Circular No. 06/2006/TT-BXD guiding technical geological surveys to serve site selection and construction design

CIRCULAR

Hanoi, November 10, 2006

||| Guidelines for Geotechnical Survey to Serve Site Selection and Construction Design

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Pursuant to Decree No. 36/2003/NĐ-CP dated April 4, 2003 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Construction;

Pursuant to Decree No. 16/2005/NĐ-CP dated February 7, 2005 of the Government on project management for investment construction works;

Pursuant to Decree No. 112/2006/NĐ-CP dated September 29, 2006 of the Government amending and supplementing certain articles of Decree No. 16/2005/NĐ-CP dated February 7, 2005 on project management for investment construction works;

Pursuant to Decree No. 209/2004/NĐ-CP dated December 16, 2004 of the Government on quality management for construction works;

The Ministry of Construction hereby issues guidelines for geotechnical survey to serve site selection and construction design as follows:

This technical regulation sets out technical requirements, testing methods, sampling procedures; management requirements; responsibilities of organizations and individuals producing, trading, and importing cigarettes.

1. Scope of Regulation. This Circular guides the geotechnical survey work to serve site selection and construction design regardless of the source of investment capital; responsibilities of organizations and individuals related to the survey work.

2. Explanation of Terms. In this Circular, the following terms are understood as follows:

a. Geotechnical survey (hereinafter referred to as survey) is part of the construction survey work carried out to evaluate the geological conditions of the construction, forecast their changes and impacts on the construction during the construction and use phases. Geotechnical survey includes engineering geological survey and geotechnical monitoring.

b. Geological conditions of construction include topography, geomorphology; geological structure; tectonic characteristics; hydrogeological characteristics; meteorological-hydrological characteristics; lithological composition; mechanical and physical properties of soil and rock; natural geological processes, adverse geological processes.

c. Exploration point is the location where drilling, excavation, field testing (core, cut, static compression, horizontal compression, permeability test...) and geophysical measurement are conducted when the survey is carried out.

3. The survey tasks shall be established by the design contractor or the construction survey contractor according to the requirements of the investor. The survey tasks are established separately for site selection or for construction design. If the investor has the appropriate capacity as stipulated for construction survey or construction design, they may establish the survey tasks themselves.

4. The content of the survey tasks shall be implemented in accordance with Article 6 of Decree No. 209/2004/NĐ-CP dated December 16, 2004 of the Government and at Points 2.2.1, 2.3.1, Section 2, Part II of this Circular. The survey tasks must be approved by the investor and serve as the basis for establishing the technical survey plan.

5. The investor must organize the selection of a survey contractor with the appropriate capacity as stipulated to carry out the survey.

6. The technical survey plan is established by the survey contractor and serves as one of the bases for selecting the survey contractor. The selected survey contractor is responsible for completing the technical survey plan and submitting it to the investor for approval before implementation. The technical survey plan must be consistent with the approved survey tasks, comply with applicable standards, and take into account the scale, nature of the work, level of research, and complexity of the natural conditions in the survey area.

7. Main contents of the technical survey plan: - Basis for establishing the technical survey plan such as construction characteristics, survey tasks, geological conditions of the construction, existing research level on geological conditions in the construction area; - Components and volume of survey work; - Methods and equipment used; - Applied standards; - Implementation organization; - Implementation schedule; - Measures to protect infrastructure works, related construction works; - Environmental protection measures: water sources, noise, exhaust gases...; - Budget for survey work. The contents of the approved technical survey plan must be reflected in the survey contract. During the survey process, if abnormal factors are discovered, the survey contractor may propose adjustments or supplements to the technical survey plan without changing the approved survey tasks. Proposals from the survey contractor must be approved by the investor.

8. When implementing the survey tasks, the survey contractor must appoint a competent survey leader in accordance with Article 57 of Decree No. 16/2005/NĐ-CP dated February 7, 2005 of the Government; and must notify the investor about the certified laboratory where the indoor tests will be conducted so that the investor can supervise.

9. The survey work must be continuously and systematically supervised from start to completion and must be carried out by qualified personnel.

