Centre mandates risk registers, umbrella geotech study in tunnel projects

Authority is accountable at every step of tunnel projects, guidelines say

After several incidents of tunnel collapses, especially the one in Uttarkashi which saw the multi-week rescue operation of 41 workers in 2023, the Centre has come up with guidelines which mandate the preparation of "risk register" in the planning stages of tunnel projects. 

“The recent occurrences of tunnel collapses during construction have prompted a critical assessment of current implementation methodologies and the necessary improvements to prevent such incidents from recurring,” the ministry of road transport and highways said in its Guidelines for Prevention and Mitigation of Road Tunnel Collapses. 

It added that the foremost priority is the engagement of a competent execution team, appropriately sized and highly knowledgeable, with a demonstrated track record of successfully delivering projects under similar geological and logistical conditions. 

“The terms of reference for detailed project report (DPR)/project management consultancy shall mandate the preparation of a Geotechnical Baseline Report (GBR) and a Risk Register. The Risk Register should include the perceived hazards and associated risks for the project and indicate potential mitigation measures with comprehensive explanations for their basis, based on the DPR studies,” the guidelines said. 

All construction tenders issued for bidding will now be required to provide the risk register and geotechnical due diligence reports to bidders. 

This, officials say, will reduce the risk of discrepancies between planning and execution by ensuring all parties have the same information, also reducing the scope for disputes in the future. 

According to the government, it is not uncommon for tunnel projects to face challenges in achieving their objectives, since fundamental flaws in the project concept itself are detected during subsequent reviews. “Such shortcomings suggest that the tunnel project was predisposed to encounter difficulties,” it said. 

The baseline report will serve as a reference for determining expected efforts and aim for the highest practical accuracy. 

“The primary function of this baseline report is to minimise disputes by clearly defining anticipated conditions; significant deviations beyond permissible limits shall be treated as a change in scope (positive or negative). Geotechnical Baselines shall be based on apt and appropriate geological, geophysical and geotechnical investigations,” the guidelines said. 

The government has also cleared the issue of ownership and accountability in tunnel projects, clearly laying out that the authority must take responsibility for every stage of the project. 

“Hired agencies viz. DPR consultants, contractors and Authority's Engineers (AE)/Independent Engineers (lE) are distinct entities with specific and time-bound roles. The Authority must ensure optimal performance from these entities to achieve project goals. The Authority must establish a dedicated locus group or expert team to provide consistent guidance and direction throughout the project lifecycle,” it said. 

Experts onboarded by the authority will include professionals from areas like contract management, design, execution, safety and geology. The government would also look to make a more holistic contract process through these guidelines which is beneficial for the region and private players at large. 

“It is important to recognise that bidders have their own commercial objectives, and the Authority shall not overlook this fact. A well-structured tender document that acknowledges these considerations can significantly enhance project outcomes,” it said.

During execution, authority engineers and Independent Engineers — crucial entities who oversee the project — have to ensure that all excavation, support installations, monitoring, and reprofiling adhere to approved methodologies. No work shall proceed without AE/IE authorisation, the ministry said.