CDM 2007 and Risk Assessments

What is CDM 2007?

First CDM regulations were in 1994 so why change from CDM 1994 to
CDM 2007?

There were concerns that CDM 94 was not delivering expected

improvements. There was a slow acceptance amongst Clients and
Designer it was also felt that competence of individuals and organisations
was seen as slow to improve. Finally there was a defensive verification
approach.

Consequently a number of objectives were considered necessary. There

was a:

• A need to simplify Regulations and improve clarity.

• A need to focus on management & planning, not paperwork
• A need to strengthen requirements for co-operation and co-
ordination
• A need to simplify competence assessment
• A need to raise standards

The main protagonists in the process were identified as

The Client
The Designer
The Principle Contractor

For our purposes we will only concentrate on that part of the CDM
regulations that concern our involvement in the design process.

The definitions of each of these protagonists are quite all embracing

and those of Client and Designer are listed as follows.

Definition of a Client.
• An individual or organisation that in the course or furtherance of a
business has a construction project carried out by another or by
himself.
• Insurance Companies: If an insurance company arranges the work
it is the Client, if the insurance company pays but the insured
carries out the work the insured is the Client.
• PFI, PPP etc: The project originators are the Client until the special
purpose vehicle has been set up and has assumed the Client role.
• Where there are a number of client bodies they should elect one of
them to be the Client under the Regulations.
• This excludes domestic clients [but not necessarily domestic
premises] who are defined as someone who lives in or will live in
the work where the work is carried out.

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Client – Duties – All Projects

• Accountable for the impact they have on Health & Safety

• Should ensure things are done, not do them themselves.
• Check competence and resources of those they appoint
• Allow sufficient time and resources for the project to be delivered
safely.
• Provide information to designers and contractors, and arrange for
any gaps in information to be filled.
• Ensure co-operation and co-ordination
• Encourage culture of co-operation and integration.
• Ensure suitable management arrangements are in place. i.e. Risk
Management
• Ensure adequate welfare facilities are on site
• Ensure workplace is designed correctly

This lecture intentionally omits reference to ‘Notifiable Projects’ which are

dealt with under a different module.

Designers

Who are designers?

• “Designer” has wide definition under CDM 2007 – if you design or

specify or for example prepare Bills of Quantity, on computer, paper
or verbal you can be a designer under the Regulations.

• A designer could typically be:

- Civil & structural engineers

- Building services engineers
- A Specifier of materials
- Temporary works designers fit out designers for Design and
Build contractors
- Clients who specify
- Statutory bodies that require non-statutory requirements
• Statutory requirements e.g. Building Regulations are exempt

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The designer has certain duties to under the regulations as listed
below:

• Ensure Clients are aware of their duties

• Make sure they – the designer – are competent
• Co-ordinate their work with others
• Co-operate with others
• Provide information
• Avoid foreseeable risks
- Eliminate – hazards from construction, maintenance, use
demolition.
- Reduce – remaining risks associated with the hazard
- Inform – others e.g. contractors or those maintaining the
structure
- Control – shifts to e.g. contractor during the construction
phase if design does not change.
• In all cases give collective risk reduction measures priority over
individual measures.

Designers – categories of Risk

When writing a Risk Assessment the following conditions are applicable,

• The stated risk is not likely to be obvious to a competent contractor

or designer. Such statements as ‘electricity can kill’ are
unnecessary as we would expect a competent contractor to be fully
aware of this and many other simple statements.
• However on many occasions if the lighting design is only part of a
major project, statements that would normally be obvious to a
lighting engineer / contractor, may cause confusion to those not in
the lighting discipline. In this instance there is a need to ensure
that ALL possible risks are taken into account.

• We must be aware that some risks may be unusual – these may be

common but occurring in unusual circumstances:
- Unstable ground
- Contamination
- Electricity underground cables in rural locations

• Some of the risks may arise due to a difficulty to manage – these

may be common but in awkward situations.
- Working at height
- Confined spaces
- Proximity of utilities.

