Influence of Geotechnical Investigation and Subsurface Conditions on Claims, Change Orders, and Overruns (2016)

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39 APPENDIX A Survey Questionnaire (Web-Only)

40 NCHRP Synthesis 46-04: The Impact of Geotechnical Investigation Scope on Construction Claims, Change Orders, and Overruns Dear: The Transportation Research Board (TRB) is preparing a synthesis on the impact of geotechnical investigation scope on construction claims, change orders, and overruns. This is being done for NCHRP, under the sponsorship of the American Association of State Highway and Transportation Officials, in cooperation with the Federal Highway Administration. Construction claims and change orders due to unanticipated or variable subsurface conditions frequently lead to significant project cost increases and/or schedule delays. The goal of the study is to evaluate and document the magnitude, frequency, and nature of claims, change orders, and overruns resulting from subsurface conditions, and to examine the effect of geotechnical investigation practices on these undesirable outcomes. This survey is the most critical component of the project effort. We are particularly interested in identifying practices that have been successful in reducing such occurrences. The survey is broken into three parts. Part One contains questions related to subsurface investigation practices. Part Two includes general, mostly qualitative questions about claims, change orders, and cost overruns. An optional Part Three requests specific quantitative information regarding claims, change orders, and cost overruns. We anticipate that for some agencies, the information requested in Part Three may not be readily available. If quantitative information requested regarding claims, change orders, and/or cost overruns is not readily available, please skip to the end to submit the partially completed survey rather than abandoning the survey altogether. No responses will be received until you click to submit the survey. Your cooperation in completing the questionnaire will ensure the success of this effort. If you are not the appropriate person at your to complete this questionnaire, please forward it to the correct person. State geotechnical engineers are, in large part, the primary contacts for this survey. It is likely that state construction engineers are better equipped to respond to Parts Two and Three of the survey. To address this, participants are encouraged to share the survey response effort among personnel by following the Instruction 3 below.

41 Please complete and submit the survey by February 11. We estimate that Parts One and Two of the survey will each take approximately 20 minutes to complete. The completion time for optional Part Three may be considerable, but it will vary greatly depending on the availability and accessibility of data. If you have questions, please contact the principal investigator, Andy Boeckmann, at 573-424-0017 or boeckmanna@missouri.edu. Any supporting materials or additional documents that might be useful for this study would be much appreciated and can be sent directly to Andy by email or using the postal address at the end of the survey. Thank you for participating in the survey! QUESTIONNAIRE INSTRUCTIONS 1. To view and print the entire questionnaire, Click on the following link and print using "control p" //surveygizmolibrary.s3.amazonaws.com/library/64484/NCHRP_Synthesis_4604_Survey.pdf 2. To save your partial answers and complete the questionnaire later, click on the "Save and Continue Later" link in the upper right hand corner of your screen. A link to the incomplete questionnaire will be emailed to you from SurveyGizmo. To return to the questionnaire later, open the email from SurveyGizmo and click on the link. We suggest using the “Save and Continue Later” feature if there will be more than 15 minutes of inactivity while the survey is opened, as some firewalls may terminate due to inactivity. 3. To pass a partially completed questionnaire to a colleague, click on the on the “Save and Continue Later" link in the upper right hand corner of your screen. A link to the incomplete questionnaire will be emailed to you from SurveyGizmo.” Open the email from SurveyGizmo and forward it to a colleague. 4. To view and print your answers before submitting the survey, click forward to the page following Question 42. Print using “control p.” 5. To submit the survey, click on “Submit” on the last page. QUESTIONNAIRE DEFINITIONS For the purposes of this survey, the following definitions are used: • Claim: A claim is a legal demand by a contractor for additional compensation or time when the contractor believes he/she is entitled to it under the terms of the contract documents. Potential claim resolutions include denial/rejection, a change order for additional compensation or additional time, or other resolutions involving dispute review boards, mediators, or courts. • Change order: A change order is a formal modification of the scope of work established in contract documents, often including adjustments to compensation and/or schedule. • Cost overrun: A cost overrun refers to instances when the cost of a project or bid item at project completion exceeds its initially contracted cost. • Site characterization: The process of identifying and describing below-ground features via subsurface investigation, including, but not limited to, exploratory borings and laboratory testing. The description of features includes assignment of geotechnical design parameters.

