PAH 2020 Chapter 4 Rev 02 HL 210709

Project Administration Handbook for Civil Engineering Works 2020 Edition
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CHAPTER 4
PROJECT DESIGN AND ESTIMATES
The parts of the PAH shown in blue and bold should
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only be updated by Works Branch of Development
Bureau.
Rev Issue Date Amendment Incorporated
First Issue October 2020 NA
1 8 March 2021 Amd No. 2/2021
2 9 July 2021 Amd No. 4/2021
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Chapter 4 (Rev. 21) 1

SYNOPSIS
This Chapter describes the criteria to be adopted, the procedures to be followed and
the documentation that is required in the design process of civil engineering works. Emphasis
is placed on the need to adopt a systematic approach, from the initial stage of conceptual design
to the final stage of checking and certification, to ensure that designs are performed and
recorded properly. Requirements for cost estimates and general guidance on their preparation
are also described.
The procedures and documentation requirements set out in the Chapter are generally
applicable to all public works projects involving civil engineering construction. However, for
emergency works where there is a serious time constraint and for minor works where standard
designs are used, the procedures may be applied selectively if this is necessary to avoid
unnecessary delays to the Works or the production of over-elaborate documentation.
Detailed guidance on the standards and methods to be adopted for the design of works
is not given in this Chapter and reference should be made to standard textbooks, codes of
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practices and other manuals quoted in the text.
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CONTENTS
SYNOPSIS ................................................................................................................................. 2
CONTENTS ............................................................................................................................... 3
I. ABBREVIATION.......................................................................................................... 8
II. GLOSSARY OF TERMS ............................................................................................ 12
1. GENERAL CONSIDERATIONS FOR DESIGN ....................................................... 13
1.1 AUTHORITY .................................................................................................. 13
1.2 RESOURCES .................................................................................................. 13
1.3 DESIGN OBJECTIVES .................................................................................. 13
1.4 METHODOLOGY .......................................................................................... 16
1.5 DRAWINGS .................................................................................................... 16
1.5.1 Organisation ....................................................................................... 16
1.5.2 Standards............................................................................................ 16
1.5.3 Numbering ......................................................................................... 17
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1.5.4 Preparation ......................................................................................... 17
1.5.5 Circulation ......................................................................................... 17
1.5.6 Checking and Approval ..................................................................... 17
1.6 SITE INVESTIGATION ................................................................................. 17
1.6.1 Relevant Guidelines, Standards and Sources of Information ............ 17
1.6.2 Procurement of Ground Investigation ............................................... 18
1.6.3 Procurement through Individual GI Contracts or Included in
Works Contracts ................................................................................ 19
1.6.4 Procurement through GEO’s Term Contracts ................................... 19
1.6.5 Supervision ........................................................................................ 20
1.6.6 Specialist Advice ............................................................................... 21
1.7 TREE PRESERVATION................................................................................. 21
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1.8 DESIGN FOR ENHANCING CONSTRUCTION PRODUCTIVITY ........... 21
2. PRELIMINARY STAGE OF DESIGN ...................................................................... 23
2.1 PRELIMINARY DESIGN............................................................................... 23
2.2 SELECTION OF BASIC SCHEME & LIFE-CYCLE COSTING
CONSIDERATION ......................................................................................... 23
2.3 COMPILATION OF DESIGN MEMORANDUM ......................................... 24
2.4 CHECKING AND APPROVAL OF DESIGN MEMORANDUM ................ 24
2.5 GENERAL LAYOUT PLAN .......................................................................... 24
2.5.1 Preparation ......................................................................................... 24
2.5.2 Circulation ......................................................................................... 25
2.5.3 Checking and Approval ..................................................................... 25
3. DETAILED DESIGN AND ASSOCIATED ADMINISTRATION ........................... 26
3.1 CHECK LIST FOR DETAILED DESIGN ..................................................... 26
3.2 DESIGN CALCULATION FILE .................................................................... 26
3.3 DESIGN CALCULATIONS ........................................................................... 26
3.3.1 Format ................................................................................................ 26

3.3.2 Presentation........................................................................................ 26
3.3.3 Contents ............................................................................................. 27
3.3.4 Standard Designs ............................................................................... 27
3.3.5 Designs Similar to Previous Projects ................................................. 27
3.3.6 Computer Analysis ............................................................................ 27
3.3.7 Survey Data and Computation Files .................................................. 28
3.3.8 Drawing List ...................................................................................... 28
3.3.9 Signing of Design Calculations ......................................................... 28
3.3.10 Arithmetical Checks of Design Calculations ..................................... 28
3.4 DESIGN RECORDS ....................................................................................... 29
3.4.1 Permanent Design Records ................................................................ 29
3.4.2 Design Notes ...................................................................................... 29
3.4.3 Checking of Design Records ............................................................. 29
3.4.4 Submission of Site-specific Geotechnical Reports to the
Geotechnical Information Unit (GIU) ............................................... 29
3.5 CERTIFICATION AND CHECKING AND AUDITING OF DESIGN
PROCESSES.................................................................................................... 30
3.5.1 General ............................................................................................... 30
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3.5.2 Designer ............................................................................................. 30
3.5.3 Checking Engineer............................................................................. 31
3.5.4 Design Checking Approach ............................................................... 31
3.5.5 Design Checking Report .................................................................... 32
3.5.6 Design and Check Certificate ............................................................ 32
3.5.7 Auditing of Geotechnical Aspects by GEO ....................................... 32
3.6 REVISION OF DESIGN CALCULATIONS, RECORDS AND
DRAWINGS .................................................................................................... 33
3.7 DESIGNS BY CONSULTING ENGINEERS ................................................ 33
3.8 DESIGNS BY AND FOR OTHERS ............................................................... 33
3.9 THE REASSIGNMENT OF ACTIVE PROJECTS ........................................ 33
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4. GUIDELINES AND POLICIES RELATED TO DESIGN ........................................ 34
4.1 SITE FORMATION AND RECLAMATION................................................. 34
4.1.1 Fill Matters......................................................................................... 34
4.1.2 Submission to GEO ........................................................................... 34
4.1.3 Construction and Demolition Materials (termed as “construction
waste” in Chapter 2) .......................................................................... 35
4.2 MARINE WORKS .......................................................................................... 37
4.3 HIGHWAYS AND ASSOCIATED STRUCTURES...................................... 37
4.3.1 Road Pavements, Exclusive Highway Drainage, Railings,
Barrier Fences and Parapets............................................................... 37
4.3.2 Structures ........................................................................................... 38
4.3.3 Highway Alignment and Traffic Management .................................. 38
4.3.4 Road Lighting and Other Illuminated Traffic Aids ........................... 39
4.3.5 Road Safety........................................................................................ 39
4.3.6 Tactile Guide Path ............................................................................. 39
4.3.7 Street Name Plates ............................................................................. 40
4.3.8 Innovative Designs or New Construction Materials .......................... 40
4.4 SEWERAGE AND DRAINAGE .................................................................... 40

4.5 WATERWORKS ............................................................................................. 41

4.6 GEOTECHNICAL WORKS ........................................................................... 42
4.6.1 Technical References ......................................................................... 42
4.6.2 Geotechnical Submissions to GEO .................................................... 43
4.6.3 Foundation Works in the Designated Areas/Scheduled Areas .......... 45
4.6.4 Projects Incorporating Ground Anchors ............................................ 45
4.6.5 Projects Incorporating Permanent Reinforced Fill Structures ........... 45
4.6.6 Projects Incorporating Horizontal Drains .......................................... 46
4.6.7 Restrictions on the Use of Hand-dug Caissons.................................. 47
4.6.8 Projects Involving Man-made Slopes and Retaining Walls .............. 48
4.6.9 GEO Checking Certificate for Slopes and Retaining Walls .............. 49
4.6.10 Projects Involving Natural Slopes ..................................................... 51
4.6.11 Water-carrying Services Affecting Slopes ........................................ 52
4.6.12 Prescriptive Measures for Stabilization and Improvement of
Man-made Slopes and Standardized Debris-resisting Barriers for
Mitigation of Natural Terrain Landslide Hazards ............................. 53
4.6.13 Projects Involving Blasting................................................................ 55
4.7 LANDSCAPE AND GREENING WORKS ................................................... 56
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4.8 BUILDINGS .................................................................................................... 58
4.9 ELECTRICAL AND MECHANICAL WORKS ............................................ 58
4.10 COMPUTER SYSTEMS ................................................................................. 58
4.11 GREENHOUSE EFFECT ............................................................................... 58
4.12 AESTHETICS/STREETSCAPE ..................................................................... 59
4.13 ENVIRONMENTAL PROTECTION ............................................................. 60
4.14 WORKS BY OTHER GOVERNMENT
DEPARTMENTS/ORGANISATIONS ........................................................... 62
4.15 ADJACENT PROPERTY ............................................................................... 63
4.16 UTILITIES ....................................................................................................... 63
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4.17 PUBLIC TRANSPORT ................................................................................... 64
4.18 SURVEY MONUMENTS AND MARKS ...................................................... 64
4.19 INFRASTRUCTURE ON NEW RECLAMATION ....................................... 65
4.20 HERITAGE IMPACT ..................................................................................... 65
4.21 TRAFFIC IMPACT AND ROAD SAFETY AUDIT ..................................... 65
4.22 ROCK CAVERN DEVELOPMENT .............................................................. 65
4.23 SAFETY AND HEALTH OF HAND-DUG TUNNELLING WORK ........... 66
5. ESTIMATES................................................................................................................ 67
5.1 INTRODUCTION ........................................................................................... 67
5.2 DESCRIPTION................................................................................................ 68
5.3 TIMING ........................................................................................................... 68
5.4 PREPARATION .............................................................................................. 69
5.5 RECURRENT COST ESTIMATES................................................................ 72
5.6 REPORTING ................................................................................................... 72
5.6.1 Capital Works .................................................................................... 72
5.6.2 Recurrent Costs .................................................................................. 73

5.7 PRELIMINARY COST ESTIMATE .............................................................. 73

6. REFERENCES ............................................................................................................ 74
APPENDICES ......................................................................................................................... 82
APPENDIX 4.1 CHECK LIST FOR DETAILED DESIGN ................................ 83
APPENDIX 4.2 EXAMPLES OF EXPLANATORY
MEMORANDUM/LETTER USED FOR THE
CIRCULATION OF THE GENERAL LAYOUT PLAN .......... 88
APPENDIX 4.3 CERTIFICATION BY PROJECT ENGINEER AND
CHECKING ENGINEER ........................................................... 93
APPENDIX 4.4 ESTIMATE DESCRIPTION ...................................................... 94
APPENDIX 4.5 LIST OF SOME RELEVANT AUTHORITIES ........................ 96
APPENDIX 4.6 EXAMPLES OF DESIGN MEMORANDUM .......................... 98
APPENDIX 4.7 CONTENTS OF A BLASTING ASSESSMENT .................... 105
APPENDIX 4.8 LIST OF CONSTITUENTS OF SUBMISSION ON
GEOTECHNICAL WORKS .................................................... 107
APPENDIX 4.9 GUIDELINES FOR PREPARATION OF
CONSTRUCTION AND DEMOLITION MATERIAL
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MANAGEMENT PLAN .......................................................... 109
APPENDIX 4.10 DEPARTMENTAL CONSTRUCTION AND
DEMOLITION MATERIAL VETTING COMMITTEE
SUGGESTED COMPOSITION AND TERMS OF
REFERENCE COMPOSITION ............................................... 111
APPENDIX 4.11 GUIDELINES FOR MINIMISING THE GENERATION
AND MAXIMISING THE USE OF CONSTRUCTION
AND DEMOLITION MATERIALS ........................................ 112
APPENDIX 4.12 FLOW CHART FOR VETTING OF EIA / ER REPORT ....... 113
APPENDIX 4.13 TECHNICAL GUIDANCE ON USE OF HAND-DUG
CAISSONS ............................................................................... 114
APPENDIX 4.14 VARIOUS USES OF HARDWOOD ON
CONSTRUCTION SITES AND SOME SUGGESTIONS
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FOR ALTERNATIVES ............................................................ 116
APPENDIX 4.15 ESTIMATING USING RISK ANALYSIS (ERA)
PRACTICE NOTE ................................................................... 119
APPENDIX 4.16 GEO CHECKING CERTIFICATE FOR
GEOTECHNICAL FEATURES .............................................. 143
APPENDIX 4.17 CERTIFICATE OF DESIGN AND COMPLETION OF
GEOTECHNICAL FEATURES INVOLVING
DESIGNS/STABILITY ASSESSMENTS CARRIED OUT
BY THE PROJECT DEPARTMENT OR ITS
CONSULTANTS...................................................................... 144
GEOTECHNICAL FEATURES FOR DESIGN & BUILD
CONTRACTS (Sheet 1 of 5) .................................................... 154
CONTRACTOR’S DESIGN IN WORKS CONTRACTS
OTHER THAN DESIGN & BUILD CONTRACTS ............... 159

APPENDIX 4.20 GUIDELINE ON PLANNING AND IMPLEMENTATION

OF GROUND INVESTIGATION PROJECTS IN
ECOLOGICALLY SENSITIVE AREAS ................................ 163
APPENDIX 4.21 ADDITIONAL CONTROL MEASURES FOR
MANAGEMENT OF DREDGED/EXCAVATED
CONTAMINATED SEDIMENT ............................................. 177
179
APPENDIX 4.22 DESIGN AND CHECK CERTIFICATE ................................. 181
APPENDIX 4.23 PERSONNEL FOR DESIGN AND CONSTRUCTION
REVIEW OF PRESCRIPTIVE MEASURES FOR
STABILIZATION AND IMPROVEMENT OF MAN-
MADE SLOPES AND STANDARDIZED DEBRIS-
RESISTING BARRIERS FOR MITIGATION OF
NATURAL TERRAIN LANDSLIDE HAZARDS .................. 183
APPENDIX 4.24 MONITORING AND MAINTENANCE OF
HORIZONTAL DRAINS ......................................................... 185
APPENDIX 4.25 GEOTECHNICAL MANUAL FOR SLOPES -
GUIDANCE ON INTERPRETATION .................................... 188
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APPENDIX 4.26 GUIDANCE ON THE USE OF SHOTCRETE
SURFACING IN MAINTENANCE WORKS ......................... 197
APPENDIX 4.27 DEPARTMENTAL SLOPE APPEARANCE VETTING
COMMITTEE SUGGESTED CHAIRMAN AND TERMS
OF REFERENCE ..................................................................... 198
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I. ABBREVIATION
I.01 The meaning of the abbreviations assigned in this Chapter of the Project
Administration Handbook for Civil Engineering Works shall only apply to this
Chapter.
I.02 The following list shows the meaning of the abbreviations for the common terms used
in this Chapter of the Project Administration Handbook for Civil Engineering Works:
Abbreviation Term
ACABAS Advisory Committee on the Appearance of Bridges
and Associated Structures
ACSA Anchor Certification System for Permanent
Prestressed Ground Anchors
AFCD Agriculture, Fisheries and Conservation Department
AGS Association of Geotechnical and Geoenvironmental
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Specialist format
APE Approved Project Estimate
ArchSD Architectural Services Department
BD Buildings Department
C of P Commissioner of Police
C&D Construction and Demolition
C&DMMP Construction and Demolition Material Management
Plan
CAD Computer-Aided-Drafting
CCGO Central Cyber Government Office
CE Chief Engineer
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CE/Design Chief Engineer/Design
CE/PW Chief Engineer/Port Works
CE/RSS Chief Engineer/Road Safety and Standards
CEDD Civil Engineering and Development Department
CEO Civil Engineering Office
CGE Chief Geotechnical Engineer
CGE/GP Chief Geotechnical Engineer/Geotechnical Projects
CGE/Mines Chief Geotechnical Engineer/Mines
CGE/S&T Chief Geotechnical Engineer/ Standards & Testing
CHE/Bridges & Structures Chief Highways Engineer/Bridges & Structures
CHE/R&D Chief Highways Engineer/Research and
Development
CSD Correctional Services Department
CSWP Computer-Aided-Drafting Standard for Works
Projects
CTE Chief Transport Engineer

Abbreviation Term
D of Arch S Director of Architectural Services
D of L Director of Lands
D&B Design and Build
D1 Directorate pay scale point 1
D2 Directorate pay scale point 2
DC Certificate Certificate of Design and Completion of slopes and
Retaining Walls
DCED Director of Civil Engineering and Development
DD/SM Deputy Director/Survey and Mapping
DEMS Director of Electrical and Mechanical Services
DEP Director of Environmental Protection
DEVB Development Bureau
DEVB TCW DEVB Technical Circular (Works)
DIA Drainage Impact Assessment
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DLO District Lands Officer
DSD Drainage Services Department
E&M Electrical & Mechanical
EACSB Engineering and Associated Consultants Selection
Board
EIA Environmental Impact Assessment
EIAO Environmental Impact Assessment Ordinance
ELPs Electronic Layout Plans
EMSD Electrical and Mechanical Services Department
EPD Environmental Protection Department
ERA Estimating using Risk Analysis
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ETW Departments Environment, Transport and Works Departments
ETWB Environment, Transport and Works Bureau
ETWB TCW ETWB Technical Circular (Works)
FB Finance Branch
FC Financial Circular
FC Financial Committee
FSTB Financial Services and the Treasury Bureau
GEO Geotechnical Engineering Office
GI Ground Investigation
GIU Geotechnical Information Unit
GLTMS The Greening, Landscape and Tree Management
Section under the Works Branch of Development
Bureau
GR General Registry
HAD Home Affairs Department
HATS Harbour Area Treatment Scheme

Abbreviation Term
HKPF Hong Kong Police Force
HKSARG Government of the Hong Kong Special
Administrative Region
HyD Highways Department
HyD TC Highways Department Technical Circular
LAO Lands Administration Office
LCSD Leisure and Cultural Services Department
LPM Landslip Preventive Measures
LPMit Landslip Prevention and Mitigation
MFC Marine Fill Committee
MOD Money of the Day
MTR The Mass Transit Railway
MTRCL MTR Corporation Limited
OGCIO Office of the Government Chief Information Officer
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PAH Project Administration Handbook for Civil
Engineering Works
PDF Portable Document Format
PDS Project Definition Statement
PEPO(FM) Principal Environmental Officer (Fill Management)
PFA Pulverised Fuel Ash
PFC Public Fill Committee
PGLS Principal Government Land Surveyor
PLP Public Lighting Programme
PWP Public Works Programme
PWPIS Public Works Programme Information System
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PWSC Public Works Sub-Committee
RAE Resources Allocation Exercise
RC Recurrent Consequence
SA Certificate Certificate of Stability Assessment of Slopes and
Retaining Walls
SE/Computer Services Senior Engineer/Computer Services
SETW Secretary for the Environment, Transport and
Works
SFST Secretary for Financial Services and the Treasury
SGE/GI Senior Geotechnical Engineer/Ground Investigation
SGE/Lab Senior Geotechnical Engineer/Laboratory
SLA/LA Senior Landscape Architect/Landscape Architect
SMO Survey and Mapping Office
TB TC Transport Bureau Technical Circular
TD Transport Department
TPDM Transport Planning and Design Manual

Abbreviation Term
TFS Technical Feasibility Statement
UU Utility Undertakers
WBTC No. Works Bureau Technical Circular No. or Works
Branch Technical Circular No.
WMCG Works and Maintenance Committee on Greening
WSD Water Supplies Department
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II. GLOSSARY OF TERMS
II.01 Words and expressions to which meanings are assigned in this Chapter of the Project
Administration Handbook for Civil Engineering Works (PAH) shall only apply to this
Chapter.
II.02 In this Chapter of the PAH the following words and expressions shall have the
meaning hereby assigned to them except when the context otherwise requires:
“Government” means the Government of the Hong Kong Special Administrative

Region.
“project office” means the office responsible for the planning, design and construction
of the project.
(Where these functions are performed by different offices at different stages, the
project office shall mean the office responsible at each particular stage.)
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1. GENERAL CONSIDERATIONS FOR DESIGN
1.1 AUTHORITY
Preliminary and detailed design of capital works projects should commence in

accordance with the project status indicated in ETWB TCW No. 4/2006.
1.2 RESOURCES
The design should be undertaken either:
(a) By in-house staff, or
(b) By consultants, or staff of other departments/offices/divisions in cases where

capacity to undertake the design does not exist in-house, or where there is a lack
of in-house expertise, or
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(c) By quasi-government organisations or private parties in cases where the design
and construction of the Works are entrusted to them.
Reference should be made to Chapter 1 (Project Planning) and the Handbook on the
Selection, Appointment and Administration of Engineering and Associated Consultants
(EACSB Handbook) on the resources planning and the procedures for the employment of
consultants for design of projects. Reference should also be made to Chapter 8 (Term Contract
Works) regarding situations mentioned in sub-paragraph (c).
1.3 DESIGN OBJECTIVES
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The basic aim of the design process is to produce a design that is:
(a) Capable of performing the intended functions throughout the design life,
(b) Environmentally acceptable, both during construction and in the long term, Go to Table of Content
(c) Within the scope approved by FC,
(d) Economical in terms of both capital and recurrent costs, and
(e) Free of potential hazards and risks to the clients, frontline workers, users and
maintenance parties as far as possible.
In connection with (d) above, the project engineer should exercise the best control of
the project cost and the following aspects should be considered critically (DEVB's memo ref.
() in DEVB(W) 505/83/04 dated 3.8.2015):
(i) Fit-for-purpose designs are designs with appropriate optimality criterion and
robustness. Such designs should be adopted and over-redundancies, such as

temporary provisions and standby equipment which are not fully justified,
should be cut down. In addition, the adoption of standard or precast designs for
cost saving and/or better work efficiency purposes should be explored,
(ii) Consideration on optimum contract packaging should be made from a cost

saving perspective. There is no hard-and-fast rule on the sizing of contracts, but
there is strong tendency that works contracts exceeding $1 billion may exceed
the capability of many Group C contractors. Splitting into contracts below this
value will help upkeep tender competition,
(iii) Where substantial electrical and mechanical (E&M) works are involved in the
main building/civil engineering works contracts, consideration should be more
favourably made to the direct letting of E&M works contracts or the use of
nominated E&M sub-contracts as the lumping of substantial E&M works into
the main building/civil engineering works contracts might lead to a higher
management overhead and project risk at the E&M sub-contractors’ front and
hence a higher tender price, and
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(iv) Discretion should be made to look into the merits of the standardised
requirements (including those in prevailing circulars, planning manuals or
handbooks) which have been developed in the past for their respective
justifications and may lead to additional cost in the project, and to review
whether the additional cost arising from such requirements is justified. In case
substantial cost can be saved without seriously affecting the original intent of
the policy associated with such requirements, exemption from relevant authority
(such as the Works Branch of DEVB) in complying with these requirements
should be sought.
The project engineer should give due consideration to the following:
(a) Safety, both during construction and in service,
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(b) Appearance, and compatibility with other adjacent private and public projects,
(c) Construction methods and imposed constraints,
(d) Possible future expansion and development,
(e) The effect on utilities,
(f) Future inspection, maintenance and operation,
(g) Prevention of accidental damage requiring repair beyond the scope of routine
maintenance, e.g. serious damages to bridges by vehicles/ships with illegally
high loads/masts,
(h) Adoption of energy efficient features and renewable energy technologies in

government projects and installations,
(i) Adoption of a strategic and holistic approach to greening and landscape and

urban design in order to blend in with the adjacent developments and projects,
and
(j) Adoption of a flexible and balanced approach for tree planting.
The following considerations should also be borne in mind by the project engineer:
(a) Administrative procedures, particularly that required for land and legal matters,
must progress in parallel with the design. Project engineers should note that
Land (Miscellaneous Provisions) Ordinance has been put into force. The
administrative procedures relating to this Ordinance should be taken into
account when excavation is required in the project.
(b) The need to obtain specialist advice (architectural, structural, geotechnical,

environmental, landscape, traffic, water supply, drainage, electrical and
mechanical and marine works, etc.) should be identified as early as possible and
sufficient lead time should be allowed,
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(c) The social, legal, economic, technological, natural and political environment
should be borne in mind when selecting a preferred design option,
(d) Government policies and traditional practice should also be considered when
determining a preferred design option, and
(e) The need to clear technical vetting requirements by the relevant Authority
should be identified as early as possible and sufficient lead time allowed. A list
of some common authorities is set out at Appendix 4.5. Project engineers,
however, should note that the list might not be exhaustive.
With regard to safety in design, for new capital works projects (excluding Design &
Build projects) with estimated construction cost equal to or exceeding $500M, the project
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engineer should follow the “Design for Safety” (DfS) process to avoid introducing a hazard to
the workplace by eliminating it in the first place at the planning or early design stage. The
project engineer should refer to “ Guidance Notes of Design for Safety” and “Worked Examples
of Design for Safety”, which have replaced the Construction Design and Management (CDM),
on DEVB’s website via the following link:
http://www.devb.gov.hk/en/publications_and_press_releases/publications/index.html.
For ongoing public works projects in which the CDM process has already been
implemented, it is not necessary to make any change to the DfS process (Ref. SDEV’s memo
ref. (02U5N-01-1) in DEVB(W) 517/17/01 dated 8.6.2016).
For public works projects where Systematic Risk Management (SRM) under ETWB
TCW No. 6/2005 is adopted, the project engineer is recommended to expand the SRM to
include DfS/CDM in order to achieve the best project outcomes more efficiently.

1.4 METHODOLOGY
The design of a project is generally an iterative process, involving the following basic
steps:
(a) The formulation of a conceptual design,
(b) The identification of suitable alternatives, and the selection of a preferred basic
scheme,
(c) The detailed design calculations and analysis, and
(d) The drawings.
It is vital to carry out the design by going through these steps in sequential order and
in a thorough, careful and systematic manner in order to ensure the integrity of the design, and
to avoid any abortive work in the advanced stages of the design process.
All stages of the design should be covered by proper documentation for ease of future
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reference, revision and checking.
1.5 DRAWINGS
1.5.1 Organisation
Drawings for projects should normally comprise: -
(a) A general layout plan that also shows the location of the project,
(b) A setting out plan,
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(c) General arrangement of the major elements of the projects (e.g. structures), and
(d) Detailed drawings including reinforcement details, drainage details, utilities,
etc.
1.5.2 Standards
Standards of drawings for projects should conform to the requirements of the

Computer-Aided-Drafting (CAD) Standard for Works Projects (CSWP) stipulated in ETWB
TCW Nos. 38/2002 and 38/2002A. Divisions/offices should also stipulate departmental
requirements on drawings for works projects to suit.
Drawings should normally be in A1 or B1 size.
The desirable scales for the drawings depend on the nature and complexity of the
Works. Divisions/offices should have standardised scales, which should be chosen for the
particular types of drawings to communicate information clearly and accurately.

1.5.3 Numbering
The naming of CAD drawing files should conform to CSWP requirements. In

addition, divisions/offices should also standardise the numbering system for the drawings.
1.5.4 Preparation
The project engineer should ensure that the design has been correctly translated onto
drawings, i.e. the details correspond with design assumptions, philosophies and calculations.
(Appendix 4.1 on design checklist and delegation of design).
1.5.5 Circulation
Drawings should be circulated to all relevant parties for comments and agreement
where appropriate. The general layout plan should be circulated in accordance with
paragraph 2.5.2. General arrangement drawings, and where necessary detailed drawings,
should be circulated for agreement to departments responsible for future maintenance and
operation.
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1.5.6 Checking and Approval
All drawings must be checked, approved and accordingly signed before issue unless
they are issued as 'advance', 'provisional' or 'preliminary' copies. In general, the project
engineer should sign for 'design', the checking officer should sign for 'checked' and the Chief
Engineer/Regional Office Head should sign for 'approved', for each drawing, or to suit the
signing arrangement considered appropriate by project offices. In some cases where other
departments are involved in the Works, such as structures required by E&M installation work,
e.g. pumping stations for WSD projects, the drawings should also be checked and signed by an
appropriate officer in that department to ensure that the design objectives (Paragraph 1.3) have
been met and all their requirements have been incorporated (Ref.: Appendix 4.1).
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1.6 SITE INVESTIGATION
A properly planned site investigation (including adequate supervision of the ground
investigation and laboratory testing) is essential to identify the geotechnical problems of a site
and provide sufficient data for safe and economic design and construction. A ground
investigation should therefore be planned by a suitably qualified and experienced person who
is thoroughly familiar with the project requirements, and it should not be delegated to junior or
inexperienced members of staff.
At least four months lead time should be planned for major ground investigations.
Otherwise, it may not be possible to complete the field work and laboratory testing according
to the required schedule.
1.6.1 Relevant Guidelines, Standards and Sources of Information
Chapter 7 of the latest Geoguide 2: Guide to Site Investigation gives guidance on the
planning of a ground investigation, and Chapter 15 of the latest Geoguide 2 advises on suitable
personnel on this.

DEVB TCW No. 1/2019 gives procedures to be followed for ground investigation in
the vicinity of the MTR.
Guidelines and requirements relating to tunnel works are given in the latest Geoguide
2: Guide to Site Investigation and ETWB TCW No. 15/2005.
Guidelines and requirements relating to foundation works in areas underlain by marble

and marble-bearing rocks are given in GEO Technical Guidance Note No. 12, GEO Technical
Guidance Note No. 26, and ETWB TCW No. 4/2004.
Guidelines on planning and implementation of ground investigation projects in

ecologically sensitive areas are given in Appendix 4.20.
The Geotechnical Information Units (GIU) of the Civil Engineering Library, Civil
Engineering and Development Department should be consulted in all cases during the planning
of a ground investigation. This contains numerous records of ground investigation throughout
Hong Kong, as well as laboratory test results on soil and rock samples. The operations of the
GIU are described in DEVB TCW No. 4/2016.
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1.6.2 Procurement of Ground Investigation
The methods available to Government departments for procuring ground investigation
and laboratory testing are as follows:
(a) Ground investigation fieldwork – This shall be carried out under GEO’s term
contracts or under individual ground investigation contracts let by the client
department or its consultants. Requests to GEO for investigations estimated to
cost in excess of the financial limits stated in CEDD Ground Investigation Note
No. 1/2020 Amd No. 2/2021 or its latest version will in general be considered for
execution through individual contracts, depending on the nature and scope of
the investigation and the current commitments of the GEO term contractors.
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(b) Laboratory testing – This shall normally be carried out at the Public Works
Central Laboratories or under a soil and rock testing service contract
administered by GEO. However, where an individual contract is let for the
ground investigation field work, the laboratory testing should normally be
included in the contract.
The Geotechnical Projects Division of GEO provides a service to other departments

with the Government by letting and administering term contracts for land and marine ground
investigations including geophysical survey. Chief Geotechnical Engineer/Geotechnical
Projects (CGE/GP) is the Amd No. 2/2021 Service Manager of the term contracts. Requests of land-
GI, marine-GI and geophysical survey should be addressed to CGE/GP (Attn: SGE/GI1 or
SGE/GI2).
Soil and rock testing service contracts are managed by the Standards and Testing
Division of GEO, and the Government Representative for these contracts is Chief Geotechnical
Engineer/Standards & Testing (CGE/S&T). Requests for soil and rock testing should be
addressed to CGE/S&T (Attn.: SGE/Lab) with submission of a detailed laboratory testing
schedule.

Funds for site investigation (including ground investigation and laboratory testing) are
provided as follows:
(a) For projects in Category A, from the project vote,

(b) For projects in Category B either,
(i) From block allocation, if the amount does not exceed $5030 Amd No. 4/2021
million, or
(ii) By part upgrading to Category A if the amount exceeds $5030 Amd No. 4/2021
million
(c) For projects in Category C, or projects not included in the PWP, the procedures
in (b) above, subject to agreement by DEVB and approval by the Secretary for
Financial Services and the Treasury (SFST),
(d) For projects in Category D, from the block allocation, and
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(e) For LPMit works, from the LPM Block Allocation.
1.6.3 Procurement through Individual GI Contracts or Included in Works Contracts
Where provisions for ground investigations are included in contract documents for
works contracts, Government departments shall ensure that these documents stipulate that only
contractors on DEVB’s List of Approved Suppliers of Materials and Specialist Contractors for
Public Works, Category of Ground Investigation Field Work and for Category of Soil and Rock
Testing shall be employed for such works, and the Geotechnical Projects Division shall be
advised of the works.
Before a client department or its consultants calls tenders for a ground investigation
contract, a copy of the proposed tender documents shall be submitted to CGE/GP and
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CGE/S&T in order that they may advise on the technical aspects of the tender documents. This
advice shall be obtained prior to sending documents to contractors on DEVB’s List of
Approved Specialist Contractors for Ground Investigation Field Work.
Where a client department or its consultants administers a ground investigation Go to Table of Content
contract, soft copies of the priced contract documents shall be submitted to CGE/GP and
CGE/S&T. Meanwhile, all quarterly reports on the performance of the contractor shall be sent
to the Geotechnical Projects Division.
For ground investigation works included in capital works contracts, there is no need
to submit the proposed tender documents to the CGE/GP or CGE/S&T for advice on technical
aspects. Nor is there a need to submit quarterly reports on the performance of the contractor
to the Geotechnical Projects Division.
1.6.4 Procurement through GEO’s Term Contracts
CEDD Ground Investigation Note No. 1/2020 Amd No. 2/2021 or its latest version
(available on CEDD website) describes the arrangements in which ground investigation,
including laboratory testing, is to be procured through the term contracts/service contracts

administered by the Geotechnical Projects Division and Standards and Testing Division of
GEO. It also details the responsibilities of the parties involved. The client departments should
follow the guidelines given in CEDD Ground Investigation Note No. 1/2020 Amd No. 2/2021 or its
latest version in order for them to obtain a satisfactory ground investigation service through the
Geotechnical Projects Division.
Funding for the procured services, in the form of separate Allocation Warrants or
Works Expenditure Authorisations, should be directed to CGE/GP and to CGE/S&T for ground
investigation field work and laboratory testing, respectively.
To obtain a preliminary estimate of the cost of ground investigation works and the
associated laboratory testing, and to determine the need or otherwise for an individual contract,
an initial request for work, including all details of the planned land or marine investigation and
the types of tests required, may be forwarded to CGE/GP or CGE/S&T of GEO, as appropriate.
CGE/GP or CGE/S&T can also give advice on the method of procurement to be adopted and
the programming aspect.
The client department or Amd No. 2/2021 its consultants is responsible for liaising with all
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parties concerned before and during the ground investigation period, including resolving all
matters arising from the ground investigation field work such as complaints, concerns and
enquiries.
The GEO’s ground investigation term contractors will not undertake excavation works
that are solely Amd No. 2/2021 for the purpose of locating public utilities. Ground investigation in
close proximity to known underground utilities should not be carried out in order not to damage
such utilities. However, inspection pits will be sunk by a term contractor prior to the
commencement of drilling and probing works to avoid any unknown underground utilities
being damaged.
All untested soil and rock samples (i.e. not delivered for laboratory testing) obtained
from the GI works shall be returned to the initiating department/office/division for storage or
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disposed of according to their instruction. If no instruction on either storage or disposal of the
untested samples is received by GEO within one month after completion of the GI Amd No. 2/2021
Task Orders, it will be taken as that they can be disposed of by the term contractor. As for the
soil and rock samples that are selected for testing, the tested and untested samples shall be
returned to the client department for storage if instructed (within two weeks following the issue
of the final laboratory testing report) or disposed of at the discretion of the testing laboratory if
no instruction is received.
1.6.5 Supervision
The Geotechnical Projects Division and Standards and Testing Division of GEO are
only responsible for the administration of the term contracts/service contracts, and the level of
technical supervision appropriate to the investigation must be provided by the client department
or its consultants. This is essential if a cost effective investigation of adequate quality is to be
carried out. Where a consultants is to be responsible for the investigation, the client department
should ensure that the costs of site supervision are allowed when obtaining funds for the project.
Guidance on appropriate levels of supervision of ground investigation can be obtained

from Chapter 15 of the latest Geoguide 2 and Section 4.3 in Chapter 7 of the Project

Administration Handbook, and further guidance may be obtained from the Geotechnical
Projects Division.
Details of the site supervision proposed for a ground investigation and/or laboratory
testing should be provided to CGE/GP and CGE/S&T respectively prior to the commencement
of the investigation and laboratory testing. The client department will be advised if the
proposed level of supervision is considered to be inadequate and any changes needed to
increase the effectiveness of the investigation will be recommended.
Requirements for the provision of adequate qualified personnel for the supervision of
the GI works on site and of the laboratory testing should be written into consultancy
agreements, or such provision should be provided by the works department if consultants are
not involved.
Where an individual contract is let and administered by either the client department or
its consultants, the contract documents shall include requirements for the provision by the
contractor of sufficient properly experienced technical staff to ensure that the works are carried
out according to specification.
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Client departments should also provide an appropriate level of supervision for
laboratory testing. The involvement of a professional at the laboratory is essential at an early
stage of the programme of laboratory testing if the maximum benefits are to be gained from
the programme. The personnel responsible for specifying laboratory testing and interpreting
the results should be experienced in this aspects of ground investigation. They should make
periodic visits to the laboratory during routing testing, and the more complex tests should be
supervised full-time.
1.6.6 Specialist Advice
It may be necessary for the client department to seek the advice of a specialist on
particular aspects of a ground investigation. Guidance on this is given in Chapter 15 of the
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latest Geoguide 2. In certain cases, it may be advisable to involve the specialist at the planning
stage of the ground investigation. For example, geological information to assist the planning
of ground investigations can be sought from the Hong Kong Geological Survey, Planning
Division of GEO.
1.7 TREE PRESERVATION
Guidelines and requirements relating to tree preservation at the design stage are given
in DEVB TCW No. 4/2020. Reference should also be made to the “Management Guidelines
for Stonewall Trees”, “Guidelines on Tree Transplanting”, “Management Guidelines for
Mature Trees” and “Guidelines on Tree Preservation during Development” promulgated by
DEVB.
1.8 DESIGN FOR ENHANCING CONSTRUCTION PRODUCTIVITY
In order to rationalise the demand for skilled workers in trades with projected shortage,
the design practices given in the “Guidelines for Enhancement of Productivity of Skilled
Workers in Public Works Projects” attached to DEVB’s memo ref. (38) in DEVB(Trg) 133/8

dated 17.4.2013 should be followed. The guidelines are available on DEVB’s website via the
following link:
http://www.devb.gov.hk/filemanager/en/content_29/Guidelines_Enhancement_of_Productivit
y_(Mar_2013)_English.pdf
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2. PRELIMINARY STAGE OF DESIGN
2.1 PRELIMINARY DESIGN
The preliminary design of a project to meet the design objectives (Paragraph 1.3)
should be formulated by the project engineer after a comprehensive appraisal of the project by
site visits and desktop study with reference to codes of practice, design manuals, etc.
Information contained in the project handbook (Chapter 1- Paragraph 7.2), sketches
or photographs of the site, and notes of observations made on site (e.g. location of stream
courses, noise sensitive areas, surrounding landscape and ground form and general character
of the area) may be useful at this preliminary design stage.
The client department, maintenance and operation authorities should also be consulted
regarding their particular requirements, normally by circulation of an outline layout plan as
described in paragraph 2.5.2.
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2.2 SELECTION OF BASIC SCHEME & LIFE-CYCLE COSTING
CONSIDERATION
Based on the selected preliminary design, the project engineer should identify the
possible alternatives for the project, weigh the alternatives against the design objectives and
select the optimum basic scheme. When necessary, the possible alternatives should be fully
discussed and evaluated.
It may be necessary to draw up preliminary concept drawings of the available

alternatives, so as to quantify and to record the conceptual considerations on paper in order to
identify any constraints on, and any requirements of, the project, which may have been
overlooked.
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At this stage, the project office should conduct comparisons of the order of costs for
alternative schemes to select the most suitable scheme. Such comparisons should be made by
including use of the concept of “life cycle costing”. “Life-cycle costs" refer to the total sum of
the initial capital costs and an estimate of the future maintenance, operation and disposal (where
appropriate) costs discounted to a net present value. The concept takes into account the design
lifetimes of alternative schemes and requires determination of an appropriate period for the
life-cycle costing assessment. The estimate of future maintenance, operation and disposal costs
shall include the major components only in order to avoid unnecessarily tedious and lengthy
calculations. When applying this methodology, the project office should pay particular
attention to those features that require extensive maintenance efforts (such as horizontal drains
in slope works), and/or high-energy costs (such as mechanical and electrical plant with lighting
and pumping facilities), etc. When necessary, the project office may also contact the specialist
departments for assistance in preparing the cost comparisons. For example, the project office
may contact CEDD for advice on typical maintenance costs for slopes and/or geotechnical
works, HyD for roadworks, DSD for drainage works, and WSD for waterworks, etc. Works
departments should also collect life-cycle costing data as a long-term exercise, and a feedback
mechanism should be established so that maintenance, operation and disposal data are
collected and made available to the designer in a useful form.

