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Page 125
Suggested Citation:"References." National Academies of Sciences, Engineering, and Medicine. 2018. Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25261.
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Page 126
Suggested Citation:"References." National Academies of Sciences, Engineering, and Medicine. 2018. Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25261.
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Page 127
Suggested Citation:"References." National Academies of Sciences, Engineering, and Medicine. 2018. Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25261.
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Page 128
Suggested Citation:"References." National Academies of Sciences, Engineering, and Medicine. 2018. Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25261.
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Page 129
Suggested Citation:"References." National Academies of Sciences, Engineering, and Medicine. 2018. Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25261.
×
Page 129
Page 130
Suggested Citation:"References." National Academies of Sciences, Engineering, and Medicine. 2018. Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25261.
×
Page 130
Page 131
Suggested Citation:"References." National Academies of Sciences, Engineering, and Medicine. 2018. Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25261.
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Page 131

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125 References Allen, J. and A. Touran. “Risk Analysis in Transit Projects,” AACE International Transactions (CD-ROM), AACE, Morgantown, WV, 2005, 9.1–9.7. American Association of State Highway and Transportation Officials (AASHTO), Guide for Design-Build Procurement. Washington, DC, 2008. Arizona Department of Transportation Intermodal Transportation Division (Arizona DOT), Design-Build Procurement and Administration Guide, 2nd Edition, ADOT Construction Group, Phoenix, December 2001 [Online]. Available: http://www.azdot.gov/Highways/ConstGrp/DesignBuildGuide.asp [January 24, 2007]. American Society of Civil Engineers (ASCE), 2013 Report Card on America’s Infrastructure, ASCE, 2014, [Online]. Available: http://www.infrastructurereportcard.org/grades/[January 8, 2015] American Society of Civil Engineers (ASCE). GeoConstructability – An Owner’s Guide to Obtaining Essential Geotechnical Information for Construction. Geo-Institute of ASCE, August, 2011. Assaf, S.A., and S. Al-Hejji. “Causes of Delay in Large Construction Projects,” International J. of Proj. Management, Vol. 24, 2006, pp. 349-357. Baecher, G.B. “Geotechnical Risk Analysis User’s Guide,” Report No. FHWA/RD-87-011, 1987. Beard, L.J., C.M. Loulakis, and C.E. Wundram, Design- Build: Planning Through Development, 1st ed., McGraw–Hill Professional, New York, N.Y., 2001, p. 10. Black, C., A. Akintola, and E. Fitzgerald. “An Analysis of Success Factors and Benefits of Geotechnical Risk in Construction,” International Journal of Project Management, 18(6), 2000, pp. 423-434. Blanchard, B., “Design-Build Lessons Learned Florida DOT,” Proceedings, Louisiana Transportation Engineering Conference, Baton Rouge, Louisiana, February, 2007, p. 6-14. Boeckmann, A. Z. and J. E. Loehr. NCHRP Synthesis 484: Influence of Geotechnical Investigation and Subsurface Conditions on Claims, Change Orders, and Overruns. Transportation Research Board, Washington, D.C., 2016.  Carpenter, J. “WSDOT Design-build Project Delivery Guidance Statement: Alternative Technical Concepts,” Washington State DOT, Olympia, Washington, April 10, 2010, 15pp. Christensen M.R. and Meeker, L.E. “Design/Build Projects – Lessons Learned from the Contractor’s Perspective,” Proceedings, American Railway Engineering and Maintenance-of- Way Association, Lanham, Maryland, 2002, p.14 Christian, J.T. and G.B. Baecher. “Unresolved Problems in Geotechnical Risk and Reliability,” GeoRisk 2011, American Society of Civil Engineers, 2011. Clark, G.T. and Borst A. “Addressing Risk in Seattle’s Underground,” PB Network, January, 2002, pp. 34-38. Clayton, C.R.I. Managing Geotechnical Risk. The Institute of Civil Engineers, UK, 2001. D’Ignazio, J., Molenaar, K.R., Hallowell, M. and Fortunato, B. Executive Strategies for Risk Management by State Departments of Transportation – Executive Summary, Prepared for NCHRP 20-24, Fairfax, Virginia, May, 2011. Dauolas, J.C. “Georisk in the Design-Build Procurement Process,” GeoRisk 2011, 2011, pp. 1090- 1097. Dowall, D.E. and J. Whittington, Making Room for the Future : Rebuilding California's Infrastructure, Public Policy Institute of California, San Francisco, California, 2003, pp13.

