Managing Geotechnical Risks in Design–Build Projects (2018)

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F-1 Appendix F: Interview and Survey Forms Survey #1 Questionnaire This appendix contains the online-survey used to collect the information from the analysis of current geotechnical management practices conducted in this research. General Information: 1. US state in which the respondent is employed: 2. What type of organization are you employed by? State Department of Transportation Other public transportation agency; Name of Agency: Federal Agency; Name of Agency: Consultant; Name of Organization: Contractor; Name of Company: Other; Please describe: 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: 4. What project delivery methods is your organization allowed to use? Check all that apply DBB Construction Manager-at-Risk or Construction Manager/General Contractor DB Best Value DB Low Bid Other; Please specify: If your agency does not use Design-Build project delivery please skip to the 41question. 5. How many DB projects has your agency delivered? 1-2 3-5 6-10 >10 6. How long has your agency been using DB project delivery? 1-2 years 3-5 years 6-10 years >10 years 7. How many DB projects have you been personally involved in? 1-2 3-5 6-10 >10 Geotechnical Risk Management Information Section 8. Does your agency have a manual or document that specifically describes the procedures to be used with the geotechnical requirements of DB and/or DBB projects? No Yes. If yes, please add the web site URL address where it can be accessed or attach a corresponding document: 9. How much preliminary geotechnical investigation is completed before making the decision to use DB project delivery for a given project? Check all that apply None Reconnaissance Report (Review of records and 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)

F-2 Geotechnical Design Report (Full subsurface investigation for all structures and geotechnical features) Geotechnical Baseline Report (GBR) (A report that establishes the contractual understanding of subsurface site conditions and upon which risks associated with subsurface conditions can be allocated between the owner and the design-builder) Geotechnical Interpretation Report (GIR) (A report that interprets the findings of the GBR) Other, please specify: 10. Do you use DB project delivery on projects where the geotechnical risks are considered to be significant, i.e. higher than the usual project? Yes No 11. If the answer to the question 10 is “Yes”, please check all applicable steps that were taken to address geotechnical issues in the DB RFQ/RFP? Geotechnical Baseline Report (GBR) (A report that establishes the contractual understanding of subsurface site conditions and upon which risks associated with subsurface conditions can be allocated between the owner and the design-builder) Allowance, restriction or elimination of Differing Site Conditions (DSC) rights Mandatory design Other, please specify: 12. (Only for those who responded to the question 10 “YES”) What are the Geotechnical characteristics or factors that preclude the project from being a DB contract delivery? 13. If the answer to the question 10 is “No”, Please check all the reasons why you do not use DB project delivery where the geotechnical risks are considered to be significant. Liability considerations (if so, specify: ) Not willing to give up full control of the geotechnical design Inability to adequately describe geotechnical conditions and/or performance specifications Could use DB on these projects but political/policy issues prevent its use and/ or agency upper management is unwilling to use it Not enough time to conduct preliminary geotechnical engineering investigations Other, please specify: 14. Is a formal geotechnical risk analysis conducted on a typical project in any of the following areas? Check all that apply Type of Analysis Risk Qualitative Quantitative Non-Formal Geotechnical Risk Analysis Project Scope Project Schedule Project Cost Contracting Risk Other, please specify:

