Son aylarda katildigim bir tunel projesi icin risk yonetim rehberlerini arastirirken assagida belirttigim yayina rastladim ve proje ekibi icin ozetledim.  Bu ozeti sizlerle de paylasmak icin burada yayinliyorum.  Ancak ingilizce teknik kelmelerin turkcelerini bulmakta zorluk cektigim icin ingilizce olarak yayinliyorum. 

ITA GUIDELINES FOR TUNNELING RISK MANAGEMENT, 2004

Reference: S. Degn Eskesen et al, “Guidelines for Tunnelling Risk management: International Tunnelling Association, Working Group No.2”, Tunnelling and Underground Space Technology, Vol. 19 (2004), 217-237. 

SUMMARY OF THE GUIDELINES

WHAT IS INCLUDED IN RISK MANAGEMENT?

Risk management is the term which includes the following:

1. Risk identification
2. Risk assessment
3. Risk analysis
4. Risk elimination
5. Risk mitigation
6. Risk control

 RISK MANAGEMENT ACTIVITIES FOR OWNER AND CONTRACTOR 

A. EARLY DESIGN STAGE

A.1.  Risk management policy

Risk Policy is a common reference established by the owner for all parties (owner, owner's engineer, contractors and insurers)

The policy should document the risk management scope, objectives and strategy.

a..  Scope

The scope includes management of the following types of risks

1. Risks to the health and safety of workers, including personal injury and, in the extreme, loss of life.
2. Risks to the health and safety of third parties.
3. Risks to third party property, specifically existing buildings and structures, cultural heritage buildings and above and below ground infrastructure.
4. Risks to the environment including possible land, water or air pollution.
5. Risks to the owner in delay to the completion.
6. Risks to the owner in terms of financial losses and additional unplanned costs.

 b. Objectives

General objectives include the following to ensure that proper risk management is in place throughout the project:

1. Identification of hazards.

2. Identification of measures to eliminate or mitigate risks.

3. Implementation of measures to eliminate or mitigate risks where economically feasible or required according to the specific risk objectives or health and safety legislation.

The general objectives can be supplemented by specific objectives for each type of risk. 

c. Strategy

 A risk management strategy is to carry out risk assessments at each stage of the project in accordance with the information available and the decisions to be taken or revised at each stage. Any risk management strategy should include:

1.  Definition of the risk management responsibilities of the various parties involved
2. Short description of the activities to be carried out at different stages of the project in order to achieve the objectives,
3. Comprehensive risk register to record risks, measures and follow-ups to effectively communicate to all parties,
4. Follow-up on initial assumptions regarding the operational phase
5. Monitoring, audit and review procedures.
6. General statements on allocation of risks between parties, e.g., a risk should be allocated to the party who has the best means for controlling the risk.

A.2.  Risk Acceptance Criteria

The risk objectives expressed in general terms in the owner's risk policy should be "translated" into risk acceptance criteria suitable for use in the risk assessment activities planned to be carried out. This may include:

1. Risk acceptance criteria to be used in qualitative risk assessment.
2. Risk acceptance criteria to be used in quantitative risk assessments. They are usually expressed as limits:  (a)

A limit above which the risk is considered unacceptable and thus must be reduced regardless of the cost. 

A limit below which it is not required considering further risk reduction.  

An area between the two limits where risk mitigation shall be considered and mitigation measures implemented according to the circumstances, e.g., using the ALARP principle (i.e., reducing all risks to a level As Low As Reasonable Possible).

3.  A document' should be provided that explains how the risk acceptance criteria were established in relation to the statements on risk objectives in the owner's risk

A.3.  Qualitative risk assessment

A qualitative risk assessment should be carried out focused on the identification of potential hazards associated with all types of risk noted in the construction risk policy.  The qualitative risk assessment should include:

1. Hazard identification
2. Classification of the identified hazards
3. Identification of risk mitigation measures
4. Details of the risks in the project risk register indicating risk class and risk mitigation measures for each hazard.

In the identification and classification of hazards, the following common causes of hazards should be considered:

1. Complexity and maturity of the applied technology.
2. Adverse unexpected ground and groundwater conditions.
3. Technical and/or managerial incompetence.
4. Human factors and/or human errors.
5. Lack of sufficient communication and co-ordination between internal and external interfaces.
6. Combinations of several unwanted events that individually are not necessarily critical.

Classification systems should be established covering frequencies and consequences. The classification system may be included in the risk acceptance criteria.

 A.4.  Specific (quantitative) risk assessment

 For hazards of specific interest, e.g., due to the severity of the risk involved or the significance of the design decision to be taken, a more detailed risk analysis than the general qualitative analysis may be carried out. The outcome of this analysis should also be documented in the project risk register. The work may comprise

1. Fault tree analysis of the causes of the hazards,
2. Event tree analysis of the consequences
3. Full quantification of the risk with the cost-benefit ratio of mitigating measures.

A.5.  Project risk register

A comprehensive risk register is essential to record and effectively communicate with all parties the project risks, alternative measures, decisions, responsible parties, and follow-ups.

B.  TENDERING, CONTRACT NEGOTIATION AND AWARD

a.      Tender Document Preparation by Owner

The following risk management activities should be carried out by the owner during preparation of the tender documents:

B.1.   Description of significant risks (i.e., repeat of qualitative risk assessment)

The qualitative risk assessment carried out in the early design stages should be repeated when the tender documents are near completion as the basis for final modifications of the tender documents.