126 Dwyre, E.M., Z. Batchko, and R.J. Castelli, “Geotechnical Baseline Reports for Foundation Projects,” Proceedings, GeoFlorida 2010: Advances in Analysis, Modeling & Design (GSP 199), Orlando, Florida, 2010 pp. 1-10. Dwyre, E.M., J. Jenkins, and R.J. Castelli. "Development and Interpretation of Geotechnical Contract Provisions for Design-Build Projects: Success Strategies for Owners and Contractors." In GeoCongress 2012: State of the Art and Practice in Geotechnical Engineering, pp. 145-154. ASCE, 2012 Essex, R.J. Geotechnical Baseline Reports for Construction. ASCE, Reston, Virginia, 2007. Farnsworth, C.B. “Challenges with Managing Risk when Using the Observational Method of Construction with Design-Bid-Build Delivery,” Construction Research Congress, San Juan, Puerto Rico, May-June, 2016. Federal Highway Administration (FHWA), Checklist and Guidelines for Review of Geotechnical Reports and Preliminary Plans and Specifications. Publication No. FHWA ED-88-053, August 1988, Revised February 2003. [Online] Available: http://www.fhwa.dot.gov/engineering/geotech/pubs/reviewguide/checklist.pdf. [October 10, 2016.] Federal Highway Administration (FHWA), Design-Build Effectiveness Study – As Required by TEA-21 Section 1307(f): Final Report, USDOT Federal Highway Administration, Washington, D.C., January 2006, 215pp. [Online]. Available: http://www.fhwa.dot.gov/reports/designbuild/designbuild0.htm [March 20, 2011]. Florida Department of Transportation (FDOT) “Alternative Technical Concepts Reviews,” FDOT Design-build Guidelines, Vol. 2, February 4, 2011, WWW document available at http://www.dot.state.fl.us/construction/designbuild/DBDocuments/RFPDocs/AlternativeTech nicalConcepts.pdf, [May 26, 2011] Golder Associates. “Final Guide for the Process of Managing Risk on Rapid Renewal projects,” R9 Report, SHRP2, 2011. Gransberg, D. D. and M. C. Loulakis. NCHRP Synthesis 429: Geotechnical Information Practices in Design-Build Projects. Transportation Research Board of the National Academies, Washington, D.C., 2012, 124 pp. Gransberg, D.D. K.W. McLain, and M.C. Loulakis. “Answering the $64,000 Question: Geotechnical Risk in Design-Build Projects,” Geostrata, July/August, 2016a, pp. 32-35. Gunalan, K.N. (2016). “Geotechnical Delivery on Mega Transportation Projects: Challenges of Accelerated Delivery,” Geostrata, July/August, 2016, pp. 44-48. Hatem, D.J., “Risk Allocation for Subsurface Conditions and Defective Design,” Design-Build Subsurface Projects. Edited by Brierley, G.S. Corkum D.H. and Hatem, D. J. Society for Mining, Metallurgy and Exploration, Englewood, Colorado, 2011, 228pp. Higbee, J.B., Geotechnical Issues with Large Design-Build Highway Projects. In Transportation Research Record: Journal of the Transportation Research Board, No. 1868, Transportation Research Board of the National Academies, Washington, D.C., 2004, pp.147-153. Hillson, D.A. “The Risk Breakdown Structure as an Aid to effective Risk Management,” Proceedings of the 5th European Project Management Conference, June, 2002. Hoek, E. and Palmeiri, A. “Geotechnical Risks on Large Civil Engineering Projects,” International Association of Engineering Geologists Congress, Vancouver, Canada, September, 1998. Hollman, J. Project Risk Quantification. Probabilistic Publishing, 2016. Kim, K.J., Kreider,C.A., and Valiquette, M.D., North Carolina Department of Transportation’s Practice and Experience with Design-Build Contracts Geotechnical Perspective. In

