Construction Procurement Manual

Section 5 - Health and Safety

Key points

The attitude, decisions and actions of clients can directly influence the health, safety and welfare of those who work in the construction industry. A well trained and well looked after workforce as part of a safety conscious industry can contribute to the achievement of Value for Money (VFM), the cornerstone of Scottish Government construction procurement policy (see Section 2)
The key to achieving VFM and successful health and safety performance is structured planning and management throughout a project's life cycle from inception to decommissioning
Client staff in senior management positions should particularly note their responsibilities as they play a pivotal role in setting standards and creating and promoting a corporate commitment to exemplary health and safety performance. Clients can make the greatest impact through their actions:
in the use, wherever appropriate, of output specifications which provide contractors with opportunities to innovate and to influence the construction process
in the adoption, wherever appropriate, of procurement routes that facilitate the early involvement in the design and decision-making processes of those who will construct, operate, maintain and use the facility
in the selection of suppliers (contractors and consultants) who have a demonstrable performance record in respect of health and safety matters, in a manner consistent with the Public Contracts (Scotland) Regulations 2006
in the award of contracts to suppliers who have clear project specific proposals for managing and monitoring health and safety risks
in monitoring the actual performance in health and safety matters of selected suppliers

Section 5: Health and Safety

Who does this apply to?

Health and safety matters are paramount when undertaking construction operations. The attitude, decisions and actions of clients can directly influence the health, safety and welfare of those who work in the construction industry. A well trained and well looked after workforce, as part of a safety conscious industry, can contribute to achieving VFM, the cornerstone of Scottish Government construction procurement policy (see Section 2). So clients, as procurers, have client responsibilities that are just as important as other statutory obligations imposed upon them, their consultants and contractors. This section should be read by all those acting in the various client roles, detailed in Section 1, and followed to minimise the risk of accidents and ill health, and applies irrespective of the time employees, suppliers or others are on site.

Which parts of the process are concerned?

Construction procurement encompasses the purchase of construction related services with the ultimate aim of:

alteration, refurbishment, maintenance, extension or demolition of an existing building or structure
the creation of a new building or structure, including all associated siteworks

Where does the Scottish Government stand on this?

This guidance is consistent with Sir John Egan's Report, Rethinking Construction and Sir Michael Latham's Report, Constructing the Team. It takes into consideration the Government initiatives Revitalising Health and Safety and A Commitment to People - Our Biggest Asset as well as the Health and Safety Executive's 'Working Well Together' campaign and Scotland Construction Safety Action Plan, the recommendations of which the Scottish Government supports, where appropriate, through its construction procurement policy.

The Scottish Government supports and encourages those steps made by the construction industry to improve the qualifications, skills and training of the workforce and to reduce the rates of accidents and ill health.

What is the policy on workforce employment status, skills and training?

The exclusion of contractors from consideration for work on the grounds of their employment status (or the employment status of some or all of their employees, whether self-employed or directly employed), or through failure to have a pre-determined quota of staff qualified under a specific skills certification scheme, is not recommended for the following reasons:

it can potentially rule out legitimate tradespersons or sub contractors with comparable qualifications and/or experience from being shortlisted
it is open to challenge under European procurement rules

Clients should however assess these matters as part of the whole technical ability assessment within the selection process, requiring those firms which express an interest in being considered to provide information about the levels of skills, training and health and safety, and their policy on employment of subcontractors/sub-subcontractors (information from contractors and sub-contractors which provides evidence of valid employers liability insurance will also be a good indicator of the extent to which they employ their own direct workforce). On provision of wholly satisfactory evidence of their suitability under these and other pre-qualifying criteria, only then should firms be allowed to proceed to interview and tender stages.

Client Responsibilities

What should be done at a Strategic Level?