10. The survey results must be compiled into a report. The survey result report includes an explanatory section and appendices; the format and style of the report follow applicable standards. The content of the explanatory section of the report is in accordance with Clause 1, Article 8 of Decree No. 209/2004/NĐ-CP dated December 16, 2004 of the Government.

Appendices to the report may include documents such as general geological maps; actual geological and hydrogeological maps; topographic maps and location of the survey area; layout diagrams of exploration points; drill holes; geological cross-sections; graphs and results of field tests such as permeability, penetration, rotary cutting, shear cutting, horizontal compression, static load tests...; graphs and summary tables of laboratory test results on mechanical, physical, chemical properties of soil and rock samples and water samples; hydrogeological and meteorological-hydrological exploration documents; geophysical graphs and cross-sections; tables summarizing elevations and coordinates of exploration points; photo albums and other relevant documents (if any)...

The quantity and content of documents in the appendices to the report must be consistent with the survey work actually performed.

11. The report on the results of the survey must be inspected and recorded in a record according to Article 12 and Appendix No. 2 of Decree No. 209/2004/NĐ-CP dated December 16, 2004 of the Government. In necessary cases, the investor may hire a construction design contractor or another survey contractor to review and evaluate the survey results before inspection.

The inspection dossier for the survey results, together with Appendix No. 2 of Decree No. 209/2004/NĐ-CP dated December 16, 2004 of the Government, must include the Inspection Record of the field survey work component and the Inspection Record of the completion of the field survey work as stipulated in Appendices No. 1 and No. 2 of this Circular.

12. Supplementary surveys shall only be carried out in the cases specified in Article 9 of Decree No. 209/2004/NĐ-CP dated December 16, 2004 of the Government. The investor is responsible for approving the supplementary survey tasks, technical solutions for supplementary surveys, and signing supplementary survey contracts with survey contractors to implement them.

13. Survey works must have contents appropriate to the design stages as stipulated in Section 2, Part II of this Circular. In cases where the geological conditions of the project at the survey site and the project's technical requirements are not complex, the survey works can be conducted once to serve multiple design stages, but the survey contents must be reflected in the technical solution for surveys approved by the investor.

14. All acts of fraud, collusion, or distortion of survey results are strictly prohibited. The investor, survey contractors, design contractors, contractors, or individuals supervising surveys must bear responsibility or joint liability under the law for the results of their work; in cases causing damage, they must compensate for damages caused by their own fault.

II. SURVEYS TO SERVE SITE SELECTION AND CONSTRUCTION DESIGN OF PROJECTS

1. Surveys to serve site selection.

1.1. Site selection surveys shall be conducted when geological conditions are the main factor determining the site selection for construction projects. Depending on the complexity of the geological conditions and the characteristics of the construction project, part or all of the survey tasks listed in Point 1.3, Section 1, Part II of this Circular may be applied.

1.2. Site selection surveys shall be carried out at all schemes being considered within the proposed construction area, based on topographic maps with scales of 1:2000, 1:5000, 1:10000, or 1:25000, or smaller, depending on the size of the survey area.

1.3. Components of surveys to serve site selection:

a. Collecting, analyzing, and systematizing existing survey documents of the area and construction sites.

b. Geological reconnaissance (general survey).

c. Mapping geological features.

d. Drilling geological and hydrogeological investigations.

đ. Geophysical exploration (if necessary).

1.4. Mapping geological features for site selection shall only be carried out when necessary, depending on the size of the survey area, geological conditions, and the characteristics of the construction project. The quantity and content of mapping must be selected appropriately according to the scale of the map.

1.5. Drilling geological and hydrogeological investigations for site selection shall only be carried out with limited quantities in cases where there are no or insufficient drilling data, or in areas with adverse geological conditions.

1.6. The survey report must analyze and assess data from all schemes being considered to ensure the selection of suitable locations for construction projects, determine reasonable positions for key facilities along the route, and propose further survey tasks and methods for subsequent design stages.

2. Surveys to serve construction design stages.

2.1. General requirements.

2.1.1. The components and volume of surveys are determined based on the design stage, the characteristics of the construction project, natural conditions of the survey area, the complexity of geological conditions, and existing survey documents, but must ensure that all soil and rock layers within the influence range of the project loads are surveyed. Coordinates and elevations of drilling points may be assumed but must be verifiable with the project’s or national coordinate and elevation systems when necessary.