127 Transportation Research Record: Journal of the Transportation Research Board, No. 2116, Transportation Research Board of the National Academies, Washington, D.C., 2009, pp. 47– 52. Koch, J.E., D.D. Gransberg, and K.R. Molenaar. Project Administration for Design-Build: A Primer for Owners, Engineers, and Contractors, ASCE Press, Reston, Virginia, 2010, 286pp. Loulakis, M.C. and O. J. Shean, “Risk Transference in Design-Build Contracting,” Construction Briefings, 2nd series, Federal Publications, Washington, DC, 1996, Construction Briefings, 2nd series, Federal Publications, Washington, DC, 1996, 12pp. Loulakis, M.C., B.P. Wagner, and H.C. Splan, “Differing Site Conditions,” Chapter 11, Construction Claims Deskbook, R.S. Brams and C. Lerner, Eds., Aspen Law and Business, New York, N.Y., 1995, pp. 131–166. Loulakis, M.C., N.C. Smith, D.L. Brady, R.E. Rayl, D.D. Gransberg. NCHRP Legal Research Digest 68: Liability of Design-Builders for Design, Construction, and Acquisition Claims, Transportation Research Board, Washington, D.C., 2015 Loulakis, M.C., Smith, N.C., and Gransberg, D.D. “What Does the Case Law Say? Geotechnical Risk on Design-Build Projects,” Geostrata, July/August, 2016, pp. 39-43. Mahdi, I.M. and K. Alreshaid, “Decision Support System for Selecting the Proper Project Delivery Method Using Analytical Hierarchy Process,” International Journal of Project Management, Vol. 23, 2005, pp. 564–572. Maine Department of Transportation, Request for Proposals, Caribou Connector New Highway and Bridge Construction Design-build Project, Project No. HPP-STP-6462-500; Maine Department of Transportation, Augusta, Maine October 13, 2010. MBTA. Risk Analysis Manual, Trauner Consulting, July, 2011. Maryland State Highway Administration (MSHA), “Innovative Congestion Management Project Industry Meeting,” Baltimore, Maryland January 13, 2016 http://roads.maryland.gov/ohd2/I- 270_ICM_2016-01-13_Final_Presentation.pdf. [August 29, 2017]. Mendez, V., “Every Day Counts: Innovation Initiative,” Federal Highway Administration, Washington, DC, 2010, p.1-2. Minnesota Department of Transportation (Mn/DOT), Approach to Alternative Technical Concepts,” Mn/DOT Design-Build Program White Paper No. MN-11, St Paul, Minnesota, August 12, 2003, p.1. Minnesota Department of Transportation (Mn/DOT), Request for Qualifications T.H. 52 Design- Build Project S.P. 5502-67, 5507-45, 5508-78; HPPMN45(101), NH014(308), District Six – Rochester, Minnesota Department of Transportation, Rochester, 2001. Mississippi Department of Transportation (Mississippi DOT), Request for Proposals, Addendum 1, A Design-Build Project Bridge Replacement on US 90 Biloxi to Ocean Springs Bridge Jackson and Harrison Counties, Mississippi, Contract No. ER/BR-0003-01(099) 104556/301000 –Biloxi/Ocean Springs Bridge, Mississippi Department of Transportation, Jackson, 2005. Molenaar, K., S. Anderson, and C. Schexnayder. NCHRP Report 658: Guidebook on Risk Analysis Tools and Management Practices to Control Transportation Project Costs, Transportation Research Board of the National Academies, Washington, D.C., 2010. Montana Department of Transportation (MDT) Design-Build Request for Proposal US 2 – Rockfall Mitigation, Flathead County, Project # SFCN 1-2(169)154, Montana Department of Transportation, Helena, Montana, March 25, 2011, 39pp. New York State DOT. Geotechnical Design Manual, December 10, 2013.

