5.1 Introduction - What is the Health and Safety File?
As in the previous modules, in which we looked at the first and second key documents, we are now going to concentrate on the last of the three: the Health and Safety File. We're going to break down this document and then look at the specific responsibilities that each duty-holder has in regards to it.
The Health and Safety file contains relevant health and safety information that is to be taken into account during any project and should be appropriate to the characteristics of the project. However, it is important to note that the file is only required for projects involving more than one contractor.
The Health and Safety File must contain information regarding the current project that is likely to be required, in order to ensure health and safety during any subsequent work, such as maintenance, cleaning, refurbishment or demolition.There should be enough detail to allow the probable risks to be identified and addressed by those carrying out the work. However, as with the other documents, the level of detail should be proportionate to the risks.
The file should not include things that will be of no help when planning future construction work, such as the Pre-construction Information, the Construction Phase Plan, contractual documents and Safety Method Statements. The information must be in a convenient form, clear, concise and easily understandable.
According to the CDM Regulations 2015, the following information should be included in the Health and Safety file:
1.A brief description of the work carried out
2.Any hazards that have not been eliminated through the design and construction processes, and how they have been addressed
3.Key structural principles and safe working loads for βloors and roofs
4.Hazardous materials used
5.Information regarding the removal or dismantling of installed plant and equipment
6.Health and safety information regarding the equipment provided for cleaning or maintaining the structure
7.The nature, location and markings of significant services, including underground cables, gas supply equipment, fire-fighting services, etc.
Information and as-built drawings of the building and its plant and equipment
The CDM Regulations also detail key elements for securing construction health and safety, including:
1.Managing the risks by applying the general principles of prevention
2.Appointing the correct people and organisations at the correct time
3.Making sure that everyone has the information, instruction, training and supervision that they require to enable them to carry out their jobs in a way that secures health and safety
4.Duty-holders co-operating and communicating with each other and co-ordinating their work
5.Consulting workers and engaging with them to promote and develop effective measures, to secure health, safety and welfare
5.2 Duty-Holders' Responsibilities
The client
The client must ensure that the principal designer prepares the Health and Safety File for a project and that they regularly update it to take into account any changes that have occurred. If for some reason, the principal designer leaves the project before its completion, the client should be made aware of this and ensure that the principal designer passes the βile on to the principal contractor, who then takes on the responsibility for it.
Once the project is finished, the principal designer (or whoever is responsible for it at the end) should pass on the Health and Safety File to the client. According to the CDM Regulations, the client must then retain the file and ensure that it is available to anyone who may require it, for as long as it is relevant. This is usually the lifetime of the building, and it can be kept in any form, whether that is electronically, on paper or on film, as long as it is accessible.
If a client disposes of their interest in the building, they must give the file to the individual or organisation who then takes on the client duties, and ensure that the new client is aware of the nature and purpose of the file. Equally, if the client sells part of a building, any relevant information in the file must be passed on to the new owner, and, if part of the building is leased out, arrangements should be made for the file to be made available to the leaseholders.
If the leaseholder acts as a client for a future construction project, the leaseholder and the original client must arrange for the βile to be made available to the new principal designer.
The designer
During the design process, the designers work to eliminate — or at least reduce — the health and safety risks of the project. Where it is not possible to eliminate all of the risks by altering the designs, the designer must make sure that they include appropriate information regarding these in the Health and Safety File. This can be done by liaising with the principal designer, who is responsible for preparing the file, and with the principal contractor, in the event that the principal designer leaves the project before it is
finished.
The principal designer
The principal designer is responsible for preparing the Health and Safety File. They are accountable to the client and should liaise closely with them to agree on the structure and content of the file as soon as possible after their appointment. In preparing the βile, the principal designer should expect the client to provide any Health and Safety File that may exist from an earlier project and anything relevant from the Pre-construction Information.
The principal designer must also work alongside the other duty-holders — especially the principal contractor — in the preparation of this file, as they all have information that is crucial to be included. They must also ensure that the βile is appropriately updated, reviewed and revised, to ensure that it takes account of any changes that occur, as the project progresses.
At the end of the project, the principal designer must pass on the file to the client. However, if they leave the project before its completion, they must pass it on to the principal contractor, who will take responsibility for it. The principal designer needs to make the principal contractor aware of any outstanding issues that may need to be taken into account when reviewing, updating and revising the file.
The principal contractor
For the duration of the principal designer's appointment, the principal contractor plays a secondary role in ensuring that the Health and Safety File is βit for purpose. They must provide the principal designer with any relevant information that needs to be included in the Health and Safety File. Where the principal designer's appointment finishes before the end of the project, the principal contractor must take on responsibility for ensuring that the βile is reviewed, updated and revised for the remainder of the project.
At the end of the project, the principal contractor must pass the file to the client. In doing so, they should ensure that the client understands the structure and content of the file and its significance for any subsequent project.
The contractor
The contractor has no specific duties placed on them in relation to the Health and Safety File.
MODULE SUMMARY
In this module, we continued to look at the duty-holders who have legal responsibilities for enforcing the CDM regulations. We looked at the third and final key document: the Health and Safety File and how the roles of the duty-holders specifically apply to this.
The duty-holders we looked at were the client, the designer, the principal designer, the principal contractor and the contractor.
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