It is required to carry out a review of the preliminary design completed by consultants

or entrusted works agents before proceeding with the detailed design as described in paragraph
3.1.
Works departments shall seek comments from Geotechnical Projects Division of GEO
in accordance with DEVB TCW No. 3/2018 on the schematic design of major geotechnical
works if the estimated cost of:
(i) piling or foundation works exceeds $500 million; or
(ii) geotechnical works (excluding piling and foundation works) exceeds $500
million.
GEO will provide early comments to works departments on the schematic design taking into
consideration of aspects, such as types of suitable geotechnical works, general layout, building
configuration, road alignment etc., with a view to enhancing the cost-effectiveness.
2.3 COMPILATION OF DESIGN MEMORANDUM
It is a good practice to document the design criteria in a design memorandum for future
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reference. The project engineer should prepare the design memorandum detailing the project
constraints, the project requirements, the design concept and criteria and their justification
(including appendices showing key design data and the key elements of work), and the selected
basic scheme plus the possible alternative schemes, together with a brief account of why the
basic scheme was selected. Others involved in the project design, such as operation and
maintenance authorities, (e.g. EMSD) should also be consulted when preparing the design
memorandum. A copy of the design memorandum should be kept in the project file. An
example of a design memorandum is at Appendix 4.6 for illustration.
2.4 CHECKING AND APPROVAL OF DESIGN MEMORANDUM
The design memorandum should be submitted, after scrutiny and agreement by the
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relevant Senior Engineer, to the Chief Engineer/Regional Office Head for approval.
Any subsequent major alterations or deviations from the approved design
memorandum should be submitted for approval.
Where appropriate, a copy of the design memorandum should be sent to the client
department, and the maintenance and the operation authorities, for agreement before it is
finalised and adopted.
Where the design memorandum is compiled by a consultant, it should be submitted to

the Chief Engineer/Regional Office Head of the project for approval.
2.5 GENERAL LAYOUT PLAN
2.5.1 Preparation
The general layout plan of a project should contain sufficient details of the Works
such as dimensions, levels and sections of the main items of the project, works sites, works

areas, borrow areas, major traffic diversion schemes during construction, and a key plan
showing the geographical location of the Works.
The scale of the general layout plan should be appropriate to the nature and size of the
Works but generally 1:200, 1:500 or 1:1000 are preferred.
The project engineer should check to ensure that all comments received during the
circulation of the outline layout plan (Paragraph 2.5.2), if any, have been properly taken care
of in the preparation of the general layout plan.
2.5.2 Circulation
The general layout plan together with an explanatory memorandum should be sent to
all interested parties, including utility and public transport companies, if appropriate, who
should be asked for:
(a) Their agreement to or comments on the proposals,
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(b) Details of their existing facilities/services in the area, and
(c) Details of any work they propose to carry out in conjunction with the project or
which will be required as a result of the project (including approximate costs if
this is to be borne by the project vote).
It is not normally necessary to request utility undertakers to comment on/agree the

proposals. However, it is important that details of existing utilities and services be made known
early, and whenever possible before commencement of ground investigation, and for
information to be updated regularly on the general layout plan, where appropriate.
Each division/regional office should prepare its own explanatory memoranda for the
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types of project usually handled by them, and a checklist for the circulation of the general
layout plan. Examples of the memorandum/letter used by WSD are shown at Appendix 4.2 for
illustration. These require amendments, as necessary, to suit the needs of individual
departments/offices/divisions and each particular project. In accordance with ETWB TCW
Nos. 7/2003 and 7/2003A, ETW Departments should use Electronic Layout Plans (ELPs) in
the circulation to utility undertakers (UU) and send hard copies of Layout Plans to UU only if
there are special reasons but the number of copies should be reduced to a minimum.
Gazetting procedures and consultation with Advisory Committee on the Appearance

of Bridges and Associated Structures (ACABAS) in accordance with ETWB TCW
No. 36/2004 should be initiated at this stage, where appropriate.
2.5.3 Checking and Approval
The general layout plan should be checked, approved and signed in accordance with
paragraph 1.5.6. Any major alteration to the layout plan should be submitted for approval, and
re-circulated as outlined above, if necessary.

3. DETAILED DESIGN AND ASSOCIATED ADMINISTRATION
3.1 CHECK LIST FOR DETAILED DESIGN
In accordance with ETWB TCW No. 19/2003, the preliminary design of a project
completed by consultants or entrusted works agents should be reviewed by the Review
Committee of the project office before proceeding with the detailed design to avoid abortive
work and delay to the project due to changes in site conditions, design requirements or other
circumstances after completion of the preliminary design.
To ensure that the detailed design is being carried out properly, the checklist in
Appendix 4.1 should be attached to the current part of the design file. The relevant officer
should initial the checklist to signify the completion of his part of the process and hand over
the checklist with relevant files, documents, etc., to the next officer on the list.
3.2 DESIGN CALCULATION FILE
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Prior to the preparation of the design calculations, the project engineer should instruct
the general registry of the office/division to open a design calculation file, which should be a
sub-file of the project file. Calculations may also be kept in the form of a bound document and
placed in the library for reference.
All design calculations should be properly filed sheet by sheet as soon as they are
completed.
3.3 DESIGN CALCULATIONS
3.3.1 Format
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All design calculations should be carried out on standard calculation sheets (Form
GF 515) using a soft dark coloured pencil or pen suitable for photocopying and scanning,
spreadsheets or other electronic file format.
3.3.2 Presentation
Design calculations should be properly presented to facilitate future reference,

revision and checking. The following points should be noted:
(a) Calculation sheets should be numbered and an index/table of contents be

provided,
(b) The purpose of each calculation should be made clear by appropriate headings
or descriptive sentences,
(c) The source of each formula should be given when first used,
(d) Each symbol should be defined when first used, and

(e) The same symbol should be used consistently for the same parameter throughout
a set of calculations.
3.3.3 Contents
The design calculations should include the following, where appropriate:
(a) An outline of the design objectives,
(b) Any specific requirements considered, including loadings, flow capacities,

clearances, exposure conditions, etc.,
(c) Any special factors considered, such as durability requirements, access to the
Site, effects of or on adjacent structures,
(d) The design assumptions and parameters, including materials properties, soil
properties (with reference to the ground investigation reports and laboratory
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testing),
(e) An outline of the design philosophy and method, with justification in case non-
standard design is adopted, and with references to codes and other publications,
(f) A list of computer programs used, and
(g) Calculations, including for example, contour plans for catchment areas,
manufacturer's literature for specialist products, such as bridge bearings, etc.
3.3.4 Standard Designs
Standard designs included in standard drawings, manuals, etc., should be used where
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appropriate, with adequate cross-references to them given in the calculations.
3.3.5 Designs Similar to Previous Projects
Where a design, or a part thereof, is the same as a previous design, the calculations Go to Table of Content
need not be repeated, but full reference must be made in the design calculations.
3.3.6 Computer Analysis
Where a computer analysis is used as part of the calculations, the programs used must
be listed in the design concept record (Paragraph 3.3.3 (f)) with a statement describing the
analytical theory of the programs. Only programs independently checked and validated may
be used. Approximate calculations should also be made to verify the computer program output.
The GEO maintains a system of approved computer programs for designing and
analysing the behaviour of geotechnical features, including slopes, retaining walls,
excavations, foundations, embankments and tunnel works. It is advisable to seek early
agreement to the use of any geotechnical computer program from the Standards and Testing
Division of GEO.

If a new computer program is employed, a documentation of the program is required

and a copy of the documentation should be filed in the design calculation file. For
documentation and use of computer programs and interpretation of results of computation,
personnel who are competent to practice in the particular engineering discipline, and have a
good understanding of the theory of the mathematical modelling and experience in the use of
computer programs should be engaged. This requirement is particularly important for
programs, which are based on numerical modelling techniques such as finite element and finite
difference, as considerable experience and familiarity are needed for successful application of
the models.
The computer input, output and program manuals should comprise part of the design
calculations. They may, however, be filed separately provided that full cross-reference is made
in the design calculations.
3.3.7 Survey Data and Computation Files
Survey data and computations may be filed separately in accordance with survey
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procedures. The calculation file should, however, contain full cross reference to these survey
data and computations at relevant points of the design calculations.
Arrangement has been made for HyD, CEDD and DSD to have a complete set of the
digital map data and they will supply the digital map data direct to the consultants working for
them. Other departments intending to supply land survey and mapping data from Survey and
Mapping Office (SMO), LandsD to their consultants must give prior notice to SMO to ascertain
whether the data within the project areas is available. SMO will then supply the required data
to the departments upon request. Works departments should also provide all as-built plans in
graphical or in digital form of their projects to SMO for updating the centralised land survey
and mapping information (WBTC No. 16/2000).
3.3.8 Drawing List
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A list showing the numbers and titles of all drawings related to the design calculations
should be kept in the calculation file. This list should be updated accordingly whenever
revisions are made.
3.3.9 Signing of Design Calculations
All design calculations should be signed and dated by the project engineer as they are
prepared. (see notes in Appendix 4.1 on delegation of design).
3.3.10 Arithmetical Checks of Design Calculations
When the design calculations are completed, or at convenient intermediate stages, they
should be passed to an officer (such as an assistant engineer, a civil engineering graduate, or a
quantity surveying officer as appropriate) to carry out an arithmetical check. Every page of the
calculations should be included in this check and should then be signed and dated by the officer,
or a summary of these page numbers shown and signed. The purpose of this check is to ensure
arithmetical mistakes are not made in the design calculations and it should not be confused
with the design certification and checking in paragraph 3.5.

3.4 DESIGN RECORDS
3.4.1 Permanent Design Records
Permanent design records normally comprise the following :
(a) The complete set of design calculations (including all design calculation files)
(Paragraph 3.3),
(b) The complete set of drawings (Paragraph 1.5),
(c) The computer input, output and program manuals (Paragraph 3.3.6),
(d) The survey data and computation files (Paragraph 3.3.7), and
(e) Digital copies of the records, where appropriate.
Permanent design records should be maintained by the drawing office of the
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division/regional office. The officer in charge of the drawing office should compile, and
submit to the project engineer for checking, an index for the permanent design records
classified according to the types of design, e.g. bridges, piers, drainage structures, run-off
calculations, geotechnical works, etc. The drawing office head shall maintain and update the
index, and a copy of the updated index should be forwarded to the departmental library for
reference by other departments/offices/divisions. For ease of reference and storage, it is
recommended that drawing office/departmental library should keep additional electronic
copies of the design calculations (in PDF format as recommended in the HKSARG
Interoperability Framework published by OGCIO).
3.4.2 Design Notes
In dealing with problems arising from the design of particular projects, information is
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often acquired or design methods are evolved which may be of relevance to other cases.
Information acquired and design methods evolved in this manner should be recorded as "design
notes" and should be filed in the design calculation file for the project.
3.4.3 Checking of Design Records Go to Table of Content
When the permanent design records and design notes are compiled, they should be
checked by the project engineer.
3.4.4 Submission of Site-specific Geotechnical Reports to the Geotechnical

Information Unit (GIU)
(Ref.: DEVB TCW No. 4/2016)
Geotechnical reports should be compiled with the factual data (usually

contractor's ground investigation and laboratory testing reports) and the interpretative
information contained in separate volumes.
When any ground investigation (including land or marine geophysical survey) is

carried out for a Government project, a soft copy (in pdf format) of the contractor’s final

ground investigation field work report(s) and any associated laboratory testing report(s)
should be submitted directly to the GIU by the Client Department or Office, together with
any associated digital data (which should be in AGS or other recognised format) within
three months upon the finalisation of the report(s). Each report should be accompanied
by a completed Document Submittal Form (available from the CEL) stating that the data
in the report are factual data and the report does not contain any interpretative
information. If a report comprises multiple volumes, these should be listed on the
Document Submittal Form. These factual reports are kept in the Public Section of the
GIU. For those ground investigations carried out under either a term contract or an
individual contract administered by the GEO, the necessary submissions will be
undertaken directly within the GEO, and therefore no action by the Client Department
or Office is necessary.
Geotechnical reports which contain interpretative information and are

submitted to the GEO in support of Government developments are passed to the GIU via
the GEO District Divisions and are kept in the Government Section of the GIU.
The GIU does not contain any documents which are classified as Restricted,
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Confidential or a higher category, and such documents should not be submitted.
3.5 CERTIFICATION AND CHECKING AND AUDITING OF DESIGN
PROCESSES
3.5.1 General
This Section sets out the guidelines for carrying out independent checking on new
works and associated modification of existing works designed in-house and by consultants or
contractors employed by the Government. These guidelines do not modify the contractual or
legal responsibilities of any party for the work carried out, including without limitation the
Designer as defined in Section 3.5.2 and the Checking Engineer as defined in Section 3.5.3.
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The objective of the independent checking is to ensure:
(a) compliance of the design with the project office’s requirements, relevant design
standards and statutory requirements;
(b) validity of design concepts, methods and assumptions;
(c) applicability, accuracy and validity of the computer programs and models used
in the design;
(d) accurate translation of the design into drawings and specifications; and
(e) practicality and adequacy of key details.
3.5.2 Designer
For projects designed in-house, the Designer is generally the project engineer. For
projects designed by consultants or contractors employed by the Government, the Designer is

the professional, the team of professionals, the company or the organization being responsible
for the design.
3.5.3 Checking Engineer
For projects designed in-house, the Checking Engineer is generally the checking
officer, separate from the project engineer, responsible for the independent check of the design.
The Chief Engineer/Regional Office Head is responsible for appointing a suitable checking
officer.
For projects designed by consultants or contractors employed by the Government, the

Checking Engineer is the professional, the team of professionals, the company or the
organization separate from the Designer and being responsible for the independent check of
the design. The project office shall arrange with the Designer the checking of the works by a
Checking Engineer. The Checking Engineer proposed to be appointed by the Designer shall
be approved by the project office in advance. If the Checking Engineer is not in the same
organization as the Designer, the Designer should submit to the project office documentary
evidence on the engagement of the Checking Engineer, such as employment letter, for the
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checking by the project office. Should the project office be dissatisfied with the performance
of the Checking Engineer at any time, the project office may, having given reasonable notice
of dissatisfaction, order the dismissal and replacement of the Checking Engineer.
In all cases, the Checking Engineer should be a professional engineer suitably
experienced in the type of Works being checked.
3.5.4 Design Checking Approach
The design should be checked as a whole using one of the following approaches
corresponding to the risk and complexity of the Works:
(a) For simple and straightforward designs, the designs should be checked by a
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Checking Engineer, generally for correctness of assumptions and concepts, the
method of working, practicality of construction and order of size, plus some
detailed checking of critical members or sections. The Checking Engineer is
given the design memorandum, design calculations and drawings of the Works
as designed. The Checking Engineer need not be an officer from outside the
design team, although it is always desirable to have a Checking Engineer who
is not associated with the design.
(b) For complicated or unusual Works, or for Works, which could result in serious
consequences if they fail, complete and thorough checking by a Checking
Engineer independent of the design team should be executed. Under this
approach, the Checking Engineer is given drawings of the Works as designed,
the design memorandum, other information on functional/performance
requirements and applicable design standards of the Works, but without the
design calculations. The Checking Engineer then verifies the design as shown
on drawings by executing an independent set of calculations.
(c) For complicated Works or Works of a nature that there is limited local
experience, such as a very long-span bridge, tunnelling works or major

underground structures, the project office shall consider if a Checking Engineer

from an independent organisation which is separate from that of the Designer
should be employed to vet the structural or geotechnical design of the whole or
part of the Works.
The Chief Engineer/Regional Office Head should decide which checking approach is
to be adopted for each individual project.
3.5.5 Design Checking Report
For projects designed by consultants or contractors employed by the Government, to

which the design checking approach in Section 3.5.4(b) or (c) is applicable, the Checking
Engineer should prepare a design checking report providing details of the design checking and
submit directly to the project office, not via the Designer, for comments.
3.5.6 Design and Check Certificate
For projects designed in-house, the project engineer should certify the correct
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completion of the design process and the checking officer should certify the completion of the
checking process in a standard certificate (Appendix 4.3) and tenders should not be invited
without this certificate.
For projects designed by either consultants or contractors employed by the
Government, when the design checking has been completed and all necessary amendments to
the design calculations, specifications and drawings have been made and checked by the
Checking Engineer, the Designer and the Checking Engineer shall sign the “Design and Check
Certificate” (Appendix 4.22), or other form as agreed with the Chief Engineer/Regional Office
Head. The original copy of the “Design and Check Certificate” shall be submitted by the
Checking Engineer directly to the project office, not via the Designer, for record purpose. The
project office must exercise caution to examine the “Design and Check Certificates” submitted.
Unless there are justifiable reasons acceptable to the project office, the Designer shall exercise
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every effort to ensure that no drawings shall be issued for tendering or construction until the
“Design and Check Certificate” (Appendix 4.22) has been accepted by the project office.
3.5.7 Auditing of Geotechnical Aspects by GEO
The District Divisions of the GEO, CEDD exercise geotechnical control over public
developments by auditing the geotechnical aspects of the designs of permanent works and, in
the case of tunnel works, the associated temporary works, and the adequacy and standards of
site supervision. Geotechnical submissions, as defined in paragraph 4.6.2, are required to be
submitted to the GEO for auditing and design vetting (ETWB TCW Nos. 29/2002, 29/2002A,
4/2004 and 15/2005, and DEVB TCW No. 3/2018). For slopes and retaining walls, foundation
works within the Scheduled Areas of the Northwest New Territories and Ma On Shan and the
Designated Area of Northshore Lantau, tenders should not be invited for any part of the
geotechnical works until the geotechnical design has been accepted by the GEO. For tunnel
works, where the GEO raises major geotechnical concerns on the public safety aspects of the
geotechnical design (or the related Particular Specification or the Employer’s Requirements
(for Design and Build (D&B) contracts)), the project office must resolve such concerns with
the GEO before tenders are invited. For projects that involve rock blasting, the project office
should submit a Blasting Assessment as part of the geotechnical submissions to the GEO for

comment and agreement. Tenders should not be invited for any part of the geotechnical works
until the Blasting Assessment has been accepted by the GEO.
3.6 REVISION OF DESIGN CALCULATIONS, RECORDS AND DRAWINGS
Design calculations, records and drawings should be revised and updated as the need
arises. Major design revisions should be checked in the same manner as the original design.
For the compilation of as-constructed design calculations, records and drawings,

reference should be made to Chapter 7 (Contract Management).
3.7 DESIGNS BY CONSULTING ENGINEERS
For projects employing consultants for planning and design, the consultants shall
report in the monthly progress meetings the status of design checking to enable the project
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office to be informed of the progress of the design checking.
The consultants should be requested to submit the complete set of design calculations,
records and drawings to the client office/division at the end of the design stage, together with
a certification (Appendix 4.7 of EACSB Handbook) for the proper completion of the design
process and checking of the design. The consultants should be requested to undertake and
warrant to the client office/division that the client office/division will become the absolute and
exclusive owner of the complete set of design calculations, records, drawings and documents
and all intellectual property rights subsisting therein free from all encumbrances save those
intellectual property rights belonging to a third party.
3.8 DESIGNS BY AND FOR OTHERS
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The agreement of the Chief Engineer/Regional Office Head should be sought for the
design of projects by and for other divisions/offices. A record of such should be kept in the
project file.
At the end of the design stage, the design division/office should forward the complete
set of design calculations and drawings to the divisions/offices on whose behalf they have
undertaken the design, together with a standard certificate (Appendix 4.3) for the proper
completion of the design processes and checking of the design.
3.9 THE REASSIGNMENT OF ACTIVE PROJECTS
Projects should preferably not be reassigned between divisions/offices/departments

while action is continuing in any particular phase (design, tendering, construction as the case
may be). Where, however, there are compelling reasons for effecting such a transfer, the
division/office/department handling the project must provide the division/office/department
taking-over with handover notes highlighting the action required to complete that phase, and
drawing attention to any unusual circumstances or peculiarities.

4. GUIDELINES AND POLICIES RELATED TO DESIGN
4.1 SITE FORMATION AND RECLAMATION
4.1.1 Fill Matters
The use of marine borrow areas must be approved by the Marine Fill Committee
(MFC) as stipulated in WBTC No. 12/2000. If marine sand is imported for land formation or
reclamation, the project office must ascertain that it is genuinely of marine origin because river
sand imported from Mainland China shall not be used in site formation and reclamation. It is
important that suitable Construction and Demolition (C&D) materials are used in reclamation
and land formation projects so that land can be formed cheaply and disposal of C&D materials
in landfill can be minimised with a view to conserving the valuable landfill space (WBTC Nos.
2/93 and 2/93B). For reclamation and earth filling projects requiring the importation of more
3
than 300,000 m of fill (including the fill demand for surcharge mounds and utility zones), it is
a policy requirement to consider using public fill for the Works (WBTC Nos. 4/98 and 4/98A).
Subject to availability, PFA may also be used as filling materials in reclamation projects. Some
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guidelines explaining the procedure for using PFA as general fill in reclamations can be found
in WBTC No. 14/94 and its subsequent revisions. Guidelines on the design of reclamation are
contained in the Port Works Design Manual Part 3 – "Guide to Design of Reclamation".
The importance of adequate compaction of new fill slopes cannot be stressed too
often. The consequences of a flowslide of loosely placed fill can be disastrous. There is
no excuse for allowing fill to be placed in a loose state where its failure could endanger
life or property.
The Department responsible for a contract (its consultant where one is employed)
must make adequate provision well before the start of a contract for site supervision and
compaction control testing, to ensure that the requirement as stipulated in the “General
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Specification for Civil Engineering Works (2006 Edition)” is achieved.
When tender documents are issued, the Particular Specification must draw the
contractor's attention to the compaction clauses. Any excuse that tender rates did not
allow for proper compaction will not be accepted.
The architect or engineer for the project will be held personally responsible for
ensuring compliance with the specification.
(Subsumed from PWD TC No. 13/78)
4.1.2 Submission to GEO
All proposals for borrow areas should be submitted to GEO, CEDD for auditing the
design of the proposed slopes. Particular attention should be given to the maintenance
requirements of the slope, including the maintenance of the services both on the surface and
underground (DEVB TCW No. 6/2011).

4.1.3 Construction and Demolition Materials (termed as “construction waste” in

Chapter 2)
(Subsumed from WBTC Nos. 25/99, 25/99A, 25/99C and ETWB TCW No.
33/2002)
The requirements stipulated in the following circulars are relevant:
WBTC No. 2/93 - Public Dumps
WBTC No. 2/93B - Public Filling Facilities
WBTC No. 16/96 - Wet Soil in Public Dumps
WBTC No. 4/98 Use of Public Fill in Reclamation and Earth
4/98A Filling Projects
WBTC No. 12/2000 - Fill Management
WBTC No. 12/2002 - Specifications Facilitating the Use of Recycled
Aggregates
ETWB TCW No. - Environmental Management on Construction
19/2005 Sites
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DEVB TCW No. - Trip Ticket System for Disposal of
6/2010 Construction & Demolition Materials
DEVB TCW No. - Encouraging the Use of Recycled and other
2/2011 Green Materials in Public Works Projects
DEVB TCW No. - Enhanced Control Measures for Management
9/2011 of Public Fill
Project offices in the planning and design of projects should actively seek to
minimise generation of Construction and Demolition (C&D) Materials and to reuse inert
materials generated, including rock, as far as possible. To achieve this, the project office
is required to draw up a Construction and Demolition Material Management Plan
(C&DMMP) at the feasibility study or preliminary design stage for each project, which
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generates more than 50,000 m3 of C&D materials including rock or which requires
imported fill in excess of 50,000 m3. The C&DMMP shall be signed off by a D1 officer.
Guidelines for preparing the C&DMMP are appended in Appendix 4.9.
Trip Ticket System should be adopted for proper control of C&D materials Go to Table of Content
disposal in public works contracts in accordance with DEVB TCW No. 6/2010. Project
officers should refer to DEVB TCW No. 6/2010 to prepare the submission(s) to Public Fill
Committee (PFC) through the Secretary of PFC for inert C&D materials and/or to the
Director of Environmental Protection (for the attention of PEPO(FM)) for non-inert
C&D materials, as appropriate. Project officers should also refer to DEVB TCW No.
2/2011 and EPD’s waste reduction website for the updated list of recognised recyclers for
C&D materials in case a private recycling facility is proposed as an alternative disposal
ground for the C&D materials.
The project department should set up a departmental Vetting Committee on

C&D material management. The responsibilities of the Vetting Committee include: (a)
scrutinising and endorsing the C&DMMP to ensure that appropriate measures have been
incorporated to minimise C&D material generation; (b) ensuring the project office has
made every endeavour to identify outlets for beneficial reuse and/or recycling of any

surplus excavated material including rock; and (c) monitoring the implementation of the
C&DMMP and its revisions. The project office should prepare and submit the revised
C&DMMP for endorsement by the Vetting Committee. In the course of project delivery,
the project office should also monitor the implementation of the C&DMMP and submit
regular reports to the Vetting Committee.
The suggested composition and terms of reference of the Vetting Committee are
appended in Appendix 4.10. Guidelines for minimising the generation of C&D material
and maximising its reuse are also appended in Appendix 4.11.
Projects generating C&D materials less than 50,000 m3 or importing fill material
less than 50,000 m3 are exempted from the C&DMMP. However, the project office should
establish a system similar to the C&DMMP in order to minimise C&D material
generation.
The Vetting Committee should monitor and check that the actual amount of
materials generated does not exceed the estimates that justify the exemption. Should the
estimated or actual quantities of C&D materials exceed 50,000 m3 in the course of project
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delivery, appropriate control measures should be implemented and the situation should
be highlighted in the half-yearly status report to be submitted to the Public Fill
Committee (PFC) as stated in the ensuing paragraph.
The Vetting Committee should provide PFC with detailed explanation if the latest
quarterly return on any of the yearly forecast quantity of the C&D materials (with
surplus public fill generation or demand in excess of 300,000 m3) for the coming three-
year period differs from that of the previous return by 100,000 tonnes or more. The
endorsement authority for the detailed explanation shall follow that stipulated in DEVB
TCW No. 9/2011.
The project office managing the project should monitor the C&DMMP and
prepare a half-yearly status report. The Vetting Committee should scrutinise the report
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before submitting it to the PFC in June and December. The report should include the
following :
(a) a checklist for the C&DMMP endorsed by the Vetting Committee or the
PFC,
(b) any changes to the plan with detailed justifications,
(c) the previous and latest estimates of the total amount of surplus C&D
materials including rock that is expected to be generated by the project,
and a breakdown of the nature (e.g. inert C&D materials (public fill), rock,
C&D waste, etc) and corresponding quantities.
(d) the amount of surplus C&D materials including rock that has been
generated during the reporting period,
(e) the total accumulative amount of surplus C&D materials including rock
that has been generated since the project’s inception; and

(f) the programme for disposal of surplus C&D materials including rock and
disposal outlets.
For projects classified as “designated” projects under Schedule 2 of the

Environmental Impact Assessment Ordinance (EIAO), the C&DMMP where required
under this paragraph should be submitted together with the environmental impact
assessment (EIA) report to PFC for approval. The flow chart for vetting the construction
waste management section of the EIA report or the environmental review report is at
Appendix 4.12. It is advisable that the management of C&D materials in the EIA report
adopts a similar approach as the C&DMMP, where appropriate, for consistency.
For projects which are not classified as “designated” projects under Schedule 2
of the EIAO but generating surplus C&D materials in excess of 300,000 m3 or requiring
imported fill exceeding 300,000 m3, the C&DMMP should be submitted to PFC for in-
principle approval prior to commencement of the detailed design. The C&DMMP should
be vetted and endorsed by the departmental Vetting Committee before submitting it to
PFC for approval.
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4.2 MARINE WORKS
Guidelines on the design of marine works are contained in the Port Works Design
Manual. For proposals on dredged/excavated sediment, the rationale for sediment removal and
applications for approval of dredging/ excavation proposals and allocation of marine disposal
space should be submitted to the Marine Fill Committee (MFC) in accordance with ETWB
TCW No. 34/2002 and WBTC No. 12/2000. In addition to the requirements in ETWB TCW
No. 34/2002, additional control measures given in Appendix 4.21 should be taken for the
management of dredged/excavated contaminated sediment.
It should be noted that all new marine structures in the Victoria Harbour must be
designed to be of low wave-energy reflection and that project departments should obtain
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agreement from CE/PW, CEO of CEDD that the structures will not cause a deterioration in the
wave conditions in the Harbour. CE/PW should also be consulted for advice on the design of
new marine facilities or of works, which would affect adjoining marine facilities in the close
vicinity. Standard details of some marine works may be found in the CEDD Standard
Drawings, but they should only be adopted after detailed checking to ensure that they are in
full compliance with the Port Works Design Manual. On completion of design and before
calling for tenders, the general arrangement drawings of the new marine facilities should be
submitted to CE/PW for comments from a maintenance viewpoint if the works are to be
maintained by CE/PW upon completion.
4.3 HIGHWAYS AND ASSOCIATED STRUCTURES
4.3.1 Road Pavements, Exclusive Highway Drainage, Railings, Barrier Fences and
Parapets
The design of road pavements, exclusive highway drainage, railings, barrier fences
and parapets are covered by the Guidance Notes on Pavement Design for Carriageway
Construction (RD/GN/042), Guidance Notes on Road Pavement Drainage Design

(RD/GN/035), Guidelines for the Provision and Design of Pedestrian Railings (Transport
Department Departmental Circular No. 3/2017 / Highways Department Technical Circular No.
2/2017), Guidelines for Design of End-details of Thrie-beam Barrier Fence (RD/GN/040),
Supplementary Guidelines for Design of End-details of W-beam and Concrete Profile Barriers,
TPDM Volume 2 Chapter 3 Section 3.9, and a series of Road Notes, Guidance Notes and
Guidelines issued by HyD. Standard details of these works may also be found in the HyD
Standard Drawings. It should be noted that railings should be provided where necessary;
multiple railings at the same section of the road should be avoided.
Consultations regarding the design of road pavements, etc., should be addressed to
CHE/R&D, HyD.
4.3.2 Structures
The design of highway structures is covered by the Structures Design Manual for
Highways and Railways. CHE/Bridges & Structures, HyD may be consulted for advice on the
design of highway structures, preferably at the conceptual stage of design. On completion of
design, and before calling for tenders, the general arrangement drawings should be submitted
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to CHE/Bridges & Structures for comments.
For projects undertaken by HyD in-house, the design of highway structures are to be
under the direct control of CHE/Bridges & Structures. Therefore, CHE/Bridges & Structures
should be consulted as early as possible to agree on the programme of the design work. With
regard to the appearance of bridges and associated structures, ACABAS should be consulted
in accordance with ETWB TCW No. 36/2004.
For capital works projects, the project office should circulate the design proposal to
the Sub-committee on Access under the Rehabilitation Advisory Committee for consultation
purpose if the projects fall within one of the following categories:
(a) the project has implications to the policy of access of disabilities; and
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(b) Road/footbridge projects that will remove the existing access for Persons with
Disabilities (PWDs) without re-provisioning or with re-provisioning in other
manners, or where some of the facilities for PWDs will be of non-standard
design.
Requirements and standards in respect of installing fire mains and hydrants on new
trunk roads and elevated highway structures are given in HyD TC No. 4/2010. The criteria for
the provision of covers, ramps and escalators to grade separated pedestrian facilities (such as
footbridge, subway, etc.) are stated in TB TC No. 2/00. The design of lift ventilation system
is covered by the Guidelines on Lift Designs with Mechanical Ventilation (HQ/GN/19).
4.3.3 Highway Alignment and Traffic Management
Guidelines for highway alignment and traffic management design are contained in the
TD's Transport Planning and Design Manual. SE/Standards, Road Safety and Standards
Division of TD should also be consulted on the design.
In planning a transport infrastructure project, if there is a likelihood of changes to

planned developments that might significantly alter the design traffic volume or vehicle mix,
the designer should, in collaboration with TD, consider different possible design scenarios to
cater for likely changes and to obtain the most up-to-date planning information and parameters
available at the time, particularly those which may lead to different forecasts on the proportion
of heavy vehicles using the road. (Ref.: Audit Report No. 53 Chapter 10)
If the design of highways projects is undertaken in-house, the design of traffic

management work (including traffic aids, directional signs and traffic signals) will be
undertaken by the relevant Traffic Engineering Division of TD. If the project is undertaken by
a Consultant, the traffic management design should be prepared by the Consultant and
forwarded to the appropriate CTE, TD and C of P for agreement.
Traffic and directional signs should normally be ordered from CSD by the project
office. It is the project engineer's responsibility to ensure that the various street furniture items
erected do not obscure each other thereby jeopardising road safety. Reference should be made
to HyD TC No. 10/2001 on visibility of directional signs.
4.3.4 Road Lighting and Other Illuminated Traffic Aids
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Guidelines on the design of road lighting and other illuminated traffic aids are
contained in the Public Lighting Design Manual. HyD should be consulted as early as possible
to offer advice on the design, lighting & control equipment to be adopted, power supply
distribution arrangement and the specification for the lighting installations.
For details of design responsibility, installation, wiring and electricity supply for road
lighting and other illuminated traffic aids, also see the Public Lighting Design Manual.
The project office needs to submit the project as an item in the PLP and to resolve the
RC issue.
4.3.5 Road Safety
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CE/RSS, TD should be consulted about matters related to road safety design.
The project office should liaise closely with TD in the selection of the types of road
junctions and in the design for their transport infrastructure projects, having regard to the need
to comply with road safety standards and taking into account the specific site and traffic
conditions which may have implications on drivers’ behaviour and driving discipline.
Before commissioning a new road, the project office should liaise with TD to carry
out road safety checks and work inspections. If any potential hazards are identified, the project
office should implement such appropriate measures in consultation with TD to ensure road
safety. (Ref.: Audit Report No. 53 Chapter 10)
4.3.6 Tactile Guide Path
Tactile guide path should be designed to contrast visually with the adjoining surfaces
in order to provide clear indication of the routes to the people with low vision. Tactile
tiles/blocks should be made of durable and non-slippery materials. Organisations concerned
should be consulted on the visual contrast. Reference should be made to TPDM Volume 6

Chapter 8 Paragraph 8.3.2.9.
4.3.7 Street Name Plates
For naming new roads and the associated gazetting requirements, the project office
should liaise with the District Survey Office of Lands Department. The project office should
be responsible for the erection of the street name plates on the new roads before the new roads
are opened to public. If the completed new roads have been opened to public and handed over
to the Regional Offices of Highways Department for maintenance before the names of the new
roads are gazetted, the Regional Offices should take up the erection of the street nameplates
upon receipt of a request from the project office. However, arranging for gazetting the names
of the new roads should still be the responsibility of the project office.
4.3.8 Innovative Designs or New Construction Materials
In respect of innovative designs or new construction materials, the project office

should vigilantly check the tender documents and contract specifications to avoid ambiguities
in them. If there are fire risks associated with the innovative design or new construction
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materials, the fire-services requirements should be critically assessed and the relevant
departments (such as the Fire Services Department) should be consulted before incorporating
the requirements into the tender documents. (Ref.: Audit Report No. 53 Chapter 10)
The project office should ensure that market research is conducted to ascertain the
supply and availability of proprietary products or new construction materials before
incorporating them in the tender documents. (Ref.: Audit Report No. 53 Chapter 10)
4.4 SEWERAGE AND DRAINAGE
Sewerage Manual and Stormwater Drainage Manual provide guidelines for the design
of:
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(a) Stormwater drainage systems,
(b) Sewerage systems,
(c) Pumping Stations and Rising Mains
(d) Sewage treatment works,
(e) Submarine sewer outfalls, and
(f) Village flood protection scheme.
DSD may be consulted for advice on the design of such works.
Standard details of some common drainage and sewerage installations may be found
in the DSD Standard Drawings.
ETWB TCW No. 2/2006 is promulgated to stipulate the policy on the application of

the Drainage Impact Assessment (DIA) process to public sector projects. The process
comprises two principal elements, a project profile and, if necessary, a DIA study. If a project
is likely to have an impact on drainage system, the project office should notify the relevant
regional office of DSD by submitting a project profile at an early stage of the project planning
and development. Nevertheless, for project with obvious and significant drainage impact, DSD
may waive the requirement for project profile and require the project office to proceed directly
to DIA study. DSD should be consulted if the project office is in doubt about the need to notify.
The project office should refer to this Circular for detailed procedures. Any agreed mitigation
measures identified should be taken into account in the detailed design, and incorporated into
the contract documents.
A deep sewage tunnel system has been constructed under the Harbour Area Treatment
Scheme (formerly known as “Strategic Sewage Disposal Scheme”) Stage 1. The alignment
and profile of the sewage tunnel are shown on Map No. 1 of ETWB TCW No. 28/2003. The
sewage tunnels and associated structures have to be protected against damage, which might be
caused by construction works, and site investigation works in the vicinity of the sewage
tunnels. If any part of the project falls within the ‘Protection Area’ defined in the TCW,
submissions to DSD and GEO of CEDD for comment/agreement are required in accordance
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with ETWB TCW No. 28/2003.
The detailed plans of drainage facilities should be circulated to the relevant DSD
divisions for comments as early as possible and before finalization or calling for tenders.
Detailed consultation is required for non-standard drainage items such that the operation and
maintenance requirements can be incorporated into the design. Access for plant, equipment
and personnel for the maintenance of the drainage installation must be adequately provided.
4.5 WATERWORKS
WSD Civil Engineering Design Manual Volumes I and II provide guidelines for the
design of:
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(a) Mainlaying,
(b) Service reservoirs,
(c) Pumping stations, and
(d) Treatment works.
In addition, current practices for mainlaying work can be found in the Manual of
Mainlaying Practice (2012 edition). For the design of thrust blocks, reference can be made to
“Guidance Note on the Design of Thrust Blocks for Buried Pipelines” published by Design
Division of WSD.
CE/Design, WSD may be consulted for advice on the design of such works.
Standard details of waterworks may be found in the WSD Standard Drawings.
When a metered water supply is required for a permanent structure/building to be

constructed or when an existing WSD installation will be affected by the proposed construction
work, the CE of the appropriate region should be consulted for advice and comments.
4.6 GEOTECHNICAL WORKS
4.6.1 Technical References
The following documents are for the guidance of engineers undertaking the design or
construction of geotechnical works:
(a) Geotechnical Manual for Slopes,

