Application of International Code of

Practice for Risk Management of

Tunneling Works to Hong Kong

Ir. Jaya Jesudason

MANAGING RISK
KCRC APPROACH
z

Specify tried and tested Materials and

Methodology

Adopt new technology only when there

was clear evidence of Risk reduction

Allocate Risk to party best able to manage

& mitigate the Risk

Retain an experienced Project

Management team to manage the Works

PROJECT MANAGEMENT
Programme
management
Quality
assurance

Design process

Change management
& cost control

Contract formulation
Environmental
management

Procurement
Construction implementation

Risk
management

Testing & commissioning

Trial operation
Community
relations
Systems safety
assurance

Construction safety
management

KCRC EXPERIENCE
z

West Rail Project successfully completed,

good relationship between Client and
Insurance Underwriters

9/11 Impact on Lok Ma Chau Project

Insurance & particularly tunnel works

Discussions with Underwriters on SCL and

KSL Projects.

Background
z

9/11 Impact on Insurance

Major Incidence of Tunnel Collapse

Joint Code of Practice

Taegu Metro (South Korea) - 2000

Taegu Metro (South Korea) - 2000

Munich Metro (Germany)- 1994

Munich Metro (Germany)- 1994

1. GRAVEL LAYER
CLAY LAYER

NATM-TUNNEL

2. GRAVEL LAYER

Munich Metro (Germany)- 1994

1. GRAVEL LAYER (ground water saturated)

CLAY LAYER

Sand-filled void

2. GRAVEL LAYER
NATM-TUNNEL

Shanghai Metro (China) - 2003

Shanghai Metro (China) - 2003

Huangpu River

Lianjing Mansion
Damaged area
of D/Ttunnel

Damaged area
of U/T-tunnel

Singapore MRT Spring 2004

Singapore MRT April 30, 2004, 3:15 pm

JOINT CODE OF PRACTICE

June 2003, E-Mail from AON , KCRCs Insurance
Brokers:Underwriters reluctant to Insure Tunnel Projects
without adoption of Joint Code of Practice, draft
copy attached please provide your views and
comments

KEY POINTS
z

Code requires a risk-based approach

Code requires industry best practice

Makes demands on client, designer and

contractor

Code is part of insurance contract

Code impacts on design contract

Code impacts on construction contract

DISCUSSION WITH
UNDERWRITERS
z

Discussions commenced in June 2003

Review of KCRC Specification confirmed close

similarity with code.

KCRC in agreement with Codes objective of a

structured approch to risk management from
scheme concept to construction to minimize,
mitigate and manage risk at the earliest
opportunity in the project life cycle.

KCRC undertook legal and contractual review to

ensure no conflict between KCRC Conditions
and Code of Practice

MOU WITH UNDERWRITERS

z

KCRC General Specification modified to

incorporate requirements of the code

Adopted the design & construction phase

provisions

KCRC entered into a Heads of Agreement with

Provisional Committee for the International Code
of Practice for management of Tunnelling works

Accepted modified version of the policy

endorsement

RISK MANAGEMENT PLANNING

z

Risk to be considered in scheme formulation

SCL examples include:

z Deletion

of TWS cavern station

z Relocation

of MTW station

z Re-positioning

of HMT station

TSZ WAN SHAN STATION

z

Complex urban
environment

Poor ground
conditions

80-110m deep

MAU TAU WAI STATION

HO MAN TIN STATION

RISK MANAGEMENT
PRE - CONTRACT PHASE
z

Comprehensive specification to ensure adoption

of appropriate technology

Provide Tenderers with all available ground

information

Hands on project Management with obligation to

intervene if safety of the workforce, works or
third party was put at risk

RISK MANAGEMENT PROJECT

PHASE
z

Construction Contract Procurement

z Rigorous pre-qualification
z Adequate tender period
z Method statements and risk assessment documents
in Tender evaluation

Detailed Design by D&B Contractors

z Formalised risk management
z Design checks

Construction Stage
z Formalised risk management
z Validation of design during construction

HONG KONG GOVERNMENT

z

ETWB Technical Circular on Risk

Management

ETWB Risk Management User Manual

GEO Technical Circular on Risk

Management of Tunnel Works

Risk Management
z

Should be considered from the commencement

of Scheme planning to Project completion

Risk Prevention options diminish with Project

progress

Engineers have a duty to consider risk at the

concept stage and propose schemes that will
meet end user aspirations while containing risk
to a manageable minimum

Engineers can do attitude should be tempered

with consideration of risk

CLIENTS ROLE AND

RESPONSIBILITIES
Client only party capable of managing risk through project
life cycle:
z Sets project objectives and delivery programme
z Controls Project funding
z Engages staff
z Determines programme and funding for scheme
planning, design, ground investigation
z Establishes project procurement strategy that will lead
to selection of the contractor for the project.
z Controls transfer of Risk Data to party managing Risk

Code of Practice
z

Codifies good project management practices

Ensures Clients adopt a consistent approach to

managing projects.

Designers and Contractors can train their staff

and establish consistent work practices in line
with the code and there by minimize and
mitigate risk

Code compliance will help in markedly reducing

catastrophic accidents and Incidences that has
at times undermined the communities
confidence in the Industry

CODE OF PRACTICE
CONTENTIOUS REQUIREMENTS
z

Client to take full responsibility for

information issued to tenderers (SI data)

Client to establish Reference Ground

Condition or tenderers to submit Ground
Reference Conditions with Tender to be
bound into contract

MANAGING RISK IS CRITICAL

z

Nobody wants collapses

Nobody wants Injured workers

Nobody wants damage to third

party property

Nobody wants damage to the

Works

The Code makes good sense and

is good for Hong Kong

TRANSFER OF INFORMATION
z

All risk critical information must be transferred from

phase to phase to ensure no risk is overlooked including:
z

SI information

Risk registers

Risk assessments

Risk mitigation plans

Clients compliance with code objectives from scheme

formulation will the principal consideration of Insurers
irrespective of whether it is OCIP or CCIP that is being
sort

Benefits
z

Focused approach by all parties

Risk areas recognised

Pro-active management

On Going Visibility of risk mitigation

Clear lines of responsibility

RAILWAY CORPORATIONS
z

MTRC
Intends to adopt objectives of Joint Code
on Shenzhen Line 4 and West Island Line

KCRC
KCRC has adopted design & construction
provisions of Joint Code for KSL Project.

Thank You