2.1.2. Components of surveys to serve construction design stages:

a. Collecting, analyzing, and evaluating existing survey documents of the construction area; assessing the current status of adjacent construction projects that affect those in the project.

b. Mapping geological features.

c. Drilling geological and hydrogeological investigations.

d. Geophysical exploration (if necessary).

đ. Meteorological and hydrological surveys (if necessary).

e. Studying structural characteristics (if necessary).

g. Laboratory testing of soil and rock samples, water samples.

h. Geotechnical monitoring.

i. Editing and preparing the survey result report.

If necessary, separate technical solutions for each survey task component may be developed.

2.2. Surveys to serve the basic design stage.

2.2.1. The scope of survey tasks must clearly specify the characteristics, scale, location, and scope of the construction project, applicable standards, and implementation time.

2.2.2. Requirements for surveys during the basic design stage:

a. Summarize the geological conditions of the construction area, particularly focusing on identifying the distribution patterns of weak strata both horizontally and vertically, and the activities of adverse natural geological processes such as cracks, subsidence, landslides, uplifts, erosion, groundwater...

b. Evaluate the geological conditions at the areas where major structures and heavily loaded structures are located.

2.2.3. Locations of drilling points should be arranged according to the principle:

a. For concentrated construction projects:

- Drilling points should be arranged along lines or grids perpendicular and parallel to the geological structure directions or the axes of the structures. Topographic maps usually have scales of 1:2000, 1:1000, 1:500, or larger, depending on the size of the construction land.

- For major projects and projects with heavy loads, the locations of exploration points shall be reasonably arranged within the scope of the project's site plan.

b. For linear construction projects:

Exploration points shall be arranged along the centerline of the route and across typical cross-sections reflecting the topographical and geological conditions of the project. The base map scale for topography is typically 1:10,000, 1:5,000, or 1:2,000, or larger depending on the length of the route. Additional detailed exploration points should be set up at locations where there is a risk of instability, such as weak soil areas, high mountainous terrain, steep slopes, etc., using a base map scale of 1:2,000, 1:1,000, or larger.

2.2.4. The number, depth, and spacing of exploration points shall be determined according to applicable standards, depending on the scale of the project and the complexity of the geological conditions in the survey area.

2.2.5. In the basic design phase, all survey tasks may be utilized to meet the requirements stipulated in Point 2.2.2, Section 2, Part II of this Circular.

2.2.6. The results of the survey during the basic design phase must ensure the provision of sufficient data to determine the plan: overall layout, earthwork leveling, main technical infrastructure works, foundation treatment, main load-bearing structures of the project; recommend methods of exploration and identify areas with adverse geological conditions that need to be surveyed in the next design phase.

For linear construction projects, the results of the survey during the basic design phase must also ensure the provision of sufficient data to propose main works along the route, typical longitudinal and transverse sections along the route, recommend solutions to handle major obstacles along the route and the stable corridor of the project.

2.3. Survey serving the technical design phase (three-step design) or construction drawing design phase (two-step or one-step design).

2.3.1. Content of the survey task: In addition to the content prescribed in Point 2.2.1, Section 2, Part II of this Circular, the survey task must also anticipate foundation design options, estimate the loads and dimensions of each component of the project.

2.3.2. Survey work in the technical design phase must accurately define the geological conditions of the construction area and each component of the project; determine the survey tasks required for the next design phase.

2.3.3. Principles for arranging exploration points:

a. For concentrated construction projects: Exploration points shall be arranged within the scope of the site plan of each project. The base map scale for topography is typically 1:1,000 to 1:100, depending on the size of the project.

b. For linear construction projects: Exploration points shall be arranged along the centerline of the route and across transverse sections with higher density than in the previous survey phase to accurately define the geological conditions of the entire route. The base map scale for topography is typically 1:2,000 to 1:500, or larger, depending on the length of the route and the complexity of the geological conditions in the survey area. Additional detailed exploration points should be set up at locations where there is a risk of instability, such as weak soil areas, high mountainous terrain, steep slopes, etc., using a base map scale of 1:1,000, 1:500, or larger.