(see also Appendix 4.25 on guidance on interpretation)
(b) Highway Slope Manual,
(c) Not used
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(d) Geoguide 1 - Guide to Retaining Wall Design,
(e) Geoguide 2 - Guide to Site Investigation,
(f) Geoguide 3 - Guide to Rock & Soil Descriptions,
(g) Geoguide 4 - Guide to Cavern Engineering,
(h) Geoguide 5 - Guide to Slope Maintenance,
(i) Geoguide 6 - Guide to Reinforced Fill Structure and Slope Design,
(j) Geoguide 7 - Guide to Soil Nail Design and Construction,
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(k) Geospec 1 - Model Specification for Prestressed Ground Anchors,
(l) Geospec 3 - Model Specification for Soil Testing,
(m) GCO Publication No. 1/90 - Review of Design Methods for Excavations,
(n) GEO Publication No. 1/93 - Review of Granular and Geotextile Filters,
(o) GEO Publication No. 1/2006 - Foundation Design and Construction,
(p) GEO Publication No. 1/2007 - Engineering Geological Practice in Hong Kong,
(q) GEO Publication No. 1/2009 - Prescriptive Measures for Man-made Slopes and
Retaining Walls,
(r) GEO Publication No. 1/2011 - Technical Guidelines on Landscape Treatment

for Slopes,

(s) GEO Report No. 15 - Assessment of Stability of Slopes Subjected to Blasting

Vibration,
(t) GEO Report No. 29 - Classification and Zoning of Marble Sites,
(u) GEO Report No. 75 - Landslides and Boulder Falls from Natural Terrain:
Interim Risk Guidelines,
(v) GEO Report No. 104 - Review of Natural Landslide Debris – Resisting Barrier
Design,
(w) GEO Report No. 136 - Guidelines on Safe Access for Slope Maintenance,
(x) GEO Report No. 138 - Guidelines for Natural Terrain Hazard Studies,
(y) GEO Report No. 182 - Use of Standardised Debris-resisting Barriers for
Mitigation of Natural Terrain Landslide Hazards,
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(z) GEO Report No. 227 - Guidelines for Soil Bioengineering Applications on
Natural Terrain Landslide Scars,
(aa) GEO Report No. 249 - Ground Control for Slurry TBM Tunnelling,
(ab) GEO Report No. 298 - Ground Control for EPB TBM Tunnelling,
(ac) ETWB TCW No. 4/2004 - Checking of Foundation Works in the Scheduled
Areas of Northwest New Territories and Ma On Shan and the Designated Area
of Northshore Lantau,
(ad) ETWB TCW No. 15/2005 - Geotechnical Control for Tunnel Works, and
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(ae) Requirements for Handover of Vegetation to Highways Department (available
through the website of Highways Department).
A more comprehensive and updated list of technical guidance documents which are
used by the GEO as the de facto geotechnical standards in Hong Kong is given in the GEO
Technical Guidance Note No. 1, which can be downloaded from the CEDD website. Some
geotechnical design data are available in the Geotechnical Information Unit of CEDD for
reference (DEVB TCW No.4/2016).
Standard details of geotechnical works may be found in the CEDD Standard

Drawings.
4.6.2 Geotechnical Submissions to GEO
The project office shall submit to the relevant District CGE of the GEO, CEDD for
auditing the details of all permanent geotechnical works relating to slopes and retaining walls,
together with the findings of geotechnical investigations and studies on existing slopes and
retaining walls which could affect or be affected by development or re-development under the
project, or if their failure could affect lives and property within or outside the site under the

project (ETWB TCW No. 29/2002). There are additional requirements on special geotechnical
control for public developments including slope upgrading/improvement works located in the
Mid-levels Scheduled Area (ETWB TCW No. 29/2002A). For the purpose of strengthening
cost-effectiveness, GEO will convene a Design Vetting Panel (DVP) chaired by the Deputy
Head of relevant district to examine works departments’ submissions on major geotechnical
works pursuant to ETWB TCW No. 29/2002 based on a holistic approach with due
considerations on the cost-effectiveness of the project (DEVB TCW No. 3/2018). The list of
constituents of a submission on geotechnical works is given in Appendix 4.8. Tenders shall
not be invited for any part of the geotechnical works until the geotechnical design including
any acceptance limits and investigation, survey and monitoring requirements to be included in
the contract (including those based on a Blasting Assessment, if any blasting is specified or
permitted) has been agreed by the GEO, except for Design & Build contracts or when the GEO
gives its written consent based on conditions to be mutually agreed. For a Design & Build
contract where an Independent Design Checker is appointed by the project office, the GEO
may consider waiving the auditing requirement provided that the criteria set out in Appendix
A of the ETWB TCW No. 29/2002 can be satisfied.
A submission covering the investigation and studies of existing slopes and retaining
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walls within or in the vicinity of the site is required to be submitted to GEO, even when no
geotechnical works are envisaged, if such slopes or retaining walls could affect or be affected
by the development or redevelopment under the project or if their failure could affect lives and
property within or outside the site. Where the proposed development or redevelopment could
be affected by natural terrain landslide or boulder/rock fall hazard, the project office shall
submit to the GEO a natural terrain hazard study and the design of any necessary mitigation
measures to be carried out under the project. Such submissions should be made to and accepted
by the GEO before inviting tenders for any part of the geotechnical works for the project.
Reference shall also be made to 'Guidelines for Natural Terrain Hazard Studies' (GEO Report
No. 138) issued by the GEO for guidance on the requirements of a natural terrain hazard study.
For geotechnical works relating to slopes and retaining walls involving designs to be
carried out by the Contractor, and where the designs are required to be submitted to the GEO
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for auditing, the project office shall agree with the GEO the associated GEO submission
requirements to be specified in the contract prior to tendering.
For the use of prescriptive measures for stabilisation and improvement of man-made
slopes and retaining walls and standardised debris-resisting barriers for mitigation of natural
terrain landslide hazards, guidance on the geotechnical submission requirements is given in
paragraph 4.6.12 of this Chapter.
For permanent foundation works in the Scheduled Areas in the Northwest New
Territories and Ma On Shan and in the Designated Area of Northshore Lantau, guidance on the
geotechnical submission requirements is given in ETWB TCW No. 4/2004.
For projects involving tunnel works, the project office should submit to the GEO for
audit the geotechnical design documentation for all tunnel works and any associated temporary
works, where such works would pose a significant risk to public life or property. Details of
the information to be included in the geotechnical design submission are given in Appendix A
of ETWB TCW No. 15/2005. Except for Design & Build contracts and for temporary works,
where the geotechnical design is to be undertaken by the Contractor, the project office must
resolve any major concerns raised by GEO on the public safety aspects of the geotechnical

design before tenders are invited. The project office is advised to identify clearly the scope of
works that will be designed in-house or by its consultants, including temporary works, and to
engage/employ professional geotechnical engineers with relevant qualification and experience
to carry out the geotechnical design and risk assessment.
4.6.3 Foundation Works in the Designated Areas/Scheduled Areas
Marble containing cavities has been found to exist under areas in the Northwest New
Territories, and Ma On Shan, Shatin, which have been termed "Scheduled Areas". In addition,
complex geology giving rise to difficult ground conditions has been identified beneath the
reclamation for Tung Chung New Town and along the North Lantau coast where the affected
area is referred to as “the Designated Area of Northshore Lantau”. For public works within
the Scheduled Area or Designated Area, all design details of permanent foundation works shall
be submitted to GEO for checking in accordance with ETWB TCW No. 4/2004.
4.6.4 Projects Incorporating Ground Anchors
Approval is required for the installation of ground anchors, whether permanent or
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temporary, in Government Land, and the general principles and procedures are given in PWD
TC No. 7/80 and ETWB TCW No. 16/2004. All applications to install ground anchors in
Government Land should be directed to the relevant DLO of Lands Department. Temporary
anchors are defined as those with a service life of less than 2 years.
Where permanent prestressed ground anchor systems are proposed in Government

projects, prior approval of DCED is required under the Anchor Certification System for
Permanent Prestressed Ground Anchors (ACSA). Details of the ACSA are given in ETWB
TCW No. 16/2004.
The use of permanent prestressed ground anchors in a project imposes a long-term

monitoring commitment on the maintenance department, which usually involves appreciable
recurrent cost. Also, should deficiencies be revealed, remedial works may be difficult and
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expensive. For these reasons, permanent ground anchors should be used in a Government
project only when other methods of providing the required support are not practicable, and
when the department responsible for subsequent maintenance has been consulted and its
agreement obtained (DEVB TCW No. 6/2011).
4.6.5 Projects Incorporating Permanent Reinforced Fill Structures

(Subsumed from ETWB TCW No. 24/2003)
The long-term strength and stress-strain characteristics of many reinforcing products

(e.g. polymeric reinforcing products) suitable for used in permanent reinforced fill are
temperature and time dependent. These products are required to be certified by CEDD before
they are used in permanent reinforced fill structures and slopes in Government projects.
Individual product certificates specify the products’ long-term design strengths and the
conditions for use in Hong Kong. Metallic reinforcing products, the long-term strength and
stress-strain characteristics of which are well established, do not require certification.
Notwithstanding certification, a structure or slope incorporating a certified reinforcing

product will still need to be adequately designed by the designers, and checked by the GEO,
CEDD.

Reinforcing products whose characteristics are temperature and time dependent

require extensive and long-term testing well in advance of the normal design phase of a project.
The certification system examines the effects of material variability, construction damage,
environmental effects on material durability, and other special factors including hydrolysis,
creep and stress rupture that are related to these reinforcing products. Reinforcing products
that have been found satisfactory for use in permanent reinforced fill structures and slopes are
certified by the CEDD. Requirements for compliance testing are also stipulated in the
certificates. The list of certified reinforcing products and their details could be found at the
CEDD Website.
The certification system ensures consistent and satisfactory standards in the provision
of these products, facilitates their specification, and saves time for designers, contractors,
manufacturers, suppliers and the Government by eliminating repetitive checking of project
proposals.
When reinforcement types requiring certification are adopted in permanent reinforced

fill design, the contract document should require the use of reinforcing products certified by
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the DCED. The model specification for reinforcing elements as recommended in Appendix A
of Geoguide 6 can be used as a reference for the preparation of particular specification.
In the design, consideration should be given to ways of ensuring that the reinforcing
products are not disrupted by future installation of drains or utilities. The department
responsible for maintenance should be consulted at an early stage where the reinforced fill
structure or slope is proposed. On completion of the works, the project department should also
highlight in the slope maintenance manual any specific requirements to protect the reinforcing
products, and alert the maintenance department of such requirements accordingly.
The project department shall make a submission on the proposed works to the GEO
for checking in accordance with the requirements of ETWB TCW No. 29/2002. The
submission should include drawings, design calculations, the specification for the reinforced
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fill, and a copy of the certificate of the reinforcing product (if applicable).
A submission may be made in two stages. In the first stage, external and internal
stability shall be demonstrated and the reinforcing products could be specified generically. In
the second stage, when the relevant reinforcing product details are known, another submission
shall be made to demonstrate compliance with the design requirements. In the case of
reinforcing products requiring certification, the submission should also include a copy of the
certificate together with justifications that the design complies with the conditions stipulated
in the certificate. Approval of the submission for both stages shall be obtained from the GEO
before works on the reinforced fill commence.
4.6.6 Projects Incorporating Horizontal Drains

(Subsumed from WBTC No. 10/91)
Horizontal drains are installed in both rock and soil slopes in Hong Kong. The
drains installed in rock slopes are typically short and are used mainly to drain individual
rock joints or local areas of groundwater seepage. Longer drains tend to be installed in
soil and mixed rock/soil slopes, usually with the aim of achieving an overall reduction in
groundwater pressures within the slope. This paragraph is mainly concerned with the

latter type of drains.
A horizontal drain system can be an effective slope stabilisation measure

provided that due care is given to design requirements and construction methods. Even
where such care has been exercised, it is important to ensure that the system will perform
satisfactorily in the long term by carrying our appropriate monitoring and maintenance
schemes. The cost of monitoring and a commitment to long-term maintenance should be
considered at the preliminary design stage in comparison with other stabilisation
measures before deciding whether to adopt a horizontal drain system. Before finalising
the design, the designer should also obtain an agreement for monitoring of the horizontal
drain system from the maintenance authority. Where the designer is a consultant,
provision should be included in the consultancy agreement to ensure that this is done.
The maintenance authority shall be the department responsible for maintenance of the
stability of the land concerned (see Development Bureau Technical Circular (Works) No.
6/2011 : Maintenance of Man-made Slopes and Emergency Works to Deal with
Landslides).
The procedures described here are intended to cover horizontal drain systems
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that are designed to lower groundwater pressures so that the required factor of safety of
a slope can be achieved (Geotechnical Manual for Slopes, Second Edition, Tables 5.1 &
5.4, which are replaced by Tables 1 and 2 in Appendix 4.25). These procedures need not
be followed for other drain systems, but regular inspection and maintenance should still
be carried out.
To ensure satisfactory performance of a horizontal drain system, the designer of

the system should be closely involved with the monitoring and should prepare a suitable
maintenance manual with monitoring criteria acceptable and understandable to the
maintenance authority. The maintenance authority should appoint a suitably-
experienced maintenance officer to be responsible for compiling and interpreting the
maintenance inspection records. If the maintenance authority has any reason to believe
that the system is not performing effectively, this should be brought to the attention of
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the project office without delay. This approach is consistent with the more general
guidance on slope maintenance given in Chapter 2 and 3 of the Geoguide 5 : Guide to
Slope Maintenance.
Special requirements concerning the monitoring and maintenance of horizontal Go to Table of Content
drains are given in Appendix 4.24.
4.6.7 Restrictions on the Use of Hand-dug Caissons

Hand-dug caissons have been used extensively in both foundation and other
geotechnical works for many years. There are technical and financial benefits associated
with this method of construction compared with other methods. However, the
disturbingly high accident rate in hand-dug caisson operations and health hazards such
as noise, dust, poisonous gas, collapse of caisson linings posed to workers, as reflected in
findings by the Labour Department, have given cause for considerable concern.
The practicability of a total ban on hand-dug caissons is being considered by the

Government. Works Branch will be in close liaison with the Labour Department and the

construction industry concerning this issue. The mitigating measures for safety and
health hazards, particularly in respect of improvement in air quality within a hand-dug
caisson, are also being reviewed. Whilst a total ban on hand-dug caissons is deemed
impracticable at this stage, works departments are urged to give the matter extremely
careful consideration before hand-dug caisson construction is permitted (see Appendix
4.13).
Works departments are permitted to include the use of hand-dug caissons in
future contracts only where :
(a) the use of hand-dug caissons is the only practicable solution or there is no
safe engineered alternative, and
(b) all necessary precautionary measures are taken to safeguard workers

against accidents and health hazards.
Before opting for hand-dug caissons, an assessment should be carried out

covering general safety, the cost of damage arising from dewatering and the possibility of
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unforeseen ground conditions. The design of caisson linings must also be examined for
suitability as for any other structural temporary works.
In cases where hand-dug caissons are used, the minimum clear working space
inside each caisson (i.e. excluding the lining) shall be 1.8 metres in diameter.
Any use of hand-dug caissons must receive the prior approval of the Head of
Department, who may consult the Labour Department to satisfy himself that all necessary
precautionary measures are taken to safeguard workers against accidents and health
hazards before giving consent.
One of the most important elements in the prevention of accidents in hand-dug

caisson works is the engagement of suitably qualified and experienced professionals in
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the assessment and investigation of the site to identify potentially unfavourable conditions
that may give rise to engineering problems, and to implement the necessary
precautionary and preventive measures. Likewise, the employment of suitably trained
and experienced construction workers, supervised by a sufficient number of competent
supervisors to ensure strict adherence to stringent safety and health requirements, is also
a pre-requisite.
Works departments shall keep Works Branch (attention PAS/CCC) informed in

January and June of each year of the total number of hand-dug caissons sanctioned for
construction, appropriately categorised into 'difficult' or 'straightforward' sites.
4.6.8 Projects Involving Man-made Slopes and Retaining Walls
The project office should ensure that a Maintenance Manual for each slope/retaining
wall formed/modified is prepared by the project engineer in accordance with Geoguide 5.
The project office needs to regularly maintain slopes/retaining walls formed/modified

until these slopes/retaining walls are handed over to another maintenance party.

The project office should provide GEO with updated information on the slopes and
retaining walls studied, formed, modified or removed, including plans showing the boundaries
of the slope features by survey. DEVB TCW No. 2/2018 sets out the procedures for the
registration and updating of the Catalogue of Slopes to be followed by the project office.
It is the government’s policy to landscape every newly formed government slope. Amd
No. 2/2021 Technical guidelines on landscape treatment for new man-made slopes are given in the
Integrated Landscape Design Framework – Slopes, Cyber Manual for Greening
(http://devb.host.ccgo.hksarg/en/landscape_design/index.html) and Amd No. 2/2021 GEO
Publication No. 1/2011. Other guidance documents as may become available from time to
time as a result of continuous research and experience gained, which are used by the GEO as
de facto geotechnical standards and given in GEO Technical Guidance Note No. 1, should also
be adopted. Amd No. 2/2021
Guidance on the use of shotcrete surfacing in maintenance works given in Appendix

4.26 should be followed. Amd No. 2/2021
4.6.9 GEO Checking Certificate for Slopes and Retaining Walls
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(Ref.: ETWB TCW No. 20/2004)
The following paragraphs promulgate the issue of checking certificates for slopes
and retaining walls where the designs or stability assessments have been checked by GEO
and found to be satisfactory. The Director of Agriculture, Fisheries & Conservation,
Director of Buildings, Director of Housing, Director of Home Affairs and Director of
Lands have also agreed to the contents of the following paragraphs relating to checking
certificates. The project office should read them in conjunction with paragraph 4.6.12 of
this Chapter and ETWB TCW No. 29/2002.
The policy and procedure for obtaining a GEO Checking Certificate for slopes and
retaining walls are described in the following paragraphs, which apply to all public works
projects involving public geotechnical works, including those public geotechnical works
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entrusted to a non-government body. The project office, which arranges the entrusted
geotechnical works should, before finalizing the entrustment agreement, consult the GEO for
the conditions that must be included in the agreement and complied with before a GEO
Checking Certificate can be issued.
For projects with the construction contract commencing after 30 September 2001, the
project office shall obtain a GEO Checking Certificate for Slopes and Retaining Walls
(hereafter referred to as GEO Checking Certificate) for all slopes and retaining walls that have
been constructed or upgraded, or that have been subjected to a stability assessment in a project
and found to meet the current geotechnical standards. When applying for a GEO Checking
Certificate, the project office should submit a Certificate of Design and Completion of Slopes
and Retaining Walls (DC Certificate) or a Certificate of Stability Assessment of Slopes and
Retaining Walls (SA Certificate) together with the necessary supporting documents to GEO.

A quality system shall be instituted to ensure that all stability assessments,
designs and amendments of design with geotechnical significance are properly checked
internally by the Designer (i.e. the project office or consultant firm responsible for the
stability assessment or design) and are submitted to GEO for checking and that all

conditions imposed by GEO are complied with. Proper records shall be kept throughout
the design and construction stages.
For submitting the DC Certificate or the SA Certificate, the project office should
in general adopt the form of DC Certificate or SA Certificate given in Appendices 4.17,
4.18 and 4.19 for the design and stability assessment carried out by the project office or
its consultants, those carried out by the Contractor in a D&B Contract, and the design
undertaken by the Contractor in a works contract other than a D&B Contract
respectively. For other cases such as those involving mixed government/private
responsibility and those involving partially stability assessed/upgraded, the project office
shall agree with the GEO the arrangement and the form of DC Certificate or SA
Certificate to be used prior to tendering.
The Engineer/Architect of the Contract shall work in co-ordination with the

project office to obtain a Checking Certificate as early as practicable and shall not
withhold the issue of the Certificate of Completion for the Works on the ground that the
Checking Certificate is not available.
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A copy of the Maintenance Manual should be sent to GEO for comment, together with
the GEO Checking Certificate application. A set of as-built survey plans and/or record
drawings for the slopes and retaining walls formed/modified under the project should be sent
to the relevant District Division of GEO for record.

The GEO will attach the DC Certificate/SA Certificate to a completed GEO
Checking Certificate, using the form in Appendix 4.16, for return to the project office or
a written response will be given stating the reasons why the Checking Certificate cannot
be issued. The GEO will normally issue the GEO Checking Certificate or give the written
response within 18 working days of receipt of application. If the GEO declines the issue
of the GEO Checking Certificate, the project office shall take immediate steps to resolve
the matters raised by the GEO and resubmit a fresh application with an appropriately
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amended DC or SA Certificate as soon as possible.
Checking of the design of prescriptive measures by the GEO for slope upgrading
works can be waived under certain conditions, as given in paragraph 4.6.12 of this
Chapter. Notwithstanding this, GEO will issue a Checking Certificate for the
geotechnical features involved. The project office shall submit the application in
accordance with the procedures given in the preceding paragraphs after completion of
the slope upgrading works in order to obtain the Checking Certificate.
For those geotechnical features constructed, upgraded or studied under projects

where the construction contract commenced before 30 September 2001, the project or
maintenance office is strongly encouraged to follow the above normal procedures where
practicable, in order to obtain the Checking Certificate. However, the arrangement
described in the ultimate and penultimate paragraphs can also be adopted if the
geotechnical features fall into one or more of the following special categories:
(a) The previous design or stability assessment was checked by GEO with
comments/issues yet to be followed up (e.g. submission of compaction test

records, submission of groundwater monitoring records and assessment

report to verify design assumptions).
(b) The previous design or stability assessment was not submitted to GEO for
checking.
(c) The Designer and/or the Engineer for the Contract are no longer available
to certify the previous design (or stability assessment) and/or the quality of
construction respectively (e.g. the works have already been completed by
the project office and handed over to the maintenance office).
For the aforementioned cases, the project or maintenance office should arrange
to carry out a stability assessment by reviewing the previous design or stability assessment
if available, taking into account any records available that had not previously been
submitted to the GEO. The review should be based on as-built drawings and present-day
site conditions, especially where the geotechnical feature or its surroundings have
undergone significant modifications or changes subsequent to the previous design or
stability assessment. The aim of the review is to assess whether the previous design is up
>>>
to current safety standards and whether the performance of the geotechnical feature is
satisfactory. Where key construction records (e.g. as-built drawings) cannot be located,
an appropriate qualifying statement should be included in the application for the GEO
Checking Certificate to indicate that these construction records are not available and the
review is based on the information as contained in the design reports and drawings as
well as site inspections.
If GEO is satisfied with the results of the review referred to the paragraph above,
the project or maintenance office shall apply for a GEO Checking Certificate by
completing a SA Certificate provided in Appendix 4.17 (please see pages 2 to 4 of the
Appendix), in which case the same procedures as given in the preceding paragraphs shall
be followed.
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4.6.10 Projects Involving Natural Slopes
The strongly preferred technical approach is not to carry out stabilisation works to
large areas of natural terrain, which would be both impractical and environmentally damaging,
but to mitigate risks through adjustments to the layout of new developments and provision of
buffer zones and defence measures.
For new public housing development sites formed by Works Departments, the natural
terrain hazard study and any necessary mitigation works should be carried out as part of the
site formation works. In cases where the layout of the housing development is not certain, and
hence the required mitigation measures cannot be determined at site formation stage, the
project office should consult the Housing Department. This should be done at an early stage
of planning for the site formation project to arrange the necessary mitigation measures as part
of the housing development.
Natural hillsides do not require maintenance. However, the project office should
ensure that maintenance requirements are included in a maintenance manual prepared by the
project engineer for any natural terrain landslide hazard mitigation measure formed. A
maintenance agent should be identified at an early stage. The project office shall maintain any

mitigation measure formed until these features are handed over to the maintenance agent.
Further guidance on maintenance requirements can be found in Geoguide 5 – Guide to Slope
Maintenance. With regard to the preservation and removal of existing trees and/or Amd No. 2/2021
old and valuable trees, Development Bureau Technical Circular (Works) Nos. 4/2020 and
5/2020 respectively, Amd No. 2/2021 should be referred.
In general, the following criteria should be considered, in order of priority, in the

determination of maintenance responsibility:
(a) The prime objective of constructing the mitigation measures,
(b) The primary beneficiary, and
(c) The need for maintenance of adjoining features as an integral part of the
maintenance programme.
Each case would have to be considered on its own merits. The Subcommittee on
Unallocated Government Land set up under the Standing Committee on Slope Safety should
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be informed of the results of the slope maintenance responsibility determined by the Systematic
Identification of Maintenance Responsibility of Slopes (SIMAR) Unit of Lands Department
with reference to the mitigation measures and should be requested to give a ruling on dispute
cases.
Technical guidelines on landscape treatment for natural terrain mitigation works are
given in GEO Publication No. 1/2011. Other guidance documents as may become available
from time to time as a result of continuous research and experience gained, which are used by
the GEO as de facto geotechnical standards and given in GEO Technical Guidance Note No.
1, should also be adopted. Amd No. 2/2021
The project office shall obtain registration numbers from the Slope Safety Division of
GEO and arrange registration of the mitigation measure. Registration criteria for natural terrain
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landslide hazard mitigation measures are given in DEVB TCW No. 2/2018 Amd No. 2/2021.
On completion of the project, a set of as-built survey plans for the mitigation measures
should be sent to the relevant District Division of GEO for record.
4.6.11 Water-carrying Services Affecting Slopes
For monitoring and maintenance of water carrying services affecting slopes, the Code
of Practice on Monitoring and Maintenance of Water-Carrying Services Affecting Slopes
issued by the ETWB should be followed.

4.6.12 Prescriptive Measures for Stabilization and Improvement of Man-made Slopes

and Standardized Debris-resisting Barriers for Mitigation of Natural Terrain
Landslide Hazards
Prescriptive measures are pre-determined, experience-based and suitably conservative

modules of works prescribed to a man-made feature to improve its stability or reduce the risk
of failure, without the need for detailed ground investigation and design analyses. Standardized
debris-resisting barriers are pre-determined and suitably conservative modules of barriers
formulated by applying and extending the methodology developed by the GEO for mitigation
of natural terrain landslide hazards.
Using prescriptive measures and standardized debris-resisting barriers in slope works

would save time and human resources, and may be more economical in some circumstances.
All project and maintenance departments should employ prescriptive measures for the
following types of slope works as far as possible:
(a) Preventive maintenance of slopes,
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(b) Repair works to landslides; and
(c) Upgrading of substandard slopes.
The terms ‘preventive maintenance’ and ‘upgrading’ are as defined in Geoguide

5 – Guide to Slope Maintenance.
In arranging the Engineer Inspections by consultants, the consultants should be

required to recommend, where necessary and applicable, prescriptive measures as a
means for upgrading or preventive maintenance of the slopes. This is to bring about
maximum improvement to the large number of existing old slopes in a relatively short
time under the constraint of available resources.
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All project and maintenance departments may apply standardized debris-resisting
barriers to the following circumstances where considered appropriate:
(a) As urgent protective works following natural terrain landslides, and Go to Table of Content
(b) As design provisions or contingency measures in new or existing developments.
The personnel for design and construction review of prescriptive measures and
standardized debris-resisting barriers is specified in Appendix 4.23.
Design of upgrading works for the whole or part of a man-made slope feature
using prescriptive measures should be submitted to the GEO for checking. The design of
permanent natural terrain landslide mitigation works involving standardized debris-
resisting barriers should also be subject to GEO checking. GEO checking on the design
of the prescriptive measures and standardized debris-resisting barriers will be waived if :
(a) an adequate quality system is in place to ensure that the personnel

requirements stipulated in the above paragraphs and the technical

guidance given by the GEO are followed, and
(b) satisfactory documentary evidence (including proof of quality system and

professional details of personnel for design and construction) is submitted
to the GEO prior to commencement of the works to indicate that condition
(a) will be satisfied.
Submission to the GEO is not required for prescriptive measures used in urgent
repair and preventive maintenance, and for standardized debris-resisting barriers used
in urgent protective works. Notwithstanding this, the project and maintenance
departments are encouraged to consult the GEO on the scope of urgent repair/urgent
protective works required to remove any immediate threat to life or property following
the occurrence of landslides.
Submission to the GEO for checking or agreement is, however, still required for
the following:
(a) for rock cut slopes, the assessment of the potential for global instability and
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the rock mass failure mechanisms not treated by prescriptive measures
( the waiving of GEO checking, if given, covers only the modes of failure of
rock cut slopes to be treated by prescriptive measures following GEO’s
technical guidance),
(b) for standardized debris-resisting barriers, the assessment of the design

volume and the detailing of the barriers to suit the site conditions (the
waiving of GEO checking, if given, covers only the assessment of the
dimensions and locations of the barriers), and
(c) geotechnical supervision personnel to supervise the works (the

requirements for geotechnical supervision are to be imposed by the GEO
with due regard to the type and complexity of the works).
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Application for waiving of GEO checking, if intended, should be submitted to the
relevant GEO District Divisions prior to the commencement of the works.
In all cases of application of prescriptive measures, record sheets should be Go to Table of Content
completed on certification of satisfactory completion of the prescriptive works by the
responsible professional engineer. Sample record sheets are given in GEO Publication
No. 1/2009. There is no need to submit the record sheets, the Engineer Inspection Report
and the associated desk study and site inspection records to the GEO, although copies
should be made available upon request to assist the GEO in review of the technical
guidance promulgated.
The Maintenance Manual for an existing man-made slope should be updated

within six months of completion of the prescriptive works. Also, for natural terrain
landslide hazard mitigation measures that require maintenance, a Maintenance Manual
should be prepared within six months of completion of a standardized debris-resisting
barrier. There is no need to submit the new/updated Maintenance Manuals to the GEO,
although copies should be made available upon request.

Departments should set up their own system to maintain traceable records on

prescriptive measures and standardized debris-resisting barriers certified by the
responsible professional engineers.
Further details and technical guidance on application of prescriptive measures and

standardized debris-resisting barriers are given in Geoguide 7 – Guide to Soil Nail Design and
Construction, GEO Publication No. 1/2009, GEO Report Nos. 138 and 182 as well as any other
relevant guidance documents promulgated by the GEO from time to time. For slope
enhancement works and improvement works, reference should be made to GEO Publication
No. 1/2011. This paragraph of PAH should be read in conjunction with ETWB TCW Nos.
29/2002 and 20/2004, and DEVB TCW No. 6/2011.
4.6.13 Projects Involving Blasting
Where designs involve substantial rock excavation, the designer should consider
whether blasting would be required for the project. Rock excavation by blasting can adversely
affect the stability and integrity of slopes, retaining walls, roads, railways, structures, buildings,
services and utilities through ground vibrations and other effects such as fly rock and air-
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overpressure. The transport, storage and use of explosives for blasting may also pose a safety
hazard to the public and disruption of traffic.
If blasting is specified or permitted in the construction works, a Blasting Assessment
should be undertaken at the design stage to assess such adverse effects and potential hazards,
and to propose adequate and necessary protective, preventive, precautionary and other
mitigation measures to demonstrate the practicality of carrying out blasting works and to
prevent the works from causing injury to workers and the public, significant disruption to
traffic, undue vibration and movement to existing structures and services, or undue nuisance to
the public.
The Blasting Assessment should be prepared by a competent person with at least four
years relevant experience in blast design and supervision of blasting works, and should be
>>>
submitted with the curricula vitae of its author to the GEO for agreement prior to tendering of
the contract. For complex projects, such as those involving blasting in densely populated or
sensitive area, a competent person with more experience would be required. The necessary
content of a Blasting Assessment is given at Appendix 4.7. The project office should also
consult CGE/Mines of the GEO as early as possible regarding the issues related to the transport,
storage and use of explosives. These issues should be properly addressed prior to tendering for
the contract and suitable contract requirements should be included.
The project office should ensure that all critical requirements and constraints
identified in the Blasting Assessment are properly addressed and a realistic programme for the
blasting works is included in the tender documents. The project office should also submit the
curricula vitae of the key personnel of the resident site supervision team to the GEO for
acceptance, prior to the commencement of the works.
In order to obtain a permission to carry out blasting under the Cap 295 Dangerous
Goods Ordinance, the Contractors should demonstrate that all necessary measures have been
in place to prevent the blasting works from causing damage or adverse effects to adjacent
facilities and structures, significant disruption to traffic or undue nuisance to the public, or any
risk of injury to the public and the people working on site. For opencast blasting, such measures

should be in place for each blast before the explosives would be provided for loading into blast
holes. The project office shall allow sufficient time in the contract for the application of the
blasting permits and licences. Detailed information on the use of explosives and the procedures
for applying the blasting permits and licences are given in Section 21 of Chapter 7.
4.7 LANDSCAPE AND GREENING WORKS
It is the government’s policy to enhance the quality of our living environment through
active planting, and proper maintenance and preservation of trees and other vegetation. To
promote greening, greening provisions, including site coverage of greenery, roadside and
median utility free planting zone (DEVB TCW No. 2/2012), soft landscape provisions for
highway structures (DEVB TCW No. 1/2018), greening of slopes and retaining walls, skyrise
greenery, and trees for preservation or removal (DEVB TCW No. 4/2020, “Guidelines on Tree
Transplanting”, “Management Guidelines for Stonewall Trees”, “Management Guidelines for
Mature Trees” and “Guidelines on Tree Preservation during Development” promulgated by
DEVB), should be ascertained in the planning and design of public works projects. In addition,
the requirements on site coverage of greenery for new Government building projects are given
>>>
in DEVB TCW No. 3/2012.
It is important that a consistent planting standard is applied in public works projects.
A Cyber Manual for Greening consolidating all documents on the subject of greening is
available at DEVB webpage. DEVB TCW No. 2/2012 also provides some standard
requirements specifically on the allocation of space for quality greening on public roads.
Specialist landscape design input should be incorporated in the initial planning and design
stage, through documentation and implementation to achieve the quality landscape as planned.
This may include input to the alignment/layout in relation to landform, existing vegetation and
potential visual impact, measures to minimise detriment to the existing landscape including
measures to retain as many trees as possible, etc., advice on the configuration and finishes of
hard landscape elements (paving, walks, subways, etc.), and soft landscape input. More
guidelines for design on greening are covered in the Chapter 4 of the Hong Kong Planning
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Standards and Guidelines and Integrated Landscape Design Framework developed by the
Greening and Landscape Office of DEVB. For greening of noise barriers, reference should be
made to “Guidelines on Greening of Noise Barriers” promulgated by DEVB.
Advice on aspects of landscape design should be sought from in-house landscape Go to Table of Content
architects. The provision of landscape works should also take note of the mitigation measures
recommended for the environmental, landscape and visual impact in EIA Reports.
The management and maintenance responsibilities for public landscape works

constructed throughout the Territory are given in DEVB TCW Nos. 6/2015 and 4/2020, and
specialist design work should be sent to the authorities concerned for notification and
agreement. A project office that finds a need for tree felling should follow the procedures laid
down in DEVB TCW No. 4/2020. With regard to registration of old and valuable trees, and
guidelines for their preservation, DEVB TCW No. 5/2020 should be referred.
The project office should make reference to existing greenery in the neighbourhood
as well as adjacent developments and projects in order to achieve a coherent and integrated
landscape design with the aim to bringing out and amplifying the character of the locality, and
to avoid a cluttered streetscape with uncoordinated greenery. A more thematic approach with

dominant species with special character for avenue planting should be adopted for the greening
and landscape design. Reference should also be made to the planting theme and the plant
palette designated for each Greening Master Plan in drawing up landscape designs for greening
works. The project office may make reference to the Integrated Landscape Design Framework
developed by the Greening and Landscape Office of DEVB, which provides practical
guidelines on the landscape treatment for key types of public works such as open space,
waterfront, roads and ancillary structures, slopes, etc.
Due to the significant biomass and environmental/ecological benefits, subject to space
availability and the greening objective, trees should be given priority. Annuals are generally
less cost-effective, requiring frequent replacement and maintenance. Therefore, they should
only be used after a critical examination of relevant factors, in particular the maintenance
implications in terms of cost-effectiveness, sustainability and the life cycle of plants. Attention
should be paid to reduce yard waste, and also reuse and recycle (Guidelines on Yard Waste
Reduction and Treatment, DEVB).
In selecting tree species, the “right tree for the right place” principle should be adopted
for matching the opportunities as well as constraints of the planting site with the characteristics
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of different plant species, and balancing the design intention and maintenance concern. For
instance, in the selection of trees, those with buttress roots or roots that will cause upheaving
of paving should be avoided in tree pits or areas with limited space, and those with brittle
branches/trunks are unsuitable for roadside planting.
A holistic and sustainable approach to landscape design that takes account not only of
the aesthetic dimension, but also the life cycle maintenance issue should be promoted. The
project office should make reference to the technical standards and guidelines on Proper
Planting Practices formulated by DEVB, including those on appropriate planting density and
depth, provision of sufficient space for future growth of canopy, selection of good nursery
stock, staking and guying, greening on noise barriers, etc. These guidelines and best practices
on greening and landscape have been uploaded to the internal 'Cyber Manual on Greening' as
well as the dedicated greening website (http://www.greening.gov.hk). The project office
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should make reference to these guidelines in carrying out landscape planting designs. The
project office should also refer to the Guiding Principles on Use of Native Plant Species in
Public Works Projects which is also available for downloading in the dedicated greening
website (http://www.greening.gov.hk).
The project office should prepare a landscape management and maintenance plan for
their greening projects so that the design intent would be clearly articulated and upheld through
appropriate maintenance upon project completion. Close coordination of the design and
maintenance teams during the project planning and design stage is necessary and timely
agreement on the maintenance arrangement should be confirmed in the design stage and before
construction. A robust maintenance schedule and close monitoring of plant performance will
considerably improve the situation.
The project office should engage qualified/properly trained personnel at the

frontline/supervising/management levels for carrying out the planning, design, implementation
and maintenance of greening works. Proper site supervision is required to ensure the quality
of greening projects. The project office should also engage qualified/properly trained
personnel at the frontline/supervising/management levels for carrying out the construction
works, including tree preservation in construction, tree transplanting, tree risk assessment and

remedial mitigation measures on tree management. Reference should be made to “Guidelines

on Pavement Renovation Works and Tree Stability”, “Management Guidelines for Stonewall
Trees”, “Guidelines on Tree Transplanting”, and “Guidelines for Tree Risk Assessment and
Management Arrangement on an Area Basis and on a Tree Basis” promulgated by DEVB, etc.
4.8 BUILDINGS
The D of Arch S should be consulted as early as possible and arrangements made for
either:
(a) ArchSD to design and construct buildings complete with all installations, except
for plant to be maintained by EMSD or others, or
(b) The division responsible for the project to design and construct buildings with
ArchSD advising on the layout, aesthetics and finishes.
In all cases, the D of Arch S's assistance should be sought at an early stage in preparing
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sketch schemes, estimates and the Schedule of Accommodation (Chapter 1, Paragraph 4.1.5).
For aesthetic design of buildings, Paragraph 4.12 should be referred.
The Fire Services Department should be consulted at an early stage on the adequacy
of fire escape routes, and for dangerous goods licences for the storage of dangerous goods and
chemicals. A schedule of equipment and the proposed layout of fire extinguishers should be
submitted for comments and approval.
Requirements relating to green government buildings are given in DEVB TCW No.
2/2015.
4.9 ELECTRICAL AND MECHANICAL WORKS
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For in-house projects (other than DSD or WSD projects), DEMS should be requested
at an early stage to assist in the design, the preparation of cost estimates and the specification
for the electrical and mechanical installations.
For projects employing consultants, the design work, etc., should normally be carried
out by the consultants.
4.10 COMPUTER SYSTEMS
Computer systems may form part of the permanent works, such as control systems in
road tunnels and sewage treatment plants. For the design of such computer systems,
SE/Computer Services of the project department should be consulted in the first instance, who
will give advice on the preparation of designs submissions to OGCIO or EMSD or any other
appropriate authority for approval.
4.11 GREENHOUSE EFFECT

The policy on the approach to be adopted in designs to allow for changes in sea-level
due to the Greenhouse Effect is stated in WBTC No. 6/90.
4.12 AESTHETICS/STREETSCAPE
Government projects should be planned to produce a visually pleasing appearance,
taking account of all other features, which are considered necessary in the planning of a project.
Aesthetics should be considered as an intrinsic part of a project, taking account of the aesthetics
requirement, site planning, design, costing, documentation, implementation and subsequent
maintenance. Reference should be made to DEVB’s Integrated Landscape Design Framework
on the aesthetic aspect of the design. Large retaining structures or impermeable slope surfaces
(such as shotcreted surfaces), in particular at prominent locations with no effective planting,
should be avoided as far as practicable and practicable means of reducing the scale and impact
should be considered in planning stage since means of camouflaging massive unsightly
retaining structures/surfaces at a late construction are usually not practicable nor effective.
Where large retaining structures or impermeable slope surfaces are inevitable at the planning
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stage, suitable and effective landscape design such as stepped planting at appropriate levels
should be considered and more land should be allowed (i.e. increase the slope boundary or land
claimed for the new slope work or slope improvement work as far as applicable) to
accommodate at-grade screening vegetation. Both engineering and aesthetics/landscape issues
should be addressed in a holistic manner and the cost implication should also be considered in
an integrated manner. A proposal to significantly increase the cost of a project simply in order
to improve its appearance should be specifically drawn to the attention of the Chief
Engineer/Regional Office Head when he is asked to approve the scheme.
In preparing the general layout plan of a project, an assessment of the visual impact
of new developments on their surroundings should be made together with input from landscape
architects for achieving a balanced and sustainable greening effect.
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The architectural designs of building structures, including those prepared by
consultants, or contractors in case of Design and Build contract, from all Works Departments
other than those of ArchSD and those associated with bridges and highway structures that fall
within the ambit of the ACABAS should be forwarded to ArchSD for advice as a mandatory
requirement. The requirement shall be applicable to all projects irrespective of project value.
Works Departments should earnestly consider the incorporation of ArchSD’s advice in their
designs. For any deviation from ArchSD’s advice, the project officer concerned should justify
and seek the endorsement of a D2 or above officer about the deviation.
All submissions to ArchSD shall be vetted by a D1 or above officer responsible for

the project to ensure that the submission is of adequate quality prior to issue under his name to
the Secretary of the Design Advisory Panel, ArchSD for advice. Reference should be made to
ETWB TCW No. 8/2005.
For highway structures, ACABAS advises on the aesthetic acceptability of the design
of bridges and associated structures. Submissions to ACABAS should generally be made at
the preliminary design stage. The scope, terms of reference, submission and vetting procedures
of ACABAS are set out in detail in ETWB TCW No. 36/2004.

