .
• Not start work: or others' health and safety y to endanger erther their own
o unless prevention of access by unauthorised persons to the site
• Cooperate with their emplo er f ll
is in place and welfare facilities are provided and maintained. duty holders. Y , e ow workers, Contractors and other
94
95
PR INCIPAL DESIGNER'S HANDBOOK
5. 9 COM Adviser • The suitabi lity or otherwise of the Construction Phase Plan and the
provision of the proposed welfare facilities prior to construction work
The COM Adviser is not a statutory role. The COM Adviser can give ad~ice commencing on site
to the Client about how to discharge Client duties, and advice to Pnnc lpal .
Designers, Designers, and Principal Contractors about how to discharge their • What reasona ble steps the Client should take to ensure th at:
respective duties.
o the Principal Designer comp lies with their duties
The COM Adviser need not be a Designer or Contractor, but should have o the Principal Contractor complies with their duties
considerable and in-depth knowledge of construction health an_d safety. The
• Disposing of the building or structure and hand ing over the Health
COM Adviser to the Client could be the appointed Pnnclpal Deslgne:, provided and Safety File
they are a Designer and have sufficient sk_ills, knowledge and expenence.
The main areas on which they can advise mclude: • Notificat ion to the Health and Safety Executive, or the Office of Rail
Regulation, or the Office for Nuclear Regu lation instea d of the Exec utive
• Preparation of a Client's brief for the project as appropriate.
• Making suitable arrangements for managing the project, including time The COM Adviser can, if requ ired , advise the Client on the health and
and other resources safety skills, knowledge, experience and , where it is an orga nisa tion, the
organisational capability and resources of proposed Designers and/or
• Making suitable arrangements to ensure that the construction work can
Contractors prior to arrangements being made for des ign or constru ction
be carried out without risks to the health or safety of any person affected work to begin.
by the project
• Welfare facilities provided for the construction work

COM Adviser to the Principal Designer !Sub-consultant to the
• Project management arrangements maintained and reviewed throughout Principal Designer)
the project
• Pre-Construction Information to be provided by the Client In circumstances where the Lead Designer or the other Designe rs on the
project are unwilling or incapable of undertaking the Principal Designer role,
• The Construction Phase Plan drawn up by the Contractor or by the
but th e Client is insistent on the Lead Designer (or one of the other Designers)
Principal Contractor
becom ing the Principal Designer, the Lead Designer (or any of the other
• Preparation of the Health and Safety File during the Pre-Construction Designers) can appoint a design organisation with the capability to undertake
Phase the COM 2015 duties as Pr incipal Designer.
The Designer appointing the Sub-consultant retains fu ll res ponsibility and

liability for the Principal Designe r se rvice provided by the Sub-consultant.
96
97
In most respects the Sub-consultant will vir tually undertake the Principal
Designer role and will enter into a contract accordingly, with the exception
of key interfaces with the other duty holders, such as:
• Distribution of Pre-Construction Information to Designers and

Contractors
• Handing over th e Health and Safety File to the Client; this should be
undertaken by the appo inted Pri ncipal Designer.
The Sub-consultant wi ll be able to represent the appointed Principal Designer

as required at design team and Principal Contractor liaison meetings, and at
site progress meeting s.
The Sub-consultant will carry appropriate professional indemnity insurance

