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75 APPENDIX A Survey Questionnaire NCHRP Synthesis Topic 42-01: Geotechnical Information in Design-Build Projects INTRODUCTION/BACKGROUND: The purpose of this questionnaire is to identify state highway agency policies and procedures for articulating geotechnical information and requirements on Design-Build (DB) projects. The results of the study will be a synthesis of highway agency procurement procedures for agencies that using DB project delivery to procure their construction projects. Its specific focus is on the geotechnical information that is contained in DB solicitation documents as well as the geotechnical information that is produced as a portion of the DB projectâs final design. It seeks to identify successful approaches to managing geotechni- cal risks across the DB projectâs life cycle as well as discuss those practices that did not adequately address the geotechnical requirements and caused the agency to hold geotechnical liability that it had hoped to shed. DEFINITIONS: The following definitions are used in conjunction with this questionnaire: ⢠Design-bid-build (DBB): A project delivery method where the design is completed either by in-house professional engi- neering staff or a design consultant before the construction contract is advertised. Also called the âtraditional method.â ⢠Design-build (DB): A project delivery method where both the design and the construction of the project are simultane- ously awarded to a single entity. ⢠Typical project: A project whose geotechnical content is considered by the respondent to be normal. ⢠A project with significant geotechnical issues: A project whose geotechnical content is considered by the respondent to be great enough as to warrant special treatment in the procurement phase and extra oversight in the design and con- struction phases. ⢠Alternative technical concepts (ATC): A procedure where the design-builders are asked to furnish alternative design solutions for features of work designated by the agency in its DB Request for Proposals (RFP). Please e-mail, fax, or post this questionnaire by one of the following means: Doug Gransberg, PhD, PE Civil, Construction, and Environmental Engineering Iowa State University 494 Town Engineering Building Ames, IA 50011 Voice: 515-294-1703 Fax: 515 294-3845 Email: dgran@iastate.edu General Information: 1. Please furnish respondent contact information: Contact name: _________________________________________________ Phone number: _________________________________________________ E-mail address _________________________________________________ U.S. state in which the respondent is employed: _______________________ 2. You are employed by what type of organization?   State department of transportation
76   Other public transportation agency; name of agency: âââââââ   Federal Agency; Name of Agency: ââââââââââââââ   Other, please describe: âââââââââââââââââââ 3. What group/section do you work in?   Design group/section   Construction group/section   Operations group/section   Geotechnical/foundations group/section   Alternative project delivery group/section   Materials group/section   Contracts/procurement group/section   Other, please specify: âââââââââââââââââââ 4. What project delivery methods is your organization allowed to use?   DBB  Construction Manager-at-Risk or Construction Manager/General Contractor   DB  Other; please specify: ââââââââââ 5. If you do not use DB, why not?   No legal authority   Have authority but have not yet found a project where it makes sense   Have authority but political/policy issues prevent its use   Have authority but agency upper management is unwilling to use it   Have authority but industry opposition prevents its use   Other, please specify: âââââââââââââââââââ If your agency does not use DB project delivery please skip to the final question. 6. How many DB projects has your agency delivered?   1â2  3â5  6â10  >10 7. Roughly what percentage of your average annual construction program, in terms of number of projects, is your DB program?   <10%  11%â25%  26%â50%  >50% 8. Roughly what percentage of your average annual construction budget, in terms of dollar volume, is your DB program?   <10%  11%â25%  26%â50%  >50% 9. How long have you been using DB project delivery?   1â2 years  3â5 years  6â10 years  >10 years
77 Geotechnical Information Section (Please obtain the information from your organizationâs geotechnical group) 10. Does your agency have a manual or document that specifically describes the procedures to be used with the geotechni- cal requirements of DB projects?   No  Yes. If yes, please add the website URL address where it can be accessed___________________ or e-mail dgran@iastate.edu so he can arrange to get a copy. 11. Do you use DB project delivery on projects where the geotechnical aspects are considered to be significant, i.e., more important than the usual project?   Yes  No 12. If the answer to the previous question is âYes,â what if any special methods were used to address the geotechnical issues in the DB RFQ/RFP? Please specify: _________________________________________________ 13. If the answer to the previous question is âNo,â why not?   Liability considerations are not favorable for the agency   Not willing to give up control of the geotechnical design   Could use DB on these projects but political/policy issues prevent its use   Could use DB on these projects but agency upper management is unwilling to use it   Not enough time to conduct preliminary geotechnical engineering investigations   Other, please specify: âââââââââââââââââââ 14. How much preliminary geotechnical investigation is conducted before making the decision to use DB project delivery for a given project?   None   Reconnaissance Report (Review of records observations from site)   Geotechnical Data Report (Review of records and limited investigation data)   Geotechnical Summary Report (Review of records and geotechnical investigation of critical areas)   Preliminary Geotechnical Design Report (Partial geotechnical investigation)   Geotechnical Design Report (Full subsurface investigation for all structures and geotechnical features)   Geotechnical baseline report (GBR)   Other, please specify: âââââââââââââââââââ 15. Is a formal geotechnical risk analysis conducted on a typical project in any of the following areas?   Project Scope  Project Schedule  Project Cost  Contracting Risk 16. Do your project cost estimates involve an analysis of geotechnical uncertainty (i.e., was a range cost estimate developed)?   Yes  No 17. Do you employ any formalized geotechnical risk allocation techniques to draft the contract provisions? (An example would be the decision to pay for piling or unsuitable material replacement by unit price rather than including it in the lump sum amount.)   Yes  No If yes, please describe: ___________________________________________