The Government is firmly committed to improve the living environment through

quality greening and landscape work. Landscape work should not only be confined to
permanent planters with irrigation systems on footbridges and flyovers. To accomplish a
coherent and integrated landscape design with greening initiatives, greening on footbridges and
flyovers should be able to blend in with the existing greenery in the neighbourhood and
adjacent developments. Every practicable opportunity should also be explored for greening of
bridge decks, columns, abutments, roofs and noise barriers on various components of structures
of footbridges and flyovers. In general, ACABAS will not consider any proposal on
footbridges and flyovers without greening and associated irrigation system unless prior
exemption by the WMCG has been obtained. The policy guidance is contained in DEVB TCW
No. 1/2018 and should be referred when preparing submission to ACABAS.
The technical guidelines on landscape treatment for slopes Amd No. 2/2021 contained in
GEO Publication No. 1/2011 and other relevant guidance documents used by the
Amd No. 2/2021
GEO as de facto geotechnical standards, where appropriate, Amd No. 2/2021 should be adopted for
all types of slope works including new slope formation, major slope upgrading, Amd No. 2/2021
minor slope improvement/repair/maintenance works and engineering works on natural
hillsides Amd No. 2/2021. With regard to aesthetic aspect of slope work, guidelines can be found in
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the Cyber Manual for Greening at DEVB webpage
(http://devb.host.ccgo.hksarg/en/contactus/index.html ). Each department with responsibility
for upgrading and maintaining slopes should set up a Slope Appearance Vetting Committee to
control the use of shotcrete or other hard surfacing in slope works (but excluding emergency
repairs after landslips, minor local slope repairs and temporary slopes formed during
construction activities). The suggested chairman and terms of reference of the Vetting
Committee are appended in Appendix 4.27. When the use of shotcrete cover is unavoidable,
measures such as toe wall planters, planter boxes, tree pits, creeper holes on slope surface, and
application of colour/pigments should be introduced to improve the visual appearance of the
slope. Amd No. 2/2021
The aesthetics/streetscape design should be considered in the planning, design and

implementation stages, taking account of different styles and harmony of the street furniture
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(such as signage, lighting, railings, paving, utility covers, pillar boxes, water meters, etc.).
Relevant streetscape components should be laid out to avoid conflict and cluttering of features
and, where practicable, to combine or reduce signage and screen obstructive features such as
water points and pillar boxes by planting in order to achieve a pleasant quality landscape.
Advice from landscape architects should be sought.
Various standard hoarding designs are being used by Works Departments to meet the
functional needs of fencing off and securing sites. To enhance the aesthetic appearance of site
hoarding, and to improve the image of construction sites and public's perception, an alternative
hoarding design is to be considered for all capital works contracts including design and build
contracts and term contracts if the situation is appropriate. Guidelines for and examples of
alternative hoarding design are given in DEVB’s memo ref. (0289W-01-3) in DEVB(W)
516/95/02 dated 16.8.2010.
4.13 ENVIRONMENTAL PROTECTION
All plans for engineering projects and other development must pay full regard to
environmental factors including noise or other nuisance, pollution of ground, water or air,

effects on fauna and flora, and landscape and visual effects (all both during and after
construction), with a view to ensuring maximum mitigation of unavoidable harm, and securing
significant improvements in the environment where possible and affordable.
These considerations, which should have already been made at the initial planning
stage of the projects, should be reassessed at the detailed design stage as the various elements
of the projects are quantified in sufficient detail.
If an EIA has been carried out at the project planning stage (refer to Chapter 1-
Paragraph 4.1.3, WBTC No. 4/97 and ETWB TCW Nos. 13/2003 & 13/2003A for further
details), the mitigation measures identified, both on-site and off-site, should be taken into
account in the detailed design.
The following special requirements should also be noted:
(a) Hardwood for site hoardings, falsework and the shoring of trenches and
pits shall be specified as not to be used on all contracts. Contractors must
propose alternatives to hardwoods in their tenders or be directed to use
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specified acceptable alternatives. The various uses of hardwood on
construction sites together with some suggestions for alternatives are listed
in Appendix 4.14. (Subsumed from WBTC No. 32/92)
(b) For facilitating implementation of Environmental Management Plan, the space
requirement for the environmental provisions, e.g. on-site sorting and temporary
storage of C&D materials, automatic wheel washing machine, wastewater
treatment facilities etc should be taken into consideration. Reference should be
made to ETWB TCW No. 19/2005.
(c) For site hoardings and signboards, all components should be specified in metal
(using bolt and nut jointing method wherever possible) to reduce generation of
C&D waste from construction sites. Reference should be made to WBTC No.
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19/2001,
(d) During the planning and design of a project, the project officer may wish to use
recycled aggregates in lieu of virgin aggregates as environmental protection
measures. If there are opportunities to generate recycled aggregates from
construction and demolition materials found on that project, the project officer
should consider these opportunities. However if there are no such opportunities
and if there is no local supply of suitable recycled aggregates, the project officer
needs to consider the use of virgin aggregates.
(e) For tree preservation, transplanting and felling, reference should be made to
DEVB TCW Nos. 6/2015 and 4/2020, DEVB’s “Guideline on Pavement
Renovation Works and Tree Stability”, “Management Guidelines for Stonewall
Trees” and “Guidelines on Tree Transplanting”.
(f) For public works projects requiring tree surveys to be carried out, potentially
registrable trees in the surveys should be identified and relevant details should
be submitted to LCSD or AFCD accordingly. Reference should be made to
DEVB TCW Nos. 4/2020 and 5/2020.

(g) To facilitate the sharing of information, improve understanding, enhance

cooperation, and promote uniform standards across all government departments
on greening, a web based manual called the “Cyber Manual for Greening”
(http://devb.host.ccgo.hksarg/en/contactus/index.html) has been established. It
is posted on the government intranet, the “Central Cyber Government Office”
(CCGO) portal under the heading “Government Policy – Green Management”
which is accessible by ALL government departments, and
(h) Adoption of energy efficient features and renewable energy technologies in
government projects and installations should be ascertained. Reference should
be made to DEVB TCW No. 2/2015.
Reference should be made to the Structures Design Manual for Highways and
Railways for noise mitigation measures on highway structures, and ETWB TCW No.
13/2003A for planning for provision of noise barriers.
For protection of natural streams/rivers from adverse impacts arising from
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construction works, the project officer should adopt environmentally friendly design to
maintain the naturalness, landscape as well as ecological value of natural streams/rivers during
the detailed design stage. Reference should be made to ETWB TCW No. 5/2005.
A project office should, in consultation with DEP if necessary, determine whether a
project is a designated project under the EIA O. The procedures for completion and approval
of EIA study and report for designated projects should be in accordance with the EIAO.
Before designers decide to specify use of natural boulders/cobbles/pebbles in the

design of future public works, they should consider if the extraction or production of these
materials at the supply end would pose unacceptable impact to the environment. It is
particularly important for those mega projects that may usually involve large quantities of
boulders/cobbles/pebbles. Care should also be taken when the natural
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boulders/cobbles/pebbles specified are not commonly available in the local market as
environmental mitigation measures for the supply of these materials may not have been well
developed.
Designers should assess if artificial or non-natural boulders/cobbles/pebbles could be Go to Table of Content

an acceptable alternative to natural boulders/cobbles/pebbles when large quantity is involved.
Whilst taking into account other project constraints such as programme and cost, they should
always strike a very careful balance in the choice of construction materials in order to avoid
improving our environment at the expense of other environment sectors.
4.14 WORKS BY OTHER GOVERNMENT DEPARTMENTS/ORGANISATIONS
There may be some circumstances where it would be beneficial from the project
management and co-ordination points of view to have some works of a government department
entrusted to other government departments. A typical example is waterworks incorporated into
other capital works contracts. The procedure for such entrustment is given in WBTC No.
29/93.

Works carried out by other Government departments or offices to facilitate, or for the
service of, the project, including reprovisioning works and mitigation measures, should be
charged to the project, e.g. diversion of watermains.
Project offices should note that approval from SFST is required prior to entering into
entrustment agreements with a private sector and a public corporation including Housing
Authority and MTRCL as stated in S for Tsy's memo ref. (19) in FT 112/115 dated 21.11. 2000.
4.15 ADJACENT PROPERTY
If adjacent private property is likely to be endangered by the Works, BD should be

consulted regarding safety measures necessary for the protection of the property.
Any alterations required to an adjacent private property will be arranged by LAO,

Lands Department. Details of the work, the method of carrying out the work and the
apportionment of costs and maintenance responsibility between Government and the owner
will be agreed for each individual lot in the light of practical problems involved and the
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conditions of lease.
4.16 UTILITIES
Private utility companies and the appropriate Government authorities should be

consulted regarding the effect of the project on their existing and proposed services and
regarding any facilities required for the project. Lands Department should also be consulted
as to the presence of private service lines (e.g. private seawater cooling mains laid under way-
leave agreements) which might be affected by the project.
The minimum depth requirement for services underneath public roads stipulated in
HyD Standard Drawing Nos. H6168, H6169 and H6170 should be observed for both new and
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existing services affected by the project. The basic reasons for specifying a minimum depth
for underground services are to:
(a) avoid any adverse effects on the structural integrity of the road pavement;
(b) afford protection to the buried services from damage due to traffic loadings;
(c) afford protection to the buried services from damage due to subsequent road
opening works;
(d) afford protection to personnel carrying out road opening works from cutting into
energized services located at an unexpected shallow depth; and
(e) maximize the use of underground space for the accommodation of services
while ensuring that sufficient space is reserved for the installation of surface
drainage system which is essential for the proper operation of a highway.
If the project would cause the depth of some existing services to be less than the
required minimum, the utility operators concerned should be requested to lower or to divert the

existing services.
Minor modifications to the design may be made to avoid disturbance to utility services
but any modifications, which will materially increase the cost of the project, should not be
considered without the authority of the Chief Engineer/Regional Office Head.
In general, all diversion works carried out to accommodate the project should be at
the cost of the utility companies. Block Licences are issued by Lands Department to the utility
companies for locating utility installations on unleased Government land. Normally there is a
condition in the Block License, which requires the licensee to remove or divert the utility
installations at his own cost when required by the Director of Lands (D of L).
Where diversions are made at the cost of the project, the utility companies concerned
should be consulted about the cost of the diversions and provision made in the project estimate.
In view of the rapid development in the past decades, which caused continual
expansion of the underground utility network, designers shall consider the limitation in space
underneath public roads before making commitment for further underground installations. In
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addition, use of updated technology and sharing of cable network by different operators should
also be explored to minimise the need for underground installations.
Construction drawings for roadworks relating to vertical and horizontal alignments
should be provided to UU preferably in CAD format. UU should take these construction
drawings as reference for preparing and updating their as-built records until the as-built
drawings are available or the relevant digital maps are updated.
With respect to physical and legal impossibilities, unforeseen ground conditions and
interference by utility work, guidelines on risk management given in ETWB TCW No. 17/2004
should be observed in carrying out the design.
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4.17 PUBLIC TRANSPORT
The public transport companies should be consulted as early as possible if their Go to Table of Content
facilities are likely to be affected by the project works. The costs for the diversion of tramways,
the relocation of bus stops etc., to facilitate the project, are normally borne by the project.
Regarding railways, there are special requirements for works in the vicinity of the
Kowloon-Canton Railway (Hong Kong) Section, Lo Ma Chau Spur line, Tsim Sha Tsui
Extension and Ma On Shan Rail, West Rail and Mass Transit Railway given in ETWB TCW
No. 2/2005, ETWB TCW No. 33/2003 and WBTC No. 19/2002 respectively. Though there is
no circular specifically covering works in the vicinity of the Light Rail, those quoted for the
Kowloon-Canton Railway may provide a useful reference. In any case, PM (NTN&W), CEDD
and MTRCL should be consulted as early as possible. Section 4.3 of Chapter 3 should be
referred for further details on rail reserves.
4.18 SURVEY MONUMENTS AND MARKS

Construction projects should be designed in such a way that survey monuments are
not disturbed. Agreement from DD/SM (previous PGLS) of Lands Department must be
obtained where the potential destruction of a survey monument is unavoidable. (DEVB TCW
No. 5/2019).
4.19 INFRASTRUCTURE ON NEW RECLAMATION
When carrying out design for infrastructure on a new reclamation, the project office
should take account of the nature of the materials used for the reclamation to cater for any
potential risks.
Some of the reclamation sites might have been formed with sand extracted from local
marine borrow areas, which could be littered with some unexploded ordnance in the past
outside the knowledge of the relevant parties during the reclamation works. Whilst
precautionary measures should have been taken under the reclamation contracts to deal with
any ordnance found, residual risks posed to the subsequent infrastructure works or the future
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land use could not be totally eliminated. When the project office carries out planning of the
infrastructure on reclamations where large numbers of unexploded ordnances were discovered
during the reclamation works, it should, after consulting the future land users (such as works
departments responsible for subsequent provision of infrastructure works on the reclamation)
where practicable, consider specifying in the infrastructure contract safety precautionary
measures that may be required, such as scanning the soils for unexploded ordnance to facilitate
removal under the infrastructure contract or later development projects as appropriate.
4.20 HERITAGE IMPACT
Heritage impact assessment should be conducted if the project will affect the heritage
value of the heritage sites within or in the vicinity of the project boundary. Consultation with
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the Antiquities & Monuments Office of LCSD is necessary.
If heritage sites are affected by the works, it is necessary to avoid or minimise adverse
impact on these sites. In case adverse impact is unavoidable, public consultation engaging the
relevant parties at the earliest opportunity is required. (DEVB TCW No. 6/2009).
4.21 TRAFFIC IMPACT AND ROAD SAFETY AUDIT
Traffic impact assessment should be conducted in accordance with the guidelines and
requirements promulgated in Transport Department’s Departmental Circular No. 1/2011.
Road safety audit should be conducted in accordance with the guidelines and
requirements promulgated in the Transport Planning and Design Manual Volume 5 Chapter 7.
4.22 ROCK CAVERN DEVELOPMENT

DEVB TCW No. 8/2017 promulgates the policy and associated measures to promote
and facilitate wider application of cavern development in Hong Kong. In brief, all new
Government projects and land disposal/alienation proposals (including lease modification and
land exchange) that are subject to the vetting mechanism involving Strategic Cavern Areas
(SCVAs) delineated in the Cavern Master Plan (CMP) shall be submitted for vetting by the
Sub-Committee on Cavern Development (SCCD) in the early planning stage. Unless the SCCD
confirms via the first-stage submission made in the early planning stage that the proposed
projects would not affect the integrity of SCVAs, project proponents shall make the second
stage submission to the SCCD during the design stage to elaborate details on how to address
SCCD’s comments and recommendations. Project proponents shall also consult the SCCD on
the need of re-submission if there are any subsequent project changes that may affect the
development potential of SCVAs (e.g. major revision of project scope, site boundary, etc.).
Reference should be made to DEVB TCW No. 8/2017.
4.23 SAFETY AND HEALTH OF HAND-DUG TUNNELLING WORK
The Labour Department is highly concerned about the occupational safety and health
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of employees/workers engaged in the hand-dug tunneling work. In this regard, the Labour
Department, in collaboration with relevant industry stakeholders and upon a round of
comprehensive consultation, has formulated a set of “Guidance Notes on Safety and Health of
Hand-Dug Tunnelling Works” for compliance by the industry.
The “Guidance Notes on Safety and Health of Hand-Dug Tunnelling Works”, among
others, requires that the “heading” hand-dug tunneling method could only be adopted under
exceptional conditions and where environment permits, and specifically sets out the stringent
measures to be taken by the relevant duty-holders when such hand-dug tunneling work is
unavoidable.
Works departments shall take the guiding principles of the “Guidance Notes on Safety
and Health of Hand-Dug Tunnelling Works” into consideration when planning any
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trenchless/tunneling work before awarding works contracts to contractors, and remind
contractors to strictly follow the occupational safety and health measures as set out in the
guidance notes.
For effective monitoring the occupational safety and health performance, works Go to Table of Content
departments are required to notify the Labour Department once it is intended to employ
“heading” hand-dug tunneling method in works projects. In this connection, information of
the works, such as site location, construction period and name of the consultant (if any),
principal contractor to be involved and respective contact persons shall be provided via letter
or email to Senior Divisional Occupational Safety Officer (Operations Division)
(Headquarters)1, Labour Department.

5. ESTIMATES
5.1 INTRODUCTION
Project engineers are responsible for keeping the works within the approved scope and
estimate. They must ensure that estimates are carefully prepared and given the same attention
to detail as other aspect of project preparation.
Any estimate must be as accurate as possible as it affects the management of public
funds and it has a direct effect on fund allocation.
The relevant Financial Circulars (FCs) and Note for Public Works Subcommittee of
Finance Committee are :
FC No. 2/2005 - Recurrent Consequences of Capital Projects
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FC No. 4/2010 - User Guide on the Finance Committee, Establishment
Subcommittee and Public Works Subcommittee
FC No. 7/20173/2012 - Capital Works Programme
Amd No. 4/2021
FC No. 4/2012 - Requirements for Project Definition Statement and

Technical Feasibility Statement for Capital Works Projects
FC No. 5/2014 - Consultants’ Fees and Resident Site Staff Costs for Works
Projects
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PWSCI (2002-03) 31 - Estimates of Consultants' Costs for Capital Works Projects
The standard approach for estimating and assessing contingency items is termed
"Estimating using Risk Analysis" (ERA). ERA procedures and format shall be used for
all Cat C, B and A estimates and whenever an estimate review is required by the resource
allocation process. Any difficulty in the use of ERA or its effect on any other established
procedure shall be reported promptly to the departmental representative on the Project
Estimates and Cost Control Committee. If the issue raised is of general concern, it will
be resolved at the Project Estimates and Cost Control Committee. A Practice Note for
the use of ERA is in Appendix 4.15. (Subsumed from WBTC No. 22/93)
ETWB TCW Nos. 6/2005 and 7/2005 are promulgated to introduce the
implementation of Systematic Risk Management in Public Works Projects and to provide
guidelines for the procurement of Construction Related Insurance respectively. These two TCs
shall be referred when preparing the estimates.

5.2 DESCRIPTION
Project scope is the approved extent of the work described in the Project Definition
Statement (PDS), Technical Feasibility Statement (TFS) and PWSC paper and shall not be
changed without the approval of the appropriate authority set out in the FCs above (Paragraph
5.1) and ETWB TCW No. 30/2003. When a scope change occurs it must be reported along
with the cost (and programming) implications for approval.
Design development is any change, which occurs but remains within the scope. It can
include variations and changes in quantities.
Project estimate is the overall total estimated cost for the project, and is the sum of the
estimated cost of all its works packages plus the estimated cost on project scope contingency.
These components shall be grouped in Category-of-Cost on the estimate spreadsheet.
Estimate description is the concise description of the limitations, assumptions and

important features of an estimate, such as inclusions, exclusions, accuracy of measurement,
and estimating method. It should take the form of a standard report as shown at Appendix 4.4.
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5.3 TIMING
The project estimate is usually first prepared in the TFS for the project's inclusion in
Cat C and thereafter shall be formally reviewed and revised as described in the following table:
ESTIMATING SCHEDULE
FUNDING STAGE ESTIMATING REQUIREMENT
Cat C The project estimate should be revised whenever information
affecting costs becomes available (e.g. sub-surface investigation or
feasibility reports).
>>>
For entry to Cat B The project estimate should include up-to-date quantities, current
prices and re-assessment of risk elements and contingency items.
Cat B The project estimate should include further significant information
affecting costs (e.g. contingency items are settled and/or eliminated,
probability of occurrence and extent of risks elements are changed).
Annually for the RAE, and once selected to start, this estimate is then
the baseline against which cost and scope changes are compared and
justified.
Upgrading to Cat A An up-to-date project estimate is prepared by pricing the tender
document Bills of Quantities including re-assessment of risk elements
and remaining contingency items.
Details of preparation of estimates are shown in Paragraph 5.4 and 5.5. A project
estimate shall also be prepared or updated when seeking:
(a) Inclusion of a project in Cat D,
(b) An increase or decrease in the APE of a Cat A or Cat D project, or

(c) Approval for a change in scope.
In addition, any estimate may require:
(a) Further revision/reporting to meet works department requirements, or
(b) Further review to meet requirements from FSTB and ETWB during the annual
RAE and Annual Estimates exercise.
(c) To be revised to reflect current knowledge of work progress, changed planning
and expenditure patterns.
5.4 PREPARATION
The responsible engineer should prepare a project estimate in accordance with the
extent of work described in the PDS and TFS. This provides a clear basis for the estimate and
a baseline to control changes in scope.
>>>
Estimates shall be in two parts:
(a) The estimates description, and
(b) The itemised estimate of cost including forecast-of-expenditure (cash flow).
The estimate description shall include all available information on the scope and the
special circumstances (e.g. short construction period, particularly difficult site), explanations
about assumptions made for the contingency items, and any other relevant information. It
should also reconcile changes in successive estimates.
There shall be an estimate and estimate description for each works package (i.e. for
>>>
each site investigation, laboratory testing, agreement, contract and so forth) at its relevant
Category of Cost of the project. Each estimate shall be comprehensive and cover all costs
including consultant's fees, site investigations, laboratory testing, resident site staff,
supervision, construction works and contingency. Adequate resources should be allowed for
the provision of a structured site supervision system for different stages of construction. Each
shall be cross-referenced to PWP details for identification purposes.
Estimates shall be as fully detailed as the available information permits, and shall use
the most recent relevant prices updated in line with the Civil Engineering Works Tender Price
Index (DEVB TCW No.6/2017) and other appropriate Cost Index or Tender Price Index for
the month or quarter in which the estimate is done. These should be adjusted if necessary to
ensure they are valid prices, which reflects current market conditions.
Estimates shall be compiled to a constant price level and then converted to a Money-
of-the-day (MOD) value by applying some adjustment factors (to be advised by SFST from
time to time) to the cash flow. The difference in value of the MOD estimate from the constant
price estimate reflects the forecast of expenditure due to price adjustment on its own and shall
be recorded in the "Other" Category-of-Cost.

For Cat D projects, the estimate shall be made at a price level current at the time of
the estimation together with its MOD equivalent. Particular attention should be given to avoid
the actual expenditure exceeding the approved project estimate because of inflation. This is
particularly important for projects with estimates close to $5030 Amd No. 4/2021 million, the current
financial ceiling of a Cat D item (Ref.: PAH Chapter 2, Paragraph 2.2).
Cat A estimates shall not include an allowance anticipating the effect of market
conditions on the tender levels.
The project estimate should include, if appropriate to the project, the following items:
(a) Works contracts under the project,
(b) Site investigations and laboratory testing (WBTC Nos. 14/2000 and 15/2000,
PAH Chapter 5 paragraph 9.7), or any other special investigations,
(c) Works for/by other divisions,
>>>
(d) Works for/by other offices,
(e) Works for/by other departments and authorities (e.g. entrustment to MTRCL)
including any on-costs,
(f) Resumption, clearance and compensation costs (although these costs are
normally charged to the Land Acquisition Vote controlled by Lands
Department),
(g) Repositioning costs (e.g. cost of reconstruction of a replacement survey

monument destroyed because of the construction project, see DEVB TCW No.
5/2019),
>>>
(h) Diversion of utilities,
(i) Consultants’ fees and expenses with resident site staff costs for the construction
phase shown separately,
(j) Landscaping and amenities,
(k) Site safety and welfare facilities for workers at construction sites (WBTC No.
30/2000, ETWB TCW No. 19/2005 and Chapter 3 of Construction Site Safety
Manual),
(l) Stores and equipment,
(m) Cost of diversion of facilities of public transport companies,
(n) Environmental measures and management (ETWB TCW No. 19/2005),
(o) Site cleanliness and tidiness (DEVB TCW No. 8/2010),

(p) Resources (other than in-house resources) for the geotechnical supervision
personnel. (It is often necessary for the designers of geotechnical works to be
involved in the supervision of the works to verify the design assumptions by
observing the actual ground conditions. Guidance on the requirements for
geotechnical supervision is given in Appendix 7.47 of Chapter 7), and
(q) Resources for environmental personnel to supervise environmental monitoring

and auditing under the EIAO.
(r) Controversial or unconventional items, such as archaeological works.
(s) The cost for Community Planting Activities in accordance with DEVB TCW
No.5/2017.
It is only necessary to include works by other divisions/offices/departments which are

needed for the project and not otherwise financed, e.g. Landslip Preventive and Mitigation
Measures should not be included because they are usually financed from an annual block vote.
>>>
Any estimate should, in order of preference, be based on:
(a) The most recent averaged tendered prices for work of a similar nature,
(b) The current prices in maintenance or term contracts for work of a similar nature,
and
(c) The breakdown of the cost of labour/plant/materials.
To arrive at a realistic estimate, all risks having a significant effect on the cost of the
work must be taken into account. Such factors may include:
(a) Degree of difficulty of the work,
>>>
(b) Site location, access and transport mode,
(c) Need for expensive plant or unusual technique, and
(d) Sub-surface conditions.
When reviewing any estimate, for the purposes of reconciliation, identify separately
changes in scope and other contingency items and also check:
(a) The updating for inflation since the previous estimate, and
(b) The correction of any assumption.
Estimating needs to be structured, logical, accountable and easy to explain and trace.
Estimating using Risk Analysis (ERA) requires identification of project related risks in a formal
manner and provides a realistic estimated cost for each risk. ERA is required for Cat A, B and
C projects in accordance with the procedures and requirements stipulated in paragraph 5.1.

In addition, the requirements laid down by the respective project office for submission
of cost estimate to their Project Estimate Control Committee for vetting and endorsement shall
also be followed.
5.5 RECURRENT COST ESTIMATES
FC No. 2/2005 is the relevant authority for the presentation, information and
assessment of recurrent cost estimates.
Recurrent cost estimates shall be prepared prior to seeking upgrading of a project to

Cat A, or inclusion of a project in Cat D. A rough indication of recurrent consequences is,
however, required in the submission for inclusion of a project in Cat C, or for inclusion of a
project in the RAE programme (i.e. upgrading to Cat B).
The estimate shall be prepared in sufficient detail and manner to allow assessment of
the full financial implication of the project in the immediate and the long term. This
information is useful in forecasting resource requirements.
>>>
The client department must liaise with those departments responsible for operation
and maintenance, so as to include costs affecting the latter's own head of expenditure and
maintenance and other costs generated for other heads.
The client department and departments responsible for operation and maintenance
shall include estimates of repair and maintenance work to be undertaken by their respective
works department.
The recurrent cost estimate shall be reviewed when detailed drawings and estimates
for the project become available, as well as in each application for a change to a project
estimate. The updated estimate shall be attached as an appendix to the PWSC submission.
>>>
5.6 REPORTING
5.6.1 Capital Works
Projects must be registered in the PWPIS, which is administered by the Public Works
System Administration Section of DEVB. Works department is responsible for the recording
and updating of project and contract data in the PWPIS in respect of programme, estimates,
expenditure and other important information. Project officers should follow the data
administration procedures in PWPIS Data Administration Manual, which is issued by DEVB
and posted on PWPIS web page.
The project engineer/senior engineer shall advise the Chief Engineer/Regional Office
Head of all significant changes in the project estimate so that the Chief Engineer/Regional
Office Head can advise the Department Head of the changes. For consultant-administered
projects, consultants should advise the relevant project office.
The project estimate shall be checked for correctness by the relevant senior engineer,
and agreed by his Chief Engineer/Regional Office Head. The project office shall check any

estimate prepared by consultants.
The calculations for any checked/agreed estimate shall be kept in the Project
Handbook (or other departmental equivalent).
5.6.2 Recurrent Costs
The project engineer shall advise the Chief Engineer/Regional Office Head, through
the senior engineer, of all significant changes in the estimate so that the Chief
Engineer/Regional Office Head can advise the Department Head of the changes.
The calculations for any checked/agreed estimate shall be kept in the Project
Handbook (or other departmental equivalent).
5.7 PRELIMINARY COST ESTIMATE
The cost estimate changes as the project develops to cater for design
>>>
development, programme, forecast trend of price adjustment and tender prices, etc. To
safeguard the credibility of project estimates, project office shall refrain from divulging
the cost estimates to the public in planning and design stages to avoid misinterpretation
by the public.
When disclosure of cost estimate to the public prior to submission to the

Legislative Council for funding approval is required in exceptional circumstances, the
standardised terminology “Forecast Cost per Provisional Design (暫定設計預測造價)”
in MOD prices together with the following riders shall be adopted in full on every
occasion to ensure proper understanding by the public:-
The Forecast Cost per Provisional Design (FCPD) of the project is $XXX million
>>>
in MOD prices. The Project Estimate will be substantially higher or lower than
the FCPD as a result of design development, programme change, construction
price level changes, etc.
按付款當日價格計算，暫定設計預測造價約港幣 XXX百萬元。此項目的預算 Go to Table of Content

費用會因應隨後的設計改動及/或深化，推展日期的更改，建造價格水平變動
等，而較暫定設計預測造價大幅增加或減少。
Moreover, the project office shall seek to proactively reconcile the latest cost
estimates with those already in the public domain as appropriate.

6. REFERENCES
PWD TC No. 7/80 The processing of applications for permission to install ground
anchors in Crown Land
WBTC No. 6/90 Greenhouse Effect - Allowance in Design
WBTC No. 2/93 Public Dumps
WBTC No. 2/93B Public Filling Facilities
Amd No. 2/2021
WBTC No. 29/93 Procedure for Incorporation of Waterworks into other Capital
Works Contracts
WBTC No. 14/94 Use of PFA as General Fill in Reclamation
WBTC No. 16/96 Wet Soil in Public Dumps
WBTC No. 4/97 Guidelines for Implementing the Policy on Off-site Ecological
>>>
Mitigation Measures (PELBTC No. 1/97)
WBTC No. 4/98 Use of Public Fill in Reclamation and Earth Filling Projects
WBTC No. 4/98A Use of Public Fill in Reclamation and Earth Filling Projects
WBTC No. 12/2000 Fill Management
WBTC No. 14/2000 Usage of Public Works Laboratories in Public Works Projects
WBTC No. 15/2000 Funding Arrangement for Public Works Regional Laboratories
Operating, Monitoring and Accounting Procedures
WBTC No. 16/2000 Provision and Collation of Land Survey and Mapping Data
Amd No. 2/2021
WBTC No. 30/2000 Construction Site Safety Manual Second Updating of Chapters
>>>
3 and 12
WBTC No. 19/2001 Metallic Site Hoardings and Signboards
WBTC No. 12/2002 Specifications Facilitating the Use of Recycled Aggregates
ETWB TCW No. 29/2002 Geotechnical Control for Slopes and Retaining Walls
ETWB TCW No. Geotechnical Control for Slopes and Retaining Walls
29/2002A
ETWB TCW No. 34/2002 Management of Dredged/Excavated Sediment
ETWB TCW No. 38/2002 Computer-Aided-Drafting Standard for Works Projects
ETWB TCW No. Computer-Aided-Drafting Standard for Works Projects
38/2002A
ETWB TCW No. 7/2003 Provision of Electronic Version of Layout Plans to Utility
Undertakings
ETWB TCW No. 7/2003A Provision of Electronic Version of Layout Plans to Utility
Undertakings

ETWB TCW No. 13/2003 Guidelines and Procedures for Environmental Impact
Assessment of Government Projects and Proposals
ETWB TCW No. Guidelines and Procedures for Environmental Impact
13/2003A Assessment of Government Projects and Proposals - Planning
for Provision of Noise Barriers
ETWB TCW No. 19/2003 Review of Preliminary Design Before Proceeding with the
Detailed Design
ETWB TCW No. 28/2003 Protection of Harbour Area Treatment Scheme Stage I Sewage
Tunnels
ETWB TCW No. 30/2003 Control of Client-Initiated Changes for Capital Works Projects
ETWB TCW No. 4/2004 Checking of Foundation Works in the Scheduled Areas of
Northwest New Territories and Ma On Shan and the
Designated Area of Northshore Lantau
ETWB TCW No. 16/2004 The Use of Permanent Prestressed Ground Anchors in
Government Projects
>>>
ETWB TCW No. 17/2004 Impossibility / Unforeseen Ground Conditions / Utility
Interference
ETWB TCW No. 20/2004 GEO Checking Certificate for Slopes and Retaining Walls
ETWB TCW No. 36/2004 The Advisory Committee on the Appearance of Bridges and
Associated Structures (ACABAS)
ETWB TCW No. 5/2005 Protection of natural streams/rivers from adverse impacts
arising from construction works
ETWB TCW No. 6/2005 Implementation of Systematic Risk Management in Public
Works Projects
ETWB TCW No. 7/2005 Procurement of Construction Related Insurance
>>>
ETWB TCW No. 8/2005 Aesthetic Design of Ancillary Buildings in Engineering
Projects
ETWB TCW No. 15/2005 Geotechnical Control for Tunnel Works
ETWB TCW No. 19/2005 Environmental Management on Construction Sites Go to Table of Content
ETWB TCW No. 2/2006 Drainage Impact Assessment Process for Public Sector Projects
ETWB TCW No. 4/2006 Delivery of Capital Works Projects
DEVB TCW No. 6/2009 Heritage Impact Assessment Mechanism for Capital Works
Projects
DEVB TCW No. 6/2010 Trip Ticket System for Disposal of Construction & Demolition
Materials
DEVB TCW No. 8/2010 Enhanced Specification for Site Cleanliness and Tidiness
DEVB TCW No. 2/2011 Encouraging the Use of Recycled and other Green Materials in
Public Works Projects
DEVB TCW No. 6/2011 Maintenance of Man-made Slopes and Emergency Works to
Deal with Landslides

DEVB TCW No. 9/2011 Enhanced Control Measures for Management of Public Fill
DEVB TCW No. 2/2012 Allocation of Space for Quality Greening on Roads
DEVB TCW No. 3/2012 Site Coverage of Greenery for Government Building Projects
DEVB TCW No. 3/2014 Contractors’ Designs and Alternative Designs
DEVB TCW No. 2/2015 Green Government Buildings
DEVB TCW No. 6/2015 Maintenance of Vegetation and Hard Landscape Features
DEVB TCW No. 4/2016 Geotechnical Information Unit
DEVB TCW No. 5/2017 Community Involvement in Planting Works
DEVB TCW No. 6/2017 Civil Engineering Works Tender Price Index
DEVB TCW No. 8/2017 Rock Cavern Development
DEVB TCW No. 1/2018 Soft Landscape Provisions for Highway Structures
DEVB TCW No. 2/2018 Registration and Updating of the Catalogue of Slopes
DEVB TCW No. 3/2018 Enhancing Cost Effectiveness of Geotechnical Works of
>>>
Capital Works Projects
DEVB TCW No. 1/2019 Railway Protection
DEVB TCW No. 4/2020 Tree Preservation
DEVB TCW No. 5/2020 Registration and Preservation of Old and Valuable Trees
FC No. 2/2005 Recurrent Consequences of Capital Projects
FC No. 4/2010 User Guide on the Finance Committee, Establishment
Subcommittee and Public Works Subcommittee
FC No. 3/2012 Capital Works Programme
Amd No. 4/2021
FC No. 4/2012 Requirements for Project Definition Statement and Technical
>>>
Feasibility Statement for Capital Works Projects
FC No. 5/2014 Consultants’ Fees and Resident Site Staff Costs for Works
Projects
FC No. 7/2017 Capital Works Programme Amd No. 4/2021
PWSCI (2002-03) 31 Estimates of Consultants' Costs for Capital Works Projects

HyD TC No. 10/2001 Visibility of Directional Signs
HyD TC No. 4/2010 Fire Mains and Hydrants on New Trunk Roads and Elevated
Highway Structures
TD Departmental Circular Guidelines and Requirements of TIA Studies
No. 1/2011
TD Departmental Circular Guidelines for the Provision and Design of Pedestrian Railings
No. 3/2017 and HyD
Technical Circular No.
2/2017
TB TC No. 2/00 Provision of Covers, Ramps and Escalators to Grade Separated
Pedestrian Facilities

S for Tsy's memo ref. (19) Authority for Entrustment of works projects
in FT 112/115 dated
21.11.2000
DEVB's memo ref. Guidelines on Enhancement of Site Outlook at Construction
(0289W-01-3) in Sites
DEVB(W) 516/95/02 dated
16.08.2010
DEVB's memo ref. (38) in Guidelines for Enhancement of Productivity of Skilled Workers
DEVB(Trg) 133/8 dated in Public Works Projects
17.04.2013
DEVB's memo ref. () in Reducing Construction Cost and Stepping Up Cost Control for
DEVB(W) 505/83/04 dated Capital Works Projects
3.8.2015
SDEV's memo ref. Design for Safety (DfS)
(02U5N-01-1) in
DEVB(W) 517/17/01 dated
>>>
8.6.2016
Amd No. 2/2021
GEO Ground Investigation Handling of Land/Marine Ground Investigation, Geophysical
Note No. 1/2020 Survey and Laboratory Testing Requests Amd No. 2/2021
GCO Publication No. 1/90 Review of Design Methods for Excavations

GEO Publication No. 1/93 Review of Granular and Geotextile Filters
GEO Publication No. Foundation Design and Construction
1/2006
GEO Publication No. Engineering Geological Practice in Hong Kong
1/2007
>>>
GEO Publication No. Prescriptive Measures for Man-made Slopes and Retaining
1/2009 Walls
GEO Publication No. Technical Guidelines on Landscape Treatment for Slopes
1/2011
GEO Geoguide 1 Guide to Retaining Wall Design
GEO Geoguide 2 Guide to Site Investigation
GEO Geoguide 3 Guide to Rock & Soil Descriptions
GEO Geoguide 4 Guide to Cavern Engineering
GEO Geoguide 5 Guide to Slope Maintenance
GEO Geoguide 6 Guide to Reinforced Fill Structure and Slope Design
GEO Geoguide 7 Guide to Soil Nail Design and Construction
GEO Geospec 1 Model Specification for Prestressed Ground Anchors
GEO Geospec 3 Model Specification for Soil Testing
GEO Report No. 15 Assessment of Stability of Slopes Subjected to Blasting
Vibration