All clients should strive to be best practice clients in construction procurement and, in terms of their health and safety responsibilities, should:

demonstrate a high level of commitment through clearly defined policies and visible senior management involvement in compliance with all relevant legislation and best practice
provide a culture of cooperation, coordination, communication and competence both in their own internal organisation and with their supply teams
promote a culture within their own project organisation that encourages all parties to make suggestions for improving health and safety performance
assess the safety performance of their most recent projects and use this information as a benchmark from which to monitor present and future performance

What should happen at Project Level?

Clients should:

carry out a thorough assessment of both consultants and contractors, during the selection process, to establish their competency, adequacy of resources, training policies and commitment to continuous improvement in health and safety
in all cases, ensure that the design process takes full account of the health and safety aspects of the construction, maintenance, subsequent refurbishment or alteration and eventual decommissioning of the facility
wherever appropriate, follow procurement strategies which create integrated supply teams or encourage early involvement of participants in the planning, design and development of a project
allow a realistic project timescale in order to ensure that health and safety considerations are not compromised due to time constraints
set a realistic budget in order to ensure that health and safety considerations are not compromised due to financial constraints
make health and safety considerations a high level criterion in risk assessment and management (see further advice on Risk Management in Section 2 and Section 4)
ensure that the optimum client resources are in place, including adequate support staff
ensure that an internal project specific control and communication structure is set up (see Section 1)
place health and safety high on the agenda of internal working groups and progress meetings for individual projects as a means of continually reassessing health and safety performance

Meanwhile there are issues for Health and Safety at Project Stages, together with those actions which clients should take in order to have a direct impact on health and safety performance.

Who should clients pay particular attention to?

At the design and construction stage, clients should particularly consider the health and safety of the proposed activities of:

contractors (including sub-contractors)
suppliers
consultants
all others who may visit the site(s) during the construction period, for example utilities workers, representatives of statutory authorities and clients' own staff

At the post handover stage to end users, it would be wise to consider:

end users including those employed by tenants in multiple occupancy situations
those who in future will alter, refurbish or repair the facility
those who will operate and maintain the facility
those who will ultimately decommission and demolish the facility and clear the site

What are the benefits to clients?

By ensuring that health and safety are thoroughly addressed, the primary benefits to clients are:

visible success in meeting health and safety objectives
a demonstrable commitment to the health, safety and welfare of all people involved in the construction and future operation of the facility
avoidance of the consequential cost, time and adverse publicity implications of prosecution under Health and Safety legislation and/or common law claims for compensation
satisfaction for the client body that no injuries have occurred
the development of best practice health and safety management skills which can be used on future projects
a boost in morale for all parties involved
greater likelihood of completing the project within time and cost constraints

Unrealistic time and budget constraints, poorly conducted research to establish the optimum procurement route, incompetent or ill conceived design, site mismanagement and shoddy construction work can all contribute to the likelihood of accidents or ill health occurring once construction has begun.

How will these actions by clients help in the future?

Properly specified works (whether output-based, performance specification or a full design), together with careful selection of materials and an emphasis on buildability, should enable the intervals between future maintenance operations to be increased, while at the same time reducing the potential for accidents. Consequently a positive contribution can be made to achieving whole life VFM.

The Scottish Government advocates continuous improvement in health, safety and welfare in construction works procured through its clients. It is committed to demonstrating best practice through its own actions and those of its suppliers. Clients should also be aware of, and encouraged to sign up to, the Strategic Forum's Respect for People Code (of good working health and safety practices) which was published to coincide with the Health and Safety Executive's 2005 Construction Health and Safety Summit. The RfP Code sets out key actions for all participants in the construction process including clients and their advisers, and can be found on the HSE website.

Health and Safety at Project Stages

Policy and Procedure

The Construction (Design and Management) Regulations 2007 (CDM2007) came into force from 6 April 2007. The Approved Code of Practice (ACOP), "Managing Health And Safety In Construction", which provides practical guidance on complying with the duties set out in the Regulations, replaces HSG224, the ACOP to the Construction (Design and Management) Regulations 1994.