78 18. During the initial stages of the DB process Request for Qualifications (RFQ), how do you evaluate a DB geotechnical design team/subconsultant? Please check all factors that apply.   Geotechnical summary from past projects   Qualifications of the geotechnical designers   Proof of familiarity with local geotechnical conditions in the project area   Geotechnical design report (GDR) preparation process narrative   Geotechnical design report (GDR) quality assurance process narrative   Designated GDR peer review   Narrative discussing geotechnical risks and approach to mitigating them   References attesting to performance specifically relating to geotechnical issues on past projects   Claims history regarding geotechnical disputes   Other, please specify: âââââââââââââââââââ 19. Do you score DB team proposals based on their approach to geotechnical issues?   Yes  No 20. If the answer to the previous question is âYes,â how heavily are the evaluated geotechnical factors weighted with regard to all other evaluated factors?   no weight  minor weight  some weight  heavy weight 21. How much geotechnical information is provided in the DB Request for Proposals (RFP) in a DB typical project?   None   Reconnaissance Report (review of records observations from site)   Geotechnical Data Report (review of records and limited investigation data)   Geotechnical Summary Report (review of records and geotechnical investigation of critical areas)   Preliminary Geotechnical Design Report (partial geotechnical investigation)   Geotechnical Design Report (full subsurface investigation for all structures and geotechnical features)   Geotechnical baseline report (GBR)   Other, please specify: âââââââââââââââââââ 22. How much geotechnical information is provided in the DB Request for Proposals (RFP) in a DB project with significant geotechnical issues?   None   Reconnaissance Report (review of records observations from site)   Geotechnical Data Report (review of records and limited investigation data)   Geotechnical Summary Report (review of records and geotechnical investigation of critical areas)   Preliminary Geotechnical Design Report (partial geotechnical investigation)   Geotechnical Design Report (full subsurface investigation for all structures and geotechnical features)   Geotechnical baseline report (GBR)   Other, please specify: âââââââââââââââââââ
79 23. How much additional geotechnical information is required from the design-builders in DB proposals for a typical project?   None   List of assumptions made regarding geotechnical conditions   Limited additional testing as requested by the design-builders   Pre-award geotechnical investigation of critical areas by design-builders   Geotechnical design values to be used   Preliminary designs for foundation features of work   Proposed mitigation approaches for known/potential geotechnical risk areas   Alternative technical concepts for geotechnical features of work   Other, please specify: âââââââââââââââââââ 24. How much additional geotechnical information is required from the design-builders in DB proposals in a DB project with significant geotechnical issues?   None   List of assumptions made regarding geotechnical conditions   Limited additional testing as requested by the design-builders   Pre-award geotechnical investigation of critical areas by design-builders   Geotechnical design values to be used   Preliminary designs for foundation features of work   Proposed mitigation approaches for known/ potential geotechnical risk areas   Alternative technical concepts for geotechnical features of work   Other, please specify: âââââââââââââââââââ 25. Rate the following areas as to importance to the success of the project during the procurement process 1 = essential; 2 = important; 3 = not important.   Sufficient geotechnical information to allow competitors to price the project without   excessive contingencies   Highly qualified geotechnical design engineers   Verification of knowledge and experience working in the project area   Mandated use of agency design criteria   Detailed GBR in RFP   Geotechnical design QA plan in proposal   Peer-review of GDR and supplemental GDRs   Geotechnical construction QA plan in proposal   Geotechnical risk mitigation plan in proposal   Correct weight of geotechnical issues in relation to other project requirements
80 Geotechnical Aspects of Design-Build Contracts (Please obtain the information from your organizationâs project delivery group) 26. Does your agency encourage or require a formal partnering process on DB projects?   Yes  No 27. What type of payment provisions are contained in your typical agency DB projects?   Lump sum  Lump sum guaranteed maximum price (GMP)   Unit price GMP   Unit price  Cost reimbursable  Combination lump sum and unit prices   Other; Please specify: âââââââââââââââââââ 28. Does your agency use the GBR as a contract document?   Yes  No 29. Do you provide and require geotechnical design criteria in DB contracts?   Yes   If yes: what types? âââââââ  No 30. Do you provide and require geotechnical performance criteria in DB contracts?   Yes   If yes: what types? âââââââ  No 31. Do you use performance verification or measurement methods (instrumentation, etc.) for geotechnical features of work?   Yes If yes: what types? âââââââââ  No 32. Does your DB contract contain a clause that regarding geotechnical differing site conditions?   Yes  No 33. If the answer to the previous question is Yes, how often does a design-builderâs claim of a differing geotechnical site condition result in a compensable change order?   Never  Occasionally  Usually  Always 34. What document, if any, is used to define a differing geotechnical site condition?   Geotechnical information contained in RFP   GBR contained in RFP   GDR produced by design-builder   Contract differing site conditions clause definition only   No document   Other, please specify: âââââââââââââââââââ 35. Do you use warranties in conjunction with the geotechnical features?   Yes. If yes, what types? âââââââââ  No 36. Do you have incentives that are used to align owner and contractor geotechnical risks and rewards?   Yes. If yes, what types? âââââââââ  No
81 37. Have you had a major claim regarding a geotechnical issue on any of your DB projects?   Yes. If yes, please describe the issue and the final decision: âââââââ  No 38. Do you use a different QA program for DB projects than you do for DBB projects?   Yes. If yes, what is the major difference? âââââââââââââââ   No 39. Who performs the following geotechnical-related construction quality management tasks in your DB projects? Check all that apply Does Not Apply Agency Staff Designerâs Staff Design-Builderâs Construction Staff Agency-Hired Consultant Technical review of construction shop drawings      Technical review of construction material submittals      Checking of pay quantities      Routine construction inspection      Quality control testing      Verification testing      Acceptance testing      Independent assurance testing/inspection      Approval of construction post-award QA plans      Report of nonconforming work or punchlist      40. How do you rate the final quality of geotechnical work on DB projects compared to DBB projects?   Better  Same  Worse  No opinion 41. If the answer to the previous question is either âBetterâ or âWorse,â explain primary reason for difference: ___________________________________________________________________________________ 42. Do you formally evaluate the design-builderâs performance quality and use that for future DB selections?   Yes  No 43. If the answer to the previous question is âYes,â do you believe that the performance rating creates an incentive to achieve quality?   Yes  No