GEO Report No. 29 Classification and Zoning of Marble Sites

GEO Report No. 75 Landslides and Boulder Falls from Natural Terrain: Interim
Risk Guidelines
GEO Report No. 104 Review of Natural Landslide Debris – Resisting Barrier Design
GEO Report No. 136 Guidelines on Safe Access for Slope Maintenance
GEO Report No. 138 Guidelines for Natural Terrain Hazard Studies
GEO Report No. 182 Use of standardised Debris-resisting Barrier for Mitigation of
Natural Terrain Landslide Hazards
GEO Report No. 227 Guidelines for Soil Bioengineering Applications on Natural
Terrain Landslide Scars
GEO Report No. 249 Ground Control for Slurry TBM Tunnelling
GEO Report No. 298 Ground Control for EPB TBM Tunnelling
GEO Technical Guidance Technical Guidance Documents
Note No. 1
>>>
GEO Technical Guidance The Designated Area of Northshore Lantau
Note No. 12
GEO Technical Guidance Site Investigation for Tunnel Works
Note No. 24
GEO Technical Guidance Supplementary Guidelines for Foundation Design in Areas
Note No. 26 Underlain by Marble and Marble-bearing Rocks
GEO Technical Guidance Guidelines on Temporary Drainage Provisions and
Note No. 40 Precautionary Measures against Severe Rainfall during Site
Formation Works and Construction of Reinforced Fill
Structures
HyD HQ/GN/19 Guidelines on Lift Designs with Mechanical Ventilation
>>>
HyD RD/GN/035 Road Pavement Drainage Design
HyD RD/GN/040 Guidelines for Design of End-details of Thrie-beam Barrier
Fence
HyD RD/GN/040 Supp Supplementary Guidelines for Design of End-details of W-
beam and Concrete Profile Barriers
HyD RD/GN/042 Guidance Notes on Pavement Design for Carriageway
Construction
Audit Report No. 53 Ch. 10 http://www.aud.gov.hk/pdf_e/e53ch10.pdf
- Provision of a bypass in
Tuen Mun West
CEDD Handbook on https://www.cedd.gov.hk/eng/publications/eacsb-
Selection, Appointment handbook/index.html
and Administration of
Engineering and
Associated Consultants
(EACSB Handbook)

CEDD Port Works Design -

Manual
DEVB Cyber Manual for http://devb.host.ccgo.hksarg/en/contactus/index.html
Greening
DEVB Design for Safety http://www.devb.gov.hk/en/publications_and_press_releases/pu
Guidelines blications/index.html
Guidance Notes of Design for Safety
Worked Examples of Design for Safety

DEVB Greening http://www.greening.gov.hk/en/index.html
Guidelines
Guidelines on Greening of Noise Barriers
Guiding Principles on Use of Native Plant Species in Public

Works Project
>>>
Proper Planting Practices
DEVB PWPIS Data -
Administration Manual,
Version 4.1, May 2009
DEVB The Code of http://www.devb.gov.hk/filemanager/en/content_29/CoP_MM
Practice on Monitoring and W.pdf
Maintenance of Water-
carrying Services Affecting
Slopes
DEVB Construction Site http://www.devb.gov.hk/en/publications_and_press_releases/pu
Safety Manual blications/construction_site_safety_manual/index.html
>>>

DEVB Tree Management http://www.greening.gov.hk/en/tree_care/tree_maintenance.ht

Guidelines ml
https://www.greening.gov.hk/en/tree_care/tra_arrangements.ht
ml
Guideline on Pavement Renovation Works and Tree Stability
Guidelines on Tree Transplanting
Guidelines on Yard Waste Reduction and Treatment
Guidelines for Tree Risk Assessment and Management

Arrangement on an Area Basis and on a Tree Basis
Management Guidelines for Stonewall Trees
Management Guidelines for Mature Trees
>>>
Guidelines on Tree Preservation during Development
GEO Geotechnical Manual https://www.cedd.gov.hk/eng/publications/geo/geo-
for Slopes gms/index.html
GEO Highway Slope https://www.cedd.gov.hk/eng/publications/geo/geo-
Manual hsm/index.html
HyD Structures Design http://www.hyd.gov.hk/en/publications_and_publicity/publicati
Manual for Highways and ons/index.html
Railways
HyD Requirements for https://www.hyd.gov.hk/en/publications_and_publicity/publicat
Handover of Vegetation to ions/technical_document/handover_of_vegetation/index.html
>>>
Highways Department
HyD Public Lighting http://www.hyd.gov.hk/en/publications_and_publicity/publicati
Design Manual ons/technical_document/public_lighting_design_manual/index.
html
PlanD Hong Kong http://www.pland.gov.hk/pland_en/tech_doc/hkpsg/full/index.h
Planning Standards and tm
Guidelines
TD Transport Planning and -
Design Manual
WSD Civil Engineering -
Design Manual Volumes I
and II
WSD Manual of https://www.wsd.gov.hk/en/publications-and-
Mainlaying Practice (2012 statistics/guidelines-reports-drawings-
Edition) specifications/mainlaying-practice/index.html

Labour Department http://www.labour.gov.hk/eng/news/pdf/GN_on_S&H_of_Han

Guidance Notes on Safety d-dug_Tunnelling_Work_Eng.pdf
and Health of Hand-dug
Tunnelling Work
>>>
>>>

APPENDICES
>>>
>>>

APPENDIX 4.1 CHECK LIST FOR DETAILED DESIGN
PWP No. ____________________________________________
Project Title ____________________________________________
Project File ____________________________________________
Contract No. ____________________________________________
Contract Title ____________________________________________
Contract File ____________________________________________
PREPARATION OF DESIGN CALCULATIONS AND DRAWINGS
>>>
Activities Initial Designation Date
1. Instruct GR to open a design (project
calculation file engineer)
2. Pass design calculation file to

project engineer (G.R.)
3. Prepare design calculations; (project

signed and dated engineer/AE
/CEG
>>>
4. Pass completed design
calculations in file to an officer
referred to in Paragraph 3.3.10 (project
for engineer/ arithmetical engineer/AE
checks /CEG
5. Carry out arithmetical checks (project

on design calculations, signed engineer/AE
and dated /CEG
6. Return design calculations in

file
engineer/ (project
to project engineer engineer/AE
/CEG

CERTIFICATION AND CHECKING
7. Prepare drawings and sign for (project

'design' of drawings engineer/AE/
CEG
8. Certify the completion of design
calculations and drawings in
standard
certificate (Appendix 4.3 or (project
Appendix 4.22) engineer)
9. Pass certification, design

memorandum, design (project
calculations and drawings to SE engineer)
>>>
10. Pass documents in activity 9
to CE/Regional Office Head (SE)
11. Decide on checking approach to

be adopted, appoint Checking
Engineer and pass documents in (CE/Regional
activity 9 to Checking Engineer Office Head)
12. Check design and drawings,

certify for completion of
>>>
checking process in standard
certificate (Appendix 4.3 or (Checking
Appendix 4.22) Engineer)
13. Check drawings, if other (other Go to Table of Content

departments are involved in the department's
Works, for proper incorporation checking
of their requirements officer)
14. Return documents in activity 9

and check certification to project (Checking
engineer Engineer)
15. Submit documents in activity 9

and check certification to (project
CE/Regional Office Head engineer)

COMPILATION OF DESIGN RECORDS
16. Signify approval of drawings

and return documents in
activity 9 and check certificate (CE/Regional
to project engineer Office Head)
17. Instruct drawing office to
compile permanent design (project
records and index engineer)
18. Compile permanent design

records and index and pass to (drawing
project engineer office)
>>>
19. Check permanent design (project
records and index engineer)
20. Where applicable, complete (project
design notes engineer)
21. Where applicable, send design

notes
(project (project
to GR for filing engineer)
>>>
22. File design notes (GR)
23. Send permanent design records (project
and index to drawing office engineer)
24. Maintain permanent design records

(drawing (drawing
and index office)
25. Where applicable, send index (drawing

to departmental library office)

Notes 1. The project engineer should be an officer of professional engineer status.

Notwithstanding that the project engineer can delegate parts of the design work
to assistant engineers or civil engineering graduates, he should still remain
responsible for the whole design.
2. For projects designed in-house, the Checking Engineer is generally the checking
officer, separate from the project engineer, responsible for the independent
check of the design.
3. For projects designed by consultants or contractors employed by the
Government, the Checking Engineer is the professional, the team of
professionals, the company or the organization separate from the Designer and
being responsible for the independent check of the design.
4. The checking officer should be an officer of professional engineer status or

above and suitably experienced in the type of design to be checked.
5. In the case of a simple and straightforward design where the professional
>>>
engineer has delegated the design work to his assistant engineer or civil
engineering graduate and he in turn checks the design, the professional engineer
should sign for the relevant items in the check list for both the project engineer
and the checking officer. However, it is always desirable to avoid such an
arrangement, by having a checking officer outside the design team.
6. The checking procedures may be modified to suit the practice of project office
as directed by the CE/Regional Office Head.
7. Geotechnical design of all new slopes and retaining walls, together with the
findings of geotechnical investigations and studies on existing man-made slopes
and retaining walls which may affect or be affected by the proposed project, are
required to be submitted to GEO for checking in accordance with ETWB
>>>
TCW No. 29/2002.
8. Ground investigation works, demolition works and any necessary stabilisation
works for adjoining ground, slopes and retaining walls, site formation and
foundation works with clear information on the envelope of all bulk excavation
works, excavation and lateral support works, groundwater drainage works, and
natural terrain hazard studies and mitigation measures, within the Mid-levels
Scheduled Area, shall be submitted to GEO for checking in accordance with
ETWB TCW No. 29/2002A.
9. Geotechnical design of all permanent foundation works, together with the

findings of geotechnical investigations, within the Scheduled Areas of
Northwest New Territories and Ma On Shan, and in the Designated Area of
Northshore Lantau, shall be submitted to GEO for checking. Details of the
information to be included in the geotechnical design submission are given in
Appendix B of ETWB TCW No. 4/2004.
10. Geotechnical design of all tunnel works and any associated temporary works,
where such works would pose a significant risk to public life or property, are

required to be submitted to GEO for audit. Details of the information to be

included in the geotechnical design submission including risk assessments are
given in Appendix A of ETWB TCW No. 15/2005.
>>>
>>>

APPENDIX 4.2 EXAMPLES OF EXPLANATORY MEMORANDUM/LETTER

USED FOR THE CIRCULATION OF THE GENERAL LAYOUT
PLAN
便箋 MEMO
Chief Engineer/
發文人 From Water Supplies Department 受文人 To Distribution
( ) in WSD
檔號 Ref (經辦人 Attn. )
電話 Tel. No. 來文檔號 Your Ref.
傳真 Fax. No. 日期 dated 傳真 Fax No.
日期 Date 總頁數 Total Pages
(Project Title)
Please find enclosed for your information and comment the hard copy and electronic
version of the following Layout Plans showing the Works scheduled to be carried out during
>>>
the period.........................
Drawing No. Title
(a) Alignment Plan(Sheet of )
(b) Alignment Plan(Sheet of )
2. In particular, the following information is requested :
(a) HKPF and TD to advise on :
(i) Any special road opening conditions to be imposed from the traffic point
of view.
>>>
(ii) Any location which, on particular days, will require the trench work to
be completely stopped and the open trench to be backfilled temporarily
for traffic reasons.
(b) DSD to return to me one copy of each drawing marked up with their services
that may be affected.
(c) FSD to indicate the location of the fire hydrant tees required.
3. Trees located within the site as marked on Drawing No. .......... will need to be felled
to make way for the Works. AFCD/LCSD * is requested to give their consent to the tree felling.
4. Your reply, within one month from the date of this memo, will be appreciated.
for Chief Engineer/

Water Supplies Department
Distribution

AFCD ) DSD ) w/ two sets

ArchSD ) FSD ) of drawings.
DO/HAD )
GEO, CEDD )
HKPF ) w/one set
HyD ) of drawings.
LCSD )
PM( ), CEDD )
TD )
* delete where inappropriate (DEVB TCW Nos. 6/2015 and 4/2020)
>>>
>>>

CIRCULATION TO UTILITY UNDERTAKINGS
Dear Sirs,
Contract No. ................…......

(Title)
................................................
I enclose ….. hard copy(ies)*, an electronic version each of the following Layout
Plans (and ELP-Readme.rtf) showing the proposed mainlaying work
in ..........................................
Drawing No. Title
It is expected that works will be carried out during the period ........................... I
should be grateful if you would return to me …..hard copy(ies)* and electronic version of each
drawing marked up showing your services that may be affected.
>>>
Your reply, within one month from the date of this letter, will be appreciated.
Yours faithfully,
for Chief Engineer

Addressees :
For Works on H.K. Island For Works in Kowloon and New Territories
>>>
Hong Kong Tramways Co. Ltd.
The Hongkong Electric Co. Ltd. CLP Power Hong Kong Ltd.
Hong Kong & China Gas Co. Ltd. Hong Kong & China Gas Co. Ltd.
Towngas Telecommunication Fixed Network Towngas Telecommunication Fixed Network
Ltd. Ltd.
MTR Corporation Limited MTR Corporation Limited
The Kowloon Motor Bus Co., (1933) Ltd. The Kowloon Motor Bus Co., (1933) Ltd.
City Bus Co. Ltd. City Bus Co. Ltd.
New World First Bus Services Ltd. New World First Bus Services Ltd.
Wharf T & T Ltd. Wharf T & T Ltd.
Hutchison Global Communications Ltd. Hutchison Global Communications Ltd.
New World Telecommunications Ltd. New World Telecommunications Ltd.
New T&T Hong Kong Ltd. New T&T Hong Kong Ltd.
SmartTone Communications Limited SmartTone Communications Limited
Hong Kong Broadband Network Ltd. Hong Kong Broadband Network Ltd.

For Works on H.K. Island For Works in Kowloon and New Territories
Hong Kong Cable Television Ltd. Hong Kong Cable Television Ltd.
PCCW-HKT Telephone Ltd. PCCW-HKT Telephone Ltd.
TraxComm Limited TraxComm Limited
HKC Network Ltd. HKC Network Ltd.
Transport Department Transport Department
EMSD EMSD
HyD, Lighting Division HyD, Lighting Division
DSD DSD
Note : Add/delete utilities as appropriate.

( )* : Hard copies of layout plan should only be sent if there are special reasons.
Refer to ETWB TCW No. 7/2003A.
>>>
>>>

ELP-Readme.rtf (Sample)
ELP Drawing File Name: ELP-W20071-0 (created on 10/02/2003)
Project No. : 9257 WF

Contract Title : Siu Ho Wan Water Treatment Works Extension
Pui O Raw Water Pumping Station and associated Mainlaying
Department : Water Supplies Department
Instructions for Use
1. Please read the Conditions to Use in the layer of layer name arc018_C of the ELP
drawing(s) before reading, inspecting, using it/them. You are deemed to have accepted
the Conditions of Use if you use whether wholly or in part the ELP drawing(s) or the
layout information contained therein.
2. Please check the drawing files containing in this ELP's against the list as shown at
>>>
below. Please report to WSD if there is any discrepancy.
Drawing files W20071Cali1.dwg
W20071Cali2.dwg
Model files WDC-W20071-P-10SW21C-E.dwg WDC-W20071-P-10SW21D-E.dwg
WDC-W20071-P-CKEYPLAN-N.dwg WDC-W20071-P-CMAIN1-N.dwg
WDC-W20071-P-CMAIN2-N.dwg
3. The following softwares are required to read or print the ELP:

MS Word 97 or above - all text document
AutoCAD 2000 or above - Drawings
Adobe Acrobat Reader 4 or above - all "image" files
>>>
Crypto Tools v2.4 or above - all "signed" files
4. All Layout Plans are prepared in compliance with the CAD Standard for Works Projects
as stipulated at ETWB TCW No. 38/2002 and 38/2002A. All documents should be
printed on A4 paper from a laser printer. For Drawings, A3 size or larger is
recommended for best reading comfort.
5. All Document Files and Drawing Files are Digitally Signed. Digital Signatures are
neither intended to certify that ELP's are true copies of the hard copy versions of the
corresponding Layout Plans nor to validate the identities of the persons approving the
Layout Plans.
6. If the Utility Undertaking (UU) wishes to obtain further information about the ELP's,
the UU may contact E/Des( ), Water Supplies Department at telephone no. 2829 xxxx.

APPENDIX 4.3 CERTIFICATION BY PROJECT ENGINEER AND CHECKING

ENGINEER
Project Title : ______________________________________
Contract No. : ______________________________________
Contract Title : ______________________________________
Design Checking Approach:
.......................................................................................................................................
We certify that :
(a) the design has been prepared in compliance with the standards set out in :
>>>
(i) the design memorandum of the contract (copy attached).
Civil Engineering/Technical Manuals listed below:
.............................................................................................................................
(iii) Technical Circulars and Practice Notes listed below :
..............................................................................................................................
..............................................................................................................................
..............................................................................................................................
>>>
(iv) Other relevant codes of practices, standards, etc. listed below :
..............................................................................................................................
..............................................................................................................................
(b) the design has been accurately translated into Contract Drawings.
(c) the geotechnical design has been agreed by GEO. (Copy of GEO's memo
attached)
Project ( Signature : .....................................

Engineer ( Name : .....................................
( Designation : .....................................
( Date : .....................................
Checking ( Signature : .....................................

Engineer ( Name : .....................................
( Designation : .....................................
( Date : .....................................

APPENDIX 4.4 ESTIMATE DESCRIPTION
ESTIMATE DESCRIPTION
• Works Package
• PWP Number, PWP Category
• Agreement/Contract Number
• Estimate Date
• Date of previous estimate
Scope • Precise description of the scope of work covered by this estimate
• Precise description of any approved Trends included in the scope
since previous estimate and their reference.
Type of Contract • State type of works contract - remeasurement, cost-centre, lump-
sum and so forth.
• State any likely departure from GCCs.
>>>
Type of Estimate • Stage of design
• Type of Estimate
• Basis for measurement
• Basis for pricing
Assumptions List any assumptions made
Special Features List any special features stating inclusion or exclusion in the estimate
(e.g. pre-production of special steel formwork - INC fabrication yard at
Junk Bay - EXC temporary rail diversion)
Programme Bar chart programme and list of milestone, timing or programme
Assumptions considerations
(e.g. shiftwork required for E&M activities handover of site areas for
adjacent project)
>>>
Project Interfaces • list interfaces with other project, illustrated with a project sketch if
needed.
Price Change • Assumptions and calculation of price change from previous
estimate to current baseline date.
• For awarded lump sum contracts reconcile the awarded value in
terms of price change assumptions.
• For awarded contracts with provision for price fluctuations, the
price fluctuations shall be reported as separate items.
ERA • Calculations of project contingency
• Calculations of contract contingency
Design Development • Basis of the calculation of allowance for increased costs due to
Allowance minor changes as a result of uncertain design development at time
of estimate, but not covered by project contingency.
Entrustments and • Scope description, priced itemisation and details of the basis for
Assigned Embedded cost apportionment of the portions of projects entrusted, or
Work embedded in this element of work and included in this estimate.

Special Itemise other special considerations and data

Qualifications (e.g. - contractual inhibitions such as environmental requirements
- shiftwork on reclamation
- remote source of marine fill
- long haul for dumping of marine mud
- ground stabilisation required)
Reconciliation with Priced itemisation and why the difference in current to previous
previous Estimate estimate.
>>>
>>>

APPENDIX 4.5 LIST OF SOME RELEVANT AUTHORITIES
AUTHORITY DESCRIPTION REMARKS

ACABAS - Appearance of bridges and associated - for advice and agreement
structures
ArchSD, Design - Aesthetics of building structures - for advice
Advisory Panel
GEO - Geotechnical Computer programs - for advice/acceptance
- Design of borrow areas - for advice/agreement
- Use of explosives (site storage, delivery and - for advice/agreement
use)
- Blasting assessment - for advice and audit
- Permanent geotechnical works (slopes and - for advice/agreement
retaining walls, including natural terrain
hazards mitigation works)
- Permanent foundation works in Scheduled - for advice/agreement in
>>>
Area Nos. 2 and 4 and Designated Area in accordance with ETWB
the North Shore of Lantau Island TCW No. 4/2004
- Permanent tunnel works and associated - for advice and audit
temporary works
- The following works within the Mid-levels - for advice/agreement in
Scheduled Area (unless with exemption by accordance with ETWB
GEO): TCW No. 29/2002A
(i) ground investigation works;
(ii) demolition works and any necessary
stabilisation works for adjoining
ground, slopes and retaining walls;
(iii) site formation and foundation works
with clear information on the envelope
>>>
of all bulk excavation works;
(iv) excavation and lateral support works;
(v) groundwater drainage works; and
(vi) natural terrain hazard studies and
mitigation measures.
Marine Fill - Marine borrow areas - for approval
Committee - Disposal of dredged mud - for advice and approval
Public Fill Committee - Disposal of inert C&D materials - for advice and approval
EPD - Disposal of C&D waste - for advice and approval
- Sewerage Impact Assessments - for advice and approval
CEO, CE/TS - Maintenance of marine works - for comments
- Design of marine works - for advice
DCED - Permanent prestressed ground anchor - for approval
- Proprietary products for
permanent reinforced fill

AUTHORITY DESCRIPTION REMARKS

DSD - Operation and maintenance of public - for comments
drainage/sewerage facilities
- Design of drainage / sewerage works - for comments
- Sewerage Impact Assessments - for comments
- Drainage Impact Assessments - for advice and approval
HyD, CHE/Regional - Maintenance of highways structures - for comments
Office
HyD, SLA/LA - Landscape design for projects under HyD - for advice
HyD, CE/Lighting - Operation & Maintenance of lighting - for comments
installation
- Lighting Design - for advice
FSD - Fire escape routes, dangerous goods - for advice
licences
- Schedule and layout of fire fighting - for approval
equipment
TD, CE/RSS - Road Safety Design - for advice
>>>
TD, SE/Std - Highways alignment and traffic - for advice
management design
LCSD - Street names - for comments
LandsD, DLO - Ground anchor - for approval
CEDD, SLA/LA - Landscape design for projects under CEDD - for advice
DSD, LA - Landscape design for projects under DSD - for advice
WSD, LA - Landscape design for projects under WSD - for advice
LandsD, DD/SM - Destruction of survey monument - for agreement
EMSD - Operation and maintenance of E&M works - for advice- for comments
- Review on the potential application of
energy efficient features and renewable
>>>
energy technologies as listed in para. 10(c)
and (e), and Appendix A of DEVB TCW
No. 2/2015
OGCIO - Computer system - for approval
AFCD - Works within Country Parks - for approval
GLTMS - Non-conforming cases on site coverage of - for comments
greenery for new Government building
projects, which have been endorsed by
departments
WMCG - Exemption of planting on footbridges and - for approval
flyovers

APPENDIX 4.6 EXAMPLES OF DESIGN MEMORANDUM
A. A Design Memorandum of A Floodwater Pumping Station of DSD
1 Introduction
1.1 The proposed village polder scheme comprises a protective embankment, a dry
type floodwater storage pond and a floodwater pumping station.
1.2 The approximate 1,160 m long protective embankment protects the village
2
(approx. 37,000 m ) from inundation.
1.3 During a rainstorm, surface runoff is collected by peripheral surface channels

along the embankment and conveyed to the floodwater pond.
1.4 As the pond water rises to preset levels, pump(s) is/are triggered to operate and
the pond water is lifted over the embankment and discharged into nearby Sha
>>>
Po channel.
2. Design Criteria
Criteria
Hydraulic capacity of duty pump Capable of handling runoff arising
from rainstorms of 10 years return
period
Hydraulic capacity of both duty Capable of handling runoff arising
pump and standby pump in from rainstorms of 50 years return
operation period
>>>
3. Floodwater Pumping Station
3.1 The station comprises one duty and one standby screw pumps. During a
rainstorm, water collected in the floodwater pond passes through a bar screen at
the inlet of the pumping station into the screw pump trough chambers where it
is pumped over the protective bund and discharged to Sha Po channel outside
the polder.
3
3.2 One duty and one standby screw pump each of capacity 1.1 m /s at inclination
of 30 ∘ are selected. The screws are to be started with their maximum
capacities.
3.3 The pumping operation is automatic. The ON/OFF of pumps is triggered when
water level at the inlet chamber reaches predetermined levels at level electrode
sensors, which in turn initiates different modes of pumping operation.
3.4 A video surveillance system is used to save manpower in monitoring and

inspection of the pumping process. Video signals are transmitted to a control
centre set up at San Tin pumping station where remote monitoring and control

of crucial components of the pumping station can be carried out.
3.5 A single storey structure is built to accommodate electrical and mechanical

compliance like driving motors, control panel and other E&M appliances.
Separate compartments are provided for a standby generator, fuel storage tank
and CLP transformer.
3.6 The logic diagram for pumping operation is shown in Appendix I and the
schematic diagram in Appendix II.
3.7 The requirement of each functional components of the pumping station is as

follows:
(i) Inlet Screen
Type Manually raked bar screen

Number 1
>>>
Gap Width between Bars l00 - l50 mm (exact dimensions to
be determined by E&MP and ST
Divisions)
Thickness of Bar 25 mm (exact dimensions to be
determined by E&MP and ST
Divisions)
Dimension of Inlet Opening 3,400 mm wide x 2,060 mm high
(ii) Pumps
Type Archimedean Screw

Number 2 (1 duty + 1 standby)
>>>
Capacity (each) 1.10 m3/s
Level of Filling Point of Screws 1.80 mPD
Level of Chute Point 6.00 mPD
Mode of Control Automatic ON/OFF Control by
Electrodes and Remote Control
Dangerous Level Alarm ON 2.50 mPD
High Level Alarm ON 2.40 mPD
Duty Pump ON 1.50 mPD
Duty Pump OFF 1.20 mPD
Standby Pump ON 2.40 mPD
Standby Pump OFF 1.50 mPD
(iii) Standby Power Generator
Type To be determined by E&MP Div.

Number 1

The power of the generator can drive both the duty and standby pumps to
run at the same time.
(iv) Fuel Tank
Minimum storage of fuel to meet the need of 36-hour of operation of the

generator in running both the duty and standby pumps at the same time.
(v) Penstocks
Operating Platform
Penstock Size of
Location Invert Level Level Remark
Number Opening (mm)
(mPD) (mPD)
P1 Inlet Chamber 1000 x 1000 0.44 3.10 always OPEN
P2 Inlet Chamber 1000 x 1000 0.44 3.10 always OPEN
>>>
P3 Emergency 600 x 600 2.00 3.70 always CLOSE
Outlet (see Note) (see Note)
P4 Flow Control 250 x 250 1.70 3.49 OPEN as water

Chamber level < 1.95mPD
CLOSE as water
level > 2.10 mPD
The penstocks P1, P2, P3 and P4 can be both electrically and manually
operated but P4 is also automatically controlled by level electrode sensors.
>>>
Note: Emergency opening is always closed by penstock P3. Under
extreme situation such as failure of both duty and standby pumps, the
emergency opening is used to release floodwater accumulated within the
poldered area to the nearby channelled watercourse in a shortest possible
time when the water level at the watercourse is low enough to discourage
channel water from backflowing into the polder area.
(vi) Telemetry Control/Alarm System
Type Determined by E&MP Div.
Telemetry system for monitoring and remote control of the plan operation
are provided in aspect of the following operations:
- Switch ON/OFF of screw pumps;

- Operation of penstock P3;
- Transmission of signals of high water alarm and dangerous level
alarm to control centre at San Tin pumping station;
- Transmission of video signals received from video surveillance

system
(vii) Video Surveillance System
Video surveillance system for visual monitoring of crucial E&M and civil
works components and phenomenon as listed below:
- Water level at flood pond;
- Handraked bar screen at screw pump inlet chamber;
- Screw pumps;
- Penstock P3 at emergency outlet;
- Control panel.
(viii) Flow Measurement Device
>>>
This devise is used to measure the pumped outflow rate. The monitoring
electronic signals can be sent to the control centre.
(ix) Low Flow Pumps
Low flow pumps am used to keep the floodwater pond dry or unrainy
days.
Location at screw pump sump
>>>
Type Centrifugal (submersible)
Number 2 ( 1 duty + 1 standby )
Capacity (each) approx. 10 l/s Go to Table of Content
Duty pump IN level 1.0 mPD
Duty pump OFF level not above 0.5 mPD

B. A Design Memorandum of Water Supply to West Kowloon reclamation, stage 2

– remaining works, mainlaying along road NR9
1. INTRODUCTION
[Give information and description of project.]
2. MAINLAYING
2.1 DESIGN REFERENCE
Vertical profiles, horizontal alignments, associated fittings and thrust blocks are
designed in accordance with the recommendations given in the Civil Engineering
Design Manual Vol. II, the WSD’s Guidance Note on the Design of Thrust Blocks for
Buried Pipelines, and Manual of Mainlaying Practice, WSD.
>>>
[Stipulate the standards/references used in the corresponding structures or non-
structural elements]
2.2 MATERIALS
Pipes
Ductile Iron (DI) pipe shall be used.
Concrete
Grade 20/20D for thrust blocks and concrete surround.
>>>
[State the materials for different structures or under different design criteria.]
2.3 ALIGNMENT
All the pipes will be buried. Go to Table of Content
[General description of the alignment.]
2.4 COVER
Nominal cover for pipes laying under carriageway : min. 1000 mm
Nominal cover for pipes laying under footpath : min. 1000 mm
[Give details of the cover requirement.]
2.5 DESIGN PARAMETERS
Allowable vertical bearing pressure = 150 kN/m2

Unit weight of concrete = 23.6 kN/m3

Unit weight of water = 9.81 kN/m3
Unit weight of soil = 19.0 kN/m3
Earth cover at testing condition = 0.5 m
Coefficient of dynamic friction between = 0.5
soil and concrete
Coefficient of passive earth pressure = 3
Fraction of earth pressure mobilised = 1/6
[Give design parameters.]
2.6 PRESSURE
i. DN300 F.W. Mains
Top water level of Shek Kip Mei No. 2 & 3 F.W. Service Reservoir : 81.00
mAPD (refer P/R No. 20/95)
>>>
Invert level of proposed fresh water mains : 3 mAPD (approx.)
Working Pressure Testing Pressure
0.8 MPa 1.2 MPa
ii. DN200 S.W. Mains
Maximum pumping head at Cheung Sha Wan S.W. pumping station: 133 m
(refer to P/N No. 5/91)
Invert level of proposed salt water mains : 3 mAPD (approx.)
>>>
Working Pressure Testing Pressure
1.4 MPa 2.1 MPa
[State the testing pressures.]
2.7 COMPUTER SOFTWARE
Computer spreadsheet verified by hand calculation is used for the design of thrust
blocks.
3. DESIGN CODES AND REFERENCES
The following design codes and references are relevant:
1. BS8110 : Part 1 : 1985

Structural Use of Concrete : Part 1 Code of Practice for Design and Construction
2. Geoguide 1 – Guide to Retaining Wall Design, Second Edition by Geotechnical

Engineering Office, Civil Engineering Department, Hong Kong (1993)
3. Water Supplies Department Standard Drawings Volume I to III (1992)
4. Civil Engineering Design Manual Vol, II, Water Supplies Department
5. Manual of Mainlaying Practice (1997), Water Supplies Department
6. Guidance Note on the Design of Thrust Blocks for Buried Pipelines, Design
Division, Water Supplies Department
7. Planning Report No. 20/95 “Water Supply to West Kowloon Reclamation –

Stage II”
8. Planning Note No. 5/91 “Water Supply to West Kowloon Reclamation,

Reprovisioning of Cheung Sha Wan Salt Water Pumping Station”
[List the design codes and references to be used in the design.]
>>>
>>>

APPENDIX 4.7 CONTENTS OF A BLASTING ASSESSMENT
A Blasting Assessment shall consist of the following:
(a) Site plans clearly indicating the proposed areas of blasting and locations of all sensitive
receivers including streets, structures, foundations, railways, public utilities, water
mains, drains, sewers, gas mains and other services, geotechnical features such as
slopes, retaining walls, boulders, tunnels, caverns, etc. that may be damaged or
destabilised by the proposed blasting works.
(b) A report containing the results of a study, including the site topography, geology,
ground, groundwater and surface water conditions, and the physical site constraints,
sensitive receivers and site history.
(c) A report containing examination of the conditions of the sensitive receivers on and
adjacent to the site.
>>>
(d) A report containing an assessment of the effects of blasting works to demonstrate that
the proposed blasting would not cause any injury to persons or damage to property and
sensitive receivers.
(e) Proposals of preventive measures to be carried out for sensitive receivers, if considered
necessary.
(f) A list of the action limits to be specified for the implementation of blasting works,
including blasting vibration limits and air-overpressure limits, etc. to ensure that the
blasting works to be carried out would not cause any injury to persons, damage to
sensitive receivers, significant disruption to traffic or undue nuisance to the public. The
limits proposed shall take into account the existing conditions of all sensitive receivers.
The source of the limits and documentary evidence of consultation and agreement,
>>>
where appropriate, with the key stakeholders (e.g. owners or maintenance agents) of
the sensitive receivers shall be provided.
(g) An outline of the blast design to demonstrate that the blasting works could be safely
carried out and the proposed limits and any other constraints could be satisfied.
(h) A document setting out the safety management system to be employed, and the working
procedures and sequences, where appropriate, for all blasting works.
(i) Particulars of the site inspections, surveys and monitoring to be carried out to check
and measure the effects of blasting, including plans showing the locations of the
monitoring stations, the performance criteria and the action limits.
(j) Proposals of protective and precautionary measures to be taken, including any

evacuation and closure of public areas (such as roads and other facilities) and warnings
needed to protect the sensitive receivers and the safety of the public and workers.
(k) Proposals of the arrangement for delivery of explosives to the site to demonstrate the
practicability of completing the blasting works and the rock excavation needed within

the construction period.
(l) If an on-site explosive store is considered necessary, a report containing an assessment

of its feasibility and proposed arrangement.
>>>
>>>

APPENDIX 4.8 LIST OF CONSTITUENTS OF SUBMISSION ON

GEOTECHNICAL WORKS
Submissions on geotechnical works should include drawings showing the following

as appropriate:
(i) All permanent geotechnical works for slopes, retaining walls and natural terrain, as
well as the associated surface water and groundwater drainage works incorporating
the requirements of the report required in para. (F) below;
(ii) The existing nature of the site and the surrounds (including accurate survey plan with
ground level contours, geological conditions, groundwater conditions and surface
water conditions) and particulars of structures, foundations, public utilities, drains and
sewers and other services on and adjacent to the site and within the area influenced by
the proposed works;
(iii) Precautions to be taken to protect public safety whilst carrying out the works;
>>>
(iv) A schedule of the geotechnical design assumptions;
(v) The sequence of the construction and methods to be employed including any
restrictions to be imposed on blasting;
(vi) The particulars of the monitoring to be carried out for structures, services and ground
movements, variations of piezometric levels, blasting vibration, air-overpressure from
blasting, etc;
(vii) The supervision to be provided on site; and
(viii) Specifications and any other relevant particulars.
>>>
The submissions should be accompanied by supporting documentation including:
(A) An explanatory guide to the submission,
(B) A report containing the results of a study including topography, geology, groundwater,
surface water, site history, past landslides in the vicinity of the site, adjacent buildings,
structures, streets and land, public utilities, drains and sewers, planned and existing
pipelines, tunnels, water reservoirs, etc. and other services, and local geotechnical
records. Particular emphasis should be given to all relevant geological factors,
(C) A report containing the results of ground investigation field work and laboratory
testing including comprehensive details of equipment and procedures used,
(D) A statement of the independent supervision of the ground investigation field work and
laboratory testing actually undertaken, including the names and qualifications of the
supervisory staff employed,
(E) A report containing the results of site monitoring of groundwater conditions,

(F) A report containing critical examination and interpretation of information in paras.

(B), (C), (D) and (E) above, a schedule of the geotechnical design assumptions,
discussion of anticipated geotechnical problems and an outline of variations of the
works which should be adopted if, during the carrying out of the works, a geotechnical
design assumption is revealed to be erroneous so that the stability of the proposed
works cannot be adequately maintained either during construction or in the long term,
or damage due to settlement. The report should also include requirements for the
design and construction of the proposed works including testing, inspecting,
monitoring and maintenance requirements,
(G) A Blasting Assessment with the contents as given in Appendix 4.7 as appropriate, and
(H) Analysis sufficient to demonstrate that the geotechnical works will be stable both
during construction and in the long term, design calculations for all permanent
geotechnical works for slopes, retaining walls and natural terrain, assessment of the
effects of the works and their construction on the groundwater conditions, the site and
any structure, utility, geotechnical feature and members of the public, and calculations
>>>
for and consideration of all other relevant geotechnical matters. All such analyses,
calculations and assessments should be paginated and prefaced by a comprehensive
index.
For geotechnical submission requirements for foundation works in the Scheduled
Areas in the Northwest New Territories and Ma On Shan, and in the Designated Area of
Northshore Lantau, see Appendix B of ETWB TCW No. 4/2004.
For geotechnical submission requirements relating to tunnel works, see Appendix A

of ETWB TCW No. 15/2005.
>>>

APPENDIX 4.9 GUIDELINES FOR PREPARATION OF CONSTRUCTION AND

DEMOLITION MATERIAL MANAGEMENT PLAN
A Construction and Demolition Material Management Plan (C&DMMP) shall

include the following information:
Purpose
 Spell out the purpose of the C&DMMP
Background
 Highlight some background information of the project including policy

commitment or pledge
Scope of Project
>>>
 Spell out the scope of project (with layout plans)
Implementation Programme
 Supply an implementation programme (with critical paths shown)
Development Constraints
 Highlight the development constraints and assess whether these could be overcome
Development Options
>>>
 Spell out the preferred development option
 Give full justifications for adopting the preferred option
 Spell out other development options considered Go to Table of Content
 For each development option, estimate the quantity of C&D materials produced or
imported fill required and the associated technical, financial and programming
implications
Management of C&D Materials
 Give an overview of:
- Total quantity of C&D materials generated with breakdown of different types

of materials (e.g. inert soft C&D materials, Grade II or above rock (granitic
or volcanic or others), Grade III or below rock, C&D waste, etc.)
- Ways to minimise the generation of C&D materials

- Ways to maximise the use of inert C&D materials
- Ways to maximise the reuse of C&D materials and/or rock on site
- Ways to maximise the use of recycled C&D materials
 Disposal programme for each type of surplus C&D materials (i.e. inert soft portions,
rock and non-inert portions, etc.)
Conclusions
 Sum up the C&DMMP
Recommendations
 Give recommendations on the way forward
>>>
>>>

APPENDIX 4.10 DEPARTMENTAL CONSTRUCTION AND DEMOLITION

MATERIAL VETTING COMMITTEE SUGGESTED
COMPOSITION AND TERMS OF REFERENCE COMPOSITION
Chairman : D2 or above level

Secretary : senior professional rank or above
Members : at least one D1 officer and one senior professional
(both of whom are not involved in the project being examined)
Terms of Reference
(a) To scrutinise and endorse construction and demolition material

management plan (C&DMMP) and its revisions prepared by project
>>>
proponent;
(b) To monitor the implementation of the C&DMMP;
(c) To submit a half-yearly status report on the implementation of C&DMMP
in June and December to the Public Fill Committee (PFC) for
consideration; and
(d) To review those projects exempted from the C&DMMP and check if the
actual quantities of materials generated exceed the estimates that justify
the exemption. If so, take appropriate control measures and highlight the
situation in the half-yearly report for submission to PFC.
>>>

APPENDIX 4.11 GUIDELINES FOR MINIMISING THE GENERATION AND

MAXIMISING THE USE OF CONSTRUCTION AND
DEMOLITION MATERIALS
(a) For reclamation or earth-filling projects, maximise the use of inert C&D
materials (known as public fill) in lieu of imported sand or fill from other sources.
Consideration should also be given wherever possible to raise the formation level
of the project to increase the receiving capacity for public fill.
(b) For large-scale site formation projects, considerations should be given wherever
possible to adopt a terracing design for the platform, and/or raise the platform
level with a view to maximising filling or minimising cutting with retaining
structures and other slope stabilisation techniques.
(c) For large-scale site formation projects involving disposal of large amount of
surplus rock, consideration should be given at feasibility study or preliminary
>>>
design stage :
(i) to introduce an advance quarry contract or on-site crushing facilities to
process the surplus rock for on-site or off-site use; and
(ii) if (i) is not practicable, arrangements should be made to process the good
quality rock at existing quarries.
Where necessary, project officers should consult the Chief Geotechnical Engineer
of the Mines Division, GEO for advice on the appropriate arrangement to put to
full use the good quality rock.
(d) Maximise the reuse of inert C&D materials on site.
>>>
(e) Maximise the use of recycled inert C&D materials or products with recycled
aggregates such as concrete or paving blocks.
(f) Maximise the use of steel or aluminum formworks and falseworks. Go to Table of Content
(g) Identify and make provisions for on-site sorting as far as practicable.
(h) Project departments should monitor the annual amount of surplus C&D
materials generated from all their projects, with a view to limiting the annual
surplus to less than 0.3 million m3 for each project wherever possible.