42 Thank you very much for your time and expertise! Please enter the date (MM/DD/YYYY). Calendar Please enter your contact information. First Name * Last Name * Title Agency/Organization * Street Address * Suite City State * Zip Code * Country Email Address * Phone Number *

43 1. Please select the response that best describes your agency’s experience with site characterization: 2. Please select the response that best describes the design, construction, and performance problems your agency has experienced as a result of subsurface conditions: 3. Does your agency formally specify minimum (or recommended minimum) subsurface investigation requirements for all projects? Site characterization is generally not difficult. Site characterization is often difficult because of highly variable subsurface conditions. Site characterization is often difficult because select types of soil/rock are difficult to characterize. Site characterization is often difficult because of highly variable subsurface conditions AND select types of soil/rock that are difficult to characterize. My agency experiences relatively few design, construction, and performance problems resulting from subsurface conditions. My agency experiences a modest number of design, construction, and performance problems resulting from subsurface conditions. My agency experiences frequent design, construction, and performance problems resulting from subsurface conditions. Yes No I don't know. Part One

44 Please select the item below that best describes the minimum requirements: You indicated your agency implements unique subsurface investigation practices that materially differ from those described within AASHTO subsurface investigation guidelines and testing standards. Please briefly describe the unique agency practice(s): Hidden unless: Question “Does your agency formally specify minimum (or recommended minimum) subsurface investigation requirements for all projects?” #3 is one of the following answers (“Yes”) The minimum requirements are those prescribed in AASHTO specifications and guidelines. The minimum requirements are documented in agency-specific provisions, but are generally consistent with those prescribed in AASHTO specifications and guidelines. The minimum requirements are documented in agency-specific provisions, but substantially exceed those prescribed in AASHTO specifications and guidelines. The minimum requirements are documented in agency-specific provisions, but are materially different from those prescribed in AASHTO specifications and guidelines (e.g., involve different techniques and procedures than are addressed in AASHTO specifications and guidelines). Other, please specify: Hidden unless: Question “Please select the item below that best describes the minimum requirements:” is one of the following answers (“The minimum requirements are documented in agency-specific provisions, but are materially different from those prescribed in AASHTO specifications and guidelines (e.g., involve different techniques and procedures than are addressed in AASHTO specifications and guidelines).”)

45 4. If minimum subsurface investigation requirements are formally specified, is it common for the actual scope of subsurface investigations to exceed the minimum requirements for specific projects? 5. Does your agency have a “state-specific” manual and/or specifications that describe requirements and practices for site characterization? Please share your agency's “state-specific” manual and/or specifications. Minimum requirements are not formally specified. Yes, the scope for subsurface investigations commonly exceeds the minimum requirements. Yes, the scope for subsurface investigations occasionally exceeds the minimum requirements. No, the scope of subsurface investigations rarely exceeds the minimum requirements. I don't know. Yes No I don't know. Hidden unless: Question “Does your agency have a “state-specific” manual and/or specifications that describe requirements and practices for site characterization?” #5 is one of the following answers (“Yes”) Manual is not available for sharing. Upload the document(s) Link to the document(s):

46 Please upload the document(s) using the buttons below. Please briefly describe any differences in practices or requirements for site characterization relative to those prescribed in the AASHTO LRFD Bridge Design Specifications. 6. Does your agency require geotechnical information be included with bid documents for bridge projects? Hidden unless: Question “Please share your agency’s “state-specific” manual and/or specifications.” is one of the following answers (“Upload the document(s)”) Browse... No file selectedChoose File Upload Hidden unless: Question “Does your agency have a “state-specific” manual and/or specifications that describe requirements and practices for site characterization?” #5 is one of the following answers (“No”) Yes No I don't know.

47 Please describe the geotechnical information required to be included with bridge project bid documents. Part One, cont’d 7. Select the answer that best describes your agency’s historical use of geophysical methods for site characterization: Hidden unless: Question “Does your agency require geotechnical information be included with bid documents for bridge projects?” #6 is one of the following answers (“Yes”) My agency routinely uses geophysical methods for site characterization. My agency occasionally uses geophysical methods for site characterization. My agency rarely uses geophysical methods for site characterization. My agency never uses geophysical methods for site characterization. I don’t know.

