Where more than one contractor will work on a project, CDM 2015 requires the client to appoint a principal contractor in writing, before the construction phase begins. If the client does not, the duties do not lapse. Regulation 5(4) says the client must fulfil the principal contractor's duties itself. The same applies to the principal designer under Regulation 5(3).
A commercial client that "never got round to it" has not avoided the role. It has taken it on, usually without knowing.
What the regulations say
Regulation 5(1): where there is more than one contractor, or it is reasonably foreseeable that more than one contractor will be working on a project at any time, the client must appoint in writing a principal designer and a principal contractor.
Regulation 5(2): the appointments must be made as soon as is practicable, and in any event before the construction phase begins.
Regulation 5(3) and (4): if the client fails to appoint a principal designer, the client must fulfil the principal designer's duties in Regulations 11 and 12. If the client fails to appoint a principal contractor, the client must fulfil the principal contractor's duties in Regulations 12 to 14.
What the client takes on
The principal contractor's duties are some of the heaviest in CDM 2015. Without an appointment, the client must, among other things:
plan, manage, monitor and coordinate the construction phase (Regulation 13);
draw up the construction phase plan and keep it up to date (Regulation 12);
make sure a suitable site induction is provided, prevent access by unauthorised people, and make sure welfare facilities are provided (Regulation 13);
organise cooperation between contractors and coordinate their work;
consult and engage with the workers (Regulation 14);
pass information for the health and safety file to the principal designer.
Few clients have the people or the knowledge to do this. That is why the regulations require an appointment.
"More than one contractor" comes sooner than people think
The test is not whether a main contractor is in charge. It is whether more than one contractor will work on the project at any time, or whether that is reasonably foreseeable. A builder with an electrician, a roofer or a scaffolding firm is more than one contractor. So is a client who engages two trades directly. If a second contractor is foreseeable at the start, the appointment is needed at the start.
Timing
HSE's guidance (L153) says the principal contractor should be appointed early enough in the pre-construction phase to help the client make sure a construction phase plan is drawn up before the construction phase starts. That also gives them time to prepare the plan and to share information with the principal designer.
What a written appointment should show
that the named organisation is appointed as principal contractor under CDM 2015, for this project;
the date of the appointment, which must be before the construction phase begins;
the scope, if the project has stages or more than one site;
the basis on which the client was satisfied they are competent (Regulation 8(3)).
If you cannot find the written appointment on a current project with more than one contractor, assume the duties are sitting with you until it is made.
Common questions
Is a contract with the main contractor enough?
Only if it appoints them as principal contractor under CDM 2015, in writing. A building contract that is silent on the role is not an appointment.
What about work on someone's own home?
Regulation 5(3) and (4) do not apply to a domestic client. If a domestic client makes no appointment, the contractor in control of the construction phase is the principal contractor (Regulation 7(2)). See domestic clients under CDM 2015.
Can the appointment be made once work has started?
It should have been made before the construction phase began. Until it is made, the client carries the duties.
Related: when to appoint a principal designer, the client's duties under Regulation 4 and does CDM 2015 apply to small projects?
This article is general information, not legal advice.