F-3 15. Within the geotechnical risk management process that is conducted by the agency or required of the design- builder, please select all that apply whether on a DB typical or a DB project with significant geotechnical issues: (Check all that apply) DB typical project DB project with significant geotechnical risk Geotechnical risk management process conducted by the agency prior to bid Formal risk identification meetings are conducted by the agency’s project team prior to bid Risk register, encompassing geotechnical risks, is developed by the agency Risk mitigation report which includes procedures for mitigating risks identified during the risk analysis process is developed Geotechnical risk management process required of the design-builder Design-builder has to develop a risk management plan to be submitted in the proposal to the agency Design-builder has to maintain a risk register during the course of the project that includes the geotechnical risks anticipated and mitigation measures 16. (Only for those who marked to the question 15 “Risk Register and Risk management plan”) Which of the following best describe the content of the risk register of geotechnical issues: Risk register developed by the agency determines the risk management mitigation strategies applicable to the geotechnical risks identified (such as share, transfer, and avoid) Risk register developed by the agency - encompassing geotechnical risks- is maintained during the course of the project (e.g. geotechnical risks that are not materialized are retired during the course of the project and contingencies are revised). Risk register developed contains geotechnical risks with a deterministic estimate of the cost and schedule impact of risk Risk register containing geotechnical risks and probabilistic estimate (range) of cost and schedule impact of risk ; Other, please specify: 17. Does your agency have a document that details your formal risk analysis/management process? No Yes. If yes, please add the web site URL address where it can be accessed or attach a corresponding document: 18. Does the geotechnical risk management process employed on DB projects differ based on the contract type (lump sum, unit price, etc.)? No Yes 19. What types of geotechnical risks do you typically encounter on DB projects and how are they allocated? Check all that apply Uncertainty in ground conditions Owner DB Contractor Shared Unknown geological condition Groundwater Soft clays, organic silts, or peat Rock faults/ fragmentation Chemically reactive ground Soil contamination Slope instability Settlement Subsidence (subsurface voids) Landslides Karst formations Others, please specify____________

F-4 Uncertainty in the Design Process Inadequate geotechnical investigation Incorrect geotechnical design information, in general Bias and/or variation in design parameters being different than estimated, in general Inaccurate earthwork assumptions– soil or rock cuts or fills Risk in retaining structures assumptions and recommendations - geotechnical aspects Risk in structure foundations assumptions and recommendations (footings, driven piles, drilled shafts, etc...) Risk in ground improvement technique recommendations (wick drains, lightweight fill, vibro-compaction, dynamic compaction, stone columns, grouting, etc...) Risk in seismic design assumptions and recommendations Others, please specify____________ Procurement/Contracts Risk Risk allocation in the differing site conditions (DSC) contract clause Others, please specify____________ 20. Do your project cost estimates involve a quantitative analysis of geotechnical uncertainty (i.e. was a range cost estimate developed)? Yes No Do not Know 21. If your answer to the question 20 is “Yes”, does it include a line item risk-based cost estimate of geotechnical risks Yes No Do not Know 22. 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, if yes, please describe: No Geotechnical Aspects of Design-build Procurement Process 23. If geotechnical factors are included in the evaluation plan, how much weight do they carry with regard to all other evaluated factors? No weight minor weight some weight heavy weight 24. 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: 25. How much additional geotechnical information is required from the design-builders as part of their DB proposals in a DB project with significant geotechnical issues? None

F-5 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 or potential geotechnical risk areas Alternative technical concepts for geotechnical features of work Other, please specify: 26. During the bidding stage of a DB project with significant geotechnical issues, the agency: (check all that apply) Allows the proposers to do their own boring at the site Gives the bidders general site access and the results of the borings it had conducted. Allows alternative technical concepts (ATC) during the DB procurement process 27. Rate the following areas (if applicable) in terms of importance to the success of the project during the procurement process 1 = very important; 2 = important; 3 = not important; NA = Does not apply Area Rating Sufficient geotechnical information to allow the competitors to price the project without excessive contingencies Highly qualified geotechnical design engineers Formal geotechnical risk analysis conducted by agency Formalized geotechnical risk allocation techniques to draft the contract provisions 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 Geotechnical ATCs with confidential one-on-one meetings Opportunity for competitors to conduct some form of subsurface investigation during proposal preparation Correct weight of geotechnical issues in relation to other project requirements Geotechnical Aspects of Design-Build Contracts 28. What type of payment provisions are contained whether on a DB typical or a DB projects with significant geotechnical issues? 29. (Check all that apply) DB typical project DB project with significant geotechnical issue Lump sum Unit price GMP Cost reimbursable Lump sum guaranteed maximum price (GMP) Unit price Combination lump sum and unit prices Other; Please specify