48 8. Does your agency maintain a database of subsurface information? Select the response that best describes your agency capabilities. 9. Has your agency implemented specific changes to site characterization practices in the last five years? Please briefly describe the specific changes that have been implemented: Yes, my agency maintains a GIS-based database of subsurface information. Yes, my agency maintains an electronic database of subsurface information, but the database is not GIS-based. No, my agency does not maintain a database of subsurface information, but we do retain hard copy records from past projects that can be accessed when needed. No, my agency does not maintain a database of subsurface information, and it is difficult to access historical records of subsurface information. I don’t know. Yes No I don’t know. Hidden unless: Question “Has your agency implemented specific changes to site characterization practices in the last five years?” #9 is one of the following answers (“Yes”)

49 Please select the statement below that best describes the perceived impact of the specific changes in terms of the number of claims, change orders, and overruns. 10. Are there provisions in your agency’s design code that provide incentives for performing site characterization in excess of the minimum requirements or for performing specific site characterization activities? Example incentives might include permitting use of more advantageous load or resistance factors for projects with more extensive site investigations or for relaxation of some site characterization requirements if special techniques or procedures are used (e.g., geophysics). Hidden unless: Question “Has your agency implemented specific changes to site characterization practices in the last five years?” #9 is one of the following answers (“Yes”) The changes have led to a noticeable increase in the occurrence of claims, change orders, and overruns. The changes have led to a marginal increase in the occurrence of claims, change orders, and overruns. The changes have not noticeably affected the occurrence of claims, change orders, and overruns. The changes have led to a marginal decrease in the occurrence of claims, change orders, and overruns. The changes have led to a noticeable decrease in the occurrence of claims, change orders, and overruns. Insufficient experience to respond. I don’t know. Yes No I don’t know.

50 Please briefly describe the provisions in the text box below. If possible, please provide a link or an attachment to the specific provisions. Please upload the provisions. Hidden unless: Question “Are there provisions in your agency’s design code that provide incentives for performing site characterization in excess of the minimum requirements or for performing specific site characterization activities? Example incentives might include permitting use of more advantageous load or resistance factors for projects with more extensive site investigations or for relaxation of some site characterization requirements if special techniques or procedures are used (e.g., geophysics).” #10 is one of the following answers (“Yes”) Hidden unless: Question “Are there provisions in your agency’s design code that provide incentives for performing site characterization in excess of the minimum requirements or for performing specific site characterization activities? Example incentives might include permitting use of more advantageous load or resistance factors for projects with more extensive site investigations or for relaxation of some site characterization requirements if special techniques or procedures are used (e.g., geophysics).” #10 is one of the following answers (“Yes”) Provisions are not available for sharing. Upload document Link to provisions: Hidden unless: Question “If possible, please provide a link or an attachment to the specific provisions.” is one of the following answers (“Upload document”) Browse... No file selectedChoose File Upload

51 When was this practice implemented? Please select the statement below that best describes the perceived success of the practice in reducing the number of claims, change orders, and overruns? Hidden unless: Question “Are there provisions in your agency’s design code that provide incentives for performing site characterization in excess of the minimum requirements or for performing specific site characterization activities? Example incentives might include permitting use of more advantageous load or resistance factors for projects with more extensive site investigations or for relaxation of some site characterization requirements if special techniques or procedures are used (e.g., geophysics).” #10 is one of the following answers (“Yes”) Hidden unless: Question “Are there provisions in your agency’s design code that provide incentives for performing site characterization in excess of the minimum requirements or for performing specific site characterization activities? Example incentives might include permitting use of more advantageous load or resistance factors for projects with more extensive site investigations or for relaxation of some site characterization requirements if special techniques or procedures are used (e.g., geophysics).” #10 is one of the following answers (“Yes”) Practice has not noticeably affected the occurrence of claims, change orders, and overruns. Practice has produced marginal reduction in the occurrence of claims, change orders, and overruns. Practice has produced substantial reduction in the occurrence of claims, change orders, and overruns. Insufficient experience to respond. I don’t know.

