Guide
Manage the CDM health and safety file
Principal Designer's duty to prepare and maintain the health and safety file under CDM 2015. Covers what the file must contain, when to start it, format requirements, handover to client, and the client's ongoing responsibilities for keeping and updating the file.
The health and safety file is a key CDM 2015 document. It contains information needed for future construction work, maintenance, cleaning and demolition of a structure. Without it, those carrying out future work may be exposed to hidden hazards.
If you are the Principal Designer, you must prepare the health and safety file during the project. If you are the client, you receive the file at completion and must keep it available for anyone who needs it for future work.
This guide explains what the file must contain, when to create it, and how to hand it over properly.
What is the health and safety file
The health and safety file is a record of information about the structure that will be useful for anyone carrying out future work on it. The file is required under CDM 2015 Regulation 12(5).
Its purpose is to ensure that people doing maintenance, repairs, refurbishment, cleaning or demolition in the future have the information they need to work safely. For example:
- A maintenance contractor needs to know about asbestos-containing materials
- A roofer needs to know about fragile roof panels
- A demolition contractor needs to know about structural design and pre-stressed elements
- A facilities manager needs to know about safe access for cleaning and maintenance
The file is not a record of the construction process itself. It contains only information relevant to future health and safety.
Who is responsible for the file
Responsibility for the health and safety file passes through several hands during and after a project:
Principal Designer
The Principal Designer must:
- Prepare the file during the pre-construction phase
- Review, update and revise it throughout their appointment
- Include information provided by designers about residual hazards
- Pass the file to the Principal Contractor if their appointment ends before project completion
Principal Contractor
If the Principal Designer's appointment ends before the project is complete, the Principal Contractor must:
- Take over the file from the Principal Designer
- Continue to update it during construction
- Ensure relevant information from construction activities is included
- Hand the completed file to the client at project completion
Client
At project completion, the client must:
- Receive the file and ensure it is complete
- Keep the file available for anyone who needs it for future work
- Pass the file to any new owner if the structure is sold
- Ensure the file is updated if further construction work takes place
If no Principal Designer is appointed
If the client fails to appoint a Principal Designer on a multi-contractor project, the client assumes Principal Designer duties, including preparing the health and safety file. This is rarely practical - most clients lack the technical knowledge to compile an adequate file.
When to start the file
Begin the health and safety file during the pre-construction phase, as soon as relevant information becomes available. Do not leave it until the end of the project.
Pre-construction phase
During design, gather and record:
- Design decisions that affect future work (such as structural load paths or pre-stressed elements)
- Residual hazards that could not be designed out
- Information about hazardous materials specified in the design
- Safe access arrangements for maintenance and cleaning
Construction phase
During construction, update the file with:
- As-built information where it differs from design
- Location and nature of services (especially those that are buried or concealed)
- Product data sheets for materials used
- Operation and maintenance manuals for installed plant and equipment
- Any unexpected hazards discovered during construction (such as contaminated ground)
Tip: Set up a process at project start for collecting file information. Make it a standing agenda item at design team meetings and site progress meetings.
What the file must contain
CDM 2015 requires the file to contain "information likely to be needed during any subsequent project to ensure the health and safety of any person". The HSE's L153 guidance recommends including:
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Record residual hazards
Document any hazards that could not be eliminated through design and how they have been addressed. Include asbestos surveys, contamination reports, and information about other hazardous materials installed or left in place.
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Document key structural principles
Include the structural design philosophy, bracing arrangements, safe working loads for floors and roofs, and information about pre-stressed or post-tensioned elements. Anyone altering the structure needs this to avoid catastrophic failure.
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List hazardous materials
Record the location and nature of any hazardous materials used in construction: lead paints, special coatings, fire retardants, asbestos-containing materials. Include safety data sheets where relevant.
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Describe installed plant and equipment
Provide information needed for safe maintenance, repair and eventual removal of installed plant. Include lifting arrangements for heavy equipment, isolation procedures, and any specialist requirements.
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Map services and utilities
Document the location and routing of all services: electricity, gas, water, drainage, telecommunications, fire detection and suppression systems. Include as-built drawings showing concealed services.
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Include maintenance access information
Describe how to access all parts of the structure safely for cleaning and maintenance. Include anchor points, safe access routes, fragile surfaces to avoid, and any specialist equipment needed.
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Provide as-built drawings
Include as-built drawings that show the structure as actually constructed, especially where it differs from design. Focus on information relevant to health and safety, not general record drawings.
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Attach operation and maintenance manuals
Include manuals for mechanical and electrical plant, fire systems, lifts, and other equipment. These should cover safe operating procedures, maintenance schedules, and emergency procedures.
What NOT to include
The health and safety file should be proportionate to the project. A file filled with irrelevant information is difficult to use and important hazards may be missed. Do not include:
- Construction phase plan: This is a separate document for managing construction-phase safety
- Risk assessments and method statements: These relate to construction, not future work
- Routine CDM paperwork: F10 notifications, competence checks, meeting minutes
- Generic product information: Include only data sheets for materials where there are specific health and safety implications
- Complete design packages: Include only the information relevant to safe future work
Golden rule: Ask yourself "Will this information help someone work safely on this structure in the future?" If yes, include it. If not, leave it out.
