Engineering Geology 72 (2004) 253 – 260

www.elsevier.com/locate/enggeo

Groundwater and geotechnical aspects of deep

excavations in Hong Kong
R.A. Forth *
School of Civil Engineering and Geosciences, University of Newcastle upon Tyne, Drummond Building, Newcastle upon Tyne NE1 7RU, UK

Received 6 March 2002; accepted 18 September 2003

Abstract

Consideration of groundwater is a key element in almost every construction project. The design of deep excavations for
basements or underground railway station concourses below the water table require that the water pressures are taken into
account. Whilst these can be considered to be hydrostatic in soil, the decreasing permeability of rock with depth and the fact that
groundwater flow is invariably along discrete fractures means that the water pressure is unlikely to be hydrostatic at depth.
Groundwater control for deep excavations can be achieved by a number of methods such as grouting, pumping or structural
walls or a combination of these. For tunnelling projects grouting is extensively used, but the development of sophisticated
tunnelling machines has led in many cases to the demise of compressed air as a means of groundwater control.
D 2003 Published by Elsevier B.V.

Keywords: Permeability; Rock; Groundwater; Dewatering; Settlement

1. Introduction (e.g. completely weathered granite) which is obtained

The measurement of groundwater pressure in soil
and rock is carried out by installing piezometers and
measuring the water pressure whether continuously
or, more commonly, at intervals. Hydraulic piezom-
eters are usually employed in soil but in rock, where
flow is often along discrete discontinuities, the
groundwater pressure is more accurately measured
using pneumatic piezometers.
In Hong Kong, the distinction between ‘‘soil’’ and
‘‘rock’’ in engineering terms is that rock is cored by
rotary drilling using diamond bits and excavated by
percussive methods or blasting. Thus weathered rock
* Fax: +44-191-222-6613.
E-mail address: r.a.forth@ncl.ac.uk (R.A. Forth).
by Mazier or Triefus sampling tubes with tungsten
carbide bits is considered to be soil for the purposes of
this paper. A typical Hong Kong ground profile
consists of made ground overlying alluvial/colluvium
which in turn overlies weathered rock before fresh
rock is encountered.
For a relatively homogeneous rock type, the dis-
continuities tend to become less frequent and tighter
with depth very often leading to extremely low per-
meabilities. It is in fact possible that even at relatively
shallow depths the water pressure reduces to zero. In
many civil engineering projects, water in the rock
need not be a problem in comparison with water in the
overlying soil, unless artesian conditions are encoun-
tered, and measurements are not often undertaken.
Hoek and Bray (1981) addressed the problem
proposing that hydrostatic pressure would buildup to

0013-7952/$ - see front matter D 2003 Published by Elsevier B.V.

doi:10.1016/j.enggeo.2003.09.003
254 R.A. Forth / Engineering Geology 72 (2004) 253–260
Fig. 1. Possible groundwater pressure models for excavated rock
face.
the mid-point of the excavation followed by a decline
to zero at the base of the excavation (Fig. 1). Matson
et al. (1986), working at the North Point, Hong Kong,
Metro concourse, recorded fracture frequency with
Fig. 2. Fracture frequency versus depth.
depth and showed that the number of fractures per
meter reduced from about five at the rockhead to
about two at 30 –35 m depth (Fig. 2). From this, they
considered that the Hoek and Bray approach was
conservative and suggested an alternative pressure
distribution (Fig. 3).
However, in order to check fracture flow pneu-
matic piezometers were installed at specific loca-
tions in the rock, where discontinuities were
present. The head of water measured at these loca-
tions was recorded and found to be in the range
0.2 –0.4 of hydrostatic (Morton et al., 1984), thus
confirming Matson et al.’s (1986) assumptions. In
fact, the water pressure reduced almost to zero at
about 30 m below ground level. The use of mea-
sured water pressures reduced the required rock
anchor capacity up to 30%, with considerable cost
savings.
The assumption that permeability decreases at
depth is also confirmed by studies in Sweden (Ahl-
Fig. 3. Comparison of possible water pressure versus hydrostatic.
 R.A. Forth / Engineering Geology 72 (2004) 253–260
Fig. 4. Hydraulic conductivity plotted against depth for rock mass
and fracture zones within crystalline rock in southeast Sweden.
Polynomial regression lines have been fitted to the data (redrawn
from Ahlbom et al., 1991).
bom et al., 1991) where permeability of the order of
10 10 m/s were measured in crystalline rock (Fig. 4),
similar to the values obtained in the studies of the
proposed nuclear waste repository site at Sellafield
(Chaplow, 1996).
This paper draws on the authors’ experience of
dewatering projects in Hong Kong, notably on the
construction of the Island Line of the Mass Transit
Railway constructed between 1982 and 1986.
2. Groundwater control
For relatively near surface excavations for typical
civil engineering projects in urban areas, groundwater
control can be achieved by a number of methods such
as grouting, pumping or structural walls, or a combi-
nation of these. Typical ground treatment methods
used in the construction of the Island Line (ISL) of the
Hong Kong Mass Transit Railway (MTR) are illus-
trated in Fig. 5.
255
For the deep excavations, the diaphragm walls
were very effective when founded in bedrock.
However, where bedrock was deeper than the base
of the excavation grout was injected beneath the
walls. In the context of the ISL project, the grout
was only required to be fully effective for about a
year or two as there were no significant delays in
the programme of construction. However, research
is needed into the performance of the grout in the
longer term where, for example, building pro-
grammes are delayed for technical or, more likely,
financial reasons.
For tunnelling, groundwater control was achieved
by grouting and compressed air. The use of com-
pressed air meant that all site investigation boreholes
and piezometers along the route had to be backfilled
and thoroughly sealed which, of course, prevented the
collection of groundwater level data during the tun-
nelling phase.
Ground treatment designs were based on the soil
conditions for each particular site and were generally
specified as a grout percentage of the soil volume,
and an injection pressure. In most cases, grouting for
groundwater control was two stage: cement– benton-
ite followed by chemical, with grout volumes spec-
ified for each type. Typical volumes for cement –
bentonite grout were 5% to 30%, depending on soil
type (fill through to completely weathered granite
as, for example, illustrated in Fig. 5) and for chem-
ical grouts 20% to 40%. Jet Grout piling or Jet
Special Grouting was also employed and may use
greater than 50% grout by volume. The chemical
grouts most commonly used were sodium silicates
with hardener volumes depending on setting times
required.
Grouting pressures were dependent on depth of
grouting and desired permeation rates, and were
usually in excess of overburden or water pressure.
Injection methods used varied from site to site and
include, in soil, Tube-a-Manchette, Lag and Jet Spe-
cial grouting (a replacement method). Rock grouting
was usually done using a staged method.
Generally, the soil grouting was effective both as
groundwater control and ground consolidation. The
chemical grouts appear to be able to permeate soils
with up to 10% to 20% passing the 75 Am size,
although this was by no means a general rule, as
the cement – bentonite grouts can penetrate the
256 R.A. Forth / Engineering Geology 72 (2004) 253–260