The key aim of CDM2007 is to integrate health and safety into the management of the project and to encourage everyone involved to work together to:

improve the planning and management of projects from the very start
identify risks early on
target effort where it can do the most good in terms of health and safety
discourage unnecessary bureaucracy

These Regulations are intended to focus attention on planning and management throughout construction projects, from design concept onwards. The aim is for health and safety considerations to be treated as an essential, but normal part of a project's development - not an afterthought or bolt-on extra.

How should health and safety be monitored and encouraged?

All clients who have an ongoing construction programme should set up procedures for the monitoring and review of the health and safety performance of their projects.

One method is through implementation of the Key Performance Indicators (KPI) of the Clients Charter produced by the Confederation of Construction Clients. This involves the use of a 'toolkit' which will allow clients to gauge their own progress against a set of KPIs and also benchmark their performance against other clients with a similar procurement programme.

As a part of promoting best practice throughout the industry, contractors should be encouraged to sign up to initiatives such as the Considerate Constructors good practice scheme at www.ccscheme.org.uk. This aims to raise standards and awareness in site management, safety and the environment beyond the duties imposed by statute.

As a part of the wider health and safety agenda in the industry, clients should be aware of the health and safety targets set by the Confederation of Construction Clients. The UK Contractors Group has committed itself, in conjunction with their members' supply chains, to operating construction sites that provide a working environment which is both safe and free from health hazards for all stakeholders within the construction industry and for members of the public.

What about user requirements?

When identifying these early on in the procurement process, the health and safety focus should be on all parties that may be affected by the decision to construct. User requirements should ideally be identified through a Value Management process involving all stakeholders. Further advice on Value Management and Risk Management can be found in Section 2 and Section 4. Health and Safety risks identified at this stage should be transferred to the project Health and Safety Plan.

What about Output Specification?

The effect on health and safety of how time, cost and quality criteria are prioritised must be considered. All procurement decisions should be made solely on an individual project basis. The use of output specifications should be considered wherever appropriate as they provide contractors with greater freedom to provide innovative solutions and to deliver VFM (output specifications are also discussed in Section 3). This may also give contractors greater scope to influence the way in which the construction process proceeds - for example, whether to pre-fabricate components or to select materials which are more safely handled, thus minimising injury risks. Use of output specifications does not however automatically guarantee a better health and safety performance, nor does it absolve clients of their responsibilities. Transferring too much responsibility for final choice of materials could, conversely, lead to cheaper (but not necessarily safer) solutions unless clients also demonstrate and communicate a clear commitment to VFM and improved health and safety performance throughout their selection procedures.

Which stages are considered, in this context?

Design, Procurement Strategy, Selection of consultants and contractors, Appointment of contractor/supplier, Construction stage, Post Project Evaluation and Post Occupancy Evaluation are discussed here, as well as Key Performance Indicators (KPIs),

Design

Design is an iterative process requiring a brief to be formulated by stakeholders, forming the basis of preliminary design. The design is developed and refined throughout the design stages to reach the final design solution.

This stage offers a key opportunity to address health and safety issues in terms of all those who construct, use, maintain, operate and ultimately decommission and dispose of the facility. Hazards identified through a structured design process should be minimised or eliminated at an early stage. Hazard identification should entail the ongoing use of risk assessment at major design stages (see also Section 2 and Section 4).

During the preliminary design stages it can help to have a perspective other than that of the designers alone. An external, objective view of the implications that design decisions might have for later health and safety issues might take two forms:

Consideration of on-site operations during the (eventual) construction stage may help to assess issues of buildability and to minimise the risk of accidents being caused directly or indirectly by the way in which construction operations on site have been dictated by the design. Advice on buildability implications may be available from outside sources, eg from someone with a contracting background
It may also be appropriate to take into account the experience of those who will ultimately be responsible for operating, managing and maintaining the facility. They may be well placed to advise on consequential health and safety risks for users and suppliers of services (Procurement Strategy)

The optimum design solution is best reached through use of value management techniques which allow stakeholders to refine their own requirements in the light of those of the other stakeholders.

