Managing Landslide Risk through

Geotechnical Control

Ir Prof. Ken Ho
Principles of Landslide Risk
Management Pre-1869 Hong Kong

2
Hong Kong Skyline in 2020
 N
ADVERSE SETTING OF HONG KONG
Land Area: 1,100 km2
Population: 7.8 million

Land >15o : 75%

Land >30o : 30%
Geology: granites and volcanics
(deeply weathered)
colluvium at foothills

Climate: sub-tropical
Rainy season: May to September
Rainfall: 2,300 mm (mean annual)
210 mm (1-hour record) HONG KONG
950 mm (24-hour record)
https://geology.com/world/world-
3
map.shtml
 LANDSLIDE RISK MANAGEMENT
Landside risk management is the process of identifying the
landslide hazards and estimating the risk of hazards by
analyzing the likelihood and consequence of failure.

𝑅𝑖𝑠𝑘 = ෍ 𝑃𝑖 𝐸𝑖 𝑉𝑖 𝑈𝑖
𝑖 ➢ Avoidance (↓Ei)
➢ Stabilization or prevention (↓Pi)
consequence
➢ Mitigation (↓Vi)
probability ➢ Tolerance
➢ Risk transfer (e.g. insurance)

P = probability (or likelihood) of landslide hazard

E = exposure to risk (e.g. no. of people affected)
V = vulnerability to landslide hazard (e.g. degree of loss / chance of being killed)
U = value of elements at risk
i = specific landslide hazard
N = all credible landslide hazards 4
 LANDSLIDES IN HONG KONG
Nature: Shallow failures triggered by heavy rainfall
Statistics: around 300+ reported landslide cases per year
mostly on man-made slopes
another 300+ on natural terrains (from aerial photos)

2019: Yuen Long Tai Tong 2018: Fan Kam Road, Kam Tin
(due to unauthorized site formation) (natural terrain landslide)

2020: Ting Kau Village

(retaining wall failure) 5
HUMAN FINGERPRINTS IN LANDSLIDES
Loading the gun Trigger fire

Predisposing Natural factors

factors LANDSLIDE (e.g. rain)
(including human Human factors
activities) (e.g. blasting)

Life & property

1991: Shau Kei Wan, Hong Kong 1998: Hang Lok Lane, Shatin, Hong6Kong
Blasting-induced failure Leakage of water mains
 Human ‘fingerprints’ – What can go wrong?
Human Inadequacies Lack of design input
• Ignorance, e.g. incompetence during construction
• Carelessness, e.g. oversight of problems • Inadequate construction
• Complacency, e.g. unrealistic prediction, control
disregard of responsibility, commercial • Communication problems
pressure • Inadequate supervision
• Lack of design review
Design errors
• Inappropriate consideration
of safety-critical geological Poor judgement
features
• Invalid design methods • Throughout different
stages of design and
• Invalid design assumptions construction
• Adverse change in
environmental factors
Inadequate ground
Unforeseen ground conditions investigation
• Inadequate margin of safety and • Inappropriate interpretation of
design robustness information 7
DEFENCE SYSTEMS AGAINST FAILURE
James Reason (Swiss Cheese) Model
Destabilizing
action

hazard
identification

technical design
Independent checking
system
Warning +
alarms
emergency
response
8
EVOLUTION OF LANDSLIDE RISK
MANAGEMENT IN HONG KONG

9
 Landslide Risk Management in Hong Kong
Late 1970s to
Pre-1970s Mid-1990s to
mid-1990s Mid-2000
mid-2000s
Empirical rules onwards
of thumb Applying
modern Enhanced
geotechnology risk Tackling
management new
challenges

10
Pre-1970s
Empirical rules
of thumb

The Building Authority offers no

objection to empirical rules of thumb

Squatter dwellings
https://gwulo.com/atom/16197

Poor site formation works

Explosive population growth
→ Extensive and unscrupulous site
formation works
→ No territory-wide geotechnical
control 11
→ Significant increase in landslide risk
PAINFUL LESSONS

1972: Sau Mau Ping, Hong Kong

(71 fatalities)

1972: Po Shan Road, Mid-levels

Hong Kong
(67 fatalities)

1976: Sau Mau Ping, Hong Kong

(18 fatalities) 12
 Establishment of the
Late 1970s to
Pre-1970s mid-1990sGeotechnical Engineering
Empirical rules Office in 1977
of thumb Applying
modern → TRANSFORMATION of slope
geotechnology
safety governance and
practice

13
 Modern geotechnology + systems approach

Legislative Systematic
Customized R&D and Framework Retrofitting
Guidelines Technical & of
Advances Governance substandard
slopes
Engineering Land development Landslip Preventive
geological control Measures (LPM)
mapping Programme (risk-based
priority ranking system)

Statutory
Ground control
investigation
Landslide warning &
emergency response

Squatter
clearance
Standards for design, laboratory Geological and 14
testing and fieldworks groundwater models
1994: Kwun Lung Lau, Kennedy Town, Hong Kong
(5 fatalities)

15
 Robust measures
Enhanced detailing in
slope drainage and
surface protection Public education &
publicity

Late 1970s to
Pre-1970s Mid-1990s to
mid-1990s
mid-2000s
Empirical rules
of thumb Applying
modern Enhanced
geotechnology risk
management

Risk-based
decision
making

Systematic landslide
investigation
Technical
review board and international
16
benchmarking
1999: Shek Kip Mei 1997: Sunny Villa
(relic failure) (past history of failure)