82 44. Please rate the following geotechnical factors for their impact on the final quality/performance of the DB project. Factor Very High Impact High Impact Some Impact Slight Impact No Impact Qualifications of the Design-Builderâs geotechnical staff      Design-Builderâs past project experience with geotechnical issues      Quality management plans      Level of agency involvement in the QA process      Use of agency geotechnical specifications and/or design details      Amount of geotechnical information expressed in the pro- curement documents      Use of geotechnical performance criteria/specifications      Early contractor involvement in geotechnical design      Agency interactivity with geotechnical design team during proposal phase      Agency interactivity with geotechnical design team during design phase      Warranty provisions      45. Have you experienced significant geotechnical issues with any of your DB projects?   0 Yes  No 46. If the answer to the previous question is Yes, would you be willing to allow the research team to contact you to do a structured interview and collect case study information?   Yes  No Please furnish contact information if different than respondent: Contact name: _________________________________________________ Phone number: _________________________________________________ E-mail address _________________________________________________ 47. Do you have anything else you would like to share regarding the geotechnical aspects on your DB projects? ___________________________________________________________________________________
83 TABLE A1 SURVEY RESPONSE DATA 1: State: AL AK AR CA CO CT FL ID IL IN 5: delivery method DBB X X X X X X X X X X 5: CMGC X X X X 5: DB X X X X X X X 5: P3 X 6: DB why not? 6: No legal authority X X X 6: Have authority no project where it makes sense X X 7: How many DB projects 1-2 1-2 11-100 11-100 11-100 8: % average annual construct number of projects 0-9% 0-9% 0-9% 0-9% 0-9% 0-9% 9: %average annual construct budget, dollar vol- ume DB? 0-9% 0-9% 0-9% 11%- 25% 11%- 25% 11%- 25% 10: How long have you been using DB project delivery? 11+years 1-2 years 1-2 years 11+years 11+years 11+years 11: manual/document DB geotechnical? No No No No No No No 12: DB project delivery geotechnical aspects significant No No Yes No No Yes No No 15: preliminary geotech investigation before decision to use DB 15: None 15: Reconnaissance Report X 15: Geotechnical Data Report X X 15: Geotechnical Summary Report X X 15: Preliminary Geotechnical Design Report X 15: Geotechnical Design Report 15: Geotechnical baseline report (GBR) 15: Other 16: Is a formal geotechnical risk analysis 16: Project Scope X X 16: Project Schedule 16: Project Cost 16: Contracting Risk X 17: project cost estimates with geotechnical uncertainty No Yes Yes Yes 18: geotechnical risk to draft the contract provisions? No No No Yes 19: During (RFQ), how evaluate a DB geotechde- sign team? 19: Geotechnical summary from past projects X X X 19: Qualifications of the geotechnical designers X X X X 19. Proof of familiarity with local geotechnical X X X 19: (GDR) preparation process narrative X X 19: (GDR) quality assurance process narrative X X X 19: Designated GDR peer-review X 19: Narrative discussing geotechnical risks and approach to mitigating them X X X 19: References X X X 19: Claims history
84 1: State: AL AK AR CA CO CT FL ID IL IN 20: Do you score DB proposal approach to geotechnical No No Yes Yes Yes 21: geotechnical factors weighting Minor weight Minor weight Some weight 22: How much geotechnical information (RFP) 22: None 22: Reconnaissance Report X 22: Geotechnical Data Report X X X 22: Geotechnical Summary Report X X 22: Prelim Geotechnical Design Report X X X 22: Geotechnical Design Report X 22: Geotechnical baseline report 23: Geotech info (RFP) significant geotechnical issues? 23: None 23: Reconnaissance Report X 23: Geotechnical Data Report X X X 23: Geotechnical Summary Report X X 23: Prelim Geotech Design Report X 23: Geotechnical Design Report X X 23: Geotechnical baseline report 24: How much geotech info in DB proposal typical project? 24: None 24: List of assumptions geotechnical conditions X X X 24: Limited additional testing by the design-builders X X X 24: Preaward investigate of critical areas by DBrs 24: Geotechnical design values X 24: Preliminary designs for foundation fea- tures of work X 24: Proposed mitigation approaches geotech- nical risk X X 24: Alternative technical concepts for geotech features X X 25: How much geotech info DB proposals with significant geotech issues 25: None 25: List of assumptions made regarding geotechnical X X 25: Limited additional testing by the design-builders X X 25: Preaward geotech investiga critical areas by DBrs 25: Geotechnical design values to be used X X 25: Preliminary designs for foundation fea- tures of work X X X 25: Proposed mitigation approaches geotechni- cal risk X X X 25: Alternative technical concepts for geotechnical X X X
85 1: State: AL AK AR CA CO CT FL ID IL IN 26: Rank importance to the success during the procurement process 26: Sufficient geotech info 2 1 1 1 1 26: Highly qualified geotechnical design engineers 2 2 1 1 1 26: Verification of experience working in the project area 2 2 1 1 1 26: Mandated use of agency design criteria 2 2 2 1 2 26: Detailed GBR in RFP 3 2 2 3 1 26: Geotechnical design QA plan in proposal 3 2 2 2 2 26: Peer-review of GDR and supplemental GDRs 3 2 2 3 1 26: Geotechnical construction QA plan in proposal 3 2 2 2 1 26: Geotechnical risk mitigation plan in proposal 2 1 2 1 1 26: Correct weight of geotechnical issues 3 2 2 3 3 27: formal Partnering process on DB projects? Yes Yes Yes Yes Yes 28: payment provisions DB projects? 28: Lump sum X X X X X 28: Lump sum GMP X X 28: Unit price GMP 28: Unit price 28: Cost reimbursable 28: Combo lump sum and unit prices X 29: Does your agency use the GBR as a contract document? No No No No Yes 30: Do you provide/require geotechnical design criteria Yes Yes No Yes No 30: If yes: please specify must use standards in ourmanuals. Our DOT stan- dards must be followed. 31: Do you provide/require geotech performance criteria Yes No No No Yes 31: If yes: please specify Deformation 32: performance verification for geotechnical? No No No Yes 32: If yes: please specify the types2 Instrumenta- tion & Testing 33: geotechnical differing site conditions clause? Yes Yes Yes No Yes 34: If Yes, claim result in a compensable change order? Never Occasionally 35: What document,define a differing geotech site condition? 35: Geotechnical information contained in RFP X X Question 35: GBR contained in RFP 35: GDR produced by design-builder 35: Contract differing site conditions clause definition only X X X X X 35: No document 35: Other, please specify 36: warranties the geotechnical features? No No No Yes No 36: If yes: please specify PROJECT WARRANTY 37: incentives geotechnical risks and rewards? No No No No No Table continued from preceding page
86 1: State: AL AK AR CA CO CT FL ID IL IN 38: major claim geotechnical issue on DB project? No No No No 38: If yes:describe No 39: different QA program for DB projects than DBB projects? Yes Yes No No 40:Who does the following 40: Technical review of construction shop drawings 40: Does not apply X 40: Agency personnel X X 40: Designer's staff X X 40: DB's construction staff 40: Agency hired consultant X 41: Tech review material submittals 41: Does not apply X 41: Agency personnel X X 41: Designer's staff X 41: DB's construction staff X 41: Agency hired consultant X 42: Checking of pay quantities 42: Does not apply X X 42: Agency personnel X X X 42: Designer's staff X 42: DB's construction staff X X 42: Agency hired consultant X 43: Routine construction inspection 43: Does not apply X 43: Agency personnel X X X 43: Designer's staff X 43: DB's construction staff X X X 43: Agency hired consultant 44: Quality control testing 44: Does not apply X 44: Agency personnel 44: Designer's staff 44: DB's construction staff X X X 44: Agency hired consultant 45: Verification testing 45: Does not apply 45: Agency personnel X X X 45: Designer's staff X 45: DB's construction staff 45: Agency hired consultant X X
