A Joint Code of Practice

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• A Joint Code of Practice
• for the Procurement, Design and Construction of
  Tunnels and Associated Underground Structures
• in the United Kingdom
• Objectives and Summary Presentation

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Key Insurer Objectives

• Have in place risk assessment and management
  procedures for the tunnelling sector
  to
• Reduce the probability of a loss happening
• Reduce the size of a claim when it happens
• Provide Insurers with a better framework for
  understanding risks during the underwriting
  process
• Provide increased certainty on financial exposure

3
Key Insurer Objectives

• Create an auditable trail for Insurers to
  ensure compliance
• Acknowledge that the Joint Code will not prevent
  claims happening

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JCoP for Tunnelling Contents
1 Objective of the Code 2 Compliance with the
Code 3 Introduction 4 Definitions and Terms
used in the Code 5 Risk Assessment and
Management 6 Client Role and Responsibilities
7 Project Development Stage 8 Construction
Contract Procurement Stage 9 Design 10
Construction Stage
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JCoP for Tunnelling
Section 1 - Objective of the Code

• To promote and secure Best Practice for the
  minimisation and management of risks associated
  with Tunnel Works
• Applies to Project Development, Design,
  Construction Contract Procurement and
  Construction Stages of a Project
• Does not supersede, replace or override existing
  Standards, legislation etc.

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JCoP for Tunnelling
Section 2 Compliance

• Compliance with the Code is pre-requisite for
  obtaining Insurance on all projects where the
  value of the Tunnel Works is 1m or above

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JCoP for Tunnelling
Section 3 Introduction

• Requires identification of hazards and the
  management of associated risks to ensure their
  reduction to a level as low as reasonably
  practicable (ALARP)
• Responsibility for risk management to be
  explicitly allocated to relevant parties and
  clearly identified

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JCoP for Tunnelling
Section 4 Definitions and Terms
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JCoP for Tunnelling
Section 5 Risk Assessment and Management

• Defines Risk ( consequence of a hazard x
  likelihood of occurrence)
• Lists hazards (as events which have the
  potential to impact on a Tunnel Works project)
  and includes
• health and safety
• the environment
• the design and the costs and programme for design
• the construction of the project including the
  programme and cost for construction
• Third Parties and existing facilities

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JCoP for Tunnelling
Section 5 Risk Assessment and Management
(contd)

• Notes that hazards should be identified on a
  project-specific basis
• Risks to be identified and quantified through
  Risk Assessments for all stages of a project
• Highlights the requirement for clarification of
  the allocation of risks (ie ownership - risk
  owners are those best able to manage the risks)

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JCoP for Tunnelling
Section 5 Risk Assessment and Management
(contd)

• Requires Risk Registers to identify the hazards,
  consequent risks, mitigation/contingency plans,
  proposed actions, responsibilities, critical
  dates for completion of actions and when actions
  have been closed out
• Risk Registers are to provide the auditable
  trail throughout the life of a project to
  demonstrate compliance with the Code.

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JCoP for Tunnelling
Section 6 Client Role and Responsibilities

• Requires Clients to have demonstrable technical
  and contract management competence appropriate to
  the type, scope and extent of the project
  proposed

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JCoP for Tunnelling
Section 7 Project Development Stage

• Site and ground investigations to be designed,
  planned, procured and supervised by suitably
  competent personnel
• Site and ground investigations to be executed by
  competent organisations

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JCoP for Tunnelling
Section 8 Construction Contract Procurement
Stage

• Selection of type of contract by the Client
  should take due regard of the allocation of risks
  to the parties to the Contract and consequently
  the liabilities of the parties to the Contract

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JCoP for Tunnelling
Section 9 Design Stage(s)

• Principle is to achieve a robust design i.e.
  where risk of failure or damage is extremely
  remote
• Includes for preliminary and detailed designs and
  temporary works and permanent works designs
• Section is not prescriptive in terms of Design
  Methods

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JCoP for Tunnelling
Section 9 Design Stage(s) (contd)

• Design Risk Assessments to consider the impact
  on the design and hence its implementation of
  design criteria variations, potential failure
  mechanisms and intermediate construction stages

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JCoP for Tunnelling
Section 10 Construction Stage

• Requirement for a Project Risk Management Plan to
  identify means and methods of monitoring,
  reviewing and updating Construction Stage Project
  Risk Register
• Construction Stage Project Risk Register to
  include all project related risks identified at
  the Construction Stage together with
  project-related risks brought forward from the
  Client's pre-contract Risk Register and which may
  include health and safety risks

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JCoP for Tunnelling
Section 10 Construction Stage (contd)

• Carry out constructability reviews jointly with
  the Designer to ensure construction methods are
  suitable and appropriate
• In the case of self-certification, Contractor to
  demonstrate how independent supervision of
  construction will be controlled and maintained
• Value engineering proposals to include Risk
  Assessments