1999: Tsing Yi Road

(movement & deterioration)
1994: New Clearwater Bay Road
(high groundwater level) ENGINEERED
SLOPE FAILURES

1997: Ching Cheung Road 1995: Fei Tsui Road

Chung Hau Street (complex groundwater (adverse geological
(deep weathering) regime) feature)
 FORENSIC LANDSLIDE INVESTIGATION
Sudden Post-
Healthy critical mortem
person illness examination
Forensic
Scientist

Looking for
Diamond Robbery fingerprints
Detective
To find:
• Sequence of events
• Multiple contributory
factors
• Root causes
Stable slope Fatal landslide
Forensic
Engineer 18
 International best practice
Achievements
• Design based on sound geoscience principles
for this period
Enhanced professional awareness
and technical insights
• Actual performance of slopes under heavy rain
• Causes of failure of engineered slopes

Reflected by statistics

Unacceptable

ALARP
Acceptable

19
 Landslide Risk Trend
Period I Period II Period III Period IV

15-year rolling Notional Risk Trend

1977: GEO
Risk increases due to population growth,
climate change and slope deterioration

(1972) 138 fatalities

Annual Landslide Fatalities

(1976) 18 fatalities; 3000+ residents

affected

As Low As Reasonably Practicable (ALARP)

Year 20
1990: Tsing Shan Debris Flow, 1999: Sham Tseng San Tsuen 21Debris
Hong Kong Flow, Hong Kong
 New understanding of
natural hillside
• Ongoing hillside degradation
• Human influence
Late 1970s to
Pre-1970s Mid-1990s to
mid-1990s closer to steep Mid-2000
Developmentmid-2000s
Empirical rules natural hillside onwards
of thumb Applying
• Risk level comparable to man-made
modernslopes based Enhanced
on Quantitative Risk
geotechnology
Assessment (QRA)risk Tackling
management new
Climate change challenges
• Increasing frequency and severity of extreme rainfall
events – unprecedented challenge
• Multiple hazards

Landslip Prevention and Mitigation (LPMit)

Programme
• Natural terrain hazard study • Innovation & technology
• Debris mobility modelling
• State of the art design of barriers
• Quantitative Risk Assessment (QRA) 22
 Landslide Risk Management Strategies
in Hong Kong

System components
1977: Set up GEO
Overall Landslide Risk

Contain risk from
new development
Reduce risk associated
with existing developments
Resilience measures
to minimize landslide
consequence
1950
Land-use planning
Geotechnical control of new
development
Take enforcement action on
unauthorized site formation works
Discourage illegal cultivation
Upgrade and maintain government slopes
Promote private slope maintenance
Mitigate natural terrain landslide hazards
Clear squatters from hilly terrain
Issue landslide warnings and erect warning
signage
Educate public on precautionary measures
Provide landslide emergency services
Promote capacity-building of the public &
enhance community resilience
Year

1960

1970

1980

1990

2000

2010

2020

2030

23
Multi-pronged, Systems Approach for
Landslide Risk Management

GEO

Regulator

Safety manager

Service, education and

information provider

24
 Collaboration by key stakeholders
Professionals
• Competence in terms of
technical expertise and
Governance professionalism
• Slope safety managers • Take up responsibility at
and regulators design and construction
stages

Human
Uncertainties General public & media
Policymakers
• Enhance public
• Allocators of human understanding, awareness,
and financial resources community preparedness
and resilience;
• Willing to follow temporary
evacuation orders;
• Discourage poor
anthropogenic practices;
25
• Enforcement actions
 So far so good, but what next?

Last multiple-fatality
Annual Fatalities

landslide in 1994

B 29 yrs

Last fatal
每 landslide in 2008
年
死
亡
人
數
A
13 yrs
?
G

2023
47
 Geotechnical Control
Geotechnical Engineering Office (GEO) was set up in 1977 as
a central authority to exercise geotechnical control on private
and public developments in Hong Kong

Objective • Ensure public safety in relation to

new development or formation of
new slopes
Approach :
• Private projects - enforce Buildings Ordinance and
Town Planning Ordinance (through legal authority)
• Public projects - enforce Government’s
administrative procedures (departments to follow)
27
 Improve slope safety standards and
regulatory and administrative frameworks
GEO carries out applied technical development work for production of
geotechnical standards and guidance documents. Continuous improvement
is made to the administrative framework and relevant regulations for
geotechnical control.
Undertake applied R&D work

Prepare professional guidance documents

Improve administrative and geotechnical

control mechanisms

28
 Geotechnical publications by GEO
• Geotechnical Manual for Slopes
• Highway Slope Manual
• GEOGUIDE
• GEOSPEC
• Technical Guidance Notes (TGN)
• GEO Publications
• GEO Reports

http://www.cedd.gov.hk
Home > Publications > GEO Publications
29
Avoid increase in landslide risk due to new developments
GEO is responsible for:
(a) ensuring that geotechnical considerations of new projects are
incorporated at the early stage of land-use planning, and
(b) checking all new slopes formed under private and public sector
projects in order to ensure that they are designed to modern safety
standards.
• Plan land-use
• Check all new slopes
(private and government)
• Audit sites during construction

30
 Geotechnical Control of New Developments
Stages Objectives
Outline zoning plans, • Early identification of geotechnical
Master plan development, problems or constraints
strategic project schemes • Secure power under Town Planning
Ordinance for geotechnical control
Planning applications
- site-specific • Avoid hazardous areas (e.g. in-
principle objection as appropriate)
Land disposal; • Suitable clauses in land
feasibility study title documents (secure
power under the land lease)