52 11. Has your agency experienced significant performance problems that can be attributed to subsurface conditions or site characterization practices? Performance problems can be related to design issues, QA/QC issues, or any issue that can be attributed to subsurface conditions or site characterization practices. Please briefly describe the performance problems and the perceived source of the problems. 12. Does your agency have notable examples where site characterization practices have led to accelerated project delivery or reduced costs for construction and operation of transportation facilities? Yes No I don’t know. Hidden unless: Question “Has your agency experienced significant performance problems that can be attributed to subsurface conditions or site characterization practices? Performance problems can be related to design issues, QA/QC issues, or any issue that can be attributed to subsurface conditions or site characterization practices.” #11 is one of the following answers (“Yes”) Yes No I don’t know.

53 Please briefly list the projects and provide an estimate of the magnitude of the cost savings that were achieved. Part Two Questions 13 through 16 relate to claims, change orders, and cost overruns from all sources/causes. 13. Are claims, change orders, and cost overruns considered to be a significant concern within your agency? Hidden unless: Question “Does your agency have notable examples where site characterization practices have led to accelerated project delivery or reduced costs for construction and operation of transportation facilities?” #12 is one of the following answers (“Yes”) No, they are not considered to be a significant problem. They are recognized as a problem, but they are not a priority concern. They are recognized as a problem and are a priority concern. They are recognized as one of our agency’s most significant problems. I don’t know.

54 14. If claims, change orders, and cost overruns are a recognized problem within your agency, what is the primary source of concern regarding the claims, change orders, and cost overruns? Please select all that apply. 15. Has the magnitude and/or frequency of claims, change orders, and overruns changed over the past 10 years? 16. Is project delivery mechanism (design-bid-build, design-build, public-private partnership, construction manager/general contractor) perceived to have a significant effect on the incidence or magnitude of claims, change orders, and/or cost overruns? Note this refers to all claims, not just those that could be attributed to subsurface conditions. They are not a recognized problem. They significantly impact the agency budget. They significantly impact public perception of the agency. They significantly impact time allocation of agency resources, resulting in opportunity losses. Other Yes, the magnitude and/or frequency has decreased significantly. Yes, the magnitude and/or frequency has decreased slightly. No, the magnitude and/or frequency has remained about the same. Yes, the magnitude and/or frequency has increased slightly. Yes, the magnitude and/or frequency has increased significantly. I don’t know. Yes No I don’t know.

55 Please explain the perceived effect. Part Two, cont’d Questions 17 through 21 relate to claims, change orders, and cost overruns that can be attributed to subsurface conditions or site characterization practices. 17. Are contractors prevented from filing claims against your agency based on changed conditions related to ground conditions or based on unforeseen subsurface conditions? Hidden unless: Question “Is project delivery mechanism (design-bid-build, design-build, public-private partnership, construction manager/general contractor) perceived to have a significant effect on the incidence or magnitude of claims, change orders, and/or cost overruns? Note this refers to all claims, not just those that could be attributed to subsurface conditions.” #16 is one of the following answers (“Yes”) Yes No

56 What is the basis for preventing such claims? 18. What percentage of claims, change orders, and cost overruns experienced by your agency can be attributed to subsurface conditions or site characterization practices? Please estimate or calculate the percentage of such claims, change orders, and cost overruns by number (i.e., quantity or frequency), not cost. 19. Are claims, change orders, and overruns resulting from subsurface conditions or site characterization practices considered to be a significant concern within your agency? Hidden unless: Question “Are contractors prevented from filing claims against your agency based on changed conditions related to ground conditions or based on unforeseen subsurface conditions?” #17 is one of the following answers (“Yes”) State statutes. Contract provisions. Both state statutes and contract provisions. Other, please specify Less than 20 percent. 20 to 40 percent. 40 to 60 percent. 60 to 80 percent. Greater than 80 percent. No, they are not considered to be a significant problem. They are recognized as a problem, but they are not a priority concern. They are recognized as a problem and are a priority concern. They are recognized as one of our agency’s most significant problems. I don’t know.