It should be remembered that CDM 2007 does not require “zero” risk
designs. And that the effort to eliminate hazards should be proportionate.
Designers must take into account information passed on by others and
provide the right information to the right people at the right time.

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Designers – Recording the Process

There is no legal requirement under CDM 2007 to record the designer’s

deliberations in a Risk Assessment. However it makes good business
sense to do so as it is an auditable way in which the designer can show
that he has taken all possible risks into consideration when carrying out
the design process

IT is therefore sensible to consider using what we now consider as a Risk

Register. The designer’s risk assessment is also intended to minimise
paperwork but put significant risks on the drawings

Competency

All persons who have duties under CDM 2007 should take reasonable
steps to ensure that persons who are appointed are competent.
Additionally all persons who have duties under CDM 2007 should not
accept an appointment unless they are competent.

A designer can show competency in a number of ways the most common

way is to have membership of a professional institution. In order to gain
full membership of an institution a person will not only have a certain level
of academic qualification but will have produced evidence of similar design
work as part of the application process..

Therefore when a design is carried out the designer does not only consider
the theoretical aspects of the design but must be able to

- Identify hazards & understand how they can be eliminated

- Identify significant remaining risks

The following is a sample of a designers risk assessment. It is composed

of a number of sections which are only completed if there is a need to do
so.

Section A
Land Use
Existing Utilities and Services
Existing Electrical Equipment

Section B - The Design Construction Hazards

Commencement of Site Works
Site Clearance
Commissioning & Maintenance

Section C
Use of the Works
Maintenance and Cleaning
Decommissioning and Demolition

Section D
Other non-identified hazards
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The Risk Assessment Process

The aim of the risk assessment is to identify the level of risk by assigning
it a Risk Rating (R). This is a numerical value which is the mathematical
product of the Severity (S) of a risk and the Likelihood (L) of it occurring.

The designer then makes suggestions for the reduction of the risk and
then carries out the process once again. This may leave what is termed as
a ‘Residual Risk’. This residual risk cannot be removed and so the
contractor’s attention is drawn to this residual risk in order that he can
take preventative action should it be considered necessary.

The numbers used in the risk calculation can vary and are entirely in
under the control, of the designer or his quality management system.

Whilst currently importance is placed on those risks that have a high

numerical rating it is likely that future revisions of the process will
consider ALL risks with the same degree of importance. However for the
time being the risk assessment method is considered to be the most
effective way of minimising accidents and any possible legal actions that
could follow an accident.

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 DESIGNERS RISK ASSESSMENT INFORMATION

Client

Issue No. 1 Name Signature Date Position

Project
Designer Prepared by
Engineer
Senior
Checked Reviewed by Project
Engineer
Technical
Approved Reviewed by
Director

1. Project Description

Scheme Title New Development at XXXXXX– New Highway Lighting Scheme.

New residential development to be built of New Road in XXXXX.

New highway lighting scheme for development and part of existing
Brief description and location
lighting scheme on New Road to be replaced to comply to current
lighting standards.

2. Design considerations
The lighting schemes have been designed in
accordance with XXXXXX County Council
Considerations
specification requirements and highway lighting
standards of BS5489: 2003 and EN13201.
This Risk Assessment highlights any issues
associated with the installation of the highway lighting
schemes only.

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 Designer’s Risk Assessment

INITIAL RISK RESIDUAL RISK

APPLICABLE (Y / N)
ASSESSMENT ASSESSMENT FURTHER
CONTROL

LIKELIHOOD

LIKELIHOOD
DESIGN CONTROL

SEVERITY (S)

SEVERITY (S)
MEASURES /

RISK (S x L)

RISK (S x L)
WHAT IS THE HAZARD
HAZARD IDENTIFICATION MEASURES & RECOMMENDATIONS
ACTIVITY AND WHO / WHAT IS OR
/ ACTIVITY DOCUMENT / DRAWING

(L)