APPENDIX 4.12 FLOW CHART FOR VETTING OF EIA / ER REPORT

Prior to EIA Study, the Project

Project Proponent consults Secy. of Secy. of PFC responds to the
Proponent PFC on any particular project profile regarding the
prepares the draft requirements regarding C&D proposed C&D material
ER Report material management to be management
incorporated into the project
profile (5 working days)
Project Proponent prepares the
project profile for submission to
DEP
Project Proponent submits draft EIA / ER Report to Secy. of PFC
Project generates less than Project generates more than

300,000 cu. m. of surplus 300,000 cu. m. of surplus materials
>>>
material or requires less than or requires more than 300,000 cu.
300,000 cu. m. of fill m. of fill
Secy. of PFC assesses the Secy. of PFC prepares a PFC paper
proposed C&DM management for PFC Members' comment on the
and informs the Project proposed C&DM management
Proponent of his / her comments
(5 working days)
(5 working days)
PFC members give their

comments
(5 working days)
>>>
Secy. of PFC compiles the
comments and advises the Project
Proponent
(5 working days)
Project Proponent does not
agree with the comments
and requests a special PFC
Meeting for discussion
Special PFC meeting for

resolution of controversial
matters
Secy. of PFC informs the

Project Proponent of the
recommended C&DM
management
(5 working days)
Project Proponent agrees to

incorporate the comments into the
revised EIA / ER report accordingly
Project Proponent submits the Final

ER Report to DEP / EIA Report under
EIAO
APPENDIX 4.13 TECHNICAL GUIDANCE ON USE OF HAND-DUG CAISSONS

1. Examples of situations where the use of hand-dug caissons should not normally
be permitted include :-
(a) coastal reclamation sites with high groundwater table,
(b) sites underlain by cavernous marble,
(c) deep foundation works (e.g. in excess of say 50 metres),
(d) landfill or chemically-contaminated sites,
(e) sites with a history of deep-seated ground movement,
(f) sites in close proximity to water or sewage tunnels,
>>>
(g) sites in close proximity to shallow foundations, and
(h) sites with loose fill having depths in excess of say 10 metres.
2. Examples of situations where the use of hand-dug caissons could be permitted

provided there are no further unfavourable factors include :
(a) steeply-sloping sites with hand-dug caissons of less than 25 metres in depth
in soil, and
(b) sites with difficult access or insufficient working room where it may be
>>>
impractical or unsafe to use mechanical plant.
3. Where hand-dug caissons are permitted, consideration should be given to the
following precautionary measures and preventive works, as appropriate :
(a) pre-grouting around each hand-dug caisson to increase the shear strength
and reduce the permeability of the ground,
(b) installation of cut-off walls or curtain grouting around the site boundary to
limit inflow of water,
(c) installation of dewatering wells within the site, possibly supplemented by

recharge wells around the periphery of the site to limit the groundwater
drawdown in adjacent ground,
(d) construction of the caissons in a suitable sequence,
(e) reduction in depth of each caisson digging stage,

(f) provision of immediate temporary support for the excavated face prior to
the casting of the concrete liner,
(g) provision of reinforcement to the concrete liner,
(h) provision of a drainage or relief well at the position of each caisson in

advance of manual excavation,
(i) avoidance of the introduction of new caisson gangs into partly-completed
excavations,
(j) completion of proper grouting of ground investigation boreholes and old

wells in the vicinity of hand-dug caissons,
(k) provision for good ventilation,
(l) use of well maintained and checked equipment,
>>>
(m) safety inspections,
(n) provision of safety equipment,
(o) making an assessment of the risks by a safety professional to the health and
safety of the workers whilst at work in caissons and implementing,
monitoring and reviewing the measures to comply with the requirements
under all existing safety legislation,
(p) monitoring and control of the potential health hazards e.g. poisonous gases,
oxygen deficiency, radon radiation and silica dust, and
>>>
(q) monitoring the ground water table and possibly the ground and sub-soil
movement by installing piezometers and inclinometers around the site
boundary when carrying out the foundations works.
References
- Hong Kong Institution of Engineers (1987). Guidance Notes on Hand-dug

Caissons. Hong Kong Institution of Engineers, Hong Kong, 15 p.
- Occupational Safety & Health Council (1993). Code of Safe Working Practices for
Hand-dug Caissons. Occupational Safety & Health Council, Hong Kong, 42 p.
- (GEO, 2006). Foundation Design and Construction (GEO Publication No. 1/2006).
Geotechnical Engineering Office, Hong Kong, 376 p.

APPENDIX 4.14 VARIOUS USES OF HARDWOOD ON CONSTRUCTION SITES

AND SOME SUGGESTIONS FOR ALTERNATIVES
(Subsumed from Appendix A of WBTC No. 32/92)
Possible Uses of Hardwood
1. Hardwood is being used for the following purposes :-
(a) Site Hoardings - in both the framing and the panelling.
(b) Formwork - defined as the mould against which concrete is

cast and which gives the shape and finish to the
concrete surface and which may be permanent
or temporary.
(c) Falsework - defined as a temporary structure used to support

formwork and a permanent structure until the
>>>
permanent structure is self-supporting.
(d) Trench support - defined as the shoring, strutting and propping
used to support temporary openings below
surface ground level.
(e) Primary fix - for example as framework for non load bearing
walls.
(f) Secondary fix - for example as doors, door frames, architraves,

skirtings, dado rails, cornices and trims.
(g) Fitted furniture - for example, as framing, worktops, and clashing
>>>
strips.
(h) Building maintenance - to replace existing, for example at
refurbishment, wooden block and strip floors.
2. All of these areas of construction work can be carried out using alternatives to
hardwood.
Site Hoardings
3. Site hoardings were traditionally built of hardwood. Some alternatives to

hardwood had been recommended by ArchSD. These alternatives include metal frames
and metal sheet coverings, softwood framing and softwood veneered plywood and
composite boards. These or other alternatives or combinations have already been in use
since 1 March 1993.
Formwork/Falsework and Trench Support
4. Temporary formwork/falsework is a major consumer of hardwood.

5. There are alternative materials for formwork :-
(a) plain or profiled steel sheeting as formwork to support in-situ concrete
(b) precast concrete
(c) structural steel sections
(d) softwood based plywood/medium density fibreboard
6. There are alternatives to falsework and trench support :-
(a) softwood
(b) metal props
(c) propriety steel systems.
>>>
7. Each alternative should be considered during the design stage and where benefits
can be gained in using one over another, this is to be encouraged. The requirements for
the use of materials other than hardwood for temporary formwork/falsework and trench
support should be stated in the contract.
Primary and Secondary Fix and Fitted Furniture
8. The use of hardwood for primary, secondary fix and fitted furniture should be
carefully considered at the design stage, and alternatives should be explored.
9. The question that needs to be addressed is whether or not hardwood should be

used to execute a piece of work. It is arguable that any piece of unseen carpentry or
>>>
joinery work should not be in hardwood and that only exposed items of carpentry or
joinery work should be considered for a hardwood finish.
10. Designers are encouraged to pay more attention to their detailing and where the
use of hardwood is unnecessary because it can be replaced by an alternative finish which
meets the design criteria, then the alternative should be given preference.
Building Maintenance
11. It is a fact of life that if hardwood is used in the original construction it will be
replaced at maintenance by similar when worn out. The designer should recognise this
fact.
12. It is equally important that perpetuation of the use of hardwood to replace

hardwood should be reconsidered by all involved in the maintenance of buildings and
refurbishment work, and where its incorporation in the works is unnecessary an
alternative material should be considered as the replacement.

Conclusion
13. With the proliferation of building materials available more thought is required
at the pre-tender stage to consider alternatives to hardwood. Further action on the
reduction in the use of hardwood on construction sites is being investigated and
reductions in the use of hardwood will be extended to other areas of construction.
>>>
>>>

APPENDIX 4.15 ESTIMATING USING RISK ANALYSIS (ERA) PRACTICE

NOTE
>>>
ESTIMATING USING RISK ANALYSIS
(ERA)
PRACTICE NOTE
>>>

CONTENTS
1.0 WHAT IS FINANCIAL RISK?
2.0 WHY ESTIMATING USING RISK ANALYSIS?
3.0 DEFINITIONS
4.0 ESTIMATING USING RISK ANALYSIS
5.0 IDENTIFYING SIGNIFICANT RISKS
6.0 ASSESSING PROBABILITY AND RISK ALLOWANCES
7.0 RECORDING RISK DATA
>>>
8.0 QUESTIONS AND ANSWERS SHEET
Annex A - Typical Risk in Construction Projects
Annex B - Probability Graph
Annex C - Format and Worked Example
Annex D - Questions and Answers Sheet
>>>
Annex E - Calculation Proforma Sheets

1.0 WHAT IS FINANCIAL RISK ?
1.1 Financial risk comes from the uncertainty about the cost consequences of
incomplete information. It means both uncertainty about the feature in
question (its scope) and the result of that uncertainty (its value).
1.2 Risks can arise from planning decisions, where the outcome cannot be
adequately costed. The majority of risks however, arise from matters yet
to be decided (e.g. incomplete brief or no site investigation). Risk
assessment of the cost of uncertain features will be present at all stages of
a project. The number of risks will normally decrease as a project
progresses through the stages of the Public Works Programme and as the
design and planning develop, but new risks may appear after planning is
complete and even during construction.
1.3 Risk can be referred to as a "contingency", or a "significant risk

allowance" or a "risk feature" or similar. The terms mean the same thing
i.e. the probable cost of uncertainty.
>>>
2.0 WHY ESTIMATING USING RISK ANALYSIS?
2.1 All too often risk is either ignored or dealt with in an arbitrary way by
simply adding (about) 10% "contingency".
2.2 The traditional manner of preparing a project estimate allows little scope
for provision against risks. Any allowance made for $ value of risk is
included on a once and for all basis with no formal method of updating it
other than for inflation. Risks are not separately identified for methodical
evaluation and the allowances are often set too high or double accounted
in an item and again in a general contingency sum.
>>>
2.3 Risk analysis should be one of the most creative but also exacting tasks of
project management. It should generate realism by encouraging problem
solving.
2.4 Estimating needs to be structured, logical, accountable and easy to explain

and trace. Estimating using Risk Analysis (ERA) does this.
2.5 ERA is a procedure to identify project (or contract) related risks in a

formal manner and then to give a realistic estimated cost for each risk
which makes the relevant importance of each risk immediately apparent.
2.6 As the project is developed towards the tender stage(s) the object is to
resolve as much of the uncertainty as possible, concentrating on the major
risks.

3.0 DEFINITIONS
3.1 There are two types of estimate viz :
(a) Base Estimate The "risk free" part i.e. the certain features, the work
that is unlikely to change, prepared by pricing the known features
using current rates and prices and standard techniques appropriate
to the stage of the project.
(b) Average Risk Estimate The total of all Average Risk Allowances (see
3.3) plus the Base Estimate. It is the figure reported as the estimate
in PWSC/FC papers and the like.
3.2 There are two types of Risk Assessment viz :
(a) Fixed Risk Assessment A risk which will be incurred as a whole or

not at all. Although an "all or nothing" allowance, the likelihood of
it occurring can vary and this likelihood or probability also needs to
>>>
be assessed.
e.g. A secondary access road can be required in total or not at all.
The need or probability may be assessed as "likely", therefore
the probability might be decided as a 65% chance of being
required (see Annex B).
(b) Variable Risk Assessment A (usually certain) risk relating to an event

or feature which can occur in varying degrees, with correspondingly
varying probabilities.
e.g. Piling, where the design and cost vary depending on the sub-
strata. Both the probability of using a particular piling solution
as well as the probable length of the piles have to be assessed to
estimate the allowance.
>>>
3.3 There are two types of Risk Allowance viz :
(a) Maximum Risk Allowance The estimated sum of money required if
a risk were to occur to its full extent. It is only used as the basis of
comparison with the Average Risk Allowance, and is not added into
the estimate build-up.
(b) Average Risk Allowance
(i) For a Fixed Risk, it is the product of the Maximum Risk

Allowance and the assessed probability of the risk occurring –
i.e. paras 3.2(a) x 3.3(a).
(ii) For a Variable Risk, it is the estimated sum of money which is

assessed as having a fifty/fifty chance (i.e. 50% probability) of
being exceeded. This may be anywhere on the probability chart
(Annex B).

In each case the project team is using their experience and judgment
to decide the probability.
4.0 ESTIMATING USING RISK ANALYSIS
4.1 ERA is not limited to projects (or contracts) of any particular type or value.
It is essentially a brain-storming process of compiling realistic forecasts
and answers to "what happens if?"
4.2 The main activities in ERA are :
(a) identifying significant risks,
(b) assessing the probability and extent of those risks occurring, and
(c) establishing appropriate $ values for the risks.
>>>
4.3 Any estimate is made up of two separate parts -
(a) the work, and
(b) the pricing.
ERA concentrates on (a), though if the accuracy of the prices is suspect, it

might be treated as a significant risk.
4.4 ERA is most useful when the unknowns are greatest i.e. Cat C and B. At
Cat A the work should be almost "risk free", but the estimate presentation
should not change.
>>>
4.5 The benefit of ERA will only be realised where risks are considered by the
project team (and when appropriate the client department) who should
initiate enquiries, obtain information and evaluate the risks together.
Identifying risks and assessing probabilities is a collective responsibility
which avoids the risk of incomplete commitment and inconsistent decisions.
4.6 Each significant risk is estimated separately. Only those risks which are
considered significant are included in the risk analysis. What constitutes a
significant risk will vary between projects.
4.7 The extent or scope of the work included in any estimate shall be set down
in a concise description of key features, referred to as the Estimate
Description.
4.8 As the project is developed the uncertainties are resolved. This continuing
process can identify cost reductions.
4.9 At each stage of re-estimating, each resolved risk becomes a known

requirement and its cost allowance is then added to the Base Estimate. If

the re-estimated cost of the resolved risk differs from its previous cost
allowance, this difference is -
if greater added as part of the re-estimated cost to the Base Estimate (i.e.
the total re-estimated cost is included and the increase funded
from the contingencies);
or if less held in the general contingencies to cover the cost of unresolved
risks that on review exceed the previous anticipated cost, or used
to compensate for any additional cost of other resolved risks
transferred to the Base Estimate, or for entirely new risks.
i.e. As a general rule surplus money from identified savings is held

in the general contingencies, not "lost" by reducing the Average
Risk Estimate. This is very important when the total value of
unresolved risk is relatively high (e.g. when the works will have
to be remeasured). Where there is a relatively low total
unresolved risk value (e.g. lump sum contracts) it may be
>>>
possible for the Cat A estimate to be reduced by the value of
savings made on resolved risks, particularly if the resolved risk
savings are from Fixed Risks. Judgment needs to be used.
4.10 The terms "general contingencies" and "contract contingencies" are used
in the example (at Annex C) to separate these contingencies from the term
"project contingencies". Whilst they are in effect the same thing, project
contingencies have a special meaning in ACP cost control procedures.
5.0 IDENTIFYING SIGNIFICANT RISKS
5.1 ERA requires the identification of those features of a project (or contract)
>>>
that are at risk of changing. The project team (and client department when
appropriate) should meet to analyse the risks at the feasibility stage and
thereafter when necessary to achieve the degree of information necessary
to identify all significant risks and reduce or eliminate them.
5.2 The risks included in any previous analysis shall be reviewed and identified
new risks included.
5.3 The approach to risk analysis is not based upon any established risk
classification. Risks identified as relevant and significant should be
arranged in the most appropriate groupings and order at each estimating
stage. The inclusion of a risk under a particular heading does not exclude
it from another (i.e. separating the Fixed Risk and the Variable Risk
elements).
5.4 The project team should keep sufficient notes on file to ensure that the
reason(s) for the inclusion or exclusion of a risk is sufficiently documented
to enable the origin to be easily identified at each review.

5.5 As each risk is identified its significance, whether it is a `fixed' or a

`variable' risk and its probability must be agreed.
5.6 Having identified and placed a value on each risk, the object is to
concentrate on resolving those with the highest cost
5.7 Preparing the Base Estimate and calculating Average Risk Allowances to
arrive at the Average Risk Estimate should be carried out by the officer (in
consultation, see para 4.5) responsible for compiling the overall project
estimate at each estimating stage.
5.8 A list of circumstances giving rise to risk in construction projects is at

Annex A. The list is not exhaustive.
6.0 ASSESSING PROBABILITY AND RISK ALLOWANCES
6.1 The process of assessing probability is the most unfamiliar aspect of ERA.
>>>
A scale of probability from 0% (chances are nil) to 100% (certain) is used.
In the former case the circumstance is not a risk and would not be
considered in the estimate. In the latter case the circumstance is also not a
risk but would be considered in the calculation of the Base Estimate.
Anything between the two extremes would be considered in the Risk
Analysis calculation if the risk was considered significant.
6.2 Assessment of probability is not an exact science, therefore it is appropriate

to use familiar language, which can be translated into a probability
percentage, as set out in Annex B. Examples from this are -
Statement Meaning Probability Suggested
>>>
for ERA
Highly unlikely Very little chance 10-20%
"Little chance" Not more than slight 31-40%
probability
- of occurrence
(fixed risks)
- of exceeding ......
(variable risks)
"Unlikely" - 41-50%
"Better than even" Average likelihood 51-60%
- of occurrence
(fixed risks)
- of exceeding ......
(variable risks)
"Likely" - 61-70%
"Highly likely" - 81-90%

6.3 The technique for assessing probability differs for Fixed Risks and
Variable Risks.
For Fixed Risks the probability is assessed against the Maximum Risk
Allowance and the Average Risk Allowance is
calculated from it (see para 3.3). The cost
consequences are assessed as in para 6.2 i.e. "little
chance" through to "highly likely" to be exceeded.
For Variable Risks the probability of "Average" is pre-determined (see
para 3.3(b)). The "Average" allowance has no
constant relationship to the Maximum Risk
Allowance i.e. the probability of a fifty/fifty chance
that the estimated cost will be exceeded does not
automatically equate to 50% of the Maximum Risk
Allowance. However, the cost consequences must be
assessed as for a Fixed Risk i.e. using Annex B.
>>>
6.4 Risk can also be interdependent (e.g. design solutions can affect the
tenderer's pricing, the contractor's operations and the client's cash flow).
Interdependent risks that are not individually significant should be listed
and treated as a single group. If the group is considered to be significant,
the combined risk allowance for it will equal the sum of the separate figures
for each feature in the group. But, any risk considered to be significant
must be assessed and allowed for separately.
7.0 RECORDING RISK DATA
7.1 The record that should be kept at each estimating stage is indicated in
the Worked Example at Annex C. ERA calculations should be to a
>>>
standard format varied to meet special needs. The proforma is at Annex
E.
8.0 QUESTIONS AND ANSWERS SHEET Go to Table of Content
8.1 A number of questions have been asked during ERA workshops. They are
set out, with answers at Annex D.

Annex A
Typical Risk in Construction Project
The list indicates the estimating stages at which the itemised risks are likely to have
significant cost consequences.
Feasibility Cat C Cat B Cat A

CLIENT
Schedule of
Accommodation/Engineering
Conditions/Specification
- Additional buildings/facilities * *
- Access roads * *
- Special facilities * * *
- Air conditioning/ventilation * * *
- Design development * * *
>>>
Timing
- Early/phased hand-over * * * *
- Delayed start on site * * * *
- Availability of funds * * * *
Financial/Contractual
- Unconventional tender action * * * *
- Special contract arrangements * * * *
- Availability of funds * * * *
Statutory Requirements
- Delay due to meeting requirements * * * *
>>>
- Fire service requirements * * * *
Quality Assurance/Standards
- Client department requirements * * * *
Site/Physical
- Difficulty of access * * * *
- Sub-strata type and variability * * *
- Ground water conditions * * *
Site/Environmental/Legal/Planning
- Planning requirements * * *
- Sewerage/waste treatment * * *
- Noise abatement * * *
- Availability of services * * *
- Occupied site * * * *
DESIGN
Suitability * * * *
Site Constraints

- Structural/foundation requirement * * *
Unfamiliarity
- Pioneer design * * * *
- Experience of design team * * * *
- Continuity of team * * * *
ESTIMATING/PRICING
Quality of pricing data
- Improvement in quality from the * * * *
Feasibility Stage
Accuracy of Pricing
- Changes of labour/materials/plant * * * *
costs
Market Conditions
- Tenderers response to anticipated * * * *
market situation at time of tendering
>>>
- location * * * *
Pricing data for Tenderers * * * *
CONSTRUCTION
Bankruptcy/Insolvency of Contractor(s) * * * *
Variations
- Effect on contract duration and price * * * *
- Effect of number of orders
Construction Delays
- Availability of labour/materials/plant * * * *
- Likelihood of claims * * * *
>>>
Number of Sub-Contractors * * * *
Site Management/Supervision * * * *

Annex B
This page should only be updated by Works Branch of Development Bureau.
>>>
>>>

>>>
>>>

Annex C
Example of ERA Calculation
PROJECT DETAILS
1.0 Estimating Stage
1.1 Outline Sketch Design Stage (Jan 91)
1.2 Inclusion in Category C
2.0 Information Known
2.1 The project is a new fifteen storey Multi-user Government Office Building at
Tuen Mun.
2.2 Client brief given at inception was in outline form with only basic space
>>>
standards stated. The brief contains a requirement for a functional area of
18 260 m2 but there is a good chance that a further 10% will be needed. Ancillary
and circulation adds 15% to area.
2.3 No site survey or site investigation has been undertaken but the area is known
for difficult ground conditions and piling is needed in most cases.
2.4 Crisis in the Middle East is threatening the price of oil, interest rates and
availability of credit.
2.5 Air-cooled A/C fan coil units is proposed but this may have to change to seawater
cooled which would incur increased mains water costs.
>>>
2.6 The plot ratio is 1:15 and the position of the building has not been decided on the
site.
2.7 ASD are acting as Project Managers and QS's but all other disciplines are
different consultants.
2.8 Base Estimate 18 260m2 + 15% = 20999m2

say 21 000m2 x $8,000.00/m2 = $168,000,000.00

Assessment of Risk
$
Design Development : overall cost 21 000m2 x $8,000 = 168,000,000

V maximum likely say 7.5% = 12,600,000
average risk say 5% = 8,400,000
Additional Space : maximum likely say 2 100m2 x $8,000 = 16,800,000

F average risk : probably say 70% = 11,760,000
Site Conditions : substructure 21 000m2 x $375 = 7,875,000
V maximum likely additional Piling Cost = 1,000,000
average risk say another $25 per m2 = 525,000
Market Conditions : indices based on TPI average
V Available : 3rd Qtr 90 = 582
Projection : 1st Qtr 91
say 610 + 5% location = say 640
: this is the TPI level of the OSD estimate.
>>>
maximum likely = (670 - 640)/640 x $168m
= $7,875,000 say $8,000,000
but is this enough in today conditions
i.e. Middle East crisis?
Suggest we use $8,500,000 = 8,500,000
average risk is based on the current

conditions and we feel that it’s as likely as
not that the average of the TPI will not be
enough : use say 655
average risk (655 - 640)/640 x $168m
= $3,937,500 say = 4,000,000
>>>
A/C Cooling Source : maximum likely :
V extra cost incl. mains supply say = 1,250,000
average risk :
extra cost of sea-water pipework say = 250,000
Access Road : cost of long access road

F maximum likely say = 500,000
average risk :
better than even say .50 probability = 250,000
Additional : maximum likely say 2.5% = 4,200,000

Client Requirements average risk say 1% = 1,680,000
V
Contract Variations : maximum likely say 7.5% = 12,600,000
V average risk say 5% = 8,400,000
Project Co-ordination : maximum likely say = 1,500,000
V average risk say = 500,000
Maintaining : Completing additional requirement in original
Contract Period anticipated Contract Period of 18 months
F maximum likely say = 1,750,000

average risk : likely say .60 probability = 1,000,000

Note : For maximum likely risk a probability factor of 1 in 10 of being exceeded has been assumed.
V= variable risk
F= fixed risk
ERA Calculation
(1) (2) (3) (4) (5) (6) (7)
Type Probability of Average Risk Max. Risk Spread Spread
Occurrence Allowance Allowance (5) - (4)$ Square
(Fixed Risks Only) $ $ $ x 10-5 $
Design Development V 8,400,000 12,600,000 42 1764

Additional Space F .70 11,760,000 16,800,000 50.4 2540.16
Site Conditions V 525,000 1,000,000 4.75 22.56
>>>
Market Conditions V 4,000,000 8,500,000 45 2025
A/C Cooling Source V 250,000 1,250,000 10 100
Access Road F .50 250,000 500,000 2.5 6.25
*Additional Client
Requirements V 1,680,000 4,200,000 25.2 635.04
*Contract Variations V 8,400,000 12,600,000 42 1764
*Project Co-ordination V 500,000 1,500,000 10 100
Contract Period F .60 1,000,000 1,750,000 7.5 56.25
Subtotal : $36,765,000 √
>>>
9013.26
Sq root = 94.94
Maximum Likely Addition =$9,494,000
Average Risk Estimate = Base Estimate + Average Risk Allowance = $204,765,000 (21.88% on base)
Maximum Likely Estimate = Base Estimate + Average Risk Allowance + Maximum Likely Addition
= $214,259,000 (27.54% on base)
The Project Estimate : Base Estimate $ 168,000,000

Average Risk ) * Contract Contingencies $ 10,580,000 ) Sub total at (4)
) ) split decided by
Allowances ) General Contingencies $ 26,185,000 ) project team
____________
The Average Risk Estimate $ 204,765,000
Note : Significant risk should be resolved as soon as possible because of high probability/high impact.
V = variable risk
F = fixed risk

Example of ERA Calculation
PROJECT DETAILS
1.0 Estimating Stage
1.1 Final Sketch Design Stage (Jan 92)
1.2 Inclusion in Category B
2.0 Information Known
2.1 The project is a new fifteen storey Multi-user Government Office in Tuen Mun.
2.2 Client brief now firmed up and space standards know. Actual gross floor area is
22 250m2.
>>>
2.3 Site investigation and site survey undertaken. Indication is that piling over 30m
will not be required but the ground bearing capacity will dictate the number of
piles and their bearing strengths. Site now found to be on partially filled land
with many obstructions hidden in ground.
2.4 Crisis in Middle East resolved, oil price stabilises, interest rates drop as inflation
comes under control.
2.5 Decision made to provide sea-water cooling for fan coil units, new mains
required.
2.6 Building positioned at rear of site with long access road.
>>>
2.7 End users identified for office block. We believe there is a possibility that the
external cladding will need to be enhanced. We may be restricted to front
elevation but we feel there is little chance that his will happen and all elevations
will be involved.
2.8 So far the interaction of the design disciplines has been very good.
2.9 Base Estimate 22,250m2 x $8,080.00/m2 say = $180,000,000.00

Assessment of Risk
: overall cost 22 250m2 x $8,080 = 180,000,000

Design Development maximum likely say 5% = 9,000,000
Additional Space : no longer a risk, in base estimate
Site Conditions : obstructions in ground
V maximum likely say = 750,000
average risk say = 250,000
Market Conditions : indices based on TPI average
V Available : 3rd Qtr91 = 573
Projection : 1st Qtr 91
say 610 + 5% location = 640
: market recession
maximum likely = (655 - 640)/640 x $180m
>>>
=$4,218,750 say = 4,250,000
average risk : market recession
chances are slight say 0% = 0
A/C Cooling Source : all cost included in base estimate
Access Road : all cost included in base estimate
External Cladding : concern over external cladding, public access
V and building location : likely to cost extra
maximum likely
say $500 per m2 cladding = 9 000m2 x $500 = 4,500,000
average risk
say $350/m2 cladding = 9,000m2 x $ 350 = 3,150,000
Redesign : redesign increases ground floor area by 25%
F other changes balance out because of better
>>>
wall/floor ratio's etc
maximum likely = 1,500m2 x 25% x $8,080 = 3,030,000
average risk : probable : 75% probability say = 2,275,000
Additional
Client Requirements : maximum likely now reduced to 2% = 3,600,000
Contract Variations : maximum likely say 7.5% = 13,500,000

Project Co-ordination : maximum likely a nominal $500,00 = 500,000
V no average risk as management is so good = 0
Maintaining : Completing additional requirement in original
Contract Period anticipated Contract Period of 18 months
F maximum likely say = 2,000,000
average risk : highly likely : .90 probability = 1,800,000
V= variable risk
F= fixed risk

ERA Calculation
(1) (2) (3) (4) (5) (6) (7)

Type Probability of Average Risk Max. Risk Spread Spread
Occurrence Allowance Allowance (5) - (4)$ Square
(Fixed Risks Only) $ $ $ x 10-5 $
Design Development V 5,400,000 9,000,000 36 1296
Additional Space F no longer a RISK
Site Conditions V 250,000 750,000 5 25
Market Conditions V 0 4,250,000 42.5 1806.25
A/C Cooling Source V no longer a RISK
Access Road F no longer a RISK
>>>
External Cladding V 3,150,000 4,500,000 13.5 182.25
Redesign F 2,275,000 3,030,000 7.55 57
*Additional Client 1,800,000 3,600,000 18
V 324
Requirements
*Contract Variations V 9,000,000 13,500,000 45 2025
*Project Co-ordination V 0 500,000 5 25

Maintaining Contract
F 1,800,000 2,000,000 2 4
Period
>>>
Subtotal : 23,675,000 5744.50
Sq root = 75.792
Maximum Likely Addition =$7,579,200
Average Risk Estimate = Base Estimate + Average Risk Allowance = 203,675,000 (13.15% on base)
Maximum Likely Estimate = Base Estimate + Average Risk Allowance + Maximum Likely Addition
= $211,254,200 (17.36% on base)
The Project Estimate : Base Estimate $ 180,000,000
Average Risk ) * Contract Contingencies $ 10,800,000 ) Sub total at (4)
) ) split decided
Allowances ) General Contingencies $ 12,875,000 ) by project team
The Average Risk Estimate $ 203,675,000
Note : Significant risk should be resolved as soon as possible because of high probability/high
impact.
V = variable risk
F = fixed risk

Annex D
ERA - Questions and Answers
Question Answer
1. In the example, why use the The full effect of all the significant risks
square/square root? occurring is unlikely. This calculation
produces a more accurate Maximum Likely
Addition. When added to produce the
Maximum Likely Estimate, the latter can be
used as a benchmark to assess the overall
reliability of the Average Risk Estimate.
2. The Variable Risk 50/50 chance of There is no easy explanation. One way of
being exceeded concept is hard to looking at it is by reference to the probability
understand. chart (Annex B). Alternatively, gauge the sum
of money that your experience tells you that
>>>
the "level" is about right, the sum of money
that reflects the average likely price for the
risk and to go any lower would mean that the
chance of being exceeded is higher than 50/50.
3. Given the way the probability chart Strictly speaking that is right. "Average"
if used, the word "average" does implies "in the middle" when assessing a risk
not seem correct. allowance. We use the word in the context of
estimating the general price-level of the risk.
4. Market conditions are a major risk. Whatever else we do, FB rules say we don't
How do we deal with it? forecast the market. The estimate is always
done at current prices i.e. the pricing data is
>>>
up-dated to reflect the prevailing market
conditions and ignores any obvious trend i.e.
the expected overall tender response to the
project should be allowed for by adjusting the
pricing data used in preparing the estimate.
Are the tenders likely to price higher/lower
than the pricing data?
5. If we cannot include an inflation This appears to be an anomaly between the

forecast in the estimate, how do we FB rules and what has to be done in practice.
arrange for and pay fluctuations? When asked, FB will refund money paid
against fluctuations. We initially deal with it
by using the contingency sum, which strictly
speaking should only be used for design
development and for the wholly unexpected
(within the original scope of the works) and
only ask FB if we run out of money. This point
has been raised with FB.

Question Answer
6. How do we present the estimate in It will look the same i.e. a list of the main scope
PWSC/FC paper? of work items, plus a contingency sum. The
price of each outstanding risk is added to the
appropriate work item, with the contingency
sum reflecting the design development
allowance plus the amount of "general"
contingencies held (see below).
7. What is the difference between At each stage in the PWP the project estimate
"contract" and "general" may represent more than one contract. Each
contingencies? contract will include a design development
contingency. As the uncertainties are
removed and if savings are identified, they are
"held" in a general contingency until the team
is happy that other existing risks will not turn
>>>
out to be much higher than expected, or that
some new risks won't occur. In which case the
savings can be reflected by reducing the
general contingency and the estimate, usually
when all or part of the project is to be up-
graded to Cat A.
8. The rates are a major risk. If they ERA focuses on exposing uncertainty so that
are wrong, the whole exercise is a the major uncertainties affecting the estimate
waste of time. What is being done? can be answered. The estimate still needs to
be realistically priced. For engineering
projects we are working on a schedule of
standard descriptions, and standard basic
>>>
elements, to be computerised so that pricing
information can be quickly up-dated. A
computerised data base is already available in
ArchSD. If you feel that the pricing data is not
appropriate, do a further risk assessment on
the pricing data.
9. What if there is a fixed risk that if it The estimated price for the road is included in
occurs, is a variable risk (e.g. in the Base Estimate. All other significant risks
access road in a cutting where associated with it are categorised as fixed or
soil/rock conditions are not variable risks and included in the Average
known)? Risk Estimate.

>>>
>>>

>>>
>>>

>>>
>>>

>>>
>>>

APPENDIX 4.16 GEO CHECKING CERTIFICATE FOR GEOTECHNICAL

FEATURES
File ref. :
To (Project Office/Department)
GEO Checking Certificate for Geotechnical Features
Agreement No. and Title :
Contract No. and Title :
>>>
Appendix A : Certificate of Design and Completion/Stability Assessment* of Geotechnical
Features (Submitted by the Project or Maintenance Department/Office or their
Consultants)
1. I confirm that the design/stability assessment* of the geotechnical features included in
the Certificate of Design and Completion/Stability Assessment* of Geotechnical
Features as given in Appendix A has been found to be satisfactory under the
Geotechnical Engineering Office's checking requirements.
2. (Other qualifying statements to be included as appropriate, if any)
>>>
Signed :
( )
Deputy Head of Geotechnical Engineering Office/_________
Civil Engineering and Development Department
Date :
* Delete whichever is not applicable.


DESIGNS/STABILITY ASSESSMENTS CARRIED OUT BY THE
PROJECT DEPARTMENT OR ITS CONSULTANTS
(Sheet 1 of 8)
To : Geotechnical Engineering Office
(Attn : Chief Geotechnical Engineer / )
Certificate of Design and Completion of Geotechnical Features
(to be completed by Project or Maintenance Department/Office or their Consultants)
Name of Government Department/Office :
Name of Consultants :
Appendix I : List of Features
Appendix II : Location Plans of Features Listed in Appendix I
Appendix III : Record Sheets of Features Listed in Appendix I
>>>
(see notes 1 & 4(i))
Part 1: Certificate of Design
We certify that :-
(a) we have exercised all reasonable skill and care to be expected of a professionally qualified and
competent person, experienced in work of a similar nature and scope, in the performance of
duties relating to the preparation, review, checking and certification of the design and
amendments of design of the geotechnical features as shown and described in the submissions
listed in Appendix I;
(b) the design and amendments of design shown in Appendix I complied with the relevant standards
at the time when they were carried out and an in-house independent check has been undertaken
and completed to confirm that they are complete, adequate, and valid, and all conditions imposed
under the Geotechnical Engineering Office's checking procedures in relation to the design and
amendments of design have been complied with; and
>>>
(c) The design and amendments of design shown in Appendix I have been conveyed accurately and
completely to the Engineer for the Contract for execution.
Date : Signed :
Name :
Designation : (note 2)
Part 2: Certificate of Completion

I certify that the geotechnical works for the features listed in Appendix I have been completed in accordance
with the design and amendments of design as conveyed to me by the designer.
Date : Signed :
Name :


PROJECT DEPARTMENT OR ITS CONSULTANTS (Sheet 2 of 8)

Certificate of Stability Assessment of Geotechnical Features

>>>
(see notes 1, 4(ii) & 5)
Part 1: Certificate of Stability Assessment
We certify that :-
(a) we have exercised all reasonable skill and care to be expected of a professionally qualified
and competent person, experienced in work of a similar nature and scope, in the
performance of duties relating to the preparation, review, checking and certification of
the stability assessment of the geotechnical features as shown and described in the
submissions listed in Appendix I;
(b) the stability assessment shown in Appendix I complied with the relevant standards at the
time when it was carried out and an in-house independent check has been undertaken and
completed to confirm that it is complete, adequate, and valid, and all conditions imposed
>>>
under the Geotechnical Engineering Office's checking procedures in relation to the
stability assessment have been complied with;
(c)* the stability assessment has been carried out based on a review of the previous
design*/stability assessment*, taking into account any significant changes in the
geotechnical features and their surroundings subsequent to the previous design*/stability
assessment*; and (note 5)
(d)* the key construction records for the geotechnical features listed in Appendix I are not
available, and the stability assessment has been based on the information as contained in
design reports and drawings, as well as site inspections. (note 5)
Date : Signed :
Name :
(*) – delete where inapplicable


Notes
1. Appendices are to be provided by the Project or Maintenance Department/Office or their
Consultants responsible for the design or stability assessment.
2. The person signing this Part should be the Senior Geotechnical Engineer or Senior Engineer or
above of the Project or Maintenance Department/Office or Partner/Director of the Consultants
responsible for the design or stability assessment.
3. The person signing this Part should be the Engineer/Architect for the contract or the
Engineer’s/Architect’s Representative with delegated authority to certify completion of the
works under the contract.
>>>
4. (i) For preparation of the DC Certificate (please see page A1), the Project or Maintenance
Department/Office or Consultants responsible for design should keep a running record
of Appendix I as the Project progresses through design stage and then construction stage.
Amendments of design including site instructions etc with geotechnical significance
should also be included in the record and be accurately and completely conveyed to the
Engineer for execution on site. Amendments of design which are geotechnically
significant are those which would affect the validity of the design which was previously
checked, or entail a significant change in the location, extent or form of the features or a
significant change of factor of safety or in the risk posed by the features. Examples
include an extension of a cut slope resulting from a change in layout of the development,
significant changes to soil nails lengths, degree of compaction of fill, groundwater model,
or siting a development on previously vacant land close to a feature etc. GEO should be
consulted in case of doubt.
(ii) For preparation of the SA Certificate (please see page A2), the Project or Maintenance
>>>
Department/Office or Consultants responsible for stability assessment should keep a
record of Appendix I of any previous design submissions made to GEO, the submission
of the stability assessment and the corresponding comments made by GEO.
5. A separate SA Certificate (please see page A2) should be prepared for each of the following
three types of slopes and retaining walls:
(i) those for which no previous design or stability assessment is available (i.e. only sections
(a) and (b) in Part 1 of the SA Certificate in page A2 should be used. Sections (c) and
(d) should be deleted);
(ii) those for which previous design is available and a review of the previous design has been
carried out based on as-built drawings and site records; or those for which previous
stability assessment is available and a review of the previous stability assessment has
been carried out (i.e. only sections (a), (b) and (c) in Part 1 of the SA Certificate in page
A2 should be used. Section (d) should be deleted); and
(iii) those for which previous design is available and a review of previous design has been
carried out based on design as given in the original design reports and drawings (i.e. all
sections in Part 1 of the SA Certificate in page A2 should be used).


