THE UNIVERSITY OF HONG KONG

Department of Civil Engineering

CIVL6083

Practical Design and Construction of

Tunnels in Hong Kong

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 ETWB TC(W) 15/2005
Geotechnical Control of (Government) Tunnel Works

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Background
• ETWB TC(W) 15/2005 outlines the policy and procedures for geotechnical
control of planning, design and construction for government tunnel works (which
comprise tunnels, shafts, caverns and associated underground facilities, however
constructed); main objective is to protect public life and property

Related documents
• ETWB TC(W) 29/2002 Geotechnical Control for Slopes and Retaining Walls
• ETWB TCW 17/2004 Impossibility/Unforeseen Ground Conditions/Utility Interference
• ETWB TC(W) 6/2005 Implementation of Systematic Risk Management in Public Works Projects
• TGN 24 Site Investigation and TGN 25 Geotechnical Risk Management
• PAH (Ch. 1-S.1.5, 3.1.2; Ch. 4-S.1.6, 3.5, 4.6.2, A4.7, 4.7; Ch. 5- S.9.24; Ch. 6-S.2.1.5; Ch. 7-
S.4.3, 5.3, 11.4, 18.1.2, 18.3.6, 20.2, 21.2.6, 21.6.2, A7.47)
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Policy
• The Project Department (PD) shall ensure that the documentation for the
geotechnical design of all permanent tunnel works and the associated temporary
works is submitted to GEO
• The GEO shall audit the geotechnical design and the implementation of the
geotechnical design, site supervision and risk management during construction,
where the tunnel works or their construction would pose a significant risk to
public life or property, and provide geotechnical advice
• GEO's audits do not change the authority, duties, responsibilities and liabilities of
the PD and its agents

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Extent of Submissions for Tunnel Works
Process-based
• Feasibility Study, Investigation and Preliminary Design Stages
➢Preliminary Geotechnical Appraisal (PGA) given in the Technical Feasibility
Statement (TFS)
Advice on the geotechnical constraints and risks based on a review of the
longitudinal section showing the existing SI data and recommendations on the
order of cost and time to be allowed for the SI works
➢Preliminary Geotechnical Risk Assessment for Tunnel Works
Review at the investigation stage the geotechnical risk register and risk
assessment for alternative tunnel alignments and SI proposal for the chosen
alignment
➢Consultancy Brief (Feasibility Study, Investigation, Design & Construct)
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Extent of Submissions for Tunnel Works (Cont’d)
• Detailed Design Stage
➢Blasting Assessment (for blasting works)
➢Geotechnical Risk Assessment for Tunnel Works for the chosen alignment
➢Geotechnical Design Submissions (main focus on tunnel works and associated
temporary works, and subsurface drainage/groundwater impact assessment) –
Reference Design or Engineer’s Design
(N.B. Temporary works which pose significant risk to public life and property
must have a reference design that is buildable and allow cost and programme
estimates to be carried out by the tenderers reliably)
➢Risk Management Plan (including risk register, risk mitigation/treatment plans)
Geotechnical Baseline Report
➢Site Supervision Requirement

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Extent of Submissions for Tunnel Works (Cont’d)
• Tender Preparation Stage
➢Particular Specification (PS)/Employer’s Requirements (ER) clauses on
Tunnel Works

• Construction Stage
➢Contract Programme (for information only)
➢Contractor’s proposed construction methods and procedures
➢Geotechnical Risk Assessment (GRA) and their updates & Design
Submissions by the Contractor (for Contractor’s design)
➢Geotechnical Risk Assessment (GRA) and their updates & Design
Submissions by the Consultants (for Engineer’s design)
➢Site Supervision Plan and regular Supervision Reports
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Extent of Submissions for Tunnel Works (Cont’d)
• Submissions Prior to Contract Completion (for record and knowledge
management purpose)
➢Geotechnical performance review and monitoring/survey data
➢As-built survey plans/drawings/records showing boundaries of tunnels, shafts
and caverns
➢Registration records and maintenance manuals of man-made slopes and
retaining walls
➢Construction records (grouting records, monitoring records, geological and
hydro-geological data including any field data obtained from the excavation
faces)