Design and construction • Comply with technical

standards and good practice
Study of landslides • Safety net & system improvement
based on lessons learnt
31
 Screening Criteria for New Developments
(Planning and Land Disposal Stage)
For sites subject to For sites that may be affected
severe hazards by natural terrain hazards

# for planar hillside with no record of recent

landslides / tension cracks / distress / boulder
falls the shadow angle can be relaxed to 25

In-principle Objection to Study and mitigation of

development proposal hazards required 32
Planning Applications under Sections 16 and
12A of the Town Planning Ordinance (CAP 131)

Any proposed changes in land-use would need to seek

Town Planning Board approval (Sections 16 & 12A)
Need to submit a Geotechnical Planning Review Report
to GEO to support application of development that may
affect or be affected by man-made slopes, retaining walls
or natural terrain for the following scenarios:
• Sloping sites
• Sites comprising sizeable man-made slopes
• Sites flanking natural terrain that meet the in-principle
objection or alert criteria
33
 Natural Terrain Hazard Screening
at Planning Stage

GEO Advice Note :

“Site subject to major past instability will generally not be

accepted for development”

34
 Land-Use Planning Stage – an example
Natural terrain clause – to require
the developer to study natural
terrain hillside hazards and carry
out mitigation measures

Green hatched black clause –

man-made sloping area adjoining
the site which the developer shall
study and upgrade and maintain

Prior to the sales of private land, GEO advises Director of Lands to include
relevant geotechnical clauses (e.g. natural terrain clause) into the land
disposal or lease document
Edged Pecked
Green Area

Green Hatched
Black Area

Outside Works
Area

The Site

36
Geotechnical Control of
Private Developments
Key Parties Involved in Control of Private Development

Planner
Town Planning
Authorized Person Board
• As a Coordinator
Geotechnical
Director of Lands Engineering Office
Registered Structural Advise on Land-use
Engineer Planning
• Structural Elements
Exercise Geotechnical
Building Authority Control

Registered
Geotechnical Engineer

• Geotechnical Elements
38
Containing the risk arising from new developments
◼ Buildings Ordinance is enforced
by the Building Authority

◼ GEO introduced various

legislations in the Buildings
Ordinance in the 1980s for
geotechnical control

◼ GEO plays a regulatory role in

relation to geotechnical aspects
as a technical advisor to the
Building Authority
 Regulatory Frameworks for New Developments
Preamble of Buildings Ordinance:

◼ To provide for the planning, design and construction of buildings

and associated works; to make provision for the rendering safe of
dangerous buildings and land; to make provision for regular
inspections of buildings and the associated repairs to prevent
the buildings from becoming unsafe

◼ All buildings and street works in private lease land are governed
by the Buildings Ordinance

◼ Buildings and street that belong to the Government are exempted

from the Buildings Ordinance
 Geotechnical Control of Private
Developments under Buildings Ordinance

• Buildings Ordinance, Chapter 123, Laws of Hong Kong

(provisions for geotechnical control were first introduced
in the 1980 amendments)

• Related Regulations
 Building (Administration) Regulations

 Building (Construction) Regulations

 Building (Planning) Regulations

41
GEO’s Specific Roles in Private Developments

 Advise on geotechnical constraints,

development conditions and special lease
conditions at the land-use planning stage
 Audit geotechnical design submissions and
impose suitable conditions during development
 Audit standard of supervision and compliance of
geotechnical works
 Recommend issue Dangerous Hillside Orders on
existing slopes that are found to be dangerous or
liable to become dangerous (safety-screening
42
study or following landslide)
Process of Private Projects under BO

Planning Stage Design Stage Works Stage Monitoring

Stage
General Building Plan
Site Supervision Long Term
Geotechnical
Demolition Plan Plan Monitoring
Assessment to
(if needed)
Town Planning
Board Ground Investigation
Construction
Monitoring & Maintenance of
Site Formation Plan /Slope Performance Horizontal
Improvement Review Drains or
Geotechnical Ground Anchors
Foundation Plan
Clauses in Land
Disposal Document As Built Records
Excavation & Lateral
Support Plan

Drainage Plan

Superstructure Plan
43
Establishment of Registered Geotechnical Engineers
▪ A registrar was established under the Buildings Ordinance
in 2006 for Registered Geotechnical Engineer (RGE)
▪ The enactment of RGE is to ensure that only suitably
qualified and experienced geotechnical engineers will be
responsible for the design and supervision of geotechnical
works
▪ RGE must be a corporate member of the Hong Kong
Institution of Engineers in Geotechnical Discipline (i.e.
MHKIE(G) with proven technical competence) +
knowledgeable of the Buildings Ordinance and private
development control process
 RGE’s Roles & Responsibilities
▪ Responsible for the investigation, design and supervision of
geotechnical works under the Buildings Ordinance

TWO different roles :

▪ Executive role – to prepare and sign geotechnical plans

and reports, and to certify completion for ground
investigation, site formation, etc.
▪ Advisory role – to prepare and sign geotechnical reports
for demolition, foundations and excavation and lateral
support plans, etc.
 Submission of General Building Plan
A Geotechnical Assessment is required to support the
approval of general building plan, e.g. sites with deep
excavation, near tunnels, on sloping ground, within
Scheduled Areas
Purpose:

▪ Identify geotechnical
constraints at an early
stage

▪ Ensure that the project is

Redevelopment at Causeway Bay
geotechnically feasible
 Ground Investigation Works
▪ Projects in Scheduled Areas require approval and
consent from Building Authority for GI works

