1. 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

2. 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

4. 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

5. 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.

6. 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

7. 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

8. JCoP for Tunnelling
Section 4 – Definitions and Terms

9. 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

10. 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)

11. 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.

12. 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

13. 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

14. 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

15. 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

16. 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

17. 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

18. 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