F-6 30. Please answer the following questions regarding geotechnical aspects of DB contracts: YES NO Do NOT Know Does your agency use the GBR as a contract document? Do you provide and require geotechnical design criteria in DB contracts? If “Yes”: What type? Do you provide and require geotechnical performance criteria, such as maximum allowable settlement, in DB contracts? If “Yes”: What type? Do you use performance verification or measurement methods (instrumentation, etc.) for geotechnical features of work? If “Yes”: What type? Do you use warranties in conjunction with the geotechnical features? If “Yes”: What type? Do you have incentives that are used to align owner and contractor geotechnical risks and rewards? If “Yes”: What type? 31. Does your DB contract contain a clause regarding geotechnical differing site conditions? Yes No If your contract does not contain a clause regarding Geotechnical Differing Site Conditions, please skip to the 35 question. 32. If the answer to the question 30 is “Yes”, how often does a design-builder’s claim of a differing geotechnical site condition result in a compensable change order? Never Occasionally Usually Always 33. Does your differing site conditions clause explicitly delineate the contractors’ right to submit a claim for specific types of unforeseen conditions? Yes If yes: what types? No No Opinion 34. Please estimate the % of your DB projects that end up with a compensable differing site conditions change/claim: None 1-10% 11-25% 26-50% >50% 35. 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: 36. Has your agency 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: No 37. If the answer to the question 35 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: Email address

F-7 38. How do you rate the final quality of geotechnical work on DB projects compared to DBB projects? Better Same Worse No opinion Please explain primary reason for difference: 39. Do you formally evaluate the design-builder’s performance quality and use that for future DB selections? Yes No Do not know 40. 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-Builder’s geotechnical staff Design-Builder’s past project experience with geotechnical issues Use of agency geotechnical specifications and/or design details Amount of geotechnical information expressed in the procurement 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 Confidential one-on-one meetings Geotechnical ATCs 41. Do you have anything else you would like to share regarding the geotechnical aspects on your DB projects? 42. Only for participant who skipped ahead from Question 4. Please answer the following question based on the DB definition included in this survey, and your knowledge and/or experience related to DB contracting. If your agency would decide to implement DB contracting techniques; what would be your major concern in regard to the development of geotechnical requirements for the advertisement and letting of DB contracts?

F-8 Survey #2 Questionnaire The purpose of this second questionnaire is to gauge the impact of geotechnical risk factors on Design-Build (DB) projects. The results of the survey is to identify those geotechnical factors that could preclude a given project from being DB project. Do you have anything else you would like to share regarding the geotechnical risk factors on your DB projects?

F-9 Structured Interview Questionnaire: Geotechnical Risks in Design-Build Projects Research Objectives: 1. Identify, analyze, and understand the current models for successful geotechnical risk management on projects delivered by the Design-Build (DB) delivery method. 2. Quantify the costs and benefits of success approaches to managing geotechnical risk in each delivery method. 3. Prepare a set of Guidelines for Managing Geotechnical Risk on Design-Build Projects for agency implementation on highway construction projects. Below are the various areas in which the interviewer will be asking questions. Please have any historic details on hand at the time of the interview. We greatly appreciate your support for this important project and will give you the opportunity to review and suggest corrections to the draft case study write-up prior to its inclusion in the final report. I. General Agency Information: 1. Name of Agency: 2. What type of organization do you work for? Highway/Road Agency Rail/Commuter Transit Agency Airport Agency Seaport/Marine Transportation Agency Other Please describe: 3. What level of authority is your agency? National State/Province County/City/Local Other; Please describe: II. Case Study Project Information: 4. Project Name and location: 5. Project ID: 6. Project scope of work: If you have a standard version of this, please give it to the interviewer. 7. Original Total Awarded Value of project: $ Final Total Value of project: $ NOTE: can be approximate values 8. Date project advertised: NOTE: can be approximate dates Date contract awarded: Original Project Delivery Period (including design) Final Project Delivery Period (including design) 9. Project delivery method used on this project: 10. Agency Project Delivery Decision-making Process: Describe process for selecting a PDM for the case study project. 11. Which of the following were reasons why your agency selected the delivery method used for this project? Check all that apply. Reduce/compress/accelerate project delivery period Establish project budget at an early stage of design development Get early construction contractor involvement Encourage innovation Facilitate Value Engineering Encourage price competition (bidding process) Compete different design solutions through the proposal process Innovative financing Reduce life cycle costs Compete different design solutions through the proposal process Redistribute risk Flexibility needs during construction phase Provide mechanism for follow-on operations and/or maintenance Complex project technical requirements Complex project environmental permitting requirements Complex project traffic control requirements Complex project financing requirements Complex project political/public relations requirement