(L)
AT RISK CONSTRUCTION
REFERNCE
CO-ORDINATORS
COMMENTS

A.1 LAND USE

A.1.1 Are there any H&S hazards from the works that might affect adjacent land or land use?
Installation of
i) During construction of highway lighting Install barriers to protect
Y Public / operatives 5 2 10 3 2 6
the works equipment adjacent to public from works area
footpath
ii) During operation of the
N
works
A.2 EXISTING UTILITIES AND SERVICES
A.2.1 Underground services
within the Site:
Ensure CAT scans are
Striking underground Principle Contractor
undertaken to locate
electricity cable – Must ensure that all
services/utilities. Mark up on
i) Electricity Y Below ground works electrocution / burning 5 4 20 5 1 5 excavations are carried
site if required. No works to
hazard. Workforce and site out in accordance with
be undertaken without a valid
personnel HSG 47
permit to dig.
Ensure CAT scans are
Principle Contractor
Striking underground gas undertaken to locate
Must ensure that all
main – explosion, gas leak. services/utilities. Mark up on
ii) Gas Y Below ground works 5 4 20 5 1 5 excavations are carried
Workforce and site site if required. No works to
out in accordance with
personnel be undertaken without a valid
HSG 47
permit to dig.

(S) Severity (L) Likelihood (RR) Risk Rating (RR = S x L)

1 Negligible 1 Remote 1 Insignificant Acceptable
2 Minor 2 Unlikely 2 Low Acceptable with effective control measures
3 Lost time injuries 3 Possible 3 to 6 Medium Not acceptable, risks need investigation to consider reasonable practical improvements
4 Severe 4 Likely 8 to 16 Significant Review urgently required to determine whether the risk can be removed / reduced or controls improved
5 Fatality 5 Probable 20 to 25 High Risks must be removed or reduced
File Reference:

HAZARD IDENTIFICATION
/ ACTIVITY
iii) Water
iv) Telecom
v) Highway Lighting
A.2.2 Overhead services
across the Site
(S) Severity
1 Negligible
2 Minor
3 Lost time injuries
4 Severe
5 Fatality
File Reference:
APPLICABLE (Y / N)
ACTIVITY
Y Below ground works
Y Below ground works
Y Below ground works
(L) Likelihood
1 Remote
2 Unlikely
3 Possible
4 Likely
5 Probable
WHAT IS THE HAZARD
AND WHO / WHAT IS
AT RISK
Striking underground water
main – flooding hazard.
Workforce, site personnel
and public
Striking underground
telecom service
Striking underground
highway lighting cable –
electrocution / burning
hazard / workforce and site
personnel
(RR) Risk Rating (RR = S x L)
1 Insignificant
2 Low
3 to 6 Medium
8 to 16 Significant
20 to 25 High
INITIAL RISK RESIDUAL RISK
ASSESSMENT ASSESSMENT FURTHER
CONTROL
DESIGN CONTROL
LIKELIHOOD
LIKELIHOOD
SEVERITY (S)
SEVERITY (S)
MEASURES /
RISK (S x L)
RISK (S x L)
MEASURES & RECOMMENDATIONS
DOCUMENT / DRAWING OR
(L)
(L)
REFERNCE CONSTRUCTION
CO-ORDINATORS
COMMENTS
Ensure CAT scans are
Principle Contractor
undertaken to locate
Must ensure that all
services/utilities. Mark up on
5 4 20 5 1 5 excavations are carried
site if required. No works to
out in accordance with
be undertaken without a valid
HSG 47
permit to dig.
Ensure CAT scans are
Principle Contractor
undertaken to locate
Must ensure that all
services/utilities. Mark up on
3 4 12 3 1 excavations are carried
site if required. No works to 3
out in accordance with
be undertaken without a valid
HSG 47
permit to dig.
Ensure CAT scans are
Principle Contractor
undertaken to locate
Must ensure that all
services/utilities. Mark up on
5 4 20 5 1 5 excavations are carried
site if required. No works to
out in accordance with
be undertaken without a valid
HSG 47
permit to dig.
Acceptable
Acceptable with effective control measures
Not acceptable, risks need investigation to consider reasonable practical improvements
Review urgently required to determine whether the risk can be removed / reduced or controls improved
Risks must be removed or reduced
 Contractor to be aware of
Lighting column
location of overhead telecom
i) Telecom Y installation striking Loss of supply to residents. 3 3 9 3 3 9
lines and install lighting
overhead lines
columns carefully
A.3 EXISTING ELECTRICAL EQUIPMENT (including highway lighting columns, CCTV columns, feeder pillars, illuminated traffic signs, gantries, communications equipment, etc. )
A.3.1 Any disconnection and All electrical cable supplies to
Disconnection and
removal of electrical Electrocution. columns to be disconnected by
removal of existing
equipment required ? Y 5 3 15 Local DNO – EDF Energy 5 2 10
cabling to lighting
Operatives before columns can be
columns
removed.
PART B - THE DESIGN - CONSTRUCTION HAZARDS
B.1 COMMENCEMENT OF SITE WORKS
B.1.1 Any special measures needed to protect the public?
Possible footpath part
i) Pedestrians, equestrians and
closure during Equipment falling from Traffic management and
other non motorised users
Y installation of new height. 5 3 15 signing in accordance with 5 2 10
(e.g footpath diversions and
lighting column and Public using footpath TSM chapter 8.
segregation)
removal of old units
ii) Motorised users (e.g.
Traffic Management -traffic Lane closure/ Traffic attempting to enter Traffic management and
diversions, road closures, Y narrowing of lane closure, danger to 3 2 6 signing in accordance with 3 1 3
speed limits, safety zones, carriageway operatives TSM chapter 8.
barriers)
B.2 SITE CLEARANCE
All electrical cable supplies to
Disconnection and
B.2.1 Any special H&S Electrocution. columns to be disconnected by
removal of existing
considerations required Y 5 3 15 Local DNO – EDF Energy 5 2 10
cabling to lighting
for site clearance? Operatives before columns can be
columns
removed.
B.3 COMMISSIONING AND MAINTENANCE
Testing of new Isolate cables in accordance
B.3.1Electrical Works Y electrical circuits Operatives, electrocution 5 3 15 with BD7671. Trained and 5 2 10
within columns competent workforce