▪ GI works to be carried out by registered specialist

contractors in ground investigation fieldwork category

▪ Supervision by qualified person and logging geologists

▪ Laboratory and field tests to be carried out by HOKLAS

accredited laboratories
 Site Formation Plan

▪ Site Formation includes

excavation on sloping
land, filling, landslip
preventive works, landslip
remedial works and
groundwater drainage
works

Site Formation Works at Aberdeen

 Earth Filling Works

PNAP APP-15 and APP-64 (formally PNAP 55 & 167):

 notify BA regarding the date of
commencement of filling work
 prior to seeking occupation
permit (OP), must submit “as-
built” records and records of
compaction
 compaction tests must be
performed by laboratories
accredited under HOKLAS

49
 Foundation Plan

Assess the effects of the

foundation works on
adjacent ground,
structure, services,
geotechnical
features and groundwater
condition
Residential Development
at a 50m-high slope in Kennedy Town
 Excavation & Lateral Support Plan
B(A)R 8(1)(bc)
• Ensure excavation and dewatering work will not
impair the stability or cause undue settlement or
distortion of adjacent ground and structures

Failure involving non-

compliance of ELS for 8
m deep basement
excavation
(October 1990, Yung
Ping Rd)

51
 Prevention of
hydraulic failure
and assessment
of effects of
dewatering on
adjacent ground

Grouting to control inflow into

tunnel / cavern to prevent
excessive groundwater drawdown
52
 Drainage Plan
B(A)R 8(1)(e) & PNAP APP-76 (formerly PNAP 183)
• Plans to show size and depth of drains and sewers,
connections to public drains/sewers or disposal method
• To avoid buried water-carrying services in slopes, especially
fill slopes
• For unavoidable water-carrying services:
• Lay above ground
• House in a ducting system or trench with leakage detection
• Stop valves for water mains at both ends of a slope
• Accurate as-built records
53
 Performance Review
BO 17 (1) 6 (g) & PNAP 246
Purpose
• To ensure that the actual conditions encountered
during and after the works are not materially different
from those assumed in the design

Required where:

• the geological conditions need to be verified during

construction
• the groundwater regime will be adversely affected
• the design is unconventional
54
 Consent for Commencement of Works
▪ Written consent from the Building Authority (BA) for the
commencement of works shown in approved plan is required

▪ Site supervisory staff need to be approved by BA

▪ BA may impose conditions on:

▪ verification of certain design assumptions prior to the
actual works
▪ Completion of certain works prior to next stage of works,
e.g. installation of pipe pile wall (i.e. stipulating the
sequence of construction)
 Qualified Site Supervision
Objectives
• Review and verify geotechnical design assumptions
• Ensure compliance with approved plans / procedures
• Preferably done by the Design Engineer
• Compliance with supervision plan requirements

56
 Supervision of Geotechnical Works

▪ Building Authority requires AP,

RSE and RGE to ensure the
construction works are carried
out in full compliance with the
Buildings Ordinance

▪ The Code of Practice on Site

Supervision published by BD
governs the requirements of
site supervision
Site Supervision is
Vitally IMPORTANT,
especially for geotechnical
works (buried works)
 Qualified Site Supervision Requirements
Technical Memorandum for Supervision
Plans (2009)

- Supplements the provisions of the Buildings

Ordinance governing the supervision of
building works and street works
Sets out the principles, requirements and
operations of supervision plans

 Code of Practice for Site Supervision (2009)

- Gives guidance for the preparation of

Supervision Plans, duties of different parties
and other site supervision matters (a function
of the type of works)
58
 Qualified Supervision Requirements – RGE Stream
BO Section 39A, PNAP APP-28 (formerly PNAP 83)
CoP for Site Supervision 2009
 Technical Competent Person (TCP T5) (Category I)
Periodic inspections by a Registered Professional Engineer (Geotechnical) in
the design team to review design assumptions (e.g. geological conditions and
groundwater regime)
 TCP T3 (Category III)
Full time resident engineer with appropriate academic qualification (e.g. higher
certificate, higher diploma or degree) and relevant working experience to check
on compliance with drawings, specifications and/or working procedures
 Directorate Site Supervisor (DSS) (Category II)
Periodic inspections by a Registered Professional Engineer (Geotechnical) who
is a partner/director of the design firm
 TCPs are to recognize, evaluate and communicate concerns to the RGE
 Registered Geotechnical Engineer (RGE) (Category II)
Inspection as and when required 59
 Minimum Supervision Requirements
Extracted from TM for Supervision Plans (2009)
Grades of TCP and Min Freq Levels of Inspection

Type of building works and street works RGE’s Stream

T1 T2 T3 T4 T5 RGE

Ground investigation field works - - 5 - 4 1

Building works with significant Foundation - - 5 - 4 1
geotechnical content
Others - - 5 - 4 1

Directorate Site Supervisor (DSS) supervision is required for geotechnically difficult or sensitive sites,
e.g. sites where the works could pose adverse impact to life/property (see Section 7 of CoP for Site
Supervision 2009 for details)
Relevant qualification/experience for TCP T4/T1 under the RC’s stream is also needed for
geotechnical works (e.g. soil nails), and TCP T4 – CP logging geologist for GIFW
Level 1 = Inspection as and when required
Level 2 = Monthly inspection
Level 3 = Fortnightly inspection
Level 4 = Weekly inspection
Level 5 = Full-time inspection during site working hours
60
Quality Supervision of Soil Nailing Works

PNAP APP-135 (formerly PNAP 284)