F-10 12. Agency Project Delivery Experience: PDM #Projects Remarks DBB 1-5; 6-10; 10-20; >20 CMR 1-5; 6-10; 10-20; >20 DB 1-5; 6-10; 10-20; >20 Etc. 1-5; 6-10; 10-20; >20 III. Contractual Provisions and Status: Please answer the following questions based on the Case Study RFP and/or contractual documents. 13. What is the compensation method used in the contract? (e.g. Lump Sum, Unit Prices) 14. Does the contract allow for Alternative Technical Concepts (ATCs)? b. If yes, was any ATC received from the Design-Builders proposing on this project? c. If an ATC was received, was it intended to mitigate geotechnical risks? If so, explain further. 15. Does the contract include a Differing Site Conditions Clause (DSC)? a. If yes, does it include reference to geotechnical studies provided in the pre-award phase? 16. Did the geotechnical information provided in the contract include any interpretation of the geotechnical data as a baseline for the differing site conditions clause? i. If yes, please explain the degree in which the contractually given baseline was optimistic, pessimistic or neutral within the range of potential interpretations of the available data. ii.Optimistic: the baseline reflects the best case scenario of geotechnical conditions within the available data. iii.Pessimistic: the baseline reflects the worst case scenario of geotechnical conditions within the available data. iv.Neutral: the baseline reflects a mid-point in the potential interpretations or there is only one possible interpretation of the available geotechnical data. Very Pessimistic Somewhat Pessimistic Neutral Somewhat Optimistic Very Optimistic ☐ ☐ ☐ ☐ ☐ 17. Was there any dispute with the contractor (or other party) in this project? If yes, a. What was the basis of the dispute? b. Did the claim include a geotechnical component? c. How was the dispute settled? (in favor of the claimant or the agency) 18. Was there any contractual changes during the project execution? If yes, a. What was the basis and impacts of the change? b. Did the change include a geotechnical component? IV. Geotechnical Risk Management: Please answer the following questions from a general perspective based on your experience. 19. Was this project considered to have a higher geotechnical risk in comparison with other Design-Build projects executed by your agency? (please describe how your agency perceived the geotechnical risk before advertising the project) 20. If the project considered to have a higher geotechnical risk, please explain as follows: a. Why was the geotechnical risk higher for this project? b. How was this higher risk handled by your agency?

F-11 21. Within the geotechnical risk management process that is conducted by the agency or required of the design- builder, please select all that apply whether on a typical DB project or one with significant geotechnical issues: 22. How much geotechnical investigation was performed internally by the agency before advertising the project? Select one below: Before advertising the project Provided in the request of proposal No geotechnical investigation Reconnaissance report (Review of records observations from site) Geotechnical data report (Review of records and investigation data) Geotechnical summary report (Review of records and summarized data) Preliminary geotechnical design report (Partial geotechnical investigation) Final geotechnical design report (Full subsurface investigation for all structures and geotechnical features) Geotechnical baseline report (GBR) Geotechnical interpretive report (GIR) 23. What was the cost of the geotechnical investigation performed by your agency? 24. In your experience, please provide the typical cost associated with different levels of geotechnical investigation efforts across all projects in your agency: Typical Cost Reconnais -sance Report Geotech . Data Report Geotech. Summary Report Prelim. Geotech Design Final Geotech . Design GBR GIR $0 - $1,000 $1,000 - $10,000 $10,000 - $100,000 $100,000 - $1,000,000 $1,000,000+ (Check all that apply) DB typical project DB project with significant geotechnical risk Geotechnical risk management process conducted by the agency prior to bid Formal risk identification meetings are conducted by the agency’s project team prior to bid Risk register, encompassing geotechnical risks, is developed by the agency Risk mitigation report which includes procedures for mitigating risks identified during the risk analysis process is developed Geotechnical risk management process required of the design-builder Design-builder has to develop a risk management plan to be submitted in the proposal to the agency Design-builder has to maintain a risk register during the course of the project that includes the geotechnical risks anticipated and mitigation measures