Appendix I
List of Features
Applicant's File Ref. No.
GEO's File Ref. No.
Relevant Documents Checked(2) Memo Reference and Memo

Reference and
GEO Feature Date of Documents
Date of Remarks
No.(1) Drg. No. Report Title Submission to
Checker's
Checker(3)
Comments(3)
>>>
>>>

Notes : (1) If GEO Feature No. is not available, provide a reference no. shown in the location plans at
Appendix II.
(2) Not applicable if GEO checking on the design of prescriptive measures for slope upgrading
works has been waived.
(3) If GEO checking on the design of prescriptive measures has been waived, the date of documents
submitted for waiving the checking requirements and the response from GEO to the application
should be provided.
>>>
>>>


Appendix III
RECORD OF SLOPE/RETAINING WALL (SHEET 1 OF 4)
SLOPE/RETAINING WALL REFERENCE NO. (1)
SLOPE/RETAINING WALL LOCATION (ADDRESS)
MAP COORDINATES E TOE ELEVATION

(1980 DATUM) N (mPD)
TECHNICAL INFORMATION (Continue on separate sheets if necessary)
SLOPE RETAINING WALL
Material
Type of Wall
>>>
Description
Height (m) Height (m)
Length (m) Length (m)
Slope Angle Face Angle

Berms No. Minimum Berms No. Minimum
width (m) width (m)
Slope Surface
Cover
Drainage Size Spacing Drainage Size Spacing
(mm) (m) (mm) (m)
Weepholes/ Weepholes/
horizontal horizontal
>>>
drains drains
Channels : Channels :
at crest at crest
on berms
at toe Down pipes
on slope
Special Soil Nails Long Horizontal Special Soil Nails Long Horizontal Drain
measures Drain measures Rock Bolts
Anchors Rock Bolts Anchors
Buttress Wall
Reinforced Buttress Wall Reinforced
Earth Earth
Remarks :
Remarks :

TYPE AND SIZE OF SERVICES

On slope :
At crest :
Note: (1) Upon request, the Geotechnical Engineering Office can provide a slope or retaining wall
reference number if available.
>>>
>>>


Appendix III
RECORD OF SLOPE/RETAINING WALL (SHEET 2 OF 4)
SLOPE/RETAINING WALL REFERENCE NO.
INFORMATION ON CONSEQUENCE-TO-LIFE CATEGORY
What facilities will be affected if this slope or retaining wall collapses (e.g. school, market, playground,
highway, country park, etc)?
AT CREST (a) Type(s) of facility

(b) Distance(s)
AT TOE (a) Type(s) of facility
>>>
(b) Distance(s)
Consequence-to-life category of the slope or retaining wall (refer to PNAP 234) :
GENERAL INFORMATION
Date of ground investigation : Name & Address of Contractor :
Date of construction : Name & Address of Contractor :
Designed by (Firm) :
>>>
As-constructed drawing no.(s) :
Nearest raingauge(s)(1) :
OTHER INFORMATION
Prescriptive Measures carried out

Type 1 Measures Type 2 Measures Type 3 Measures
Stability Assessment carried out Evidence of checking by GEO
Remarks :
Record sheet prepared by : Firm :

Signature : Date :
Note: (1) Upon request, the Geotechnical Engineering Office can provide information about the locations of raingauges.


Appendix III
SLOPE/RETAINING WALL RECORD (SHEET 3 OF 4)

LOCATION PLAN (with scale) AND SITE PLAN (1:1000)
>>>
>>>

APPRNDIX 4.17 CERTIFICATE OF DESIGN AND COMPLETION OF

Appendix III
SLOPE/RETAINING WALL RECORD (SHEET 4 OF 4)
RECORD PHOTOGRAPHS (with comments, date and reference numbers)
>>>
>>>
Note: Add additional record sheets for photographs as necessary.


CONTRACTS (Sheet 1 of 5)

Certificate of Design and Completion of Geotechnical Features for Design & Build Contracts
Name of Consultants (where appointed as the
Supervising Officer) :
(see notes 1 & 5(i))
>>>
A. I/We certify that :-
(a) I/we have exercised all reasonable skill and care to be expected of a professionally qualified and competent
person, experienced in work of a similar nature and scope, in the performance of duties relating to the
preparation, review, checking and certification of the design and amendments of design of the geotechnical
features as shown and described in the submissions listed in Appendix I;
(b) the design and amendments of design of the geotechnical features listed in Appendix I complied with the
relevant standards at the time when they were carried out and an in-house independent check has been
undertaken and completed to confirm that they are complete, adequate, and valid, and all conditions
imposed under the Geotechnical Engineering Office’s checking procedures in relation to the design and
amendments of design have been complied with; and
(c) the design and amendments of design of the geotechnical features listed in Appendix I have been conveyed
accurately and completely to the Contractor for execution.
>>>
Date : Signed :
Name :
B. I/We certify that I/we have independently checked the design and amendments of design of the geotechnical
features listed in Appendix I using all reasonable skill and care and am/are satisfied that they complied with the
relevant standards at the time when they were carried out and the checking is completed.
Date : Signed :
Name :
C. I/We certify that the Employer's Requirements in respect of the design and amendments of design of the
geotechnical features listed in Appendix I have been met/and there is no evidence to cast doubt on the
certification given by the Design Checker*.
Date : Signed :
Name :



A. I/We certify that the geotechnical works for the geotechnical features listed in Appendix I have been
completed in accordance with the design and amendments of design as conveyed to me by the designer.
Date : Signed :
Name :
B. I/We certify that I/we have taken all steps as deemed necessary to satisfy myself/ourselves that appropriate
levels of supervision have been provided by the Contractor, that tests have been carried out according to
relevant standards, and that they were sufficiently timely and sufficiently frequent to ensure satisfactory
completion of the geotechnical works for the geotechnical features listed in Appendix I.
>>>
Date : Signed :
Name :
>>>



Certificate of Stability Assessment of Geotechnical Features for Design & Build Contracts
Name of Consultants (where appointed as the
Supervising Officer) :
(see notes 1, 5(ii) & 6)
>>>
Part 1: Certificate of Stability Assessment
(a) I/we have exercised all reasonable skill and care to be expected of a professionally qualified and
competent person, experienced in work of a similar nature and scope, in the performance of duties
relating to the preparation, review, checking and certification of the stability assessment of the
geotechnical features as shown and described in the submissions listed in Appendix I;
(b) the stability assessment of the geotechnical features listed in Appendix I complied with the relevant
standards at the time when it was carried out and an in-house independent check has been undertaken
and completed to confirm that it is complete, adequate, and valid, and all conditions imposed under the
Geotechnical Engineering Office’s checking procedures in relation to the stability assessment have been
complied with;
(c)* the stability assessment has been carried out based on a review of the previous design*/stability
assessment*, taking into account any significant changes in the geotechnical features and their
>>>
surroundings subsequent to the previous design*/stability assessment*; and (note 6)
(d)* the key construction records for the geotechnical features listed in Appendix I are not available, and the
stability assessment has been based on the information as contained in design reports and drawings, as
well as site inspections. (note 6)
Date : Signed :
Name :
B. I/We certify that I/we have independently checked the stability assessment of the geotechnical features listed in
Appendix I using all reasonable skill and care and am/are satisfied that it complied with the relevant standards
at the time when it was carried out and the checking is completed.
Date : Signed :
Name :


C. I/We certify that the Employer's Requirements in respect of the stability assessment of the geotechnical
features listed in Appendix I have been met/and there is no evidence to cast doubt on the certification
given by the Design Checker*.
Date : Signed :
Name :
>>>
>>>


Notes
1. Appendices are to be provided by the Project or Maintenance Department/Office or their consultants

(where appointed as the Supervising Officer (SO)).
2. The person signing Part 1A shall be a Registered Professional Engineer (Geotechnical) (RPE(G)) who
prepares the design and amendments of design.
3. Where a Design Checker is appointed under the Contract, Part 1B should be signed by the Design
Checker and Part 1C should be signed by the SO. The person signing in the capacity as the Design
Checker shall be a RPE(G). Where a Design Checker is not appointed, Part 1B and Part 1C should be
signed by the SO.
4. The person signing Part 2A should be the Authorised Agent of the Contractor, and the person signing
Part 2B should be the SO.
>>>
5. (i) For preparation of the DC Certificate (please see pages C1 and C2), the Project or Maintenance
Department/Office or their consultants should keep a running record of Appendix I as the
Project progresses. Amendments of design with geotechnical significance should also be
included in the record and be accurately and completely conveyed to the Contractor for
execution on site. Amendments of design which are geotechnically significant are those which
would affect the validity of the design which was previously checked, or entail a significant
change in the location, extent or form of the features or a significant change of factor of safety
or in the risk posed by the features. Examples include an extension of a cut slope resulting
from a change in layout of the development, significant changes to soil nails lengths, degree of
compaction of fill, groundwater model, siting of a development on previously vacant land close
to a feature, etc. GEO should be consulted in case of doubt.
(ii) For preparation of the SA Certificate (please see pages C3 and C4), the Project or Maintenance
Department/Office or their consultants should keep a running record of Appendix I of any
>>>
previous design submissions made to GEO, the submission of the stability assessment and the
corresponding comments made by GEO.
6. A separate SA Certificate (please see pages C3 and C4) should be prepared for each of the following
three types of slopes and retaining walls:
(i) those for which no previous design or stability assessment is available (i.e. only sections (a)
and (b) in Part 1A of the SA Certificate in page C3 should be used. Sections (c) and (d) should
be deleted);
(ii) those for which previous design is available and a review of the previous design has been
carried out based on as-built drawings and site records; or those for which previous stability
assessment is available and a review of the previous stability assessment has been carried out
(i.e. only sections (a), (b) and (c) in Part 1A of the SA Certificate in page C3 should be used.
Section (d) should be deleted); and
(iii) those for which previous design is available and a review of previous design has been carried
out based on design as given in the original design reports and drawings (i.e. all sections in
Part 1A of the SA Certificate in page C3 should be used).


GEOTECHNICAL FEATURES INVOLVING CONTRACTOR’S
DESIGN IN WORKS CONTRACTS OTHER THAN DESIGN &
BUILD CONTRACTS
(Sheet 1 of 3)
Certificate of Design and Completion of Geotechnical Features for
Non-Design & Build Contracts Involving Design or Alternative Design by Contractor
(see note 1)
>>>
(a) I/we have exercised all reasonable skill and care to be expected of a professionally qualified and competent
person, experienced in work of a similar nature and scope, in the performance of duties relating to the
preparation, review, checking and certification of the design and amendments of design of the geotechnical
features as shown and described in the submissions listed in Appendix I;
(b) the design and amendments of design of the geotechnical features listed in Appendix I complied with the
relevant standards at the time when they were carried out and an in-house independent check has been
undertaken and completed to confirm that they are complete, adequate, and valid, and all conditions imposed
under the Geotechnical Engineering Office’s checking procedures in relation to the design and amendments of
design have been complied with; and
(c) the design and amendments of design of the geotechnical features listed in Appendix I have been conveyed
accurately and completely to the Contractor for execution.
>>>
Date : Signed :
Name :
B. I/We certify that I/we have independently checked the design and amendments of design of the geotechnical features
listed in Appendix I, including making all necessary site inspections to confirm the design and amendments of design,
using all reasonable skill and care and am/are satisfied that they complied with the relevant standards at the time when
they were carried out and the checking is completed.
Date : Signed :
Name :
C. I/We certify that the design criteria in respect of the design and amendments of design of the geotechnical features
listed in Appendix I have been met/and there is no evidence to cast doubt on the certification given by the Independent
Checking Engineer.
Date : Signed :
Name :

>>>
>>>


BUILD CONTRACTS (Sheet 2 of 3)
I/We certify that the geotechnical works for the geotechnical features listed in Appendix I have been completed in
accordance with the design and amendments of design as conveyed to me by the designer.
Date : Signed :
Name :
>>>
>>>


BUILD CONTRACTS (Sheet 3 of 3)
Notes
1. Appendices are to be provided by the Project or Maintenance Department/Office or
their consultants.
2. The person signing Part 1A shall be a Registered Professional Engineer (Geotechnical)

(RPE(G)) who prepares the design and amendments of design.
3. Part 1B shall be signed by an Independent Checking Engineer (ICE) (as defined in

Appendix B of DEVB TCW No. 3/2014) who is responsible for the independent
checking. The person signing this part in the capacity as ICE shall be a RPE(G).
>>>
4. The person signing Part 1C should be the Senior Geotechnical Engineer or Senior
Engineer or above of the Project or Maintenance Department/Office or Partner/Director
of the Consultants responsible for specifying the design criteria.
5. The person signing Part 2A should be the Engineer/Architect for the contract or the
Engineer’s/Architect’s Representative with delegated authority to certify completion of
the works under the Contract.
6. For preparation of the DC Certificate (please see pageA1), the Project or Maintenance
Department/Office or their consultants should keep a running record of Appendix I as
the Project progresses. Amendments of design with geotechnical significance should
also be included in the record and be accurately and completely conveyed to the
Contractor for execution on site. Amendments of design which are geotechnically
>>>
significant are those which would affect the validity of the design which was previously
checked, or entail a significant change in the location, extent or form of the features or
a significant change of factor of safety or in the risk posed by the features. Examples
include an extension of a cut slope resulting from a change in layout of the development,
significant changes to soil nails lengths, degree of compaction of fill, groundwater
model, siting of a development on previously vacant land close to a feature, etc. GEO
should be consulted in case of doubt.
7. This form of Certificate is applicable to works involving design or alternative design

carried out by the Contractor under a non-design and build contract, in which the
Contractor is required to carry out the design for part of the works (i.e. no Engineer’s
design), or is allowed to provide an alternative design for the works (i.e. with Engineer’s
design).

APPENDIX 4.20 GUIDELINE ON PLANNING AND IMPLEMENTATION OF

GROUND INVESTIGATION PROJECTS IN ECOLOGICALLY
SENSITIVE AREAS
Purpose
1. Ground investigation (GI) projects are often carried out to support studies and public
works projects. The purpose of this guideline is to provide guidance to project
officers/consultants on the planning and implementation of GI projects in ecologically
sensitive areas. The aim is to provide guidance on implementation of GI projects
(especially on the associated access route/haul road) under the Environmental Impact
Assessment Ordinance (EIAO) (Cap. 499).
2. In this document, “ecologically sensitive areas” refer to those land-based areas, including
country parks or special areas, conservation areas, and sites of special scientific interest,
listed in Item Q.1 of Schedule 2 of the EIAO. This guideline will not cover sites of
cultural heritage 1 or other non-land based ecologically sensitive areas (including marine
parks or marine reserves) 2.
>>>
Introduction
3. Under ETWB Technical Circular (Works) No. 13/2003, “Guidelines and Procedures for
Environmental Impact Assessment of Government Projects and Proposals”, subject to
the advice of Director of Environmental Protection (DEP), ground investigation which
is for the purpose of detailed design and is not considered as the first phase of a
designated project can be classified as a non-designated project. Special attention should
be given to checking against whether the proposed GI works are within the sensitive
areas listed in Item Q.1 of Schedule 2 of the EIAO. If the proposed GI investigation
works fall within the ecologically sensitive areas and the works involved are not minor
in respect of environment impact, such works may become a designated project and if
required by the DEP the project proponent should follow the statutory EIAO procedure.
>>>
General Principles
4. GI projects commonly comprise GI works such as boreholes, trial pits, slope surface
stripping, etc. These works involve a very small amount of excavation and require a
small working area. However, where access routes or haul roads to the GI stations are
required to be formed, they may involve site clearance, excavation and removal of
massive quantities of soil, rock or trees, and disturbance to adjacent flora and fauna.
These works might result in significant and irrevocable damage to the environment.
5. The project office/consultants planning and managing a GI project in an ecologically

sensitive area should make a submission to EPD for their confirmation on whether the
project can be classified as a Non-Designated Project under the EIAO. EPD will consider
1
For GI projects within or affecting sites of cultural heritage, they should be conducted following the procedures
and requirements given in Development Bureau Technical Circular (Works) No. 6/2009 “Heritage Impact
Assessment Mechanism for Capital Works Projects”.
2
For GI projects within or affecting other non-land based ecologically sensitive areas, they should be considered
case by case. Proponents are encouraged to liaise with DEP about the implementation procedures and
requirements.

each GI project on a case-by-case basis. EPD will normally respond within 21 days upon
receipt of a finalised GI project proposal and the Director of Agriculture, Fisheries and
Conservation’s confirmation of no in-principle objection to the proposed GI works from
the project office/consultants. The GI project proposal should include a plan showing
the locations of proposed GI stations and access routes or haul roads, and contain
explanatory statements on the purpose, nature, scale and scope of the GI project. The
project office/consultants should confirm the compliance with this guideline. Relevant
information should also be provided by the project office/consultants to address the
issues mentioned in para. 11 and 12 of this guideline.
Planning of Ground Investigation Works
6. The general principles of mitigating ecological impacts, in order of priority, are

avoidance, minimisation and compensation. In planning the GI projects, project
offices/consultants must avoid potential impacts to the maximum extent practicable such
as adopting suitable alternatives. Unavoidable impacts shall be minimised by taking
appropriate and practicable measures. The loss of important species and habitats may be
provided elsewhere as compensation. For details of guidelines for ecological assessment,
>>>
project officers/consultants may refer to the Technical Memorandum on Environmental
Impact Assessment Process.
7. Some GI projects may be contiguous projects to designated projects under the EIAO.
Project officers/consultants are advised to seek EPD’s confirmation in accordance with
para. 3 of this guideline.
8. Although the volume of excavated soil/rock from individual GI stations is very small,
the project office/consultants planning the GI project should pay attention to their
aggregate effect on the environment. In this regard, they should keep the scale of the GI
works, in terms of areal extent and excavation volume, to the minimum possible, taking
into account the project requirements and the site conditions.
>>>
9. The project office/consultants should carry out a joint site reconnaissance with the GI
contractor, the land owner/maintenance agent and other concerned parties, to identify
suitable locations for GI stations and access routes which would involve the minimum
excavation and disturbance to existing vegetation and natural habitats. In an ecologically
sensitive area, appropriate authorities including AFCD, WSD (for GI works within water
gathering grounds) and EPD should be consulted, to give advice on areas within their
jurisdiction and on the conditions to be followed in the planning and carrying out of the
GI project.
10. If at the investigation stage an individual GI contract is to be let (and hence the GI
contractor is not yet on board), the project office/consultants should still carry out the
joint site reconnaissance with the land owner/maintenance agent and other concerned
parties, and consult the relevant authorities as described in para. 9 of this guideline. The
agreed locations of the GI stations and access routes or haul roads, together with the
conditions laid down by the relevant authorities, should be stated in the tender documents
for compliance by the GI contractor.
11. Where trees of particular value (e.g. Old and Valuable Trees) and/or vegetation of
protected/endangered/rare/precious species are found, the project office/consultants

should ensure that the GI stations and access routes or haul roads are set at a sufficient
distance away or otherwise protected to avoid adverse impacts. The project
office/consultants should consider positioning some of the GI stations near the edge of
the sensitive area for easy access from immediately outside the area.
12. The access routes should be planned in advance and carefully constructed to avoid
adverse impacts on the sensitive receivers such as water courses, wildlife habitats and
places of high visual value. In an ecologically sensitive area, the GI contractor should
not be allowed to carry out earthworks involving excavation of massive quantities of soil
or rock or clearance of a large number of trees to form an access route or a haul road.
The existing paths/tracks should be used as far as possible. In all areas, prior
agreement/approval should be obtained from land owners and relevant authorities before
commencement of works.
13. The project office/consultants should instruct the GI contractor to erect temporary
scaffolding platform and/or ladders for the purpose of providing access across sloping
ground and/or densely vegetated areas. The size of the scaffolding platforms should be
kept to the minimum necessary and the associated works for erecting the platforms
>>>
should avoid felling/trimming of trees as far as possible.
14. Where necessary, e.g. road access to the GI stations would require earthworks involving
excavation of massive quantities of soil or rock or clearance of a large number of trees,
the project office/consultants should instruct the GI contractor to deploy helicopters for
transport of plant and equipment to the GI stations instead of using road access.
15. The GI contractor should be required to ensure that the working area for each GI station
is kept to the minimum necessary (e.g. normally 8m x 2m for boreholes and 4m x 2m for
trial pits).
16. Where suitable flat working space is not available for drilling rigs, the project
office/consultants should instruct the GI contractor to erect temporary scaffolding
>>>
platforms and not to carry out earthworks involving excavation of massive quantities of
soil or rock or clearance of a large number of trees.
17. The Director of Agriculture, Fisheries and Conservation is the Country and Marine Parks
Authority under the Country Parks Ordinance (Cap. 208). For GI works that fall within
Country Parks or Special Areas, prior written consent from the Country and Marine Parks
Authority must be obtained before commencement of any works. The Country and
Marine Parks Authority will lay down conditions in giving consent to proposals on GI to
be carried out in country parks or special areas (see para. 20).
18. Where it is necessary to fell trees, the project office/consultants should obtain
advice/approval of land owners and relevant authorities. Relevant Government circulars
and guidelines on this are available at the Cyber Manual for Greening
(http://devb.host.ccgo.hksarg/en/contactus/index.html). Reference should also be made
to para. 4.10 of PAH Chapter 3, and DEVB TCW Nos. 4/2020 and 5/2020.
Implementation of Ground Investigation Works
19. The project office/consultants should provide site supervision to ensure that the GI

contractor complies with the conditions laid down by AFCD and EPD (EPD’s
recommended pollution control clauses for construction contracts are shown in Annex
A) and other authorities (e.g. by WSD for GI works in water gathering grounds) to protect
the environment, and that he will not carry out works in such a manner that would cause
undue adverse impacts on the sensitive receivers.
20. Upon completion of sampling, logging and insitu testing, the GI contractor should be
required to backfill all the GI stations, remove carefully all the temporary works and
surplus construction and excavation materials, and reinstate the site to its original
condition as far as practicable, in accordance with the specification.
21. The project office/consultants should take date-stamped photographs before, during and
after the works for record.
>>>
>>>

Annex A
Recommended Pollution Control Clauses for Construction Contracts
1. General
1.1 The Contractor shall undertake environmental protection measures to reduce the
environmental impacts arising from the execution of the Works. In particular,
he shall arrange his method of working to minimise the effects on the air, noise,
water quality as well as nuisance of waste within and outside the Site, on
transport routes and at the loading, dredging and dumping areas.
1.2 The Contractor shall observe and comply with relevant environmental
protection and pollution control ordinances. He shall maintain on site, and
provide one copy for the Engineer, with copies of the relevant enacted
ordinances and their regulations, which shall include, but not be limited to, the
following:
>>>
a. Air Pollution Control Ordinance (Cap 311);
b. Waste Disposal Ordinance (Cap 354);
c. Water Pollution Control Ordinance (Cap 358);
d. Noise Control Ordinance (Cap 400);
e. Dumping at Sea Ordinance (Cap 446);
f. Environmental Impact Assessment Ordinance (Cap 499);
>>>
g. Factories and Industrial Undertakings Ordinance (Cap 59);
h. Buildings Ordinance (Cap 123);
i. Buildings Ordinance (Application to New Territories) Ordinance (Cap Go to Table of Content

123);
j. Public Health and Municipal Services Ordinance (Cap 132);
k. Public Cleansing and Prevention of Nuisances (Regional Council) By-

Laws (Cap 132);
l. Public Cleansing and Prevention of Nuisances (Urban Council) By-Laws

(Cap 132);
m. Summary Offences Ordinance (Cap 228);
n. Merchant Shipping (Oil Pollution) (Hong Kong) Order;

o. Waste Disposal (Chemical Waste) (General) Regulation;
p. Air Pollution Control (Open Burning) Regulation;
q. Air Pollution Control (Construction Dust) Regulation;
r. Air Pollution Control (Furnaces Ovens and Chimneys) Installation and

Alteration Regulation.
1.3 The Contractor shall design, construct, operate and maintain pollution control
measures to ensure compliance with the contract provisions as well as the
environmental ordinances and their regulations. The Contractor shall also
conduct compliance monitoring following a programme as agreed with the
Engineer, and submit the monitoring results to the Engineer.
1.4 General mitigation measures shall include, but not be limited to, the following:
a. The Contractor shall take every precaution to prevent earth, rock or debris
>>>
from depositing on public or private rights of way as a result of his
operations including any deposits arising from the movement of plant or
vehicles. In the event of any earth, rock or debris from construction works
being deposited on public or private rights of way, all such earth, rock or
debris shall be immediately removed and the affected rights of way
restored to their original state by the Contractor to the satisfaction of the
Engineer.
b. In the event of any spoil or debris from construction works being

deposited on adjacent land or seabed or any silt washed down to any area,
all such spoil, debris or material and silt shall be immediately removed
and the affected land or seabed and areas restored to their natural state by
the Contractor to the satisfaction of the Engineer.
>>>
1.5 The Contractor shall make due allowance in his rates and in his programme for
the carrying out of the Works in compliance with the environmental protection
control requirements under the Contract.
2. Water Pollution Control
2.1 Water pollution control - general requirements
2.1.1 The Contractor shall observe and comply with the Water Pollution Control
Ordinance and its subsidiary regulation.
2.1.2 The Contractor shall carry out the Works in such a manner as to minimise
adverse impacts on the water quality during execution of the works. In
particular he shall arrange his method of working to minimise the effects
on the water quality within and outside the Site, on the transport routes
and at the loading, dredging and dumping areas.

2.1.3 The Contractor shall follow the practices, and be responsible for the
design, construction, operation and maintenance of all the mitigation
measures as specified in the Professional Persons Environmental
Consultative Committee Practice Note (ProPECC PN) 1/94 “Construction
Site Drainage” issued by the Director of Environmental Protection. The
design of the mitigation measures shall be submitted by the Contractor to
the Engineer for approval.
2.2 Marine Plant and Equipment
2.2.1 Two weeks before commencement of any marine works, the Contractor
shall submit to the Engineer for approval the proposed methods of
working and the marine plant and equipment to be used.
2.2.2 The marine plant and equipment to be used on the Works shall meet the
requirement in Clauses 2.3.1 and 2.3.3 and shall be operated to achieve
the water quality requirements. The Contractor shall provide all necessary
facilities to the Engineer for inspecting or checking such plant and
>>>
equipment and shall not use such plant and equipment for the execution
of the Works without the agreement of the Engineer. The Engineer may
require the Contractor to carry out trials of any plant and equipment to
prove their suitability.
2.2.3 After commencement of the Works, if the plant and equipment or work
methods are in the opinion of the Engineer causing unacceptable adverse
impacts which can be checked against the Technical Memorandum on
Effluent Standards issued under the Water Pollution Control Ordinance,
then the Engineer may notify the Contractor in writing and the Contractor
shall immediately initiate remedial measures so as to halt such
deterioration. If the contractor fails to initiate remedial measures, the
Engineer may stop the Works. Where such remedial measures include the
>>>
use of additional or alternative plant and equipment, such plant and
equipment shall not be used on the Works until agreed by the Engineer.
Where remedial measures include maintenance or modification of
previously approved plant and equipment, such plant and equipment shall
not be used on the Works until such maintenance or modification is
completed and the adequacy of the maintenance or modification is
demonstrated to the satisfaction of the Engineer.
2.2.4 The Contractor shall comply with the conditions of dumping permits
obtained from the Director of Environmental Protection. The permits
shall be prominently displayed in the Chinese and English language on
site and also on the dredgers and barges.
2.3 Avoidance of pollution during dredging, transporting and dumping of marine

mud
2.3.1 Pollution avoidance measures shall include, but not be limited to, the
following:

a. All equipment shall be designed and maintained to minimise the risk

of silt and other contaminants being released into the water column
or deposited in locations other than designated location;
b. Mechanical grabs shall be designed and maintained to avoid spillage

and shall seal tightly while being lifted;
c. Where trailing suction hopper dredgers for dredging of marine mud
are in use, overflow from the dredger and the operation of lean
mixture overboard systems shall not be permitted unless expressly
approved by the Engineer in consultation with the Director of
Environmental Protection;
d. Cutterheads of suction dredgers shall be suitable for the material

being excavated and shall be designed to minimise overbreak and
sedimentation around the cutter;
e. All vessels shall be sized such that adequate clearance is maintained
>>>
between vessels and the sea bed at all states of the tide to ensure that
undue turbidity is not generated by turbulence from vessel
movement or propeller wash;
f. All pipe leakages shall be repaired promptly and plant shall not be
operated with leaking pipes and all pipe leakages shall be repaired
promptly;
g. Before moving the vessels which are used for transporting dredged
materials, excess material shall be cleaned from the decks and
exposed fittings of vessels and the excess materials shall never be
dumped into the sea except at the approved locations;
>>>
h. Adequate freeboard shall be maintained on barges to ensure that
decks are not washed by wave action;
i. The Contractor shall monitor all vessels transporting material to
ensure that no dumping outside the approved location takes place.
The Contractor shall keep and produce logs and other records to
demonstrate compliance and that journey times are consistent with
designated locations and copies of such records shall be submitted
to the Engineer;
j. All bottom dumping vessels shall be fitted with tight fitting seals to
their bottom openings to prevent leakage of material;
k. Loading of barges and hoppers shall be controlled to prevent

splashing of dredged material to the surrounding water, and vessels
shall not be filled to a level which will cause overflowing of material
or polluted water during loading or transportation; and

l. The Engineer may monitor any or all vessels transporting material

to check that no dumping outside the approved location nor loss of
material during transportation takes place. The Contractor shall
provide all reasonable assistance to the Engineer for this purpose.
2.3.2 The Contractor shall be responsible for obtaining all necessary dumping
permits as stipulated in the Environment, Transport and Works Bureau
Technical Circular (Works) No. 34/2002 “Management of
Dredged/Excavated Sediment”. The dredged marine mud shall be
deposed of at a disposal site as designated in the dumping permit.
2.3.3 When dredging, transporting and disposing of contaminated marine mud,

the Contractor shall implement adequate measures for the avoidance of
pollution which shall include, but not be limited to, the following:
a. Dredging of contaminated marine mud shall be undertaken by a

suitable grab dredger using closed watertight grab;
>>>
b. Transport of contaminated marine mud shall be by split barge of not
less than 750 m3 capacity, well maintained and capable of rapid
opening and discharge at the disposal site;
c. The material shall be placed into the disposal pit by bottom
dumping;
d. Discharge from split barges shall take place within a radius of 100
metres of centre of the area allocated for the disposal of
contaminated marine mud;
e. Discharge shall be undertaken rapidly and the hoppers shall then

immediately be closed, material adhering to the sides of the hopper
>>>
shall not be washed out of the hopper and the hopper shall remain
closed until the barge next returns to the disposal site; and
f. The dumping vessel shall be anchored throughout the dumping
operation.
2.3.4 The Contractor shall ensure that all marine mud is disposed of at the
approved locations. He shall be required to ensure accurate positioning of
vessels before discharge and shall be required to submit proposals for
accurate position control at disposal sites to the Engineer for approval
before commencing dredging and dumping.
2.3.5 The Contractor shall ensure that all unsuitable material is disposed of at
the approved landfill or other designated location.
2.3.6 The Contractor shall only employ vessels equipped with automatic self-
monitoring devices as specified by the Director of Environmental
Protection for disposal operation, and shall co-operate with and facilitate
the Director of Environmental Protection to inspect the device and retrieve

the record stored in the device on a regular basis.
2.3.7 The Contractor shall provide experienced full time personnel on board all
dumping vessels to ensure that appropriate methods to minimise pollution
are implemented.
2.4 Protection of Water Quality at Water Intakes
2.4.1 When dredging mud or placing fill in the vicinity of water intakes, the
Contractor shall protect the water intake by surrounding it with a suitable
silt screen to prevent excessive suspended solids from entering the intake.
The silt screen shall be designed to ensure that the concentration of
suspended solids entering the intake meets intake user requirements.
2.5 Silt Curtains
2.5.1 If silt curtains shall be used to contain sediment losses during dredging
and placing fill, the Contractor shall be responsible for the design,
>>>
installation and maintenance of the silt curtains to minimise the impacts
on the water quality and the protection of water quality at water intakes as
described in Clause 2.4.1. The design and specification of the silt curtains
shall be submitted by the Contractor to the Engineer for approval.
2.5.2 Silt curtains shall be formed from tough, abrasion resistant, permeable
membranes, suitable for the purpose, supported on floating booms in such
a way as to ensure that the sediment plume shall be restricted to within the
limit of the works area.
2.5.3 The silt curtain shall be formed and installed in such a way that tidal rise
and fall are accommodated, with the silt curtains always extending from
the surface to the bottom of the water column. The removal and
>>>
reinstallation of such curtains during typhoon conditions shall be as agreed
with the Director of Marine.
2.5.4 The Contractor shall regularly inspect the silt curtains and check that they
are moored and marked to avoid danger to marine traffic. Any damage to
the silt curtain shall be repaired by the Contractor promptly and the works
shall be stopped until the repair is effected to the satisfaction of the
Engineer.
2.6 Refuse containment booms and floating refuse
2.6.1 The Contractor shall provide and install refuse containment booms before
commencing public dumping to confine the floating debris arising within
the site as a result of public dumping. Details of the refuse containment
booms shall be submitted to the Engineer for approval before their use on
site.
2.6.2 It is expected that public dump material may contain refuse, timber debris,
or oil contamination and these shall be removed by the Contractor. The

Contractor shall segregate all inert construction waste material suitable for
reclamation. All non-inert construction waste material shall be disposed
of at a public landfill.
2.6.3 Plastic buoys for the refuse booms will be provided by the Employer. The
plastic buoys shall be collected from and returned to the Civil Engineering
and Development Department Technical Services Division's Store at
North Point after use and cleaning.
2.6.4 The Contractor shall provide adequate sinker blocks and lit marker buoys
to ensure that the booms are visible above the water line and securely
anchored. The lights on the marker buoys shall be quick flashing yellow
light visible all round the horizon at a distance of at least 2 km and details
shall be submitted to the Engineer for approval. The maximum spacing
between the flashing yellow lights shall be 30 metres. The Contractor
shall properly maintain and operate the booms to the satisfaction of the
Engineer throughout the progress of public dumping of the Site and shall
replace the same if necessary when they are under repair or beyond repair.
>>>
2.6.5 The Contractor shall deploy sufficient sampans and labour for collecting
floating refuse and preventing floating refuse within the Site from drifting
into public waters. The frequency of collecting floating refuse shall be as
agreed by the Engineer. Floating refuse collected shall be disposed of off
Site by the Contractor.
2.6.6 The Contractor shall make due allowance in programming the public
dumping for the provision, installation, operation and maintenance of the
refuse booms and the regular collection of the floating refuse throughout
the progress of the reclamation work.
2.6.7 The Contractor's attention is drawn to the SCC Clause No. ( ) on the
>>>
Employer's power to carry out the work by person other than the
Contractor if the Contractor shall fail to carry out any work required under
this Particular Specification Clause.
2.7 Surface Runoff Go to Table of Content
2.7.1 The Contractor shall contain within the Site all surface runoff generated
from foundation works, dust control and vehicle washing, etc.
2.8 Discharge into sewers and drains
2.8.1 The Contractor shall not discharge directly or indirectly or cause or permit
or suffer to be discharged into any public sewer, stormwater drain,
channel, stream-course or sea any trade effluent or foul or contaminated
water or cooling or hot water without the prior written consent of the
Engineer in consultation with the Director of Environmental Protection
and Director of Water Supplies, who may as a condition of granting his
consent require the Contractor to provide, operate and maintain at the
Contractor's own expense to the satisfaction of the Engineer suitable

works for the treatment and disposal of such trade effluent or foul or
contaminated or cooling or hot water. [The design of such treatment
works shall be submitted to the Engineer for approval not less than one
month before the commencement of the relevant works.]
2.8.2 If any office, site canteen or toilet facilities is erected, foul water effluent
shall be directed to a foul sewer or to a sewage treatment and disposal
facility either directly or indirectly by means of pumping or other means
approved by the Engineer.
3. Noise Control
3.1 Noise control - general requirements
3.1.1 The Contractor shall observe and comply with the Noise Control
Ordinance and its subsidiary regulations.
>>>
3.1.2 The Contractor shall ensure that all plant and equipment to be used on the
Site are properly maintained in good operating condition and noisy
construction activities shall be effectively sound-reduced by means of
silencers, mufflers, acoustic linings or shields, acoustic sheds or screens
or other means, to avoid disturbance to any nearby noise sensitive
receivers.
3.1.3 For carrying out any construction work other than percussive piling during
the time period from 07:00 hr to 19:00 hr on any day not being a general
holiday (including Sundays), the Contractor shall comply with the
following requirements
a The noise level measured at 1 m from the most affected external
>>>
facade of the nearby noise sensitive receivers from the construction
works alone during any 30 minute period shall not exceed an
equivalent sound level (Leq) of 75 dB(A).
b. The noise level measured at 1 m from the most affected external Go to Table of Content
facade of the nearby schools from the construction works alone
during any 30 minute period shall not exceed an equivalent sound
level (Leq) of 70 dB(A) [65 dB(A) during school examination
periods]. The Contractor shall liaise with the schools and/or the
Examination Authority to ascertain the exact dates and times of all
examination periods during the course of the contract.
c. Should the limits stated in the above sub-clauses (a) and (b) be
exceeded, the construction shall stop and shall not re-commence
until appropriate measures acceptable to the Engineer that are
necessary for compliance have been implemented.
d. The Contractor shall adopt, where necessary, the use of quiet

construction equipment (QCE) and/or shall employ the quietest

practicable working methods when carrying out demolition works,

and/or road opening works during restricted hours.
e. Diesel hammers are not to be used for percussive piling works.
f. Blasting should not be carried out during 7 p.m. to 7 a.m. and any
time on a general holiday, including Sunday, to avoid noise impact
at sensitive hours.
3.1.4 Before the commencement of any work, the Engineer may require the
methods of working, plant equipment and sound-reducing measures to be
used on the Site to be made available for trial demonstration inspection
and approval to ensure that they are suitable for the project.
3.1.5 The Contractor shall devise, arrange methods of working and carry out the
Works in such a manner so as to minimise noise impacts on the
surrounding environment, and shall provide experienced personnel with
suitable training to ensure that these methods are implemented.
>>>
3.1.6 Notwithstanding the requirements and limitations set out in Clause 3.1.3
above and subject to compliance with Clauses 3.1.2 and 3.1.5 above, the
Engineer may upon application in writing by the Contractor, allow the use
of equipment and the carrying out of any construction activities for any
duration provided that he is satisfied with the application which, in his
opinion, is considered to be of absolute necessity and adequate noise
insulation has been provided to the schools to be affected, or of emergency
nature, and not in contravention with the Noise Control Ordinance in any
respect.
3.1.7 The Contractor shall, when necessary, apply for a construction noise
permit in accordance with the Noise Control (General) Regulations prior
>>>
to the commencement of the relevant part(s) of the works, display the
permit as required and provide a copy to the Engineer.
3.1.8 Measures that are to be taken to protect adjacent schools and other
adjacent noise sensitive receivers, if necessary, shall include, but not be
limited to, adequate noise barriers, The barriers shall be of substantial
construction and designed to reduce transmission of noise (simple
plywood hoarding will not be sufficient). The barriers shall be
surmounted with baffle boxes designed to reduce transmission of noise.
The barriers shall be designed to BS 5228:1997. The location and details
of the barriers shall be submitted to the Engineer for approval before
works commence adjacent to schools and other noise sensitive receivers.
4. Air Pollution Control
4.1 Air pollution control - general requirements
4.1.1 The Contractor shall observe and comply with the Air Pollution Control
Ordinance and its subsidiary regulations, particularly the Air Pollution Control

(Open Burning) Regulation and Air Pollution Control (Construction Dust)

Regulation and Air Pollution Control (Smoke) Regulation.
4.1.2 The Contractor shall undertake at all times to prevent dust nuisance and smoke
as a result of his activities.
4.1.3 The Contractor shall ensure that there will be adequate water supply/storage for
dust suppression.
4.1.4 The Contractor shall devise, arrange methods of working and carrying out the
works in such a manner so as to minimise dust impacts on the surrounding
environment, and shall provide experienced personnel with suitable training to
ensure that these methods are implemented.
4.1.5 For better smoke control, the Contractor shall not use diesel hammer for
percussive piling.
4.1.6 Before the commencement of any work, the Engineer may require the methods
>>>
of working, plant, equipment and air pollution control system to be used on the
site to be made available for inspection and approval to ensure that they are
suitable for the project.
>>>

APPENDIX 4.21 ADDITIONAL CONTROL MEASURES FOR MANAGEMENT

OF DREDGED/EXCAVATED CONTAMINATED SEDIMENT
(The volume mentioned in this Appendix refers to bulk volume)
To ensure that maximum effort is made by the project proponent to reduce the
consumption of the very limited mud pit capacity, it is necessary to tighten the control on
management of dredged/excavated contaminated sediment, including the stepping up of
sampling requirement at early stage of project planning, the exhaustive examination of options
to reduce sediment generation and disposal, the requirement for cross-boundary disposal of
Category Mp sediment and the enhancement of accountability of sediment disposal proposal.
The control measures below are to tighten up the control on management of dredged/excavated
contaminated sediment as stipulated in ETWB TCW No. 34/2002 – Management of
Dredged/Excavated Sediment:
(a) To enable a more accurate estimate of mud disposal volume to be made available for
consideration when provisional agreement for sediment disposal allocation is sought for
projects involving dredging and excavation in areas where the expected contamination
>>>
level is Category M/H, Marine Fill Committee (MFC) requires that the project proponent
should take sediment samples at a 200 m x 200 m grid. The samples should be continuous
and with a vertical profile. The top level of the sub-samples should be at seabed, 0.9 m
down, 1.9 m down, 2.9 m down and then every 3 m to the bottom of the dredged layers.
The project proponent should as early as practicable submit the proposed sampling plan
to the Dumping At Sea Ordinance (DASO) Team of the Environmental Protection
Department (EPD) for comment.
(b) The project proponent is required to carry out an assessment on sediment management
as outlined on the “Flow Chart for Management of Contaminated Sediment” at Annex
A. This requirement ensures that the project proponent has exhausted all management
options to keep the sediment in place and explored in detail all possible ex-situ treatment,
disposal and beneficial reuse options before a decision is made to remove the sediment
>>>
off site. Reference should be made to the consultancy study – FM01/2007 by the Civil
Engineering and Development Department (CEDD) on various management options. A
copy of the report is available on CEDD’s website via the following link:
https://www.cedd.gov.hk/filemanager/eng/content_662/Final_Report_on_Assessment_
of_Management_Options_Rev_A.pdf
(c) Project proponents should apply for cross-boundary disposal of Category Mp sediment
generated from their projects in accordance with the Agreement on Cross-boundary
Marine Dumping and the Implementation Scheme on the Management of Cross-
boundary Marine Dumping unless the genuinely estimated quantity of Category Mp
sediment is less than 100,000 m3. Other non-mud pit options for Category Mp sediment
should also be examined. In case the application is not successful and there is no other
feasible non-mud pit options, the project proponent should liaise with the Secretary of
MFC about fall-back options.
(d) To enhance the accountability of the sediment disposal proposal, endorsement by the
appropriate directorate officer of the works departments or the Authorised Person (AP)
of the private project as indicated on the attached Flow Chart at Annex A is required to

be obtained prior to submission of the disposal option to the Secretary of MFC. Project
proponents may seek advice from the Secretary of MFC, if necessary.
(e) Project proponents are required to exhaust all management options, work out the
estimated quantities of contaminated sediments to be disposed of, based on the results of
the sampling carried out, as early as practicable according to (a) above and seek
provisional agreement from MFC on allocation of disposal space at mud pit. Such
allocation will have to be re-confirmed after the sediment quality report (SQR) is
completed and approved by DASO team of EPD during the detailed design stage. During
construction, a project proponent should review from time to time the estimated final
quantity of contaminated sediment disposal and advise MFC of any changes in advance
before the actual disposed quantity has reached 80% of the approved quantity. If the
latest estimated final quantity exceeds the approved quantity by 5,000 m3 (or 5% of the
approved quantity, whichever is more), the project proponent should seek further
approval from MFC as a new application with appropriate endorsement as follows:
Scenario Endorsement
>>>
(I) Public Works Projects
(i) The estimated final quantity does not exceed the By a D2 officer for
approved quantity by 100,000 m3 (or 5% of the MFC’s approval
approved quantity, whichever is more)
(ii) The estimated final quantity exceeds the approved By a D3 officer for
quantity by 100,000 m3 (or 5% of the approved MFC’s approval
quantity, whichever is more)
(II) Private Projects Endorsement by

the AP for MFC’s
approval
>>>
Examples illustrating how the threshold quantities are determined and how the
requirements of new applications and endorsements apply are shown in Annex B.
(f) If a public project proponent disposes of a quantity of 5,000 m3 (or 5% of the approved
quantity, whichever is more) more than the approved quantity without the prior approval
of MFC, or a quantity less than the approved quantity by more than 5,000 m3 (or 5% of
the approved quantity, whichever is more) without prior notification to MFC, the
respective Director should personally provide an explanation to MFC and copy it to the
Permanent Secretary for Development (Works).