If the Building Authority (BA) considers that there is

cause for concern in relation to the quality of soil
nailing works, the BA will require the RGE to carry
out non-destructive testing (NDT) of at least 1% of
soil nails with a minimum of 2 nails per slope to
verify the length of the installed soil nails

61
 GEO’s Regulatory Role in Site Auditing
▪ Check that the site supervisory staff have performed their duties
under the BO
▪ Check any non-compliance of construction works and advise BA to
take statutory or disciplinary action

Non-compliance
works observed
(many struts missing)
Example of Enforcement Actions by Building Authority
▪ A person fell into a sinkhole
next to a private site in 2014
▪ Investigation by GEO found
that the sinkhole was the
result of defective works by
the contractors and that the
site supervisory staff failed to
take remedial actions to
rectify the situation

Three site supervisory staff, including the

RGE and a contractor who were directly
involved in the incident, were found guilty
of offences under the Buildings Ordinance
and fined a total of HK$280,000.
 Form BA14
- Completion of Works

Form BA14 - Certificate of Completion of Works:

 record plan of site formation works

 fill compaction records

 soil nail pull-out test results

 performance review (now extended to other areas apart from

Scheduled Area No. 1)

 slope registration records and maintenance manuals

 any other documents as stipulated by BD

64
 Special Control for
Scheduled Areas and Designated Area
Special geotechnical control imposed Area No. 2
Yuen Long Scheduled Area
深圳 Shenzhen

Area No. 4

▪ Area No. 1 Ma On Shan Scheduled Area

(Mid-levels – Area of sloping ground 新界 New Territories

and dense urban developments) North Shore Lantau

Designated Area

▪ Area Nos. 2 and 4

(Yuen Long & Ma On Shan – Areas 大嶼山 Hong Kong Island
香港島

underlain by marble formation with

Lantau Island

karst features) Area No. 1

(Mid-levels Scheduled Areas)

▪ Area No. 3
(MTR Protection Zone) ▪ North Shore Lantau Designated Area –
complex geological ground condition
▪ Area No. 5
(Sewage Tunnel Protection Zone)
 Special Geotechnical Control
in Mid-levels Scheduled Area
PNAP APP-30
(formerly PNAP 85)

66
Challenges posed by Mid-levels Area
• Steeply inclined terrain and dense urban development
• Adverse geology – thick colluvium overlying saprolites,
complex hydrogeology, of marginal stability (i.e. prone to
failure due to disturbance or removal of toe / passive
support)
• Many reported landslides affect the developed area, mostly
triggered by heavy rain
• Notable failures have occurred during construction stage
• 2 serious cases with massive fatalities:
• Po Hing Fong landslide killed 75 persons in 1925
• Po Shan Road landslide killed 67 persons in 1972
67
 Mid-levels Moratorium (temporary
ban of new developments, 1979-1982)
• introduced in May 1979
• prohibited further building development in the Mid-
levels area up to 31.12.1981 (later extended to June,
1982)
• to enable Government to carry out an Area Study of
the geotechnical factors that should govern future
development [The Mid-levels Study]

68
 The Mid-levels Study (1979-1982)
• Assessment of the regional geological and
hydrogeological conditions (extended monitoring
of groundwater response and soil suction),
including general stability conditions
• Consideration of measures to improve regional
slope stability
• Consideration of restrictions and special
geotechnical control measures to future
developments in the area

69
 Special Geotechnical Control in Mid-levels
Key requirements introduced in Buildings Ordinance:
(A) require submission of Demolition Works Plan
(B) require submission of Ground Investigation Plan
(C) limit Bulk Excavation to specified levels
(D) require submission of Foundation Plan together with Site
Formation Plan
(E) can impose the Sequence of Works
(F) can exercise the special power regarding Groundwater
Drainage Works
(G) can impose, where appropriate, provision for resisting
Landslip Debris
(H) can require, where necessary, a Performance Review
70
 (A) Demolition Works
Concern
• demolition operations  reduction to the support of
slope & ground
• some past failures due to this cause
• important to maintain adequate ground support to
provide reasonable margin of safety of adjacent land
and structures

Legislative Power
B(A)R8(1)(baa) - prescribed constituents of a
demolition plan in the scheduled area – require
approval and consent
71
 Demolition Plan
Remaining portion of Existing
Existing retaining wall
the building
building to be stabilized
by anchors/soil nails
demolished
Road

Anchors/
soil nails
Road

72
 (B) Ground Investigation Works
Concern
• need to ensure sufficient data of adequate and
reliable quality for design
• G.I. for critical zones requires much higher
technical standard by contractors than is
commonly used in Hong Kong
• ensure adequate supervision

73
(B) Ground Investigation Works (Cont’d)

Legislation
• B.O. Sect. 2 – define “ground investigation”
• B.O. Sect. 17(1)6(c) – approval of GI plans and consent
to commence of GI works – requires acceptance of Site
Supervision Plan
• B(A)R8(1)(l) – prescribed constituents of a G.I. plan

74
(B) Ground Investigation Works (Cont’d)
Implementation by GEO
• GEOGUIDE on the required standards
• check adequacy & quality of proposed work, included:
 location, size, depth, or the criteria for their determination,
of all exploratory work
 equipment & procedures
 sample selection criteria
 specification, reporting format etc.