57 20. Has the magnitude and/or frequency of claims, change orders, and overruns that can be attributed to subsurface conditions or site characterization practices changed over the past 10 years? 21. Is project delivery mechanism (design-bid-build, design-build, public-private partnership, construction manager/general contractor) perceived to have a significant effect on the incidence or magnitude of claims, change orders, and/or cost overruns that can be attributed to subsurface conditions or site characterization practices? Please explain the perceived effect. Yes, the magnitude and/or frequency has decreased significantly. Yes, the magnitude and/or frequency has decreased slightly. No, the magnitude and/or frequency has remained about the same. Yes, the magnitude and/or frequency has increased slightly. Yes, the magnitude and/or frequency has increased significantly. I don’t know. Yes No I don’t know. Hidden unless: Question “Is project delivery mechanism (design-bid-build, design-build, public-private partnership, construction manager/general contractor) perceived to have a significant effect on the incidence or magnitude of claims, change orders, and/or cost overruns that can be attributed to subsurface conditions or site characterization practices?” #21 is one of the following answers (“Yes”)

58 Optional Part Three Page exit logic: Page Logic IF: Question “Are records of claims, change orders, and/or cost overruns for your agency readily available?” #22 is one of the following answers (“No, and I’m ready to submit my responses from previous pages.”) THEN: Jump to page 11 - Summary of Responses & Submit Button Flag response as complete The remaining questions request quantitative information regarding the total number and total costs of claims, change orders, and cost overruns. We recognize such information may not be readily available. If the information is not readily available, you can proceed with estimates, or you can submit your responses from the previous pages and exit the survey by selecting the last response to Question 22 below. 22. Are records of claims, change orders, and/or cost overruns for your agency readily available? Optional Part Three, cont’d Page exit logic: Page Logic IF: Question “If you realize none of the information requested on this page is available, please check the box below and click “Next” at the bottom of this page to skip to the final page of the survey.” is one of the following answers (“I don’t have the information requested on this page, and I’m ready to submit all previous responses.”) THEN: Jump to page 11 - Summary of Responses & Submit Button Yes, at least some records are available. No, but I can provide reasonable estimates. No, and I’m ready to submit my responses from previous pages.

59 Questions 23 through 32 relate to quantifying the total number and total costs of claims, change orders and cost overruns experienced by your agency since 2009. Responses to these questions should reflect all claims, not just those related to subsurface investigations. Questions 34 through 42 will solicit similar responses for claims associated with subsurface conditions and site characterization practices. We recognize that both records availability and claims filing processes and definitions vary from agency to agency. Please use the comment field at the bottom of this page to add any explanation, qualification, or clarification to your responses. If only some of the data is readily available, please fill in the appropriate fields and leave the others blank. If you realize none of the information requested on this page is available, please check the box below and click “Next” at the bottom of this page to skip to the final page of the survey. 23. Please report your agency’s total budget for new construction since 2009. “New construction” here refers to capital improvements and excludes expenditures related to maintenance, safety, and rehabilitation. 24. How many total claims has your agency experienced since 2009? 25. What is the cumulative cost of all claims since 2009? I don’t have the information requested on this page, and I’m ready to submit all previous responses.

60 26. What is the cumulative total contract cost for all projects associated with all claims since 2009? 27. How many change orders has your agency issued since 2009? 28. What is the cumulative cost of all change orders your agency has issued since 2009? 29. What is the cumulative total contract cost of all projects associated with all change orders issued since 2009? 30. How many projects have had cost overruns since 2009? 31. What is the cumulative cost of all overruns since 2009?

61 32. What is the cumulative total contract cost for all projects that have had cost overruns since 2009? Please use the comment field below to add any explanation, qualification, or clarification to your responses. Optional Part Three, cont’d Page exit logic: Page Logic IF: Question “Does your agency keep data related to or that could otherwise be used to identify claims, change orders, and cost overruns that resulted from subsurface conditions or site characterization practices?” #33 is one of the following answers (“No, and I’m ready to submit my responses from previous pages.”) THEN: Jump to page 11 - Summary of Responses & Submit Button Flag response as complete The remaining questions request the same quantitative information (total number and total costs of claims, change orders, and cost overruns) from the previous page, but the requests are specific to claims, change orders, and cost overruns that have resulted from subsurface conditions or site characterization practices. We recognize such information may not be readily available. If the information is not readily available, you can proceed with estimates, or you can submit your responses from the previous pages and exit the survey by selecting the last response to Question 33 below.