Annex A
Flow Chart for Management of Contaminated Sediment#
>>>
>>>
Note: The volume refers to bulk volume.

Annex B
Examples to illustrate how the threshold quantities are determined and

how the requirements of new applications and endorsement apply
Threshold quantity for Threshold quantity for

requirement of new requirement of endorsement by
application a D2/D3 Officer
Example 5,000 m3 100,000 m3

or or
5% of the approved 5% of the approved quantity,
quantity, whichever is whichever is more
more
(a) Project with large 125,000 m3 125,000 m3

quantity of because 5% of approved because 5% of the approved
>>>
contaminated sediment quantity, i.e. 125,000 m3, quantity, i.e. 125,000 m3, is more
is more than 5,000 m3. than 100,000 m3.
Approved Quantity:
2,500,000 m3 A new application is The new application shall be
Estimated Quantity: required because the endorsed by a D3 officer because
2,750,000 m3 increase in quantity, i.e. the increase in quantity exceeds
(i.e. increase by 250,000 m3, exceeds 125,000 m3.
250,000 m3) 125,000 m3.
(b) Project with medium 6,000 m3 100,000 m3

quantity of because 5% of approved because 100,000 m3 is more than
contaminated sediment quantity, i.e. 6,000 m3 is 5% of the approved quantity, i.e.
more than 5,000 m3. 6,000 m3.
>>>
Approved Quantity:
120,000 m3 A new application is The new application shall be
Estimated Quantity: required because the endorsed by a D2 officer because
132,00 m3 increase in quantity, i.e. the increase in quantity does not
(i.e. increase by 12,000 m3, exceeds exceed 100,000 m3.
12,000 m3) 6,000 m3.
(c) Project with small 5,000m3 NA

quantity of because 5,000 m3 is more
contaminated sediment than 5% of approved
quantity, i.e. 500 m3.
Approved Quantity:
10,000 m3 A new application is not
Estimated Quantity: required because the
11,000 m3 increase in quantity, i.e.
(i.e. increase by 1,000 m3, does not exceed
1,000 m3) 5,000 m3.
* The threshold quantities determined for the respective example cases are shown in bold.

APPENDIX 4.22 DESIGN AND CHECK CERTIFICATE
Agreement No.: (if appropriate)
Project Title:
Project Office:
Design Checking Approach:
___________________________________________________________________________
1. This Design and Check Certificate refers to submission No.

which comprise
(a) Works covered by this Certificate
(nature and description of the submission)
>>>
in respect of:
(description of the works to which the submission refers)
(b) Contents of this submission are listed in Schedule A below.
2. Designer’s certification
>>>
I/ We certify that
(a) the design of the works, as illustrated and described in the documents listed in
Schedule A below, complies with the standards set out in the Agreement or
_____________________ (any form of agreement as appropriate) and with
amendments agreed to by the Director’s Representative or _____________________
(any relevant authorities as appropriate);
(b) all reasonable and professional skill, care and diligence have been exercised in
designing the works, as illustrated and described in the documents listed in Schedule
A below; and
(c) a self-check has been undertaken and completed to confirm the completeness,
adequacy and validity of the design of the works as illustrated and described in
documents listed in Schedule A below.
Signed:
(Name)

(Position)
(Organization)
(Date)
3. Checking Engineer’s certification
(a) I/ We certify that the design has been independently checked in accordance with the
agreed design criteria using all reasonable skill and care and that I/we am/are satisfied
that the design checked complies in all respects with the agreed design criteria.
(b) I/ We further certify that I/ We am/are satisfied that the checking of the above design
is completed.
Signed:
(Name)
(Position)
(Organization)
(Date)
>>>
Schedule A
Submission No.________________________ comprises the followings:
Documents: (Title, reference number and revision)
>>>
Drawings: (Title, reference number and revision)
Others: (Please Specify)

APPENDIX 4.23 PERSONNEL FOR DESIGN AND CONSTRUCTION REVIEW OF

PRESCRIPTIVE MEASURES FOR STABILIZATION AND
IMPROVEMENT OF MAN-MADE SLOPES AND
STANDARDIZED DEBRIS-RESISTING BARRIERS FOR
MITIGATION OF NATURAL TERRAIN LANDSLIDE HAZARDS
Prescriptive Measures for Stabilisation and Improvement of Man-made Slope Features
1. The prescriptive measures items should be specified by a geotechnical engineer
professionally qualified and experienced in Hong Kong, as should the construction
review. A suitable qualification is Registered Professional Engineer (Geotechnical).
For preventive maintenance works which involve only surface protection and
surface drainage prescriptive measures, the prescriptive design and construction
review may also be carried out by a professionally qualified civil engineer
competent in site formation and drainage works.
2. For preventive maintenance works, it is often more cost-effective to ask the same
>>>
professional engineer who undertakes the Engineer Inspection for the slope to also
specify the items of prescriptive measures required as part of the preventive
maintenance recommendations. This should be arranged wherever possible.
3. Construction review includes a review of the suitability and adequacy of the
specified prescriptive measures items during construction and giving
recommendations on any design modifications necessary to take into account the
actual site and ground conditions revealed. It should always be carried out for
prescriptive measures specified as upgrading and preventive maintenance works.
It should also be undertaken for prescriptive measures specified as urgent repair
where practicable. The professional engineer undertaking this work should be
familiar with all available information collected in the desk study and site
reconnaissance. Where it is possible to arrange for the same professional engineer
>>>
who has specified the prescriptive measures items to carry out the construction
review, this should be done.
Standardised Debris-resisting Barriers for Mitigation of Natural Terrain Landslide
Hazards
4. A team of geotechnical engineers and engineering geologists working together is

normally required to assess the natural terrain landslide hazards and design the
necessary mitigation works. The location and sizing of a standardised debris-
resisting barrier, together with the necessary local site formation works for the
construction of the landslide mitigation measures, should be specified by a
geotechnical engineer professionally qualified and experienced in Hong Kong. A
suitable qualification is Registered Professional Engineer (Geotechnical).
Engineering geological expertise is needed for certain elements of the assessment of
natural terrain landslide hazards. Assistance from an experienced engineering
geologist should therefore be sought by the responsible geotechnical professional,
as necessary.

5. For continuity, it would be preferable if the personnel responsible for the assessment
of natural terrain landslide hazards could also be made responsible for applying the
standardised debris-resisting barrier framework.
6. Regular reviews should be carried out during construction. These should include
an inspection of the site and an assessment of the geology, groundwater conditions
and the environmental effect of works during the various stages of construction.
The suitability of the layout of the barriers and drainage provisions should also be
reviewed, taking due account of the actual site conditions. The professional
engineer undertaking the review should be conversant with the design assumptions.
>>>
>>>

APPENDIX 4.24 MONITORING AND MAINTENANCE OF HORIZONTAL

DRAINS
Monitoring Requirements
1. As part of the initial design stage, the designer should devise an instrumentation
scheme which is suitable for the project, including the type, number and location of
piezometers for groundwater monitoring and the techniques to be used for drain flow
measurement. Allowance should be made in the contract for the maintenance and
replacement of defective instruments and for any subsequent period when instrument
monitoring is likely to be required. The piezometers should be installed at an early stage,
preferably at the same time as the ground investigation for the design of the horizontal
drain system is carried out. Open hydraulic piezometers are commonly used for long-
term observation (Geoguide 2 : Guide to Site Investigation, Section 20.2.3). Automatic
groundwater measuring devices are often installed in the piezometer tubing to capture
and store data of groundwater levels at regular time intervals. For a large drain
>>>
installation, the water from individual drains may be conducted to a single point through
a system of pipes and channels to facilitate drain flow measurement.
2. The monitoring of piezometric levels and drain flow rates should be carried out
at least once every two months during the dry season and weekly during the wet season.
The latter should be carried out within two days of any heavy rainstorm (e.g. rainfall >
100 mm in 24 hours). All drains and piezometers on the site should be monitored. The
need for frequent site visits and manual monitoring can be avoided by using computerised
automatic recording systems, but before adopting such a system the designer should
consider carefully his requirements in relation to the cost and necessary support services.
3. The monitoring of piezometric levels should start at the earliest stage and should
preferably cover two wet seasons before the design is finalised. If this is not possible, then
>>>
the results from continuing monitoring during the period of design and preparation of
tender documents should be used to make a final review of the design. The data should
be used to establish the "base groundwater levels" in the wet and dry seasons prior to
drain installation. The monitoring of both piezometric levels and drain flow rates should
be carried out both during and after the installation of the system. Monitoring should be
terminated in accordance with the procedures described in paragraph 8. The data
obtained during construction may be used in an "observational approach" to design,
whereby the design parameters, such as the spacing of the drains, are modified during
construction in accordance with the monitoring results. This approach is particularly
helpful for horizontal drain installation because the performance of individual drains is
sensitive to the heterogeneous nature of the ground conditions commonly encountered in
Hong Kong.
4. Particular attention should be given in monitoring programmes to cases where

the existing groundwater regime may be modified significantly by adjacent development
or pumping works.
Evaluation of Drain Performance

5. The effectiveness of a horizontal drain system should be gauged by considering,

in descending order of significance, the following aspects of overall groundwater response
at the site :
(i) the piezometric levels after drain installation should not rise above the
design level in heavy rainstorms,
(ii) the "base groundwater level" after drain installation should be lower than
the preinstallation value,
(iii) the range of groundwater fluctuations (storm response) should be lower

than the preinstallation values, and
(iv) the rate of drop of piezometric level after a rainstorm should be faster than
the preinstallation rate, with the level returning to normal within a few days
after the rainstorm.
6. In addition to the above, drain flow rates due to similar rainfalls measured
>>>
shortly after
installation and subsequently after a long period of time should also provide an indication
of the long-term performance of the drains.
7. Other factors which the designer should consider in the evaluation of drain
performance include the adequacy of the acquired data, reliability of the design data
(including the assumed groundwater conditions), the number of heavy rainstorms during
the monitoring period, and the degree of contribution of the drains to the calculated
factor of safety.
Termination of Monitoring
8. The designer should plan groundwater monitoring with the object of assessing
>>>
the effectiveness of a horizontal drain system before the end of the Contract Maintenance
Period. However, monitoring should be continued beyond this period if the designer
considers it necessary on the basis of the criteria given above. Once the effectiveness of
the system has been fully assessed, the designer should then decide either to terminate the
monitoring if he is satisfied with the performance, or to recommend remedial measures
if he considers that the system is not performing effectively. If remedial works are to be
carried out, monitoring of piezometers and drain flows should continue in order to gauge
the effectiveness of the improved new system. Further remedial works may be necessary.
This process should be continued until the designer is satisfied that the system is
performing effectively.
9. Subsequently, if there is evidence of possible substantial changes in existing

groundwater conditions (e.g. large variation in drain flows, signs of new surface seepage),
this should be brought to the attention of the project office by the maintenance authority.
The designer can then assess whether the monitoring should be reactivated.
Maintenance Requirements
10. Regular maintenance of horizontal drains is required to ensure that they function

properly and do not become clogged. Materials likely to clog drains are organic elements
(plant roots, fungi or algae), fines washed out the surrounding soils, and precipitates of
calcium, magnesium, iron and other compounds. In most cases, flushing with a clean
water jet should be adequate to restore the drain function. The pressure of the water jet
should be controlled so as to avoid causing any adverse effect on the stability of the slope.
If soil deposits have dried up in the drain, then it is necessary to brush the drain during
the flushing. Cleaning of the drain should commence from the deep end and proceed
toward its outlet. This process should be repeated until the water flowing out of the drain
appears clean.
11. The programme of maintenance, details of the maintenance procedures

including flushing arrangements, and the "as built" details of the drain system should be
prepared by the designer and handed over to the maintenance authority. Maintenance of
the drains should be carried out at least once within 6 months after the installation of the
drains and then once annually thereafter. The designer should allow such specific
requirements and appropriate payments in the contract. The maintenance work should
include inspection of the drains and surroundings, removal of weeds, clearing of outlets
and flushing the drains with a water jet (as described above). Site trials may be required
>>>
at the contract stage to establish the effectiveness of the designed flushing system. In
addition, if the drains contain removable inner liners, these should be replaced where
considered necessary on the basis of the site inspection, the flushing operations and
previous observations (e.g. where the drains are found to be blocked or where drain flows
are substantially reduced). All the drains at the site should be examined and maintained.
A record of the observations made in the maintenance inspections and details of the work
done should be kept for future reference in the maintenance inspection record. A note
should also be made in the maintenance inspection record if any significant changes in
drain flows or new areas of surface seepage are observed (see paragraph 9). If large
increases in flow are recorded, the discharge should be tested and the surrounding area
inspected to assess whether the water originates from leaking services. If this appear to
be the case, the appropriate department should be notified and requested to trace and
repair the leak.
>>>
12. In some special cases (e.g. an extensive drain system in a natural hillslope where
access to the outlet locations is difficult), a more cost-effective maintenance plan may
consist of monitoring the effectiveness of the system using permanently-installed
piezometers, and carrying out the cleaning and flushing of drains only if shown to be
necessary by the monitoring. Routine inspections and clearing of the drain outlets should
still be carried out regularly.
13. In all cases, it is necessary for a suitably-experienced maintenance officer to

examine the system when the annual maintenance is being carried out. This will enable
problems to be identified and corrected at an early stage.

APPENDIX 4.25 GEOTECHNICAL MANUAL FOR SLOPES - GUIDANCE ON

INTERPRETATION
1. This Appendix provides guidance on, and clarification of, the interpretation of
some aspects of the Geotechnical Manual for Slopes (2nd Edition).
2. Terminology
2.1 The use of the term "risk" in the Geotechnical Manual for Slopes (Manual) to
mean "consequence in the event of failure" has led to some misunderstanding. For this
reason, the term "risk" shall be replaced by "consequence". This is consistent with
international usage. The two types of consequence classification of slope failure given in
Tables 5.2 and 5.3 of the Manual shall be referred to as "consequence-to-life" and
"economic consequence" respectively.
2.2 The descriptive terms "high", "low" and "negligible" are intended to reflect the
likely relative severity of the failure consequence, but these have also resulted in
>>>
misconceptions. To avoid possible confusion, the three categories of consequence-to-life
shall be denoted as Categories 1, 2 and 3 respectively instead of "high", "low" and
"negligible". For the same reason, a new system is also adopted to denote the different
categories of economic consequence. The three categories of economic consequence shall
be denoted as Categories "A", "B" and "C" respectively instead of "high", "low" and
"negligible".
2.3 A combined notation shall now be used to indicate both the consequence-to-life
and the economic consequence of a feature. For example, a Category 2A feature refers to
one having the second highest consequence-to-life and the highest economic consequence
in the new three-tier classification system.
3 Consequence-to-life Categories
>>>
3.1 The recommended minimum safety factors for slopes given in Tables 5.1 and 5.4
of the Manual are related to assessed consequence-to-life categories. Because of the
change in terminologies (see section 2), these Tables shall be replaced by Tables 1 and 2
in this Appendix respectively. The consequence-to-life category reflects the severity in
terms of loss of life in the event of failure. Table 5.2 of the Manual, which gives typical
examples of each consequence-to-life category, shall be replaced by Table 3 in this
Appendix.
3.2 In determining the consequence-to-life category of a slope, the designer should

use his own professional judgement in assessing the "severity in terms of loss of life in the
event of failure" in each particular case, giving due consideration to the types of
buildings and facilities that may be threatened, and how the buildings and facilities would
be affected in the event of slope failure. In assessing the effects of a slope failure on
buildings and facilities, account should be taken of such factors as possible mechanisms
and scale of failure, site conditions, proximity of the buildings and facilities to the slope
and their likely density of occupation and frequency of usage in the event of failure, travel
distance of the landslip debris, resistance of the buildings and facilities to debris
impact and vulnerability of occupants and users.

3.3 Examples (1) and (2) of Table 3 refer to situations where the buildings or facilities
lie within the expected travel distance of the landslip debris, and hence the severity in
terms of loss of life is high, and the consequence-to-life category is "1". No examples are
given in the Table on situations where the buildings or facilities are located further away
from the slopes. Following the consequence-to-life definition given in the Manual, where
the buildings or facilities lie beyond the expected travel distance of the debris and the
severity in terms of loss of life in the event of failure is less, the consequence-to-life
category may be downgraded to "2". Where the buildings or facilities lie beyond the
possible extreme limit of landslip debris, the consequence-to-life category may be taken
as "3". Similar considerations apply to buildings and facilities located behind the slope
crest with respect to the expected and the possible extreme limits of the area affected by
the landslip.
3.4 In consequence-to-life classification for the purposes of slope design and stability
assessment, bus shelters or similar sheltered public waiting areas shall be regarded as
occupied buildings (example 1 in Table 3).
>>>
3.5 Further technical guidelines for the classification of the consequence-to-life
category for slopes and retaining walls are given in GEO Technical Guidance Note No.
15, which can be downloaded from the CEDD website.
4 Economic Consequence Categories
4.1 Table 5.3 of the Manual, which gives typical examples of each economic
consequence category, shall be replaced by Table 4 in this Appendix.
4.2 Although Table 1 recommends the minimum safety factors for slopes for
different economic consequences, the choice of safety factors against economic loss is a
decision which must be made by the owner upon the advice of the designer. In advising
the owners, the designer should decide for himself the degree of economic consequence
>>>
and should balance the potential economic consequence in the event of a failure against
the increased construction costs required to achieve a higher factor of safety.
5 Safety Factors for Existing Slopes
5.1 The minimum safety factors recommended in Table 2 may be used for the
stability assessment of and design of modifications to any existing slope which is
associated with new works, as long as rigorous geological and geotechnical investigations
are conducted (which should include a thorough examination of slope maintenance
history, groundwater records, rainfall records and any slope monitoring records) and
there is sufficient knowledge of the geology, groundwater and performance history of the
slope. Under these conditions, Table 2 can be used for stability assessment for known
changes in imposed loadings, and for the design of remedial or preventive works,
including slope flattening, improvements to surface and subsurface drainage, and the
installation of support measures.
5.2 As Section 5.2.2 of the Manual indicates, the designer is able to adopt with
confidence a lower factor of safety for an existing slope because he has the benefit of the
performance history and other information that is not available for the design of a new

slope. This does not imply that the standards of safety deemed to be acceptable for
existing slopes are lower than those recommended for new slopes. Reference should be
made on discussion of the philosophy of this approach by Malone (1985). There will often
be instances, however, where particular circumstances (such as lack of adequate
groundwater and rainfall records) will lead the designer to adopt, for remedial and
preventive works, the standards specified for new slopes.
6 Safety Factors for Temporary Works
6.1 Section 5.2.4 of the Manual shall be replaced by the following.
The safety factors required for the design of temporary works (i.e. works
undertaken during construction which are not part of the permanent works)
shall be the same as those for permanent new works (Table 1), but with due
regard for the conditions which are likely to exist during the life of the temporary
works. In some cases, for example, the consequence-to-life category during
construction may be classified as "2" or "3", compared with consequence-to-life
category "1" once the buildings are completed and occupied.
>>>
7 Reliability of Slope Design
7.1 The reliability of slope design is discussed in Section 5.3.6 of the Manual and
should be considered in deciding on the minimum safety factor to be adopted.
7.2 Different design solutions, e.g. open-cuttings and cuttings with structural
support, have different levels of uncertainties associated with the various components of
investigation, design and construction. They will have different reliability indices (hence
different levels of safety) even if the assessed factor of safety is the same. In order to have
a meaningful comparison of options, a higher minimum safety factor needs to be adopted
for the solution with a lower reliability index than the solution with a higher index.
>>>
8 Compaction of New Fill Slopes
8.1 The design and construction of new fill slopes are governed by Sections 5.5.1 and
9.5 of the Manual respectively. It should be noted that in some exceptional cases, such as
fill forming a large platform that will not support structures, the requirement for a
compacted density of 95% of maximum dry density (GEO, 2017d) can be relaxed to 90%
for the interior of the platform. This may be done provided that the fill at formation level
and the fill forming the peripheral slopes is compacted to 95% of maximum dry density
for a vertical thickness of at least 1.5 metres and 3 metres respectively. Please note that
Figure 9.1 of the Manual illustrates only one of many configurations which can be
adopted. In any case, it is good engineering practice to provide adequate subsurface
drainage to avoid build-up of groundwater pressure at the rear of the less permeable
peripheral slopes.
8.2 Fill in reclamations, or behind retaining structures and in other small areas of
flat land, does not generally need to meet compaction requirements for slope stability
reasons. It is therefore for the designer to determine the compaction requirements based
on other criteria.

9 Treatment of Existing Fill Slopes
9.1 Section 5.5.2 of the Manual defines the standard treatment of existing loose fill
slopes by recompaction of the surface fill to a vertical depth of 3 metres. This treatment
does not need to be prescribed, however, if:
(a) a fill slope is of consequence-to-life category "3",
(b) the fill slope is judged to be too small to pose a significant hazard, or,
(Note: The size of a fill slope which may be regarded as "too small to
pose a significant hazard" would depend on the distance to and the type
of the facilities being affected, the topography of the ground below the
slope, the liquefaction potential of the fill body, etc. Professional
judgement should be exercised in individual cases in determining the
size of a fill slope which could be considered as such.)
(c) the fill slope has a cover of mature vegetation which is beneficial to the
>>>
stability of the slope, and where there is a reasonable alternative
engineering solution.
9.2 Reference should be made to the Report on the Slope Failures at Sau Mau Ping
(Government of Hong Kong, 1977) for background on the standard treatment of existing
fill slopes as recommended in the Manual.
10 Superseded Chapters/Sections and Other Relevant Technical Guidance
10.1 The following Chapters/Sections of the Manual are no longer applicable,

having been superseded by later publications:
(a) Chapter 1 and Section 2.3.3 are superseded by the Geological Survey
>>>
Maps and Memoirs and Geoguide 3 (GEO, 2017c).
(b) Chapter 2 (except Section 2.3.3), Section 3.5 and 10.2 are superseded
by Geoguide 2 (GEO, 2017b).
(c) Section 4.6 is superseded by GEO Publication No. 1/93 (GEO, 1993).
(d) Chapter 7 (except the parts relevant to the design of remedial or

preventive works to existing gravity retaining walls as given in Section
7.3.3) is superseded by Geoguide 1 (GEO, 2017a), GCO Publication No.
1/90 (GCO, 1990) and GEO Circular No. 33 (GEO, 2018a).
(e) Chapter 11 is superseded by Geoguide 5 (GEO, 2018b).
(f) References to BS 1377:1975 concerning Phase 1 tests described in

Works Branch Technical Circular 6/94 are replaced by Geospec 3
(GEO, 2017d).

(g) "The Hong Kong Bibliography" referred to in the Manual is the

Bibliography on Geology and Geotechnical Engineering of Hong Kong
(Brand, 1984). Please refer to the updated bibliography online at the
Hong Kong Slope Safety website.
10.2 Please also read the latest updates promulgated in the following GEO
Technical Guidance Notes:
(a) GEO Technical Guidance Note No. 30.
(b) GEO Technical Guidance Note No. 39.
(c) GEO Technical Guidance Note No. 40.
(d) GEO Technical Guidance Note No. 41.
(e) GEO Technical Guidance Note No. 43.
>>>
11 Related Documents
The following is the list of related documents.
(a) Brand, E.W. (1984). Bibliography on Geology and Geotechnical Engineering of
Hong Kong to December 1984, 79 p.
(b) GCO (1990). Review of Design Methods for Excavations (GCO Publication No.
1/90). Geotechnical Control Office, Hong Kong, 192 p.
(c) GEO (1993). Review of Granular and Geotextile Filters (GEO Publication No.
1/93). Geotechnical Engineering Office, Hong Kong, 131 p.
>>>
(d) GEO (2017a). Guide to Retaining Wall Design (Geoguide 1) (Continuously
Updated E-Version released on 29 August 2017). Geotechnical Engineering Office,
Civil Engineering and Development Department, HKSAR Government, 245 p.
(e) GEO (2017b). Guide to Site Investigation (Geoguide 2) (Continuously Updated E-
Version released on 18 December 2017). Geotechnical Engineering Office, Civil
Engineering and Development Department, HKSAR Government, 349 p.
(f) GEO (2017c). Guide to Rock and Soil Descriptions (Geoguide 3) (Continuously
Civil Engineering and Development Department, HKSAR Government, 171 p.
(g) GEO (2017d). Model Specification for Soil Testing (Geospec 3) (Continuously
Civil Engineering and Development Department, HKSAR Government, 324 p
(h) GEO (2018a). Guidelines for Assessment of Old Masonry Retaining Walls in
Geotechnical Studies and for Action to be Taken on Private Walls (GEO Circular
No. 33). Geotechnical Engineering Office, Hong Kong, 16 p.

(i) GEO (2018b). Guide to Slope Maintenance (Geoguide 5, 3rd Edition)

(Continuously updated e-version released on 20 November 2018). Geotechnical
Engineering Office, Civil Engineering and Development Department, HKSAR
Government, 116 p.
(j) Government of Hong Kong (1977). Government of Hong Kong (1977). Report on
the Slope Failures at Sau Mau Ping, August 1976. Hong Kong Government
Printer, 104 p. plus 8 drgs.
(k) Malone, A.W. (1985). Factor of Safety and Reliability of Design of Cuttings in
Hong Kong (Oral Discussion). Proceedings of the Eleventh International
Conference on Soil Mechanics and Foundation Engineering, San Francisco, vol. 5,
pp 2647.
Table 1 - Recommended Minimum Factors of Safety for New Slopes for a Ten-
year Return Period Rainfall
>>>
CONSEQUENCE-
TO
-LIFE Category Category Category
1 2 3
Category 1.4 1.4 1.4

A
>>>
Category 1.4 1.2 1.2
B
Category 1.4 1.2 >1.0
C
Notes : (1) In addition to a minimum factor of safety of 1.4 for a ten-year return
period rainfall, a slope in the consequence-to-life category 1 should
have a factor of safety of at least 1.1 for the predicted worst
groundwater conditions.
(2) The factors of safety given in this Table are recommended minimum
values. Higher factors of safety might be warranted in particular
situations in respect of loss of life and economic loss.

Table 2 - Recommended Minimum Factors of Safety for the Stability Assessment

of Existing Slopes and for Design of Remedial or Preventive Works to
Slopes for a Ten-year Return Period Rainfall
Consequence-to-life Category Category Category
1 2 3
Recommended Minimum Factor

of Safety Against Loss of Life for 1.2 1.1 >1.0
a Ten-year Return Period
Rainfall
>>>
Notes : (1) These factors of safety are appropriate only where rigorous geological
and geotechnical studies have been carried out, where the slope has
been standing for a considerable time, and where the loading
conditions, the groundwater regime and the basic form of the modified
slope remain substantially the same as those of the existing slope.
(2) The factors of safety given in this Table are recommended minimum
values. Higher factors of safety might be warranted in particular
situations in respect of loss of life and economic loss.
(3) Should the back-analysis approach be adopted for the design of

remedial or preventive works, it may be assumed that the existing slope
had a minimum factor of safety of 1.0 for the worst known loading and
>>>
groundwater conditions.
(4) For a failed or distressed slope, the causes of the failure or distress must
be specifically identified and taken into account in the design of the
remedial works.

Table 3 - Typical Examples of Slope Failures in Each Consequence-to-life Category
CONSEQUENCE-TO-LIFE+
EXAMPLE
S Category Category Category
1* 2* 3*
(1) Failures affecting occupied buildings
(e.g. residential, educational,
commercial or industrial buildings, bus ✔
shelters×#, railway platforms).
(2) Failures affecting buildings
storing dangerous goods. ✔
(3) Failures affecting heavily used open
>>>
spaces and recreational facilities (e.g.
✔
sitting-out areas, playgrounds, car
(4) Failures affecting roads with
high vehicular or pedestrian ✔
ffi i
(5) Failures affecting public waiting areas
(e.g. bus stops#, petrol stations). ✔
(6) Failures affecting country parks and
lightly used open-air recreation areas. ✔
(7) Failures affecting roads with low
traffic density. ✔
>>>
(8) Failures affecting storage compounds
(non-dangerous goods). ✔
× Item added in 1995 to clarify the intention of the consequence categories.
+ Prior to March 1996, "Consequence-to-life" was referred to as "Risk-to-life".
* Prior to March 1996, "Category 1", "Category 2" and "Category 3" were
referred to as "High", "Low" and "Negligible" respectively.
# In the context of this Table, bus shelters are those with a cover that shelters people
waiting there from direct sunlight or rainfall, while bus stops are those without
such a cover.

Table 4 - Typical Examples of Slope Failures in Each Economic Consequence

Category
ECONOMIC CONSEQUENCE+
EXAMP
LES Category Category Category
A* B* C*
(1) Failures affecting buildings,
which could cause excessive ✔
structural damage.
(2) Failures affecting essential
services# which could cause loss ✔
of that service for an extended
i d
(3) Failures affecting rural or urban
✔
>>>
trunk roads or roads of strategic
i t
(4) Failures affecting essential services#
which could cause loss of that ✔
service for a short period.
(5) Failures affecting rural (A) or
primary distributor roads which ✔
are not sole accesses.
(6) Failures affecting open-air car ✔
k
(7) Failures affecting rural (B), feeder,
district distributor and local ✔
distributor roads which are not sole
>>>
(8) Failures affecting country parks. ✔
+ Prior to March 1996, "Economic Consequence" was referred to as "Economic Go to Table of Content
Risk".
* Prior to March 1996, "Category A", "Category B" and "Category C" were
referred to as "High", "Low" and "Negligible" respectively.
# Essential services are those that serve a district and are with no or very
inferior alternatives. Examples are mass transit facilities and trunk utility
services.

APPENDIX 4.26 GUIDANCE ON THE USE OF SHOTCRETE SURFACING IN

MAINTENANCE WORKS
1) In general shotcrete surfacing should not be used, whether as routine or preventive

maintenance, on slopes of consequence-to-life Category 3 as defined in Appendix
4.25. As part of future maintenance programmes departments should progressively
replace any existing shotcreted (partially or fully) surface covers on Category 3
slopes, if geotechnically acceptable and practicable, with a vegetated surface cover.
Failing this, other forms of hard surface cover should be considered with a view to
blending the slopes with their surroundings.
2) Generally shotcrete should not be used as part of maintenance works to cover hard,
fresh to moderately decomposed (grade I – III) rock where the joints are tight and
with average spacing wider than 60mm. Application of shotcrete may be warranted
on more closely-jointed (i.e. joint spacing <60mm) rock, rock containing joints with
open apertures or rock deteriorating quickly when exposed to weather, but the need
>>>
should be confirmed by a suitably-experienced geotechnical engineer. Weepholes
should be provided at appropriate locations based on a site assessment of the
locations of discontinuities and seepage in the rock mass (see guidance in Figure 5.4
of the Geotechnical Manual for Slopes (GEO, 1984)).
Amd No. 2/2021
>>>

APPENDIX 4.27 DEPARTMENTAL SLOPE APPEARANCE VETTING

COMMITTEE SUGGESTED CHAIRMAN AND TERMS OF
REFERENCE
Chairman
For departments the slope works of which carry significant
visual impacts (viz. the Highways Department, Lands
Department, Water Supplies Department and Civil D1 or above level
Engineering and Development Department)
For other concerned departments (viz. Agricultural, Fisheries

and Conservation Department, Architectural Services Senior professional
Department, Drainage Services Department and Housing officer or above
Department)
>>>
Terms of Reference
To review and, where satisfied, endorse the need for and details of shotcreting or any
other hard surfacing to be carried out as part of maintenance or upgrading works to
existing slopes or new slopes formed in public works projects (but excluding emergency
repairs after landslips, minor local slope repairs and temporary slopes formed during
construction activities).
The scope of review shall cover the following:
>>>
(a) first-time shotcreting or application of any other hard surfacing to an existing or
new slope, and;
(b) renewal/retention of an existing hard surface on a slope as part of the proposed
works.
Amd No. 2/2021

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Project Administration Handbook for Civil Engineering Works 2020 Edition

PROJECT DESIGN AND ESTIMATES

The parts of the PAH shown in blue and bold should

Chapter 4 (Rev. 21) 1

Chapter 4 (Rev. 21) 2

Chapter 4 (Rev. 21) 3

Chapter 4 (Rev. 21) 4

4.5 WATERWORKS ............................................................................................. 41

Chapter 4 (Rev. 21) 5

5.7 PRELIMINARY COST ESTIMATE .............................................................. 73

Chapter 4 (Rev. 21) 6

APPENDIX 4.20 GUIDELINE ON PLANNING AND IMPLEMENTATION

Chapter 4 (Rev. 21) 7

Chapter 4 (Rev. 21) 8

Chapter 4 (Rev. 21) 9

Chapter 4 (Rev. 21) 10

Chapter 4 (Rev. 21) 11

II. GLOSSARY OF TERMS

“Government” means the Government of the Hong Kong Special Administrative

Chapter 4 (Rev. 21) 12

1. GENERAL CONSIDERATIONS FOR DESIGN

Preliminary and detailed design of capital works projects should commence in

The design should be undertaken either:

(a) By in-house staff, or

(b) By consultants, or staff of other departments/offices/divisions in cases where

1.3 DESIGN OBJECTIVES

(c) Within the scope approved by FC,

(d) Economical in terms of both capital and recurrent costs, and

Chapter 4 (Rev. 21) 13

(ii) Consideration on optimum contract packaging should be made from a cost

The project engineer should give due consideration to the following:

(a) Safety, both during construction and in service,

(d) Possible future expansion and development,

(e) The effect on utilities,

(f) Future inspection, maintenance and operation,

(h) Adoption of energy efficient features and renewable energy technologies in

Chapter 4 (Rev. 21) 14

(j) Adoption of a flexible and balanced approach for tree planting.

(b) The need to obtain specialist advice (architectural, structural, geotechnical,

Chapter 4 (Rev. 21) 15

(a) The formulation of a conceptual design,

(d) The drawings.

Drawings for projects should normally comprise: -

(b) A setting out plan,

(d) Detailed drawings including reinforcement details, drainage details, utilities,

Standards of drawings for projects should conform to the requirements of the

Drawings should normally be in A1 or B1 size.

Chapter 4 (Rev. 21) 16

The naming of CAD drawing files should conform to CSWP requirements. In

1.6.1 Relevant Guidelines, Standards and Sources of Information

Chapter 4 (Rev. 21) 17

Guidelines and requirements relating to foundation works in areas underlain by marble

Guidelines on planning and implementation of ground investigation projects in

The Geotechnical Projects Division of GEO provides a service to other departments

Chapter 4 (Rev. 21) 18

(a) For projects in Category A, from the project vote,

(d) For projects in Category D, from the block allocation, and

1.6.3 Procurement through Individual GI Contracts or Included in Works Contracts

1.6.4 Procurement through GEO’s Term Contracts

Chapter 4 (Rev. 21) 19