B.2.   Responsibilities to mitigate risk

1. The specification of technical and other requirements should detail responsibilities for risks.  
2. Risks should be allocated to the party who has the best means for controlling them.

B.3.   Risk management information in tender documents

B.3.1.    Description of risk management approach by the owner:

1. Owner’s risk management policy

2. Owner’s risk acceptance criteria and risk classification

3.  Owner’s risk assessment results including a comprehensive list of risks and the approaches suggested by the owner to mitigate these risks

4. Risk allocation between the owner and contractor for risks identified by the owner

5. Statement for that the final mitigating measures are to be jointly decided by the owner and the successful tenderer

6. Risk register

B.3.2.    Risk management criteria to be used by the owner in evaluation of the tenders’ risk management proposals 

1.  Compatibility of the contractor’s risk policy and risk management system with owner’s policy and system. 

2. The contractor’s ability to apply systematic risk management, identify and control risks, and implement the technical solutions.

3.  The risk management expertise at the contractor's disposal.

 B.3.3.  General risk management statements in tender documents:

1. The contractor must perform risk management in accordance with the owner's risk policy. The contractor's risk management system and approaches must be compatible with the owner's, thereby reducing and controlling risks both to the contractor, to the owner and the public.

2. The contractor is responsible for effective risk management regardless of the extent and detail of the risk information deriving from the owner.

3. The owner should be involved in the risk management during construction and a risk management team should be established with participants from the contractor and from the owner.

 B.3.4.    Risk management information to be requested from contractors in their tender  

1. Description of contractor’s risk policy.

2. Description of contractor’s risk management activities including systematic risk identification, classification of risks by frequency and consequence, and identification of risk elimination and risk mitigating measures.

3. Overview and description of the major risks perceived by the tenderer in the project.

4. Mitigating measures for the risks identified by the owner and additional risks envisioned by the contractor (for example, modification to the construction methods for areas identified by the owner as of particular concern),

5. Confirmation of the risk allocation approach for the risks identified by the owner and risk sharing proposal for the additional risks envisioned by the contractor.  

6. Time schedule for risk management activities (including requirements to carry out risk assessment in time to allow implementation of identified risk mitigating measures).

7. Organization and qualifications of risk management staff.

8. Information on structured risk management in similar projects and their outcomes.

9. Co-ordination with the owner's risk management and risk management team.

10. Co-ordination with the other contractors' risk management.

11. Co-ordination between risk management and the contractor's other systems, such as quality management and environmental management.

12. Control of risks from sub-contractors' activities.

b. Tender Preparation by Contractor

B.4.   Respond to owner’s request for information from the contractor on risk managemen

The contractor responds to the information requested in Section B.3.4.

c. Evaluation of tenders and contract award

B.5. Evaluation of contractor's risk management

 The tenders should be evaluated based on the criteria listed in Section B.3.2.

The evaluation of tenders in respect of risk may be qualitative (based on a points system) or on a quantitative basis to the extent that the tender price might be adjusted accordingly. Where a qualitative risk assessment is envisaged, for each identified risk, the tenders need to be compared and areas where there are differences should be highlighted. Where a quantitative risk assessment is envisaged, the recommended approach is that the owner first to carry out a quantitative risk assessment on project.  This could be carried out in the time period between the tender issue and the receipt of tenders. The risk in each tender is quantified by taking the owner's quantitative risk assessment and for each risk considering the differences in frequency and consequence. This quantification is particularly useful for the risk of economic loss to the owner, and the risk of delay to the completion of the project. These evaluations could be directly compared with the contract price in the tenders and the assignment of a certain monetary value might be made per month's estimated or potential delay of project completion.

B.6. Contract award

 When a contractor has been chosen, negotiations between the owner and the contractor may lead to a detailed contractual description of the risk management system to be implemented on the project. This may be based on a combination of the intentions of the owner and the suggested procedures of the contractor with the purpose of improving the co-operation between the parties. Alternative technical solutions will also be negotiated on the basis of risk assessments carried out and stated in the contract.

The risk assessment of the successful tender may have identified some previously undetected areas of risk or special concern. In order to reduce these risks to an acceptable level, additional risk mitigation clauses may be introduced in the contract. An example could be that the contractor has proposed a modification to the construction methods envisaged by the owner, which is advantageous except for a secondary risk of impact to the environment. This risk to the environment is then mitigated by additional requirements.

GLOSSARY

Hazard: A situation or condition that has the potential for human injury, damage to property, damage to Environment, economic loss or delay to project completion.

Risk: A combination of the frequency of occurrence of a defined hazard and the consequences of the occurrence.

Risk Acceptance Criteria:  A qualitative or quantitative expression defining the maximum risk level that is acceptable or tolerable for a given system.

Risk analysis:  A structured process which identifies both the probability and extent of adverse consequences arising from a given activity. Risk analysis includes identification of hazards and descriptions of risks, which may be qualitative or quantitative.

Risk assessment: Integrated analysis of risks inherent to a system or a project and their significance in an appropriate context, i.e., risk analysis plus risk evaluation.

Risk elimination; Action to prevent risk from occurring

Risk evaluation: Comparison of the results of a risk analysis with risk acceptance criteria or other decision criteria.

Risk mitigation: Action to reduce risk by reducing consequences or frequency of occurrence.

The definitions indicated above are from “The Engineering Council, 1993” with some modifications and supplements to better suit a construction project.