F-12 25. How much time (days or man-hours) did the geotechnical investigation effort require? 26. In your experience, please provide the typical duration of the geotechnical investigation efforts across all projects in your agency depending on the level of detail of the study: Typical Duration (Days or man- hours) Reconnais- sance Report Geotech. Data Report Geotech. Summary Report Prelim. Geotech Design Final Geotech . Design GBR GIR 0-15 15-30 30-60 60-120 120-240 240+ 27. Please describe the process for underground utility coordination in the project: a. Did your agency perform utility identification before advertising the project? Please explain. b. Describe the procedure for obtaining utility clearance in coordination with the design-builder 28. Where the competing teams allowed to request or obtain additional geotechnical information during the pre-award proposal preparation period? a. If yes, what were they allowed to request/perform? Additional borings provided by the DOT – results made available to all competitors Additional borings provided by the DOT – results provided to only the requesting competitor Additional borings self-performed– results made available to all competitors Additional borings self-performed – results retained by performing competitor Interpretation of RFP geotechnical data– results made available to all competitors Interpretation of RFP geotechnical data – provided to only the requesting competitor Other 29. If geotechnical risks were identified and quantified during the pre-award phase, please provide a list of the identified risks. 30. Did the project cost estimate for this contract involve a quantitative analysis of the geotechnical uncertainty? Please provide a description of the process and the estimated probability and impact of the identified risks. 31. Does your agency have a standard risk analysis manual that describes the process? 32. What contractual clause or provision did your agency include to mitigate the geotechnical risks? a. Provide a complete geotechnical study such as a Geotechnical Baseline Report (GBR). b. Allowance, restriction or elimination of Differing Site Condition (DSC) rights. c. Mandatory design parameters. d. Other, please specify: 33. Was a contingency assigned to the project cost estimate for potential additional costs associated with geotechnical issues? If yes, - Please provide an approximate value for this contingency in dollars or as a percentage of the construction costs. - Was this contingency lower, similar or higher in comparison with typical Design-Build projects managed by your agency? Please explain.

F-13 V. General Geotechnical Risk Impact 34. Please rate the following geotechnical risk factors as to their impact on a typical DB project and a DB project with significant geotechnical issues. Also rate how often they typically occur in each type of DB project. 1 = no impact; 2= minor impact; 3 = distinct impact; 4= major impact; 5= catastrophic impact 1= never occurs; 2= occurs in 1% to 25% of DB projects; 3 = 26% to 75%; 4 = 76% to 90%; 5 = 91% to 100% Factor Impact Frequency of Occurrence Remarks Typical DB Project DB with significant geotech issues Typical DB Project DB with significant geotech issues Differing condition claim – water table Differing condition claim – unsuitable material Differing condition claim – rock/boulders Differing condition claim – contaminated material Differing condition claim – utility conflict Change order – replace in situ material with borrowed material Change order – relocate utility conflict Change order – ground water infiltration Change order – settlement of adjacent structure Landslide remediation More VI. Complementary Information: Please answer the following questions from a general perspective based on your experience. 35. In your opinion, what could have been done differently to prevent the geotechnical issues that occurred in this project? 36. In your opinion, what are the main geotechnical risk factors associated with Design-Build contracts? 37. In your opinion, what types of geotechnical risks are of a nature that you would advise against delivering a project using DB? (for example – dilatant soils, ancient landslide areas, etc.) 38. Is there anything else about geotechnical risk in Design-Build contracts that you consider relevant for this research? 39. Is there any other Design-Build contract awarded by your agency that in your opinion could provide value knowledge for this research?