2.3.4. The number, depth, and spacing of exploration points shall be determined according to applicable standards suitable for the technical design phase and the type of project.

2.3.5. Components of the survey work serving the technical design phase include drilling, field testing, laboratory testing, selected appropriately based on the requirements for foundation and structural treatment of the project.

2.3.6. The results of the survey during the technical design phase must ensure the provision of sufficient data to calculate the foundation and structural treatment of the project with all necessary dimensions; propose reasonable construction solutions for foundation and structural treatment of the project, ensuring safety for the project and adjacent projects.

For linear construction projects, the results of the survey during the technical design phase must also ensure the provision of sufficient data to determine works along the route, typical longitudinal and transverse sections for different types of strata along the route; decide on solutions to handle obstacles along the route and accurately define the stable corridor of the project.

2.4. Survey serving the construction drawing design phase (three-step design).

2.4.1. Survey serving the construction drawing design phase (three-step design) shall only be carried out in the following cases:

- Complex geological conditions of the project or abnormal changes requiring accurate definition when designing detailed foundation and structural treatment of the project.

- Changes in the location or size of the project; changes in the design solution for foundation and structural treatment of the project.

- At the proposed realignment or relocation sites of the project.

2.4.2. Survey tasks serving the construction drawing design phase are similar to those serving the technical design phase but prioritize on-site testing and geotechnical monitoring appropriate to the treatment requirements. When necessary, additional tests for soil and rock mechanical properties, chemical indicators of water, quantities, depths, and components of survey tasks can be recommended.

2.4.3. Exploration points shall be arranged according to the principles specified in Point 2.3.3, Section 2, Part II of this Circular and at locations requiring supplementary surveys. The number, depth, and spacing of exploration points shall be proposed by the contractor or the construction company and must be approved by the project sponsor.

2.4.4. The results of the survey must accurately define complex geological conditions or abnormal geological changes; ensure the provision of sufficient data for detailed design of foundation and structural treatment of the project; determine reasonable construction solutions; ensure safety for the project and adjacent projects.

III. RESPONSIBILITIES OF THE SUBJECTS IN SURVEY WORK

1. For the project sponsor undertaking construction projects:

1.1. Implement quality management for surveying activities including: Approving survey tasks, approving technical survey plans, organizing supervision of surveys, and accepting survey result reports in accordance with the provisions of Chapter III of Decree No. 209/2004/NĐ-CP dated December 16, 2004 of the Government. In cases where the project owner lacks expertise to perform these tasks, they shall hire organizations or individuals with appropriate expertise to carry out such tasks.

1.2. Select a survey contractor meeting the conditions stipulated in Article 58 of Decree No. 16/2005/NĐ-CP dated February 7, 2005 of the Government to conduct surveys; organize and arrange staff with appropriate expertise to check the capacity of the survey contractor and the head of the survey.

1.3. Enter into a contract with the survey contractor, assign survey tasks to the survey contractor, hand over the site to the survey contractor, and create conditions for the survey contractor to perform their work; pay the full survey fee to the survey contractor based on the accepted volume of work performed.

1.4. Bear responsibility for the quality of information and documents related to surveying activities provided to the survey contractor and the design contractor.

1.5. Organize the storage of survey files.

1.6. Upon receiving additional survey requests, if approved, the project owner must supplement the survey tasks and sign an additional survey contract with the survey contractor. The project owner may seek advice from the design contractor or another survey contractor before approval.

2. For the survey contractor:

2.1. Prepare survey tasks upon request from the project owner; prepare technical survey plans; prepare survey result reports in accordance with the requirements of the design phase.

2.2. Only carry out surveying activities within the scope of business registration and capacity conditions stipulated in Article 58 of Decree No. 16/2005/NĐ-CP dated February 7, 2005 of the Government, based on the approved technical survey plan and signed contract.

2.3. Appoint a person with appropriate qualifications to serve as the head of the survey according to the provisions of Article 57 of Decree No. 16/2005/NĐ-CP dated February 7, 2005 of the Government. Arrange sufficient experienced and qualified staff to carry out the survey.