(S) Severity (L) Likelihood (RR) Risk Rating (RR = S x L)

1 Negligible 1 Remote 1 Insignificant Acceptable
2 Minor 2 Unlikely 2 Low Acceptable with effective control measures
3 Lost time injuries 3 Possible 3 to 6 Medium Not acceptable, risks need investigation to consider reasonable practical improvements
4 Severe 4 Likely 8 to 16 Significant Review urgently required to determine whether the risk can be removed / reduced or controls improved
5 Fatality 5 Probable 20 to 25 High Risks must be removed or reduced
File Reference:
 C.1 USE OF THE WORKS (i.e. roads, bridges, electrical, telecommunications, traffic signals installation, etc. )
C.1.1 Are there any H&S issues relating to the use of the works?

C.2 MAINTENANCE AND CLEANING

C.2.1 Are there any H&S issues surrounding the future maintenance and cleaning of the works?

C.3 DECOMMISSIONING / DEMOLITION

C.3.1 Are there any H&S issues to be considered prior decommission / demolition of the works (e.g. Designer’s outline on how structures might be demolished)?

D. ANY OTHER HAZARDS IDENTIFIED WHICH ARE NOT INCLUDED IN THE SECTIONS ABOVE (The list above is not exhaustive Designer to identify any further hazards
here)

(S) Severity (L) Likelihood (RR) Risk Rating (RR = S x L)

1 Negligible 1 Remote 1 Insignificant Acceptable
2 Minor 2 Unlikely 2 Low Acceptable with effective control measures
3 Lost time injuries 3 Possible 3 to 6 Medium Not acceptable, risks need investigation to consider reasonable practical improvements
4 Severe 4 Likely 8 to 16 Significant Review urgently required to determine whether the risk can be removed / reduced or controls improved
5 Fatality 5 Probable 20 to 25 High Risks must be removed or reduced
File Reference: