Gowling WLG
20 Experts
17 Contributions by Gowling WLG
![CDM 2007 Construction Phase Plan: principal contractor obligations, plan content, monitoring, risk controls and Health and Safety File [Archived]](images/default-source/pa-pool/5.tmb-small.jpg)
PRACTICE NOTES
ARCHIVED: This Practice Note is archived and no longer maintained. Note: The Construction (Design and Management) Regulations 2015 (SI 2015/51) took effect on 6 April 2015, superseding the Construction (Design and Management) Regulations 2007 (SI 2007/320). See Practice Notes: Construction (Design and Management) Regulations 2015 and CDM Regulations 2015—what’s changed? [Archived].
Introduction
Preparing the Construction Phase Plan (the ‘Plan’) is a core responsibility of the Principal Contractor on each notifiable project (for details of the Principal Contractor’s duties, see the Practice Note: CDM Regulations 2007—the role of contractors [Archived]). Alongside the ‘Health and Safety File’ (the ‘File’), the purpose of the Plan is to ensure health and safety, so far as reasonably practicable, throughout the construction phase of the works (see CDM Regulations 2007—the Health and Safety File [Archived]). Please note that, within this Practice Note, references to the ‘client’ are synonymous with
Construction
PRACTICE NOTES
ARCHIVED: This Practice Note is archived and is not maintained.
Note: The Construction (Design and Management) Regulations 2015, SI 2015/51 took effect on 6 April 2015, replacing the Construction (Design and Management) Regulations 2007, SI 2007/320. See Practice Notes: Construction (Design and Management) Regulations 2015 and CDM Regulations 2015—what's changed? [Archived].
Introduction
The Health and Safety File (the 'File') is a document the CDM co-ordinator must compile for every notifiable project. Regulation 20(2)(e) of the Construction (Design and Management) Regulations 2007, SI 2007/320 (the Regulations) states that the File should include information relevant to the project and likely to be required during any future construction work to protect the health and safety of any person. While the material may relate to the works being undertaken at the time, the focus is on maintaining health and safety during later activities. Consequently, the File’s contents should be
Construction
PRACTICE NOTES
ARCHIVED: This Practice Note is archived and is no longer maintained. Note: On 6 April 2015, the Construction (Design and Management) Regulations 2015 (SI 2015/51) took effect, superseding the Construction (Design and Management) Regulations 2007 (SI 2007/320). See Practice Notes: Construction (Design and Management) Regulations 2015 and CDM Regulations 2015—what has changed? [Archived].
Introduction
Throughout a construction project, the CDM co-ordinator can act as the employer’s ‘right hand’. Typically, the co-ordinator is among the earliest appointments a client will make at an early stage of the scheme, and the co-ordinator’s function is to support the client in meeting many of its responsibilities under the Construction (Design and Management) Regulations 2007, SI 2007/320 (the Regulations).
Please note that, in this context, the term ‘client’ is interchangeable with ‘employer’ as used in other practice notes. ‘Client’ is adopted here to mirror the language of the
Construction
PRACTICE NOTES
Under the Construction (Design and Management) Regulations 2015 (the 'Regulations'), the health and safety file (the 'File') is required for schemes involving more than one contractor. Regulation 12(5) confirms that the File must be suited to the specific characteristics of the project and include information that is relevant to the scheme and likely to be needed during any future construction work to protect the health and safety of any person. It should be recognised that, while material may assist the current works, the priority is ensuring health and safety during subsequent works. Accordingly, the File's contents must be sufficiently clear and focused so that later construction and maintenance can be undertaken without risking health and safety.
When must the health and safety file be produced, and by whom?
For projects with more than one contractor, a principal designer must be appointed. The principal designer is
Construction
PRACTICE NOTES
For the purposes of the Construction (Design and Management) Regulations 2015 (the ‘Regulations’), contractors are the companies and individuals who undertake construction activities and works. Because this is a practical, site-based function, contractors are frequently the people most directly exposed to injury or harm to their health during everyday duties. The Regulations permit contractors to participate in planning, managing and monitoring the construction work as required, as necessary. They sit alongside the overarching duty imposed on employers to secure, so far as is reasonably practicable, the health, safety and welfare of employees and others affected by their undertakings, and on employees to exercise reasonable care for their own health and safety and that of others, as set out in sections 2, 3 and 7 of the Health and Safety at Work etc. Act 1974.
Who is a
Construction
PRACTICE NOTES
Under the Construction (Design and Management) Regulations 2015, where a project involves more than one contractor, the client must appoint a principal designer who is a designer on the scheme and who is placed to direct and coordinate the design and planning of the pre‑construction phase. The principal designer should be appointed at the earliest practicable opportunity, and that appointment is required to be set out in writing.
Who is the principal designer?
The principal designer can be an organisation or an individual with technical knowledge of the construction industry relevant to the project, and who satisfies the competency requirements set out in regulation 8 of the Regulations. Regulation 8 provides that the principal designer must have the necessary skills, knowledge and experience, and, if an organisation, the organisational capability, to carry out the role in a way that protects the health and safety of any
Construction
PRACTICE NOTES
ARCHIVED: This Practice Note is archived and is not maintained. Note: The Construction (Design and Management) Regulations 2015, SI 2015/51 took effect on 6 April 2015, replacing the Construction (Design and Management) Regulations 2007, SI 2007/320. See Practice Notes: Construction (Design and Management) Regulations 2015 and CDM Regulations 2015—what's changed? [Archived].
Introduction
Across a construction project, the client holds the pivotal position. Usually, the client controls budgets, sets programmes, and exercises significant influence over contractors and other contributors to the scheme. These aspects are fundamental to sound risk control on site. In these Practice Notes, the term ‘client’ is equivalent to ‘Employer’. The word ‘client’ is used here to aid reference to the Construction (Design and Management) Regulations 2007, SI 2007/320 (the Regulations). The Regulations recognise the client’s leading part in managing risk, a stance echoed in the Approved Code of Practice (ACoP). The ACoP,
Construction
PRACTICE NOTES
The Regulations
The Regulations took effect on 6 April 2015. They aim to embed health and safety as a core, everyday factor in the planning and oversight of construction schemes, and to clarify the responsibilities of all parties. Their policy aims are to preserve or enhance worker protection, streamline regulatory practice, curb unnecessary bureaucracy and align with better regulation principles (they gave effect to the EU Temporary or Mobile Construction Sites Directive (the 'TMCS')). The Regulations should be considered alongside detailed guidance from the Health and Safety Executive (HSE Guidance on the ). It provides practical context and illustrative clarification. That guidance, whilst not legally binding, adds substance to the bare framework of the Regulations for everyday application in practice. They apply to all 'construction work' (as defined in regulation 2). To meet the TMCS, which placed obligations on domestic clients, 'client' is defined as 'any
Construction
PRACTICE NOTES
Throughout any construction scheme, the client needs to remain at the heart of proceedings and decision-making. They lead the programme from inception to completion, usually handling budget allocation, timetable setting, and wielding significant sway over contractors and other parties involved, as well as coordinating inputs. These elements are essential to managing risk effectively both during delivery and thereafter, safeguarding outcomes, including post-completion phases.
This pivotal part in risk control is formally acknowledged by the Construction (Design and Management) Regulations 2015 (the ‘Regulations’) and echoed in the Construction Industry Advisory Committee’s CONIAC Industry Guidance for Clients (the ‘CONIAC Guidance’). The Regulations have force in Great Britain. In Northern Ireland, the Construction (Design and Management) Regulations (Northern Ireland) 2016 (S.R. 2016 No. 146), made under the Health and Safety at Work (Northern Ireland) Order 1978, apply.
Although central, clients commonly have limited expertise in managing health and safety on
Construction
PRACTICE NOTES
ARCHIVED: This Practice Note is archived and no longer maintained. Note: The Construction (Design and Management) Regulations 2015, SI 2015/51 took effect on 6 April 2015, superseding the Construction (Design and Management) Regulations 2007, SI 2007/320. Refer to Practice Notes: Construction (Design and Management) Regulations 2015 and CDM Regulations 2015—what's changed? [Archived].
Introduction
Contractors are the organisations and persons who physically undertake building operations. Because this is a practical, on-site function, contractors are frequently those most exposed to injury or to harm to their health. The Construction (Design and Management) Regulations 2007, SI 2007/320 (the Regulations) permit contractors to participate in planning and overseeing the construction activities. The Regulations operate in tandem with the general duty on employees, set out in section 7 of the Health and Safety at Work etc. Act 1974 (HSWA 1974), to take reasonable care for their own health and safety and that of
Construction
PRACTICE NOTES
ARCHIVED: This Practice Note is archived and not maintained. Note: The Construction (Design and Management) Regulations 2015, SI 2015/51 came into force on 6 April 2015, replacing the Construction (Design and Management) Regulations 2007, SI 2007/320. See Practice Notes: Construction (Design and Management) Regulations 2015 and CDM Regulations 2015—what's changed? [Archived].
Introduction
Designers play a central part in shaping a project and greatly affect how it develops, from the first architectural drawings to the selection of roofing materials. As design features at every stage of a construction project, the Regulations impose duties on designers to avoid foreseeable risks to those who will construct, maintain and use the building. For this Practice Note, any mention of the term ‘client’ is synonymous with ‘employer’ as used in other Practice Notes. ‘Client’ is employed here to aid reference to the Construction (Design and Management)
Construction
PRACTICE NOTES
Under the Construction (Design and Management) Regulations 2015 (the ‘Regulations’), creating the construction phase plan (the ‘Plan’) is a core obligation of the principal contractor (for details of that role, refer to Practice Note: CDM Regulations 2015—the role of the contractor and principal contractor). A Plan is mandatory on every scheme. On jobs with a single contractor, that contractor must see that the Plan is produced. Together with the ‘health and safety file’ (the ‘File’), the purpose of the Plan is to secure, so far as is reasonably practicable, the health and safety of those carrying out the works and anyone else impacted by the activity during the construction phase (see Practice Note: CDM Regulations 2015—the health and safety file).
Why prepare a Construction Phase Plan?
The principal contractor is required to draft, review, revise and put the Plan into effect so that it
Construction
PRACTICE NOTES
ARCHIVED: This Practice Note has been archived and is not maintained.
It provides a concise overview of the principal legislation relevant to trading with consumers, and consumer contracts formed, before 1 October 2015. From that date, the Consumer Rights Act 2015 revised or superseded much of the material considered here. For the position after 1 October 2015, see Practice Note: Key consumer legislation—summary. The table below outlines the main statutes businesses had to observe when engaging with consumers before 1 October 2015, indicates how those laws evolved over time, and highlights key actions arising from them.
Core legislation
Legislation: Unfair Contract Terms Act 1977 (UCTA 1977)
Description/key terms: UCTA 1977 identifies categories of liability that businesses cannot exclude against a consumer, and applies a test of reasonableness to other provisions that exclude or cap consumers’ liability or remedies.
Action required: Evaluate the
Commercial
PRACTICE NOTES
Designers play a pivotal part in delivering any project and exert considerable sway over how it develops, spanning the earliest architectural schemes and drawings right through to the ultimate selection of roofing materials. Because some degree of design typically features at every stage of a construction programme, the Construction (Design and Management) Regulations 2015 (the ‘Regulations’) accordingly impose duties on designers to avoid foreseeable risks to people engaged in constructing, maintaining and using the finished building. For details about the designer’s responsibilities within the dutyholder regime set out in the Building Regulations 2010, SI 2010/2214, Pt 2A, refer to Practice Note: Building regulations: the Dutyholders.
Who is a designer?
Under the Regulations, a designer means any organisation or individual who ‘prepares or modifies a design’ (or instructs, directs or arranges for another under their control to do so). The definition of 'design' in
Construction
PRACTICE NOTES
Section 54 of the Modern Slavery Act 2015 (MSA 2015)
It obliges certain commercial organisations operating in the UK to publish an annual transparency statement that outlines the actions taken during the financial year to make sure slavery and human trafficking are not occurring in any supply chains or any part of the business.
The statement may set out details of the organisation's structure, policies, due diligence, the assessment and management of risk, training, and how effective these measures are in ensuring the business's supply chain is free from modern slavery and human trafficking.
MSA 2015, s 54 applies to all commercial organisations that:
carry on a business, or part of a business, in the UK
...
Practice Compliance
CHECKLISTS
This guidance is designed to help law firms weighing up whether to outsource any part of their facilities management. It highlights the principal points to address before appointing a third‑party supplier to deliver facilities management services. It should be read alongside Practice Note: Facilities management agreements-law firms. It does not deal with regulatory inspection rights under the SRA Codes of Conduct, which are engaged when third parties perform functions on your behalf that are critical to the provision of your legal services. For more on SRA inspection rights and other regulatory matters, see subtopic: Outsourcing-law firms.
Issue - Questions to consider - Response
Your objectives
Why are you proposing to enter into a facilities management agreement?
What are you aiming to achieve, eg is the focus...
Practice Management
CHECKLISTS
STOP PRESS:
On 24 March 2025, the government released a comprehensively revised and updated version of its statutory guidance on the transparency in supply chains provisions in section 54 of the Modern Slavery Act 2015. This document is being reviewed in light of the new guidance.
Section 54 of the Modern Slavery Act 2015 (MSA 2015) requires any commercial organisation operating in the UK with an annual turnover over £36m to publish a yearly transparency statement explaining the actions taken during the financial year to prevent slavery and human trafficking within its supply chains and across its business. The statement may cover:
Organisational structure
Policies
Due diligence
Risk assessment and management
Training
Effectiveness in keeping the supply chain free from modern slavery and human trafficking
Our Flowchart: Does section 54 of the Modern Slavery Act 2015 apply to my
Practice Compliance
21 Contributions by Gowling WLG Experts
CHECKLISTS
For more practical, step-by-step guidance on solar projects, including viewpoints from several jurisdictions, consult the textbook also: Solar Power: A Practical Handbook.
Negotiating a rooftop lease for solar PV panels
When arranging a rooftop lease for solar PV panels, the matters at stake will differ according to the interests of the party you represent. Those issues shift depending upon whether one acts for the landlord, the occupier, or the solar tenant. Here, 'landlord' describes the owner of the freehold or a long lease of the relevant building; 'occupier' means the party in occupation; and 'solar tenant' is the entity proposing to install and own the panels. The solar tenant may equally be the building’s occupier, or could be a dedicated solar developer. A growing number of landlords are fitting solar panels to their properties—either via the same corporate vehicle that holds the building, or through a
Energy
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