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

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

Key Insurer Objectives Create an ‘auditable’ trail for Insurers to ensure compliance Acknowledge that the Joint Code will not prevent claims happening

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

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.

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

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

JCoP for Tunnelling Section 4 – Definitions and Terms

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

JCoP for Tunnelling Section 5 – Risk Assessment and Management (cont’d) 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)

JCoP for Tunnelling Section 5 – Risk Assessment and Management (cont’d) 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.

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

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

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

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

JCoP for Tunnelling Section 9 – Design Stage(s) (cont’d) 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

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

JCoP for Tunnelling Section 10 – Construction Stage (cont’d) 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