A legal requirement is imposed upon clients under the CDM Regulations to ensure that the Health and Safety Plan is created at the earliest stages of a project, kept up to date through the design stages and information transferred to the Health and Safety File for use during the construction period and then for the end user/s. This information should be made available along the whole supply chain.

Which sorts of hazards should be considered?

Specific examples of those that may need to be identified within this Health and Safety plan include:

falls from height
noise
hand/arm and whole body vibration
musculoskeletal disorders
cement dermatitis
asbestos

Further information on specific construction hazards can be obtained from the Health and Safety Executive.

Procurement Strategy

Procurement strategies and the evaluation of the most appropriate procurement routes are discussed in detail in Section 3 and Annex D.

Health and safety should be a fundamental part of the assessment of the most appropriate procurement route for a project. Where appropriate, supply side and end user involvement at as early a stage as possible in decision making may help to inform the design process, engender cooperation between all parties and 'design out' or otherwise remove potential risks in the design, construction, use and disposal of the facility. The use of integrated procurement routes, such as design and build and partnership arrangements, can greatly assist this aim.

Staff who will be involved in the maintenance of the completed facility (e.g. building or facilities managers) may be in a position to advise on some aspects of design and choice of suitable materials from their own maintenance experience. They may also be able to advise on certain potential health and safety implications of certain aspects of construction, for example, access for cleaning or future replacement of large items of plant. Reduction in the frequency of cleaning or replacement will also reduce the likelihood of accidents occurring as well as contributing to whole life VFM.

Selection of consultants and contractors

The following health and safety criteria should be taken into consideration by clients in the appointment process, and Section 3 Annex A of this Guidance should be consulted.

Consultant - selection stage

At selection stage, appropriate skills, experience and resources should be focused upon. Matters to be considered could include:

the candidate's knowledge of the requirements imposed by the health and safety legal framework
the candidate's awareness of current health and safety issues impacting on the construction industry
the candidate's knowledge of the health and safety implications of alternative procurement options
figures available for injuries and accidents that have occurred on previous projects designed for government or other clients
if causes of accidents on previous projects have been investigated to ascertain whether the design contributed and what lessons have been learned
post-occupancy evaluations of previous projects to determine the impact of their design on the health and safety of users
feedback from previous projects on the degree of difficulty of maintenance and repair

Consultant - award stage

Information requested at award stage should be project specific. The following could be taken into consideration:

how health and safety risk can be designed out
how health and safety issues and site performance will be addressed during construction (site meetings etc.)
the consultant's initial perception of the main health and safety risks on the project (e.g. contaminated land, existence of asbestos in building, non-standard construction methods to be employed etc.)
consultant's knowledge of industry health and safety registration schemes for operatives
how the consultant would prioritise health and safety risks in formulating the Health and Safety Plan

From a health and safety viewpoint, there may be benefits in selecting integrated consultancy teams as opposed to individual appointments if these consultants have worked together, have an established approach to health and safety and have a successful system in place to monitor health and safety. Use of integrated teams should be considered alongside the other quality aspects of the overall appointment bid.

Contractor - selection stage

At this stage, appropriate skills, experience and resources should be focused upon. Matters to be considered could include:

documentary evidence of a signed and dated company health and safety policy
their policy regarding the employment status, qualifications and training of their subcontractors and sub-subcontractors
documentary evidence of their staff health and safety training programme
if their reporting system for accidents and ill health is familiar and readily available
documentary evidence regarding the skills certification of operatives
details of their health and safety record on recent projects (e.g. fatalities, reportable incidents, reportable illness, historic prosecutions, pending prosecution proceedings, prohibition notices served etc) and measures taken to redress any weaknesses in their health and safety management structure/systems
details of membership of safety 'passport' and other competence schemes sanctioned and recognised by the industry
their transport policy
their philosophy and documentary records on use of Personal Protective Equipment (PPE)
their attitude to the provision of welfare facilities for their own staff and sub contractors and others not in their employ