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Scope of Auditing of Submissions
GEO’s main responsibility is to advise the PD on the geotechnical aspects of tunnel
projects in the interest of public safety. GEO will focus on public safety issues and
assess that due diligence has been exercised by the responsible parties on such
issues, in its design and site audits.
The PD should be reminded to look after the contractual implications and ensure
consistency in making changes to the documents.
GEO will focus on the following:
➢ Consultancy Brief
➢ Particular Specification/Employer Requirements
➢ Reference Design
➢ Risk Assessment and Risk Management Plan
➢ Design Submissions at Construction Stage
➢ Site Audits
➢ Minimum Site Supervision Requirements
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Scope of Auditing of Submissions (Cont’d)
Consultancy Brief
➢Consultancy Brief (for feasibility, investigation, design and construction stages)
normally contains clauses requiring the Consultants to comply with the
requirements stipulated in standards/guidance documents, technical circulars
and the Project Administration Handbook (PAH)
➢Ensure that such clauses are included in the Consultancy Brief when auditing
the Consultancy Brief; an important requirement is to consult the Hong Kong
Geological Survey at an early stage
➢Advise the PD to incorporate project-specific requirements (e.g. horizontal
directional coring to narrow the gaps in SI) in the Consultancy Brief

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Scope of Auditing of Submissions (Cont’d)
Particular Specification/Employer’s Requirements (PS/ER)
➢Focus on clauses related to design responsibility, risk assessment, risk limits,
standard of site supervision and record management
Reference Design
➢For Design-and-Build projects or items, some Consultants may prepare a
Reference Design with minimal efforts and leave most of the issues to the
Contractor’s design team – this is not acceptable
➢Must ensure that the design is technically feasible (meeting the safety
standards and keeping within the risk limits agreed with stakeholders) and
buildable, and to enable the formulation and preparation of the associated risk
management plan

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Scope of Auditing of Submissions (Cont’d)
Risk Assessment and Risk Management Plan
➢Check that the geotechnical risk items with public safety concerns are included
in the risk register and adequately dealt with in their risk management plan
➢Ensure that the major geotechnical risks have been identified with the
corresponding risk owners assigned and the risk control measures identified
➢Remember to update the risk assessment and risk management plan during the
construction period

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Scope of Auditing of Submissions (Cont’d)
Submissions at Construction Stage
➢For submissions related to design and design changes, focus on technical
aspects of the proposed works which could affect public safety during
construction and in the long term (in particular, tunnel supports, control of
groundwater inflow, effects of construction on land and existing buildings and
structures, etc., and effectiveness in implementation of risk control measures)
➢Examine the compatibility with the unchanged parts when reviewing
subsequent design changes ((interface issues)
➢Focus on the problems (actual and potential) which could affect public safety
and take this up when reviewing the construction records/method statements
➢Look for availability and changes in key site supervisory personnel of the
Engineer/Supervising Officer which could affect the standard of supervision

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Scope of Auditing of Submissions (Cont’d)
Site Audits
➢Focus on examining the records to assess the adequacy of site supervision and
design reviews
➢Obtain information and records on the problems encountered and their
solutions for Government’s knowledge management
➢Take up any major unresolved site geotechnical issues which could affect the
public safety

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Scope of Auditing of Submissions (Cont’d)
Minimum Site Supervision Requirements
➢For Engineer’s Design tunnel contracts, the minimum requirements for site
supervision by the Engineer are stated in the Project Administration Handbook
(PAH)
➢Specify the engagement in the Engineer’s team and Contractor’s team of a
qualified geologist with relevant tunnel experience as part of the site
supervisory team to provide the required engineering geological input to the
design of tunnel supports
➢For Design-and-Build tunnel works and also temporary works designed by the
Contractor, the Contractor’s Design Consultant should provide Category I and
II site supervisory personnel to take up the designer’s role (as in the Engineer’s
Design tunnel works contracts); the Contractor’s site supervisory team should
meet at least the PAH requirements

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