for the delivery of the Sub-consulta nt's services.
When the Client becomes Principal Contractor
Clients who control the way in which any construction work is carried out
must also comply with lor at least take into account] the requirements of
regula tions 17-35 lin Part 4 of the Regulations] so far as they relate to matters
in the Client's control. This also applies to Domestic Clients !regulation 16(3]].
Those Clients who project- manage a series of Contractors and instru ct those
Contractors when to carry out work and in what manner, may find themselves
unwittingly becoming a Principal Contractor, with the corresponding COM
duties. This can have particular complications and implications for the actions
of Designers and Contractors on self- build projects.
98
PR INCIPAL DESIGNER'S HANDBOOK
Training and suooort Whether in the early stages of a career or a qualified and experienced
~rofessio nal, th~ APS offers advice and routes to accreditation and entry
The Association for Project Safety lAPS) believes that their members should mto our professional membersh ip. The APS hosts numerous national CPO
possess the right skills, knowledge, qualifications and experience. Capability is seminars across the United Kingdom each year. Through national and
also about the willingness to deliver resources for the benefit of project health regional CPO provision, the APS aims to give our members every opportunity
and safety, the Client's business objectives and for an integrated project team. to keep up-to-date w ith the latest issues in construction hea lth, safety and
environmental risk management.The CPO Certification Se rvice provides
The APS provides the indu stry with Membership Lists of Individuals and suppo rt, advice and recognised independent CPO accred itation compatible
Businesses to support Clients and project teams needing to appoint with with globa l CPO principles.
confidence those that are capable of fulfilling a COM 2015 role.
As an APS member you will be kept up-to-date and we ll informed ; you
As well as providing a platform to network and share good practice, the APS will have access to the Members area of the APS website, our bi-monthly
provides access to expert advice, the latest information and support when magazine, Digest, keeping you informed of important developments and
members need it. issues in the sector, Practice notes, and regular member eBu lletins. In
addition to this you will have access to our technical panel and legal advice
Ongoing membership of the APS and participation in the CPO programme can service, free of charge to APS Members.
help members meet their initial and annual accreditation requirements, and
support them in their career path to becoming an industry leader in
Pre-Construction Health and Safety Design Risk Management.
100 101
Lioar hv a d re erence material
APS Form of Appointment as Principal Designer:
https ://www.a ps. o rg. uk/ shop/a p s- form -of -a ppoi ntm ent -as-adviser-to- pri n c ipa l -designer-
2015.html
APS Form of Appointment as COM Adviser to the Client:

htt ps ://www. ap s.org. uk/ shop/a ps- form-of -appointment -as -cd m -ad vise r-to-c lie nt. htm l
APS COM 2015- What Commercial Clients need to do:

https://www.aps.org.uk/guidance/cdm20 15
APS COM 2015- What Domestic Clients need to do:

https://www.aps.org.uk/guidance/cdm2015
APS CPO presentations CPD35 and CPD36 provided source material and illustrations
for this publication
The Construction !Design and Management! Regulations 2015, Health and Safley Executive,
2015: http://www.hse.gov.uk/construction/cdm/2015/index.htm
Managing health and safety in construction- Contruction !Design and Management!

Regulations 2015 - Guidance on Regulations IL1531. Health and Safety Executive, 2015:
http://www.hse.gov.uk/pubns/priced/l153 .pdf
CITB guides:
http://www. cit b. co. u k/hea lth -safety-and -other- to pi cs/h ea lth- safety/construction-
design- and-management- regulations/
RIBA Plan of Work 2013: http://www.ribaplanofwork.com/
Construction Industry CounciliCICI Scope of Services:

http:/I c ic. org. u k/se rvi ces/t he -c i c- scope -of-services. ph p
102
Principal Designer's Handbook
The new CO M Regulations came into force on 6 April2015, changing the face of
construction health and safety risk management on constr uction proJects, large
and small. This Handbook has been specifically wntten to provide stra ightforward.
practical and easy-to-read guidance to anyone undertakmg the new Principal Oes1gner
role under The Construction [Design and Management) Regulations 2015[COM2015l.
It is primarily a1med towards the needs of the Sole Practitioner or small/med1um-sized
practices who offer Principal Designer services, ei ther as a stand-alone service or
in add ition to ot her design services.
The Handbook is a quick, first point of reference for both new Principal Designers and
expenenced design risk practit ioners. It will help the 1ndustry ach1eve a proportionate
response to Health and Safety Design Risk Management 1n the Pre-Construction Phase
by hel ping those who have sufficient hea lth and safety, knowledge and expenence to
carry out the Pnncipa l Oes1gner role, where they feel conf1dent to do so .
The Principal Designer's Handbook covers :
• The Principal Designer role - provides an overv1ew of the role; deta1ls the key
respo nsibilities ; and outlines how they differ on commercial and domestic projects.
• The Principal Designer in practice - 1ncludes details on fees and appomtments;