Format requirements
CDM 2015 does not specify a particular format for the health and safety file. HSE guidance says the file should be:
- Proportionate: File size and detail should match the project's complexity and risks
- Usable: Organised so users can find what they need quickly
- Accessible: Available to anyone who needs it for future work
- Updatable: Capable of being revised as future work is carried out
Electronic vs paper files
Either format is acceptable. Electronic files offer advantages:
- Easier to share with contractors
- Searchable
- Easier to update
- Less likely to be lost
If using electronic format, ensure the client can access and read the files (common formats like PDF are preferable to proprietary software).
Suggested structure
A typical file might be organised as follows:
- Project introduction and contacts
- Residual hazards register
- Hazardous materials schedule
- Key structural principles
- Services information and drawings
- Maintenance access strategy
- As-built drawing register
- Operation and maintenance manuals
- Relevant surveys and reports
Handover to client
At project completion, the file must be handed to the client. This is a formal handover, not just emailing some documents.
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Review the file for completeness
Before handover, check the file contains all relevant information. Use your initial file structure as a checklist. Ensure as-built drawings reflect actual construction and all manuals have been received.
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Prepare a file index or contents list
Provide a clear contents list so the client can see at a glance what information is included. This also helps future users navigate the file.
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Arrange a formal handover meeting
Meet with the client to hand over the file. Explain its purpose, contents and how it should be used. This is especially important for clients who have not previously received a CDM file.
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Explain the client's ongoing duties
Make sure the client understands they must keep the file available, update it if further work takes place, and pass it on if the structure is sold.
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Obtain acknowledgement of receipt
Get written confirmation that the client has received the file. This protects you if questions arise later about whether the file was handed over.
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Provide advice on storage
Recommend how the client should store the file to ensure it remains accessible. For electronic files, suggest backup procedures. For paper files, suggest a secure, known location.
Client duties: keeping and updating the file
Once the client receives the file, they have ongoing CDM duties regarding it:
Keep the file available
The client must keep the file available for inspection by anyone who needs it for future construction work, maintenance or cleaning. This includes:
- Maintenance contractors
- Cleaning contractors
- Designers and contractors for future alterations
- Building surveyors
- Demolition contractors
"Available" means the client must be able to produce it when asked. A file buried in an archive that nobody can find does not meet the requirement.
Update the file
If further construction work takes place on the structure, the health and safety file must be updated to reflect that work. The client should:
- Provide the existing file to designers and contractors at the start of any future project
- Ensure the Principal Designer (or contractor on smaller projects) updates the file
- Receive the updated file at the end of each project
Pass it on when selling
If the client sells or otherwise disposes of the structure, they must pass the file to the new owner and explain its purpose. This is a legal duty under CDM 2015 Regulation 4(9).
Making the file available for future work
The whole point of the health and safety file is that it is used. If contractors cannot access the file, it provides no benefit.
Best practice for clients:
- Know where the file is stored (this sounds obvious but files often get lost)
- Include file location in your building management or facilities records
- Make the file available to any contractor quoting for future work
- Include the file as pre-construction information for any future CDM project
- Review the file periodically to ensure it remains usable and up to date
For leased premises: If you are a tenant, check whether the landlord holds the health and safety file and can provide it. If you carry out construction work, ensure the updated file reaches whoever should hold it (often the freeholder).
Common problems with health and safety files
HSE inspectors frequently identify these issues with health and safety files:
- File not created at all: Some projects complete without any file being prepared. This is a breach of CDM 2015.
- File created at the last minute: Rushing to assemble a file at handover typically results in missing information. Start the file during design.
- File is a generic template: A template with project name filled in is not acceptable. Content must be specific to the actual structure.
- Too much irrelevant information: Files stuffed with every document generated on the project are unusable. Include only information relevant to future health and safety.
- Missing as-built information: Drawings showing the design, not what was actually built, are dangerous. Ensure as-built drawings are accurate.
- File not handed over: The file sits in a filing cabinet in the contractor's office. Ensure formal handover to the client.
- Client loses the file: Once handed over, files frequently go missing. Clients should have a system for keeping the file accessible.
- File not updated: After subsequent construction work, the file does not reflect the current state of the structure. Update after every project.
Penalties for non-compliance
Failing to prepare, update or keep a health and safety file is a breach of CDM 2015 and a criminal offence. HSE can prosecute:
- Principal Designers who fail to prepare or maintain the file
- Principal Contractors who fail to provide information for the file or hand it over
- Clients who fail to ensure the file is prepared, or who fail to keep it available
Health and safety file checklist
Use this checklist to ensure your file is complete:
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Residual hazards documented
All hazards that could not be eliminated are recorded with details of how they have been addressed.
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Structural information included
Key structural principles, safe working loads, pre-stressed elements, and anything else needed for safe future alterations.
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Hazardous materials mapped
Location and nature of asbestos, lead, and other hazardous materials, with relevant surveys and data sheets.
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Services fully documented
As-built drawings showing location of all services, especially concealed ones. Isolation procedures where needed.
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Maintenance access described
Safe access routes, anchor points, fragile surfaces, and specialist equipment needed for maintenance and cleaning.
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As-built drawings provided
Drawings reflect what was actually built, not just the design, with focus on safety-relevant information.
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O&M manuals included
Operation and maintenance manuals for all installed plant and equipment.
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File is proportionate and usable
Content is relevant and organised so users can find what they need. No unnecessary bulk.
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Formal handover completed
Client has received the file with explanation of its purpose and their ongoing duties. Receipt acknowledged.
Related guides
For more information about CDM duties and compliance:
- CDM 2015: your duties as a construction client - client responsibilities including appointments and notifications
- Comply with CDM Regulations for construction projects - comprehensive overview of CDM 2015 requirements