87 1: State: AL AK AR CA CO CT FL ID IL IN 46: Acceptance testing 46: Does not apply 46: Agency personnel X X X X X 46: Designer's staff 46: DB's construction staff X 46: Agency hired consultant X X 47: Independent assurance 2 47: Does not apply 47: Agency personnel X X X X 47: Designer's staff 47: DB's construction staff X 47: Agency hired consultant X X X 48: Approval of construction post-award QA plans 48: Does not apply 48: Agency personnel X X X X X 48: Designer's staff 48: DB's construction staff 48: Agency hired consultant X X 49: punchlist 49: Does not apply 49: Agency personnel X X X X X 49: Designer's staff X 49: DB's construction staff X 49: Agency hired consultant X X 50: final quality of geotechnical work on DB projects compared to DBB Same No opinion No opinion Same Same 52: evaluate the performance quality for future DB selections? No No No Yes Yes 53: If Yes, is performance rating an incentive quality? Yes Yes 54: rate impact on the final quality of the DB project 54: Qualifications of the DBâs geotechnical staff 1 2 2 2 2 54: DBâs past experience with geotechnical issues 1 3 2 2 2 54: Quality management plans 1 2 1 3 2 54: Level of agency involvement in the QA process 2 3 3 3 5 54: Use of agency geotech specs/design details 4 1 2 1 1 54: Amount of geotech info in procurement docs 4 2 2 1 2 54: Use of geotech performance criteria/specs 2 3 2 1 1 54: Early contractor involvement in geotech design 2 2 1 3 1 54: Agency interactivity during proposal phase 5 2 2 3 2 54: Agency interactivityduring design phase 4 2 2 1 2 54: Warranty provisions 1 3 4 2 3 55: significant geotech issues with your DB proj? Yes No No Table continued from preceding page
88 1: State: IA KS KN LA ME MD MA MI MN 5: delivery method DBB X X X X X X X X X 5: CMGC X 5: DB X X X X X X X 5: P3 6: DB why not? 6: No legal authority X X 6: Have authority no project where it makes sense 7: How many DB projects 1-2 3-5 6-10 11-100 6-10 11-100 11-100 8: % average annual construct number of projects 0-9% 0-9% 0-9% 0-9% 0-9% 0-9% 0-9% 9: %average annual construct budget, dollar vol- ume DB? 0-9% 11%-25% 0-9% 11%- 25% 0-9% 0-9% 11%- 25% 10: How long have you been using DB project delivery? 6-10 years 3-5 years 11+years 11+years 6-10 years 11+years 6-10 years 11: manual/document DB geotechnical? No No No No No No No Yes 12:DB project delivery geotechnical aspects significant No No Yes Yes Yes Yes Yes Yes 15: preliminary geotech investigation before decision to use DB 15: None X 15: Reconnaissance Report X X 15: Geotechnical Data Report 15: Geotechnical Summary Report X 15: Preliminary Geotechnical Design Report X X 15: Geotechnical Design Report 15: Geotechnical baseline report (GBR) 15: Other 16: Is a formal geotechnical risk analysis 16: Project Scope X X X 16: Project Schedule X X 16: Project Cost X X 16: Contracting Risk X 17: project cost estimates with geotechnical uncertainty No No No Yes Yes 18: geotechnical risk to draft the contract provisions? No No No Yes No 19: During (RFQ), how evaluate a DB geotech- design team? 19: Geotechnical summary from past projects X X X X 19: Qualifications of the geotechnical designers X X X X X 19. Proof of familiarity with local geotechnical X X X 19: (GDR) preparation process narrative X 19: (GDR) quality assurance process narrative X 19: Designated GDR peer-review 19: Narrative discussing geotechnical risks and approach to mitigating them X X X 19: References X X 19: Claims history
89 1: State: IA KS KN LA ME MD MA MI MN 20: Do you score DB proposal approach to geotechnical No Yes Yes Yes Yes Yes 21: geotechnical factors weighting Some weight Some weight Some weight Minor weight Minor weight 22: How much geotechnical information (RFP) 22: None 22: Reconnaissance Report X 22: Geotechnical Data Report X X 22: Geotechnical Summary Report X X 22: Prelim Geotechnical Design Report X X 22: Geotechnical Design Report X X 22: Geotechnical baseline report X X 23: Geotech info (RFP) significant geotechnical issues? 23: None 23: Reconnaissance Report X 23: Geotechnical Data Report X X 23: Geotechnical Summary Report X X 23: Prelim Geotech Design Report X X 23: Geotechnical Design Report X X 23: Geotechnical baseline report X X 24: How much geotech info in DB proposal typical project? 24: None X 24: List of assumptions geotechnical conditions X X X 24: Limited additional testing by the design-builders X X 24: Preaward investigate of critical areas by DBrs X X 24: Geotechnical design values X X 24: Preliminary designs for foundation fea- tures of work X X 24: Proposed mitigation approaches geotech- nical risk X X X 24: Alternative technical concepts for geotech features X X X 25: How much geotech info DB proposals with significant geotech issues 25: None X 25: List of assumptions made regarding geotechnical X X X 25: Limited additional testing by the design-builders X X 25: Preaward geotech investiga critical areas by DBrs X X 25: Geotechnical design values to be used X X X 25: Preliminary designs for foundation fea- tures of work X X X 25: Proposed mitigation approaches geotech- nical risk X X X 25: Alternative technical concepts for geotechnical X X Table continued from preceding page
90 1: State: IA KS KN LA ME MD MA MI MN 26: Rank importance to the success during the procurement process 26: Sufficient geotech info 2 2 1 1 1 1 26: Highly qualified geotechnical design engineers 2 1 1 1 1 1 26: Verification of experience working in the project area 2 1 1 2 1 1 26: Mandated use of agency design criteria 2 2 1 2 1 1 26: Detailed GBR in RFP 3 2 3 2 2 2 26: Geotechnical design QA plan in proposal 2 1 2 2 2 1 26: Peer-review of GDR and supplemental GDRs 3 1 2 2 3 2 26: Geotechnical construction QA plan in proposal 3 1 2 2 2 2 26: Geotechnical risk mitigation plan in proposal 2 2 2 2 2 1 26: Correct weight of geotechnical issues 3 1 1 3 1 2 27: formal Partnering process on DB projects? Yes Yes Yes Yes No 28: payment provisions DB projects? 28: Lump sum X X X X X 28: Lump sum GMP 28: Unit price GMP 28: Unit price 28: Cost reimbursable 28: Combo lump sum and unit prices X 29: Does your agency use the GBR as a contract document? No No No Yes No No 30: Do you provide/require geotechnical design criteria Yes Yes Yes Yes Yes Yes 30: If yes: please specify Simply specify AASHTO LRFD and Maine Bridge Design Guide. Typically DBer permit- ted to excercise engineering judgement where allowed in AASHTO Articles 10 and 11. Our DOT standards must be followed. 31: Do you provide/require geotech performance criteria No Yes No Yes No Yes 31: If yes: please specify Load Test criteria Such as FS 32: performance verification for geotechnical ? No Yes Yes Yes No Yes 32: If yes: please specify the types2 Deformation In the past instrumention pro- grams have been specified to projects involving emankments on soft, compressible soils. Defer to AASHTO LRFD for pile & shaft installation QC. "instru- menta- tionâ 33: geotechnical differing site conditions clause ? Yes Yes No No No Yes 34: If Yes, claim result in a compensable change order? Occasionally Usually 35: What document,define a differing geotech site condition? 35: Geotechnical information contained in RFP X Question 35: GBR contained in RFP 35: GDR produced by design-builder X 35: Contract differing site conditions clause definition only X X 35: No document 35: Other, please specify It depends on the project DB Special Provisions 36: warranties the geotechnical features? No No Yes No No Yes 36: If yes: please specify Only for pavement settlement. Settlement limitations on roadways and structures 37: incentives geotechnical risks and rewards? No No No No No Yes