Fig. 5. Ground treatment methods.

coarser sands and gravel sizes. In most cases, the
soils encountered were able to be effectively
grouted using these two stage mixes. The major
problems, which were encountered, tended to be in
the loose alluvial sands (Cater et al., 1984). These
coarser sands provided resistance to grouting. It is
not known whether this was due to groundwater
flows or excessive grout travel or a chemical effect.
Consequently, they often provided an opening in
the grout curtain allowing water ingress during
excavation or tunnelling. Fig. 6 shows the grout-
penetration ranges in the Hong Kong soils as
determined from experience gained by the MTRC
on the ISL.
3. Case histories
A number of buildings were carefully monitored
before, during and after construction of tunnels and/or
 R.A. Forth / Engineering Geology 72 (2004) 253–260 257

Fig. 6. Grout penetration ranges.

deep excavations. As previously stated the tunnelling 4. Building descriptions

operations carried out under compressed air precluded
the collection of hydrogeological data during this
important phase. For the station concourses, the
dewatering took place simultaneously with the exca-
vation of spoil from within diaphragm walls. Hence, it
is not possible to separate ground movements caused
by excavation and those caused by the dewatering
process. Some typical time-settlement plots are in-
cluded for three buildings (Buildings A, B and C as
described below) adjacent to construction activities in
Central Hong Kong (Fig. 7). From this plot, it can be
seen that the total amount of settlement due to
excavation (including dewatering) is significant but
not substantial in comparison with the settlement due
to preliminary works and diaphragm walling.
Building A is a 15-storey reinforced concrete
building constructed in 1956. It measures 29 m by
49 m in plan, is 54 m high (15 storeys), and has a
small basement and lift-pit along the centre of the
western side (see Forth and Thorley, 1994).
The foundations are 432 mm diameter vibro cast
in situ reinforced concrete piles. The piles are in
groups of 3– 10 with isolated pile caps of 1.3 –1.8
m thickness. Pile spacings are at two pile diame-
ters within the group and groups are generally
spaced 4– 7 m apart. The founding level of the
piles is not recorded but is thought to be at the top
of the completely weathered granite strata. The
piles therefore would be founded at 15 – 17 m
258 R.A. Forth / Engineering Geology 72 (2004) 253–260
Fig. 7. Buildings A, B and C: time-settlement plots.
below ground level. The design capacity of the
piles is 61 t.
Building B was constructed in the mid-to-late
1970s (Building Plan approval was given in 1973).
The building is a reinforced concrete framed structure,
31 storeys (110 m) high and measures 74 by 45 m in
plan. It has one basement below ground level (see
Forth and Thorley, 1996).
The foundations consist of 2 m diameter bored
reinforced concrete piles varying in length from 41 to
64 m. The central piles support a 3.2- to 4.1-m-thick
raft with the perimeter piles, in groups of 1 to 4,
supporting 2.4- to 4.6-m-thick caps. Founding levels
of the piles vary from 48 mPD on the south side to
60 mPD on the north side. All piles are founded on
what was logged as ‘‘completely to moderately weath-
ered granite’’. A trial pile on the site was founded at
an SPT N value reported to be 400.
Building C was also constructed in the mid-
1970s, the Building Plan approval being given in
1972. The building is a reinforced concrete framed
structure, 16 storeys (53 m) in height, and is L-
shaped to fit the site geometry. In plan, the building
is 30.5 m long and from 5 to 9 m wide (see Forth
and Thorley, 1993).
This building, unlike the others considered, has
foundations consisting of 305  305 high yield steel
H-piles, varying in length from 31 to 33 m. Pile
founding levels range from 27 to 29 mPD,
which is some 3 to 8 m below the upper surface
of the completely weathered granite strata. The
piles support four separate pile caps from 1.5 to
1.9 m thick. A test pile on the site, loaded with
twice the design load of 150 t is reported to have
settled 21 mm. This pile was founded in CWG at
28.7 mPD.
5. Construction activities
In the vicinity of the building, the construction
activities associated with the MTR Island Line con-
 R.A. Forth / Engineering Geology 72 (2004) 253–260
sisted of diaphragm walling, deep excavations and