Contractor - award stage

Information requested at award stage should be project specific. The following could be taken into consideration:

the existence of job specific management arrangements for implementation of the safety policy; its robustness and completeness should be checked
how they would intend to disseminate health and safety information to all those directly or indirectly in their employ who are carrying out any aspect of the site operations, eg bulletin boards, meetings
how they would intend to identify potential hazards and the risks to employees (or others) and how they would put into place a risk management strategy to control and monitor those risks (it may also be appropriate to ask tenderers to submit an outline risk assessment with their tenders, providing evidence that major risks have been identified and allowed for)
how they propose to monitor and raise performance on site
how they will ensure that there is liaison between the CDM co-ordinator and members of their team
their policy regarding the employment status of their subcontractors and sub-subcontractors and how this will be enforced on site
contractors with a design input should be asked about their perceptions of the health and safety issues regarding their design and how they would intend to address them

Integrated supply teams should be considered where appropriate.

Clients should consult relevant databases available to them (e.g. Constructionline) to ascertain if a contractor's Health and Safety Policy Statement of Intent has been made available to view. While it is not recommended that such research is limited to any particular database, they may contain the following additional information:

organisational chart showing health and safety responsibilities within the company
contents of health and safety arrangements/procedures
details of health and safety training provided for operational employees
copies of recent scheme - specific risk assessments
examples of recently completed site safety inspection reports
a copy of the company's accident/incident report form

Clients, where possible, should include a person with health and safety expertise in their team when shortlisting contractors (selection stage) and on the interview panel (award stage).

Appointment of contractor/supplier

Clients should make available all relevant health and safety information regarding a site or existing structure for incorporation into the Health and Safety File (a legal requirement under CDM 2007). Information may be available from previous projects.

Existing Health and Safety Files should be made available to maintenance, demolition or site clearance contractors. These files may contain information on, for example, services, existence of asbestos or prestressed structural elements which may pose a hazard on future demolition.

A comprehensive pre-tender Health and Safety Plan must be prepared prior to operations beginning on site. This is a legal requirement placed upon the client by the CDM Regulations and is normally a function of the CDM co-ordinator. This is best achieved by ensuring that the CDM co-ordinator is one of the earliest consultant appointments. This will inform the design process in terms of health and safety from the earliest stage.

Construction stage

The health and safety performance of the contract should be monitored by clients on an ongoing basis so that corrective measures can be implemented if required.

Post Project Evaluation

Formal post project evaluation carried out, following the completion of each project, should address consultant and contractor health and safety performance. This feedback should be used to inform clients in strengthening their procedures to ensure that health and safety performance is continuously improved.

Client health and safety performance should also be analysed to further develop appointment procedures and systems for dissemination of information to consultants and contractors.

Post Occupancy Evaluation

Post occupancy evaluation should be carried out in a building at least 12 months after its occupation. This feedback should provide valuable information on the health and safety aspects of the finished product and help clients to design out potential difficulties in future briefs. Further guidance is provided in Section 6.

Key Performance Indicators (KPIs)

All Clients should be aware of the KPI safety measurement methodology published in the Construction Industry Key Performance Indicators Product Delivery and Company Performance Handbook 2000 published by the then Department of Trade and Industry (DTI), now the Department for Business, Enterprise and Regulatory Reform.

The Confederation of Construction Clients (CCC) has produced a 'Clients Charter' which gives an opportunity for repeat clients (i.e. those clients with a regular or continuous construction programme) to gauge their own performance and progress against a series of KPIs and to benchmark their performance against other similar clients. Further information is available at the CCC website at http://www.clientsuccess.org.uk/.

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