91 1: State: IA KS KN LA ME MD MA MI MN 38: major claim geotechnical issue on DB project? Yes Yes No No No 38: If yes:describe Drilled shafts⦠pending. modify their design to incorporate additional/ unwarranted geotech- nical instrumention 39: different QA program for DB projects than DBB projects? Yes No Yes Yes No Yes 40:Who does the following 40: Technical review of construction shop drawings 40: Does not apply 40: Agency personnel X X X X X 40: Designer's staff X X X X 40: DB's construction staff X X X 40: Agency hired consultant X X X X 41: Tech review material submittals 41: Does not apply 41: Agency personnel X X X X X 41: Designer's staff X X 41: DB's construction staff X X X 41: Agency hired consultant X X X X 42: Checking of pay quantities 42: Does not apply X 42: Agency personnel X X X 42: Designer's staff X 42: DB's construction staff X X 42: Agency hired consultant X X X X 43: Routine construction inspection 43: Does not apply 43: Agency personnel X X 43: Designer's staff 43: DB's construction staff X X X 43: Agency hired consultant X X X 44: Quality control testing 44: Does not apply 44: Agency personnel X X 44: Designer's staff 44: DB's construction staff X X X X 44: Agency hired consultant X X 45: Verification testing 45: Does not apply 45: Agency personnel X X X X X X 45: Designer's staff X 45: DB's construction staff X 45: Agency hired consultant X X Table continued from preceding page
92 1: State: IA KS KN LA ME MD MA MI MN 46: Acceptance testing 46: Does not apply 46: Agency personnel X X X X 46: Designer's staff X X 46: DB's construction staff X X X 46: Agency hired consultant X X X 47: Independent assurance 2 47: Does not apply 47: Agency personnel X X X X 47: Designer's staff 47: DB's construction staff X 47: Agency hired consultant X X X 48: Approval of construction post-award QA plans 48: Does not apply 48: Agency personnel X X X X X 48: Designer's staff 48: DB's construction staff 48: Agency hired consultant X X X 49: punchlist 49: Does not apply 49: Agency personnel X X X X 49: Designer's staff X X 49: DB's construction staff X X X 49: Agency hired consultant X X X X 50: final quality of geotechnical work on DB projects compared to DBB Same Worse Same No opinion No opinion Better 52: evaluate the d performance quality for future DB selections? No No No No Yes No 53: If Yes, do you believe performance rating creates an incentivequality? Yes 54: rate impact on the final quality of the DB project 54: Qualifications of the DBâs geotechnical staff 1 1 1 2 2 2 54: DBâs past experience with geotechnical issues 1 2 1 2 2 2 54: Quality management plans 4 2 1 2 3 3 54: Level of agency involvement in the QA process 4 2 4 1 2 3 54: Use of agency geotech specs/design details 1 3 1 2 2 1 54: Amount of geotech info in procurement docs 4 3 2 1 1 1 54: Use of geotech performance criteria/specs 4 1 3 2 5 1 54: Early contractor involvement in geotech design 2 1 3 1 2 3 54: Agency interactivity during proposal phase 4 2 4 3 2 3 54: Agency interactivityduring design phase 4 2 4 2 2 1 54: Warranty provisions 4 5 4 5 5 2 55: significant geotech issues with your DB proj? No Yes Yes No No Yes
93 1: State: MS MO MT NE NV NJ NM NH 5: delivery method DBB X X X X X X X X 5: CMGC X X 5: DB X X X X X X X 5: P3 6: DB why not? 6: No legal authority X 6: Have authority no project where it makes sense 7: How many DB projects 3-5 1-2 6-10 1-2 3-5 3-5 1-2 8: % average annual construct number of projects 0-9% 0-9% 0-9% 11%-25% 0-9% 0-9% 0-9% 9: % average annual construct budget, dollar volume DB? 0-9% 0-9% 0-9% 11%-25% 0-9% 0-9% 0-9% 10: How long have you been using DB project delivery? 3-5 years 1-2 years 3-5 years 3-5 years 6-10 years 6-10 years 11: manual/document DB geotechnical? No No No No Yes No No No 12:DB project delivery geotechnical aspects significant No No Yes No Yes No Yes No 15: preliminary geotech investigation before deci- sion to use DB 15: None X 15: Reconnaissance Report 15: Geotechnical Data Report X X 15: Geotechnical Summary Report X 15: Preliminary Geotechnical Design Report X 15: Geotechnical Design Report 15: Geotechnical baseline report (GBR) 15: Other 16: Is a formal geotechnical risk analysis 16: Project Scope X 16: Project Schedule 16: Project Cost 16: Contracting Risk 17: project cost estimates with geotechnical uncertainty No Yes Yes Yes 18: geotechnical risk to draft the contract provisions? No No Yes Yes 19: During (RFQ), how evaluate a DB geotechde- sign team? 19: Geotechnical summary from past projects X X X X 19: Qualifications of the geotechnical designers X X X X X X 19. Proof of familiarity with local geotechnical X X X X 19: (GDR) preparation process narrative X X 19: (GDR) quality assurance process narrative X X 19: Designated GDR peer-review X 19: Narrative discussing geotechnical risks and approach to mitigating them X X X 19: References X X X 19: Claims history X Table continued from preceding page
94 1: State: MS Missouri MT NE NV NJ NM NH 20: Do you score DB proposal approach to geotechnical Yes Yes Yes Yes No Yes 21: geotechnical factors weighting Minor weight No weight Heavy weight Some weight Minor weight 22: How much geotechnical information (RFP) 22: None 22: Reconnaissance Report 22: Geotechnical Data Report X X 22: Geotechnical Summary Report X 22: Prelim Geotechnical Design Report X X X 22: Geotechnical Design Report X 22: Geotechnical baseline report X 23: Geotech info (RFP) significant geotechnical issues? 23: None 23: Reconnaissance Report 23: Geotechnical Data Report X 23: Geotechnical Summary Report X 23: Prelim Geotech Design Report X X X 23: Geotechnical Design Report X 23: Geotechnical baseline report X 24: How much geotech info in DB proposal typical project? 24: None X 24: List of assumptions geotechnical conditions X 24: Limited additional testing by the design-builders 24: Preaward investigate of critical areas by DBrs X 24: Geotechnical design values X X 24: Preliminary designs for foundation features of work X 24: Proposed mitigation approaches geotechni- cal risk X X 24: Alternative technical concepts for geotech features X 25: How much geotech info DB proposals with significant geotech issues 25: None X 25: List of assumptions made regarding geotechnical 25: Limited additional testing by the design-builders 25: Preaward geotech investiga critical areas by DBrs X 25: Geotechnical design values to be used X X 25: Preliminary designs for foundation features of work X 25: Proposed mitigation approaches geotechni- cal risk X X 25: Alternative technical concepts for geotechnical X X