75
(B) Ground Investigation Works (Cont’d)
Implementation by GEO
• impose supervision requirements
• check actual site performance
• review and comment on G.I. report
• appointment of geotechnical consultant to design, arrange
and supervise G.I. works
• G.I. and laboratory works are to be carried out by
registered specialist contractor (RSC(GIFW)) and
HOKLAS accredited laboratories, using special techniques,
such as air-foam drilling (for bouldery colluvium and fill),
and other techniques for high quality samples
76
 (C) Bulk Excavation Limit
Concern
• ML is a densely urbanised zone, previous
development dramatically modified natural
topography of the area
• unrestricted bulk excavation for basements & cuttings
would generally lead to an excessive reduction to the
support of a slope
• bulk excavation to be limited in order to minimise the
possible cumulative effect

77
 Bulk Excavation Limits

Existing ground profile

B/L B/L
Existing
building
Road

Proposed
building

Existing
masonry
retaining
wall

Road
Determined Bulk
Excavation Limit

Proposed
piles

78
 (C) Bulk Excavation Limit (Cont’d)

Legislation
• B(C)R21(2) – define “bulk excavation” means all
excavation except excavation for ground investigation,
public utility trenches, drains, sewers, piles & caissons
• B(C)R21(1) – bulk excavation in the scheduled areas shall
not be carried out below levels to be determined by the
Building Authority
• B(A)R8(1)bb(vii) – need to show envelope of all bulk
excavation

79
 (C) Bulk Excavation Limit (Cont’d)

(1) B(C)R 21 requires bulk excavation shall not be carried

out below levels determined by the Building Authority.

(2) For this regulation "bulk excavation" means all

excavation except excavation for ground investigation,
public utility trenches, drains, sewers or piles.

(3) Encroachment mainly involves small lift pits & access

ramp

80
 (D) Foundation / Site Formation Interaction

Concern
• need to assess the effects of the adopted foundation
system (surcharge or lateral loading) on adjacent
ground, structure, geotechnical features and
groundwater condition

Legislation
B(A)R11A - requires that the foundation plan and site
formation plan (and supporting documentation) to be
submitted together

81
Assessment of
groundwater
damming effects
due to foundations
in sloping ground

82
 (E) Excavation & Lateral Support Plan

• Ensure excavation and

dewatering work will not
impair the stability and
cause undue settlement of
the adjacent ground and
structures and services

83
 (F) Sequence of Work
Concern
• In some sensitive cases, construction of piles or deep
foundations and ground beams may be required
before the demolition of existing structures or any
bulk excavation  in order to provide additional shear
resistance along the potential slip surfaces

Legislation B.O. Sect. 17(1)6(f) :

- for building works in the Scheduled Area, B.A. can
impose the sequence of work

84
 (F) Sequence of Work (cont’d)

Implementation by GEO
• perhaps because of the existence of this power, it has been
common practice for the designer to voluntarily include as
necessary a satisfactory sequence of work on the plans for
approval  minimal need to impose it in practice
• this power is also useful to ensure preventive work to existing
retaining wall and slope be carried out at an early date, say,
prior to bulk excavation

85
 (G) Groundwater Drainage Works
beyond Site Boundary
Concern
• basements & retaining walls form continuous water-
tight barrier
• piles & caissons form partial barriers
• drainage measures to ensure new construction do not
adversely dam up groundwater flow resulting in rise in
groundwater table
• encroachment of neighbouring land to be granted if it
is in the interest of the stability of the neighbourhood

86
 (I) Landslide Debris Impact
Concern
• Steep natural hillslope above developed area could be susceptible
to landslide
• of extent & practical difficulties to stabilise large area of

hillside  not practicable to improve the Factor of Safety

• Hazard from falling of rock fragments or boulders cannot be

completely eliminated unless all fragments and boulders are
removed from the hillside, which is clearly not practical

• Where there is high risk to life due to shallow landslides or boulder

falls  redevelopment at the foot of natural hillside will be
designed to safely accommodate such debris impact
87
 (I) Landslide Debris Impact
Implementation by GEO
• This power is primarily to deal with shallow landslide and
boulder fall hazards from natural hillsides
Two examples:
• In one case, extensive drainage works were proposed, together
with provision of debris deflector, debris trap, rock fence and
special structural arrangement of the building

• In another case, the designer undertook to carry out detailed

investigation and analysis of the problem, with the layout of the
building re-arranged and building structural frame designed to
cope with the landslide hazards

88
Barrier Wall Integrated with
the Building Structure
Natural Slope
Main Building

B/L

Wall designed
to withstand
Car Park landslide impact

Access ramp
to car park

89
 (J) Performance Review
Concern
• ground conditions & building works should be regularly
inspected and monitored during construction to ensure
that the geotechnical design assumptions remain valid, and
if not, appropriate design changes are made in a timely
manner

90
 (J) Performance Review (Cont’d)
Legislation
B.O. Sect. 2 define “performance review”
B.O. 17(1)6(g) empower B.A. to lay down as a condition of
approval of S.F. plans the requirement to submit
a performance review to B.A. satisfaction prior to
O.P.
B.O. 21(6)f B.A. may refuse to issue O.P. if any performance
review requirement not met
B.O. 21(8) control the timing of submission of the
performance review to ensure adequate time for
B.A. to assess performance review report prior to
processing of O.P. application

91
 (J) Performance Review (Cont’d)

PNAP APP-115 (formerly PNAP 246):

Performance review to demonstrate:

 the building works have been adequately inspected and
monitored in the course of construction
 geotechnical design assumptions upon which the building
works have been based are valid

92
 (J) Performance Review (Cont’d)
Performance review may be imposed to works within the
scheduled areas or works outside the scheduled areas where :

 geological conditions need to be verified during

construction (e.g. slope with history of continuous
movement or containing abnormal geological weakness)
 groundwater regime will be adversely affected by deep
foundations and cantilevered retaining walls
 unconventional design (high retaining walls, significant
lowering of groundwater by drains)