Pre-Construction Information; Design Risk Management; and how to prepare a
Health and Safety File.
• Liaison with the Principal Contractor - includes details of the Construct1on Phase
Plan; the contmumg l1aison required during the Construction Phase; and gUidance
on the defects liability period.
• Standard and exemplar documents - includes fees and appointment worked

examples ; examples of a Health and Safety File; and other useful templates which
will be modified and updated as experience of the Regulations develop.
• The key COM roles - outl1nes the key roles and responsibilities for the Cl1ent,
Designer, Principal Designer. Principal Contractor, Contractors, Workers,
and COM Adviser.
The Handbook draws from the knowledge, sk1ll and experience of The Assoc1ation
tor Project Safety lAPS) and its members. The APSis the leading membership body
for design and construction health and safety risk management and its aims are to
improve and promote professional practice in these areas. through a programme
of delivering standards and providing guidance, education and tram1ng.

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About The Association for Project Safety VI

Who can be the Principal Designer? VIII

1 THE PRINCIPAL DESIGNER ROLE 1

If' A DE ':R IN PRACTICE

Richard G. Wilks, President, The Association for Project Safety

About The Association for Project Safety INTRODUCTION

6. On a commercial project, if a Client fails to appoint a Principal Designer,

5. Designers offering their services as Principal Designers will need to

• Is not a replacement for the COM Coordinator- it is a new role

• Includes duties qualified by the term 'so far as reasonably practicable·

• Is not necessarily complex, particularly on small and straightforward

• Is not about an endless round of administration. but rather proactive

What does 'so far as (is) reasonably practicable' mean?

A suggested definition could be (subject to clarification

so far as (is] reasonably practicable· means balancing the level of risk

• The Principal Designer and Designers will identify

Extent of the role

• If design or the Principal Designer appointment continues to the end of

• The Principal Designer role may be carried out by th e Principal

1.2 Different role responsibilities 1.3 Commercial projects

Clients undertaking projects las part of a busmess]

Domestic Clients undertaking projects (not as part of a business]

Client Pre-Construction Information Client Pre-Construction Information

• The Lead Designer can accept the Principal Designer appointment,

HEALTH AND SAFETY FILE- PRINCIPAL DESIGNER

full legal responsibility for the Principal Designer service supplied by ~

• The Client can appoint a separate design organisation or individual as

Figure 1.3 shows the relationships and overlaps in a typical traditionally

including the ir skills, k nowledge and experience. ~

• Construction Phase Plan and start on site.

COM 2015 PROJECT LIFELINE

HEALTH AND SAFETY FILE • PRINCIPAL DESIGNER FUTURE REFERENCE

MORE REALISTIC FOR PO TO ADVISE OR,

O 1 z 3 4 5 RIBA I & ~g~~~~!8~~VALENTI 6 1

~:.-3. · 4 5 6 7 RIAS ASP/ 2005 WORKSTAGES 8

The Client's role in domestic self-build projects

Principal Designer unless they are also in business as a Designer. Designers ~

Information to give to the Client

0 1 2 3 4 s RIBA I& ~g~~~~:g~~VALENTI 6 7

• The Designers' drawings and specifications

• The Pre-Construction Information (if separate]

• The partially developed Health and Safety File.

Large domestic projects

Partial design service for commercial projects

2.1 Appointment and fees

technical design services. Separate forms of appointment or bespoke ~

http://vvww.aps.org.uk/publications • Staff time

• Additional resou rces required, including specialists

• Travel for site visits and attendance at design/project

• Assisting the Client in providing the Pre-Construction Informati on and

provided to Designers Additional COM 2015 services ,

In many instances, the Principa l Designe r will be asked to provide

• Failure to take into account the General Principles of Prevention.

Typical Client information

• Key dates during the Construction Phase

• Any relevant information in an existing Health and Safety File.

The Pre-Construction Information !continuously developed by the Principal

• Estimating time and sequences of works

• Project/site logistics plan.

• Have an appropriate leve l of detail

• Be proportionate to t he risks involved.

Pre-Construction Information gathered during the Pre-Construction Principal Designer

• Date of recei pt and source of information.

RIBA - Principal Designer's Handbook - 2015

RIBA - Principal Designer's Handbook - 2015

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