2.4. Internally review the technical survey plan and survey result report before submitting them to the project owner; bear responsibility to the project owner and under the law for the survey results carried out by themselves.

2.5. Monitor and internally supervise the implementation of the survey process according to the approved technical plan; record all monitoring and supervisory results in the survey logbook.

2.6. When conducting surveys, if there is an increase in volume compared to the approved technical survey plan, propose supplementary survey tasks to the project owner and only continue the survey when the project owner approves.

2.7. Ensure safety for people, equipment, technical infrastructure works, and other construction works in the survey area; protect the environment and maintain the landscape in the survey area; restore the site after completing the survey.

2.8. Machinery and equipment used for surveying activities must meet standards and be safe according to their design specifications. Do not use measuring devices that have not been calibrated, are malfunctioning, exceed the design capacity of the equipment, or have exceeded their service life as prescribed.

2.9. Organize the storage of survey files.

2.10. Implement confidentiality of documents requiring confidentiality related to surveying activities (if applicable) as prescribed.

2.11. Compensate for damages caused by failing to properly execute survey tasks, deviating from the approved technical survey plan, or using inappropriate information, documents, standards leading to inaccurate survey results, increased survey volumes, and other damaging actions due to their own fault.

3. For the design contractor:

3.1. Prepare survey tasks for design work in accordance with the requirements of the design phase.

3.2. Propose additional surveys and prepare supplementary survey tasks when insufficient survey data is found for design purposes.

3.3. Only carry out construction design based on the survey result report accepted by the project owner according to regulations.

3.4. Compensate for damages caused by incorrectly determining survey tasks leading to survey results that do not meet design requirements necessitating re-surveying or additional surveys, or other damaging actions due to their own fault.

4. For organizations and individuals supervising surveys:

4.1. Carry out survey supervision according to the requirements of the project owner as stated in the economic contract.

4.2. Appoint personnel with appropriate expertise to carry out survey supervision.

4.3. Check the suitability of the survey contractor's and the head of the survey's capacity conditions, and the survey equipment that the survey contractor has committed to the project owner in the bidding documents or in the signed contract.

4.4. Supervise the implementation of the survey process both on-site and in laboratories according to the approved technical plan.

4.5. Accept the volume of survey work as a basis for the project owner to settle the survey work.

4.6. Bear responsibility to the project owner and under the law for the accepted volume of survey work. Compensate for damages if they fail to detect the survey contractor's non-compliance with the approved technical survey plan, leading to survey results that do not meet design requirements necessitating re-surveying or additional surveys, or other damaging actions due to their own fault.

IV. IMPLEMENTATION

1. Ministries, agencies equivalent to ministries, government-affiliated agencies, People's Committees at all levels, within their respective responsibilities and authorities, direct project owners, design contractors, construction survey contractors, construction survey supervision contractors, and related organizations and individuals to implement surveying activities in accordance with the guidelines set forth in this Circular.

2. Ministries managing specialized construction projects shall organize reviews, amendments, supplements, and promulgation of survey standards suitable for the characteristics and features of specialized construction projects.

3. The Department of Construction of provinces and centrally governed cities shall act as the focal point to assist the Chairman of the People's Committee at the provincial level in guiding, monitoring, and inspecting the project investors, design contractors, construction survey contractors, construction supervision survey contractors, and other related organizations and individuals within their jurisdiction in carrying out survey work in accordance with this Circular; they shall report periodically every six months and annually to the People's Committee at the provincial level and the Ministry of Construction on the implementation situation within their jurisdiction.

4. Organizations and individuals violating the survey work as guided in this Circular shall be subject to handling according to the provisions of the Law depending on the nature and degree of violation; in cases causing damage, they must compensate for the damage caused by their fault.

5. This Circular shall take effect fifteen days from the date of publication in the Official Gazette.

During the implementation process, it is requested that ministries, sectors, localities, and related organizations and individuals reflect any difficulties to the Ministry of Construction for research and resolution.

 SIGNATURE OF THE MINISTER

DEPUTY MINISTER

(signed)

Nguyen Van Lien