95 1: State: MS Missouri MT NE NV NJ NM NH 26: Rank importance to the success during the pro- curement process 26: Sufficient geotech info 2 2 2 2 2 2 26: Highly qualified geotechnical design engineers 2 2 1 1 1 1 26: Verification of experience working in the project area 1 2 1 1 1 1 26: Mandated use of agency design criteria 1 2 2 2 2 3 26: Detailed GBR in RFP 3 3 2 2 3 2 26: Geotechnical design QA plan in proposal 3 3 1 2 2 1 26: Peer-review of GDR and supplemental GDRs 3 3 2 2 3 1 26: Geotechnical construction QA plan in proposal 3 3 1 2 3 1 26: Geotechnical risk mitigation plan in proposal 2 2 2 3 2 1 26: Correct weight of geotechnical issues 3 3 1 2 3 2 27: formal Partnering process on DB projects? Yes No Yes Yes 28: payment provisions DB projects? 28: Lump sum X X X X X 28: Lump sum GMP 28: Unit price GMP 28: Unit price 28: Cost reimbursable 28: Combo lump sum and unit prices 29: Does your agency use the GBR as a contract document? No No No Yes No Yes 30: Do you provide/require geotechnical design criteria Yes Yes Yes Yes Yes No 30: If yes: please specify Geotechnical Alignment and Structure Report, Geotechnical Engineering Report, Founda- tion Designs, Soils reports, Sur- facing Design Guidelines. AASHTO/FHWA Meet AASHTO standards 31: Do you provide/require geotech performance criteria No No Yes Yes Yes No 31: If yes: please specify If the project includes signifi- cant geotechnical issues, we require qualified geotechnical key personnel, approach and understanding of geotechnical considerations, mitigation tech- niques for geotech issues, etc Tolerable max and differential settle- ments, instrumen- tation, etc AASHTO standards 32: performance verification for geotechnical ? Yes No Yes No Yes 32: If yes: please specify the types2 compac- tion etc Load tests, CSL tests, settlement monitoring, etc settlement miti- gation; PDA test- ing; CSL testing 33: geotechnical differing site conditions clause ? No Yes Yes Yes Yes Yes 34: If Yes, claim result in a compensable change order? Occasionally Occasionally Occasionally 35: What document,define a differing geotech site condition? 35: Geotechnical information contained in RFP X Question 35: GBR contained in RFP 35: GDR produced by design-builder X 35: Contract differing site conditions clause definition only X X X X 35: No document 35: Other, please specify 36: warranties the geotechnical features? No No No No No No 36: If yes: please specify 37: incentives geotechnical risks and rewards? No No No No Table continued from preceding page
96 1: State: MS Missouri MT NE NV NJ NM NH 38: major claim geotechnical issue on DB project? No Yes No 38: If yes:describe down hole hammer misled site conditions 39: different QA program for DB projects than DBB projects? No No Yes Yes No No 40:Who does the following 40: Technical review of construction shop drawings 40: Does not apply 40: Agency personnel X X X X X 40: Designer's staff X 40: DB's construction staff X X 40: Agency hired consultant X X 41: Tech review material submittals 41: Does not apply 41: Agency personnel X X X X 41: Designer's staff 41: DB's construction staff X X X 41: Agency hired consultant X 42: Checking of pay quantities 42: Does not apply 42: Agency personnel X X X X 42: Designer's staff 42: DB's construction staff X X 42: Agency hired consultant X X 43: Routine construction inspection 43: Does not apply 43: Agency personnel X X X 43: Designer's staff 43: DB's construction staff X X X X X 43: Agency hired consultant X 44: Quality control testing 44: Does not apply 44: Agency personnel X 44: Designer's staff 44: DB's construction staff X X X X X X 44: Agency hired consultant X 45: Verification testing 45: Does not apply 45: Agency personnel X X X X 45: Designer's staff 45: DB's construction staff X X X 45: Agency hired consultant X X
97 1: State: MS Missouri MT NE NV NJ NM NH 46: Acceptance testing 46: Does not apply 46: Agency personnel X X X 46: Designer's staff 46: DB's construction staff X 46: Agency hired consultant X X X 47: Independent assurance 2 47: Does not apply X 47: Agency personnel X X X 47: Designer's staff 47: DB's construction staff X 47: Agency hired consultant X X 48: Approval of construction post-award QA plans 48: Does not apply X 48: Agency personnel X X X 48: Designer's staff X 48: DB's construction staff X 48: Agency hired consultant 49: punchlist 49: Does not apply X 49: Agency personnel X X X 49: Designer's staff X 49: DB's construction staff X 49: Agency hired consultant X 50: final quality of geotechnical work on DB projects compared to DBB Same Same Same Worse Same Worse 52: evaluate the d performance quality for future DB selections? No No No No Yes 53: If Yes, do you believe performance rating creates an incentivequality? No 54: rate impact on the final quality of the DB project 54: Qualifications of the DBâs geotechnical staff 2 2 1 3 2 2 54: DBâs past experience with geotechnical issues 2 2 2 2 2 2 54: Quality management plans 4 4 3 2 3 3 54: Level of agency involvement in the QA process 3 3 3 3 2 3 54: Use of agency geotech specs/design details 1 2 4 2 1 4 54: Amount of geotech info in procurement docs 2 3 4 3 1 3 54: Use of geotech performance criteria/specs 5 2 1 2 2 3 54: Early contractor involvement in geotech design 3 2 3 4 1 1 54: Agency interactivity during proposal phase 5 5 3 3 3 3 54: Agency interactivityduring design phase 3 3 2 1 2 2 54: Warranty provisions 5 4 5 5 3 3 55: significant geotech issues with your DB proj? No No Yes No Yes Table continued from preceding page
98 1: State: NC ND NY OH OK OR SC SD TN 5: delivery method DBB X X X X X X X X X 5: CMGC X 5: DB X X X X X X X 5: P3 X 6: DB why not? 6: No legal authority X X 6: Have authority no project where it makes sense 7: How many DB projects 11-100 1-2 11-100 11-100 11-100 1-2 1-2 8: % average annual construct number of projects 11%-25% 0-9% 0-9% 0-9% 0-9% 0-9% 9: %average annual construct budget, dollar volume DB? 26%-50% 0-9% 0-9% 26%-50% 11%-25% 0-9% 10: How long have you been using DB project delivery? 6-10 years 1-2 years 11+years 6-10 years 11+years 3-5 years 11: manual/document DB geotechnical? Yes No Yes Yes No Yes No No 12: DB project delivery geotechnical aspects significant Yes No No Yes No Yes No No 15: preliminary geotech investigation before decision to use DB 15: None X X 15: Reconnaissance Report 15: Geotechnical Data Report 15: Geotechnical Summary Report X 15: Preliminary Geotechnical Design Report X X 15: Geotechnical Design Report 15: Geotechnical baseline report (GBR) 15: Other 16: Is a formal geotechnical risk analysis 16: Project Scope X 16: Project Schedule 16: Project Cost X 16: Contracting Risk 17: project cost estimates with geotechnical uncertainty Yes No Yes Yes Yes No 18: geotechnical risk to draft the contract provisions? No No Yes No No No 19: During (RFQ), how evaluate a DB geotechdesign team? 19: Geotechnical summary from past projects X X 19: Qualifications of the geotechnical designers X X X X X 19. Proof of familiarity with local geotechnical X X 19: (GDR) preparation process narrative X 19: (GDR) quality assurance process narrative X 19: Designated GDR peer-review X 19: Narrative discussing geotechnical risks and approach to mitigating them X 19: References X X 19: Claims history X X