62 33. Does your agency keep data related to or that could otherwise be used to identify claims, change orders, and cost overruns that resulted from subsurface conditions or site characterization practices? Optional Part Three, cont’d Page exit logic: Page Logic IF: Question “If you realize none of the information requested on this page is available, please check the box below and click “Next” at the bottom of this page to skip to the final page of the survey." is one of the following answers (“I don’t have the information requested on this page, and I’m ready to submit all previous responses.”) THEN: Jump to page 11 - Summary of Responses & Submit Button Questions 34 through 42 relate to quantifying the number and costs of claims, change orders and cost overruns experienced by your agency that have resulted from subsurface conditions or site characterization practices since 2009. Responses to these questions should reflect only those claims that can be attributed to subsurface conditions or site characterization practices. We recognize that both records availability and claims filing processes and definitions vary from agency to agency. Please use the comment field at the bottom of this page to add any explanation, qualification, or clarification to your responses. If only some of the data is readily available, please fill in the appropriate fields and leave the others blank. If you realize none of the information requested on this page is available, please check the box below and click “Next” at the bottom of this page to skip to the final page of the survey. Yes, at least some records are available. No, but I can provide reasonable estimates. No, and I’m ready to submit my responses from previous pages. I don’t have the information requested on this page, and I’m ready to submit all previous responses.

63 34. How many of the claims experienced by your agency had causes that can be attributed to subsurface conditions or site characterization practices? 35. What is the cumulative cost of claims that can be attributed to subsurface conditions or site characterization practices? 36. What is the cumulative total contract cost for projects associated with claims that can be attributed to subsurface conditions or site characterization practices? 37. How many of the change orders issued by your agency had causes that can be attributed to subsurface conditions or site characterization practices? 38. What is the cumulative cost of change orders that can be attributed to subsurface conditions or site characterization practices? 39. What is the cumulative total contract cost for projects associated with change orders that can be attributed to subsurface conditions or site characterization practices?

64 40. How many of the projects with cost overruns had causes that can be attributed to subsurface conditions or site characterization practices? 41. What is the cumulative cost of overruns that can be attributed to subsurface conditions or site characterization practices? 42. What is the cumulative total contract cost for projects with cost overruns that can be attributed to subsurface conditions or site characterization practices? Please use the comment field below to add any explanation, qualification, or clarification to your responses. Optional Part Three, cont’d In addition to the cumulative totals of claims, change orders, and cost overruns requested in previous questions, we are also interested in additional information specific to individual claims, change orders, and cost overruns that can be attributed to subsurface conditions or site characterization practices, dating back to 2009. A list of the types of information of interest is included below. Please note we are not requesting the data but inquiring about its availability.

65 43. Is the type of information requested below readily available? Please enter contact information for the agency contact from whom we can request such information. Yes No I don’t know. Hidden unless: Question “Is the type of information requested below readily available?” #43 is one of the following answers (“Yes”,“I don't know.”)

66 Types of information of interest for individual projects with claims related to subsurface conditions or site characterization practices dating back to 2009: Type of project (bridge, roadway, other) Project bid cost Final project cost Project contract arrangement (design-bid-build, design-build, public private partnership, construction manager/general contractor, other) Claim filed by prime or sub? Project dates (start, end, and date of claim, change order, or overrun) Cost of the resolved claim, change order, or overrun Brief description of the nature/cause of the claim, change order, or overrun, including the type of geotechnical element Any additional, non-subsurface conditions claim, change order, or overruns for the project? Cost/magnitude of the subsurface investigation (performed prior to claim, change order, or cost overrun) Any available subsurface investigation data (e.g., a geotechnical report). A point of contact for the project. Thank You! Thank you for taking our survey. Your response is very important to us. If you have any questions or comments, please feel free to contact the prinicipal investigator, Andy Boeckmann: E-mail: boeckmanna@missouri.edu Phone: 573-884-7613 Mailing Address: Andrew Boeckmann, E2509 Lafferre Hall, Columbia, MO 65211