93
 Yuen Long and Ma On Shan
Scheduled Areas 2 and 4
Special geotechnical control for buildings founded on
marble with solution cavities
• Submit GI plan for approval
– minimum penetration of 20 m into
sound rock
• Include redundancy in pile design
• Performance review
• Long-term settlement monitoring
Note – The Designated Area of Northshore
Lantau is underlain by locally complex
geological conditions that may be problematic
to foundation construction for high-rise
buildings 94
Geotechnical Control on Existing Development

• Register sizeable slopes in Slope Catalogue and

promote regular maintenance
• Issue statutory Dangerous Hillside Orders on existing
slopes which are deemed to be dangerous or liable to
become dangerous [or issue Advisory Letters if needed]
• Serve statutory Drainage Orders for leaking water-
carrying services that could affect slope stability
• Ensure continued performance of special geotechnical
installations (e.g. pre-stressed ground anchors and
designed horizontal drains) through monitoring and
review of the monitoring results 95
 Slope Registration & Maintenance

• Before the application for Occupation Permit,

AP/RSE/RGE should :
 provide slope registration information of
new/existing slopes affected by the development
 prepare slope maintenance manual for owners

96
 Long Term Monitoring
Post-Occupation Permit
(e.g. designed horizontal drains or
prestressed ground anchors)

97
97
Ensure that Private Owners Take
Responsibility for Slope Safety

Require owners to investigate and

upgrade their substandard slopes
by issuing Dangerous Hillside Order

Require owners to inspect and

repair their buried services
affecting slope stability by issuing
Drainage Order

110
Safety Screening Study of Private Slopes
• The Government performs a regulatory function of safety-
screening of selected private slopes under the Landslip
Prevention and Mitigation Programme (LPMitP)
• Under the LPMitP, 100 private slopes are selected for safety
screening study each year
• The main objective of the safety-screening study (i.e. Stage 2
Study) is to confirm whether prima facie evidence on a private
slope can be established for serving a Dangerous Hillside
(DH) Order

99
 Dangerous Hillside Order
Buildings Ordinance Section 27A
Where in the opinion of the Building Authority any natural, formed or man-
made land, or any earth retaining structure, has due to any cause been rendered
so dangerous or liable to become so dangerous that it will collapse, or be
likely to collapse, either totally or partially, and thereby will cause, or will be likely
to cause, a risk of injury to any person or damage to any property, the
Building Authority may by order in writing served on the owner of the land or
structure, or on the person who under the terms of a Government lease is under
an obligation to maintain the land or structure, declare the land or structure to be
dangerous or liable to become dangerous

 GEO makes recommendations to the Building Authority for service

of DH Order under BO Section 27A

100
 Incipient
instability

Slope FOS<1.1
by detailed
ground
investigation;
loose fill slope

Concrete wall
with low FOS
by detailed
ground
investigation;
old masonry
wall
 Soil cut
too steep by
empirical
criteria

Landslip after
urgent repairs

Slope FOS< 1.2

without site-
specific ground
investigation

Concrete wall
with low FOS
without site-
specific ground
investigation
 Dangerous Hillside Order
• The DH Order is served to require the responsible owners
to carry out an investigation to confirm the stability
condition of the slope and, if found necessary, to carry out
upgrading works
• DH Order requires the owners to appoint Authorized
Person and Registered Geotechnical Engineer to carry out
an investigation of the feature concerned
• Submit remedial/preventive works proposals for
approval, if appropriate
 Dangerous Hillside Order
 If the owners do not carry out the investigation by the date
specified in the Order, the owners may be prosecuted in
accordance with Section 40(1B) of the Buildings
Ordinance
 Owners find guilty of failing to comply the Order may
subject to a fine of $50,000 and to imprisonment of 1 year
and $5000 for each day failing to comply the order
 The BA may carry out the investigation and any
subsequent works as default works under the Buildings
Ordinance and recover the costs involved from the lot
owners
Geotechnical Control of
Government Projects
 GEO Policing Role for New Developments
“Private” Projects
(Buildings Ordinance)
▪ Site Formation, slopes, ELS,
tunnel, ground improvement,
foundations in Designated
and Scheduled Areas
▪ Cover both permanent and
temporary works
Focus primarily on
public safety
“Government” Projects
(internal administrative process)
▪ Permanent slope works affecting
public safety
▪ Foundations in Designated and
Scheduled Areas
▪ Exclude temporary works, except
for tunnel works
Insignificant risk to life and property
cases can be exempted from GEO’s audit
Note: focus on public safety +
comment on cost-effectiveness
 Geotechnical Control of Government Projects
▪ Internal administrative Instructions, Technical Circulars and
the Project Administration Handbook set out the standards
and procedures for implementing Government projects
▪ Same geotechnical standards as for private development
project
▪ Project proponents usually engage consultants and
independent checking engineers to provide design service
(still need to make design submissions to GEO for vetting)
▪ Construction works are supervised by Resident Site Staff
employed by the design consultant on behalf of the Employer
(Government) for outsourced projects
▪ Registered Professional Engineer RPE(G) – MHKIE(G) + one
year of local experience in the geotechnical field
 Government Project Planning Stage
Project Definition Statement (PDS) and
Technical Feasibility Statement (TFS) by Project Proponent
Purpose:
▪ Identify at an early stage any
fundamental geotechnical
Road
constraints and risks
▪ Ensure that the geotechnical
Study Area feasibility of proposed works is
adequately assessed
▪ Define the scope of proposed
works and extent of further
geotechnical investigation needed
Geotechnical Control of Public Development
• Control is exercised through following administrative procedures:
• ETWB TC(W) 29/2002
All permanent geotechnical works for man-made slopes and
retaining walls shall be submitted to GEO for checking
• ETWB TC(W) 29/2002A
Application of the special geotechnical control as for private
developments in Mid-levels Scheduled Area on public
developments works including slope works
• Public Works Project Administration Handbook (Appendix 7/47)
Geotechnical supervision requirements
• ETWB TC(W) 20/2004
GEO Checking Certificate for Slopes and Retaining Walls
• DEVB TC(W) 6/2011
Maintenance of man-made slopes & emergency works to deal
with landslides 109
 Comparison of Geotechnical Control
for Private and Public Projects
STAGE PRIVATE PUBLIC
Planning & Land Geotechnical feasibility Geotechnical feasibility
Allocation Special geotechnical clauses in Special geotechnical clauses
land lease in government land allocations
Ground Investigation Specialist Ground Investigation Specialist Ground
Contractors under the Buildings Investigation Contractors in
Ordinance ETWB List of Specialist
Contractors
Design Approval/rejection of design Same technical standard as
submissions with GEO for private developments
recommendations Also, GEO gives advice on cost
effectiveness of design
Commencement of Consent with conditions, e.g. Works departments should
Construction soil nails buildability agree design with GEO prior to
assessment issuing tender invitations
 Comparison of Geotechnical Control
for Private and Public Projects
STAGE PRIVATE PUBLIC
Construction Site supervision plan (submitted Cat I, II & III site supervision in
Supervision by AP/RSE/RGE/ Registered accordance with the
Contractors) government project
administration handbook
Site Audit GEO to audit standards of As for private projects
supervision and compliance
with approved
plans/procedures
Performance Review Performance review imposed on As for private projects
difficult sites where required