99 1: State: NC ND NY OH OK OR SC SD TN 20: Do you score DB proposal approach to geotechnical Yes No No Yes Yes No No 21: geotechnical factors weighting Heavy weight Minor weight Minor weight 22: How much geotechnical information (RFP) 22: None 22: Reconnaissance Report X 22: Geotechnical Data Report X X 22: Geotechnical Summary Report X X 22: Prelim Geotechnical Design Report X 22: Geotechnical Design Report X 22: Geotechnical baseline report X 23: Geotech info (RFP) significant geotechnical issues? 23: None 23: Reconnaissance Report X 23: Geotechnical Data Report X 23: Geotechnical Summary Report X 23: Prelim Geotech Design Report X X X 23: Geotechnical Design Report X 23: Geotechnical baseline report X X 24: How much geotech info in DB proposal typical project? 24: None X X 24: List of assumptions geotechnical conditions X 24: Limited additional testing by the design-builders X 24: Preaward investigate of critical areas by DBrs X 24: Geotechnical design values X 24: Preliminary designs for foundation features of work X X 24: Proposed mitigation approaches geotechni- cal risk X 24: Alternative technical concepts for geotech features X 25: How much geotech info DB proposals with sig- nificant geotech issues 25: None X 25: List of assumptions made regarding geotechnical X 25: Limited additional testing by the design-builders X 25: Preaward geotech investiga critical areas by DBrs X 25: Geotechnical design values to be used X 25: Preliminary designs for foundation features of work X X 25: Proposed mitigation approaches geotechni- cal risk X 25: Alternative technical concepts for geotechnical X Table continued from preceding page
100 1: State: NC ND NY OH OK OR SC SD TN 26: Rank importance to the success during the procurement process 26: Sufficient geotech info 1 2 1 2 1 2 26: Highly qualified geotechnical design engineers 1 2 2 1 1 2 26: Verification of experience working in the project area 1 2 2 2 2 3 26: Mandated use of agency design criteria 1 1 1 1 3 26: Detailed GBR in RFP 1 3 3 1 3 26: Geotechnical design QA plan in proposal 2 3 2 1 2 3 26: Peer-review of GDR and supplemental GDRs 1 3 3 1 3 3 26: Geotechnical construction QA plan in proposal 1 3 2 1 2 3 26: Geotechnical risk mitigation plan in proposal 2 3 3 1 2 2 26: Correct weight of geotechnical issues 2 3 3 1 3 3 27: formal Partnering process on DB projects? Yes Yes Yes Yes 28: payment provisions DB projects? 28: Lump sum X X X X X X 28: Lump sum GMP 28: Unit price GMP 28: Unit price 28: Cost reimbursable 28: Combo lump sum and unit prices 29: Does your agency use the GBR as a contract document? Yes No No No No No 30: Do you provide/require geotechnical design criteria Yes Yes Yes Yes No 30: If yes: please specify state design specs depends on project 31: Do you provide/require geotech performance criteria Yes No Yes No No 31: If yes: please specify settle- ment not to date 32: performance verification for geotechnical? Yes No No Yes No 32: If yes: please specify the types2 used during construction. Rideability spec 33: geotechnical differing site conditions clause? No No Yes Yes No Yes 34: If Yes, claim result in a compensable change order? Occa- sionally Occasion- ally 35: What document,define a differing geotech site condition? 35: Geotechnical information contained in RFP Question 35: GBR contained in RFP 35: GDR produced by design-builder 35: Contract differing site conditions clause definition only X X X X 35: No document X 35: Other, please specify We do not allow differing geotechnical site condition. 36: warranties the geotechnical features? Yes No No No Yes No 36: If yes: please specify culvert settlement. 3 year warranty latent defects/ workmanship 37: incentives geotechnical risks and rewards? No No No No No No
101 1: State: NC ND NY OH OK OR SC SD TN 38: major claim geotechnical issue on DB project? Yes No No Yes No 38: If yes:describe Culvert settle more than allowed. ancient landslides impact $50m 39: different QA program for DB projects than DBB projects? No No No No No No 40:Who does the following 40: Technical review of construction shop drawings 40: Does not apply 40: Agency personnel X X X X 40: Designer's staff X 40: DB's construction staff 40: Agency hired consultant X X X 41: Tech review material submittals 41: Does not apply 41: Agency personnel X X X X 41: Designer's staff X 41: DB's construction staff 41: Agency hired consultant X X 42: Checking of pay quantities 42: Does not apply 42: Agency personnel X X X X X 42: Designer's staff 42: DB's construction staff 42: Agency hired consultant X X X 43: Routine construction inspection 43: Does not apply 43: Agency personnel X X X X X 43: Designer's staff X 43: DB's construction staff X 43: Agency hired consultant X X X X 44: Quality control testing 44: Does not apply 44: Agency personnel X X X 44: Designer's staff 44: DB's construction staff X X X X 44: Agency hired consultant X X 45: Verification testing 45: Does not apply 45: Agency personnel X X X X X X 45: Designer's staff 45: DB's construction staff 45: Agency hired consultant X X X Table continued from preceding page
102 1: State: NC ND NY OH OK OR SC SD TN 46: Acceptance testing 46: Does not apply 46: Agency personnel X X X X X X 46: Designer's staff 46: DB's construction staff 46: Agency hired consultant X X X 47: Independent assurance 2 47: Does not apply X 47: Agency personnel X X X 47: Designer's staff 47: DB's construction staff 47: Agency hired consultant X X X X 48: Approval of construction post-award QA plans 48: Does not apply 48: Agency personnel X X X X X X 48: Designer's staff 48: DB's construction staff 48: Agency hired consultant X 49: punchlist 49: Does not apply 49: Agency personnel X X X X X X 49: Designer's staff 49: DB's construction staff 49: Agency hired consultant X X X 50: final quality of geotechnical work on DB proj- ects compared to DBB Same Same Same Same Same Same 52: evaluate the d performance quality for future DB selections? No No Yes Yes No 53: If Yes, do you believe performance rating cre- ates an incentivequality? Yes Yes 54: rate impact on the final quality of the DB project 54: Qualifications of the DBâs geotechnical staff 1 2 2 2 3 4 54: DBâs past experience with geotechnical issues 1 2 2 2 3 4 54: Quality management plans 1 4 3 2 2 5 54: Level of agency involvement in the QA process 1 4 4 2 1 5 54: Use of agency geotech specs/design details 1 1 1 3 3 4 54: Amount of geotech info in procurement docs 1 3 2 2 3 5 54: Use of geotech performance criteria/specs 1 5 3 1 2 5 54: Early contractor involvement in geotech design 1 3 2 2 3 3 54: Agency interactivity during proposal phase 1 5 5 4 5 54: Agency interactivityduring design phase 1 5 4 2 2 4 54: Warranty provisions 2 5 4 1 2 5 55: significant geotech issues with your DB proj? Yes No No Yes No
103 1: State: TX UT VT VA WA WY 5: delivery method DBB X X X X X X 5: CMGC X X 5: DB X X X X X 5: P3 X X 6: DB why not? 6: No legal authority X 6: Have authority no project where it makes sense 7: How many DB projects 6-10 11-100 3-5 11-100 6-10 8: % average annual construct number of projects 0-9% 0-9% 0-9% 0-9% 0-9% 9: %average annual construct budget, dollar volume DB? 11%-25% >50% 11%-25% 11%-25% 11%-25% 10: How long have you been using DB project delivery? 6-10 years 11+years 6-10 years 6-10 years 6-10 years 11: manual/document DB geotechnical? Yes Yes Yes No Yes No 12:DB project delivery geotechnical aspects significant Yes Yes Yes Yes Yes No 15: preliminary geotech investigation before decision to use DB 15: None X 15: Reconnaissance Report X 15: Geotechnical Data Report X X X 15: Geotechnical Summary Report X 15: Preliminary Geotechnical Design Report 15: Geotechnical Design Report 15: Geotechnical baseline report (GBR) 15: Other 16: Is a formal geotechnical risk analysis 16: Project Scope X X X X 16: Project Schedule X X 16: Project Cost X X X 16: Contracting Risk X X X 17: project cost estimates with geotechnical uncertainty Yes Yes Yes Yes 18: geotechnical risk to draft the contract provisions? No Yes No Yes 19: During (RFQ), how evaluate a DB geotechdesign team? 19: Geotechnical summary from past projects X X X 19: Qualifications of the geotechnical designers X X X X 19. Proof of familiarity with local geotechnical 19: (GDR) preparation process narrative 19: (GDR) quality assurance process narrative 19: Designated GDR peer-review 19: Narrative discussing geotechnical risks and approach to mitigating them X X 19: References X X X 19: Claims history Table continued from preceding page