soft-ground tunnelling.
Excavation of the boxes within the 1.2-m-thick
diaphragm walls was done in all instances by top
down methods using temporary strutting in addition to
progressive installation of the permanent floor slabs.
Dewatering for these excavations was by deep wells
within the box, the soil being dewatered to 1 –2 m
below excavation levels.
Readings from an inclinometer in one of the
diaphragm walls adjacent to Building A showed
considerable horizontal movement of the base of
the wall towards the excavation. The bottom of the
inclinometer in this case was founded below the
base of the diaphragm wall in completely weathered
granite. An inward movement of up to 80 mm was
measured (Fig. 8) at the base of the inclinometer.
Fig. 8. Building A: adjacent diaphragm walling inclinometer
readings.
259
Based on a theoretical dewatering settlement calcu-
lation a value of over 20 mm settlement is sug-
gested due to drawdown. This would indicate 5 –10
mm settlement due to wall deflection, which repre-
sents 0.07 – 0.15 deflection/settlement ratio. This
compares with 0.17– 0.25 reported by Morton et
al. (1980, 1981).
An interesting groundwater effect on this and
other buildings was that of settlement rebound after
construction was completed and the compressed
air employed during adjacent tunnelling was swit-
ched off. This is observed in particular in the time-
settlement record for Buildings A and C (Fig.
7) and was of the order of 10% of the total set-
tlement. Minor architectural damage occurred to
Building A.
Building B settled a total of 20 mm during
excavation and dewatering and, as was the case
for A above, the building tilted towards the exca-
vation by a maximum of 1:4900. This settlement is
surprising given that the building is founded some
10 to 18 m below the diaphragm walls and 20 to 30
m below excavation level. It is considered the most
likely reason for the 20 mm of settlement is
dewatering effects causing down drag on the piles
during consolidation of the CWG and superficial
deposits, in conjunction with probably high pile
loads. As extensive piezometric data is not available
around the building, a theoretical estimate cannot be
undertaken. It is unlikely, however, to be conclusive
as the pre-construction estimates based on flow-net
analysis showed negligible movement. It is also
possible that inward movement of the diaphragm
walls may have had a similar down drag effect on
the foundations resulting in the 10 to 20 mm of
settlement. In either case, it should be noted that
this degree of movement had no effect on a
building of that size, rigidity and condition. No
damage occurred to this building.
Building C settled some 22 to 45 mm during
excavation although the direction of tilt was away
from the adjacent site. The reasons for this apparently
unusual behaviour are:
(a) the effect of piling on a nearby site;
(b) ground treatment drilling near the northwest corner
which is not able to be completely separated from
the excavation settlement; and
260 R.A. Forth / Engineering Geology 72 (2004) 253–260
(c) the complexity and rigidity of the diaphragm walls
adjacent to the building which may have the effect
of minimising settlement due to wall deflection in
that area.
If the above factors are taken into consideration, it
would seem that the building settled evenly by some
20 to 40 mm due to the excavation. Based on reported
maximum drawdown in the area, the likely dewater-
ing settlement is theoretically of the order of 25 mm
compared to the original estimate of 7 to 10 mm. This
would suggest that the settlement due to wall deflec-
tion would be 0 mm in the northeast corner and up to
10 to 20 mm elsewhere. Inclinometer data is not
available to determine the percentage of lateral move-
ment this represents, although it agrees with the
original estimate of 12 mm based on the structural
design. No damage occurred to this building.
6. Summary
Control of groundwater in urban environments is a
key element in successful construction. For deep
excavations in rock, a realistic estimate of permeabil-
ity has to be made to avoid over-design. In weathered
rock or soft ground conditions, sound construction
techniques and careful monitoring of ground and
building movement gives confidence to designers in
estimating the effects of groundwater drawdown nec-
essary to construct large excavations.
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