Slope Maintenance Slope information and As for private projects

maintenance manual prepared
before completion
Geotechnical Supervision Requirements for Government Projects
Category I
periodic
inspections by a
RPE(G) of the
geotechnical
design team

Category II
Periodic
inspections by a
SGE / RPE(G)
of the
geotechnical
design team

Category III
Full-time
supervision
112
1
1
3
Role of Computer Programs
• Computer programs are an important tool in the
engineer’s toolbox (vs closed form solutions vs empirical
assessment)

• Computer programs serve as a convenient tool to

solve complicated problems, but they will give realistic
outputs only with correct inputs

• Increasingly powerful computing power facilitates the

tackling of more complicated problems in an efficient
and practical manner

• To serve different purposes : Predictions of behaviour of

boundary value problems; back analysis of
instrumentation data; sensitivity analysis or parametric
studies
 Need to use the right tool for the problem at hand
1
1
and a competent user
4

• Important to get the conceptual model right first, frame the

right questions, then set out to solve them using
appropriate numerical computational models
• Proper validation and calibration of numerical programs are the
key
• Need competent users [beware of ignorance, complacency,
carelessness]
• Carelessness – e.g. silly input errors, lack of checking, human
errors
• “Rubbish in, rubbish out”
• Nicoll Highway deep excavation fatal collapse in Singapore
(2004) – one of the root causes : misuse of finite element
program PLAXIS (as well as poor detailing of strut-waler
connection and inappropriate interpretation of the
instrumentation results when failure was developing)
Possible errors in the use of computer programs

(1)Modelling errors
(2)Coding errors
(3)Human errors
(4)Discretization errors
(5)Errors originating from inappropriate boundary
conditions (or inappropriate initial conditions)
(6)Errors originating from inaccurate input
parameters
1
1
GEO Circular No. 35 - Prior Acceptance of
6
Computer Programs for use in Geotechnical
Engineering
• Sets out the policy and procedures adopted by the
GEO in the checking of geotechnical computer
programs

• “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.”
1
1
7

GEO Circular 35
• “Geotechnical computer programs which have not
been checked and pre-accepted by GEO should
not be used in geotechnical designs or studies
where errors could have significant safety or
financial implications.”

• Website : cedd.gov.hk
1
1
8

GEO Circular 35
• “Programs are further divided into programs
submitted to the BD for prior acceptance for
private sector projects, and programs submitted by
other departments/consultants/contractors for prior
acceptance for use in government projects.
The technical requirements for prior acceptance
shall be the same for all cases.”
Key to Effective Geotechnical Control in HK
• Exercised by a dedicated central government body
(i.e. GEO) with geotechnical expertise and resources
• Unified technical standards and sound geotechnical
practice accepted by the profession
• Comprehensive legal framework for private projects
and comprehensive administrative framework for
public projects
• Constraints are identified at the early stage (e.g.
land-use planning, land disposal, building plan, etc.)
• Appropriate policies, governance and processes
• Comprehensive site supervision requirements
119
Geotechnical Control of Private Development
 Sources of Further Information
Website of DoJ on the Laws of Hong Kong (www.legislation.gov.hk)
Laws of Hong Kong Chapter 123 – Buildings Ordinance

Website of Buildings Department (www.bd.gov.hk)

Publications:
CoP for Site Supervision and TM for Supervision Plans 2009
Practice Notes for AP, RSE and RGE

Website of DevB (www.dev.gov.hk)

Publications / Technical Circular:
Development Bureau Technical Circulars (Works)

Website of CEDD/GEO (www.cedd.gov.hk)

Publications / GEO Publications:
Project Administration Handbook, Geoguides, GEO Reports, etc.
122