104 1: State: TX UT VT VA WA WY 20: Do you score DB proposal approach to geotechnical Yes Yes Yes Yes 21: geotechnical factors weighting Minor weight Minor weight Minor weight Minor weight 22: How much geotechnical information (RFP) 22: None 22: Reconnaissance Report 22: Geotechnical Data Report X X X X 22: Geotechnical Summary Report 22: Prelim Geotechnical Design Report 22: Geotechnical Design Report X X 22: Geotechnical baseline report X X 23: Geotech info (RFP) significant geotechnical issues? 23: None 23: Reconnaissance Report 23: Geotechnical Data Report X 23: Geotechnical Summary Report X X 23: Prelim Geotech Design Report 23: Geotechnical Design Report 23: Geotechnical baseline report X 24: How much geotech info in DB proposal typical project? 24: None 24: List of assumptions geotechnical conditions X X 24: Limited additional testing by the design-builders X X 24: Preaward investigate of critical areas by DBrs 24: Geotechnical design values X 24: Preliminary designs for foundation features of work 24: Proposed mitigation approaches geotechnical risk X X X X 24: Alternative technical concepts for geotech features X X X X 25: How much geotech info DB proposals with significant geotech issues 25: None 25: List of assumptions made regarding geotechnical X X 25: Limited additional testing by the design-builders X X 25: Preaward geotech investiga critical areas by DBrs 25: Geotechnical design values to be used X 25: Preliminary designs for foundation features of work 25: Proposed mitigation approaches geotechnical risk X X X X 25: Alternative technical concepts for geotechnical X X X X
105 1: State: TX UT VT VA WA WY 26: Rank importance to the success during the procure- ment process 26: Sufficient geotech info 1 1 1 1 26: Highly qualified geotechnical design engineers 1 1 1 1 26: Verification of experience working in the project area 3 2 2 3 26: Mandated use of agency design criteria 1 1 3 1 26: Detailed GBR in RFP 1 1 3 1 26: Geotechnical design QA plan in proposal 2 2 2 2 26: Peer-review of GDR and supplemental GDRs 2 2 3 2 26: Geotechnical construction QA plan in proposal 3 2 3 3 26: Geotechnical risk mitigation plan in proposal 2 1 1 2 26: Correct weight of geotechnical issues 2 1 3 2 27: formal Partnering process on DB projects? Yes No Yes Yes 28: payment provisions DB projects? 28: Lump sum X X X X 28: Lump sum GMP 28: Unit price GMP 28: Unit price 28: Cost reimbursable 28: Combo lump sum and unit prices 29: Does your agency use the GBR as a contract document? No Yes No Yes 30: Do you provide/require geotechnical design criteria Yes Yes Yes Yes 30: If yes: please specify Preliminary geotech report and special requirements We require them to follow everything in the RFP and our MOI. AASHTO is heavily referenced. GDM and special requirements 31: Do you provide/require geotech performance criteria No Yes No Yes 31: If yes: please specify Settlement warranty criteria (2-5 years). deflection criteria for floating bridge anchors, settlement caused by tun- neling or excavations. 32: performance verification for geotechnical? Yes Yes 32: If yes: please specify the types2 Yes for settlement. Inclinometers, vibration measurements and defor- mation measurements 33: geotechnical differing site conditions clause? Yes Yes Yes Yes 34: If Yes, claim result in a compensable change order? Occasionally Usually Never Occasionally 35: What document,define a differing geotech site condition? 35: Geotechnical information contained in RFP X X X X Question 35: GBR contained in RFP X X 35: GDR produced by design-builder 35: Contract differing site conditions clause definition only X 35: No document 35: Other, please specify 36: warranties the geotechnical features? No Yes No Yes 36: If yes: please specify 1 year general warranty 37: incentives geotechnical risks and rewards? No No No No Table continued from preceding page
106 1: State: TX UT VT VA WA WY 38: major claim geotechnical issue on DB project? Yes No 38: If yes:describe Several 39: different QA program for DB projects than DBB projects? Yes No No Yes 40: Who does the following 40: Technical review of construction shop drawings 40: Does not apply 40: Agency personnel X X X 40: Designer's staff X X X X 40: DB's construction staff X X 40: Agency hired consultant X X X 41: Tech review material submittals 41: Does not apply 41: Agency personnel X X 41: Designer's staff X X X X 41: DB's construction staff X X 41: Agency hired consultant X X X 42: Checking of pay quantities 42: Does not apply 42: Agency personnel X X 42: Designer's staff X X 42: DB's construction staff X X X 42: Agency hired consultant X X X 43: Routine construction inspection 43: Does not apply 43: Agency personnel X X 43: Designer's staff X X 43: DB's construction staff X X X X 43: Agency hired consultant X X 44: Quality control testing 44: Does not apply 44: Agency personnel X X 44: Designer's staff X X 44: DB's construction staff X X X X 44: Agency hired consultant X X 45: Verification testing 45: Does not apply 45: Agency personnel X X X 45: Designer's staff X 45: DB's construction staff X X 45: Agency hired consultant X X X
107 1: State: TX UT VT VA WA WY 46: Acceptance testing 46: Does not apply 46: Agency personnel X X X 46: Designer's staff X 46: DB's construction staff X X X 46: Agency hired consultant X X X 47: Independent assurance 2 47: Does not apply 47: Agency personnel X X 47: Designer's staff 47: DB's construction staff X 47: Agency hired consultant X X X 48: Approval of construction post-award QA plans 48: Does not apply 48: Agency personnel X X X 48: Designer's staff 48: DB's construction staff X 48: Agency hired consultant X X X 49: punchlist 49: Does not apply 49: Agency personnel X X X X 49: Designer's staff X X X X 49: DB's construction staff X X X X 49: Agency hired consultant X X X 50: final quality of geotechnical work on DB projects compared to DBB Same Worse Same Same 52: evaluate the d performance quality for future DB selections? No No Yes No 53: If Yes, do you believe performance rating creates an incentivequality? Yes 54: rate impact on the final quality of the DB project 54: Qualifications of the DBâs geotechnical staff 1 2 1 2 54: DBâs past experience with geotechnical issues 2 2 2 3 54: Quality management plans 3 3 3 3 54: Level of agency involvement in the QA process 3 2 3 2 54: Use of agency geotech specs/design details 3 2 3 1 54: Amount of geotech info in procurement docs 2 2 2 1 54: Use of geotech performance criteria/specs 2 2 2 2 54: Early contractor involvement in geotech design 1 4 2 2 54: Agency interactivity during proposal phase 3 5 3 4 54: Agency interactivityduring design phase 3 1 3 2 54: Warranty provisions 3 3 3 3 55: significant geotech issues with your DB proj? No Yes No No Table continued from preceding page