128 North Carolina Department of Transportation (NCDOT), “Geotechnical Guidelines for Design- Build Projects,” NCDOT, Raleigh, North Carolina, June 2009, pp.1-2. [Online]. Available: http://www.ncdot.org/doh/preconstruct/altern/design_build/geotechGuidelines062909.pd [September 29, 2011] Nossan, A.S. “Observations on the observational method.” Proc. of the 13th Danube-European Conference on Geotech Engineering: Ljubljana, Slovenia, 2006. Papernik, B.G. and Farkas, D.J., “Using Alternative Technical Concepts to Improve Design-Build and PPP Procurements,” Nossaman E-Alerts, [Online]. Available: http://www.nossaman.com/using-alternative-technical-concepts-improve-designbuild-ppp, [May 26, 2011]. Peck, R.B. “Advantages and limitations of the observational method in applied soil mechanics.” Geotechnique, 19(2), 1969, pp.171-187. Potter, J.M., and D.K. McMahon, Selecting a Quality Control/Quality Assurance Program for a Mega Design-Build Project, Rummel, Klepper, and Kahl, LLP, Baltimore, Maryland, 2006, 12 pp. Pronchick, D., “The Differing Site Conditions Clause: Time for a Change,” master’s thesis, George Washington University, Washington, DC, 1990, 155 pp. [Online]. Available: http://www.dtic.mil/dtic/tr/fulltext/u2/a252588.pdf [October 29, 2016]. Santoso, D.S. and S. Soeng. "Analyzing Delays of Road Construction Projects in Cambodia: Causes and Effects." Journal of Management in Engineering, 32(6), 05016020, November 2016. Schaefer, V.R., Douglas, S.C. and Berg, R.R. SHRP2 R02 Geotechnical Solutions for Transportation Infrastructure: Guidance and Selection System, Presented at 90th Annual Meeting of the Transportation Research Board, Washington, D.C., 2011. Scott, S., K. R. Molenaar, D. D. Gransberg, and N. C. Smith. NCHRP Report 561: Best-Value Procurement Methods for Highway Construction Projects, Transportation Research Board of the National Academies, Washington, D.C., 2006. Shane, J.S., D.D. Gransberg, and K.C. Strong. SHRP 2 Report S2-R10-RW-1: Project Management Strategies for Complex Projects, Transportation Research Board of the National Academies, Washington, D.C., 2015. Smith, N.C., “Getting What You Paid For: The Quality Assurance and Acceptance Process for Transportation Projects,” Proceedings, American Bar Association Forum on the Construction Industry, Denver, Colo., 2001, pp. 17–18. Smith, R. “An Evolving View of Geotechnical Engineering – A Focus on Geo-Risk Management Geotechnical Special Publication No. 178, GeoCongress 2008: Geosustainability And Geohazard Mitigation, New Orleans, Louisiana, March 9-12 2008, pp. 231-239. Smith, R.J. “Identifying and Allocating Risk,” In Construction Law Handbook (R.F. Cushman Ed.), Aspen Publishing, New York, 1999, pp. 459-497. Songer, A.D. and Molenaar, K.R. (1996). "Selecting design-build: private and public sector owner attitudes," Journal of Management in Engineering, ASCE, Vol. 12(6), 1996, pp. 47-53. Texas Department of Transportation (TxDOT), Request for Proposals, Loop 1604 Western Extension Project Design-Build Agreement, TxDOT, 2013. [Online]. Available: http://ftp.dot.state.tx.us/pub/txdot-info/sat/loop1604_western/rfp/addendum4/dba- addendum4.pdf [June 29, 2015]

129 Texas Turnpike Authority (TTA), “Request for Proposals to Construct, Maintain and Repair the SH 130 Turnpike Through an Exclusive Development Agreement,” Texas Department of Transportation, Austin, Texas, 2001. Tufenkjian, M. Review of geotechnical services, California Department of Transportation, Final Report, USDOT Federal Highway Administration, Washington, D.C., 2007, 76pp. U.S. Subcommittee on Geotechnical Site Investigations. Geotechnical Site Investigations for Underground Projects, US National Academic Press, Washington, D.C., 1984. Utah Department of Transportation (UDOT), Request for Proposals, SR-92; East of I-15 in Lehi, Utah County, Project No. STP-0092(5)1, Utah Department of Transportation, Orem, Utah, 2005. Van Staveren, M. Uncertainty and Ground Conditions. BH, Elsevier, Ltd., UK, 2006. Vermont Agency of Transportation (VTrans) Request for Qualifications, US Route Bridge Improvement, Bridge No. 24, Town of Richmond Vermont, VTrans Project No. Richmond STP- RS 0284(11), VTrans, Montpelier, Vermont, 2010, 46 pp. Virginia Department of Transportation (VDOT), General Conditions of Contract between Department and Design-Builder, VDOT, 2010. [Online] Available: http://www.virginiadot.org/business/resources/ipd/2010_TemplateDocuments_100511.pdf [June 29, 2015] Virginia Department of Transportation. “Project Management Procedure,” PMO No. 15.0, February, 2015. Von Winterfeldt, D. and W. Edwards. Decision Analysis and Behavioral Research. Cambridge University Press, New York, NY, 1986. Washington Department of Transportation (WSDOT), Request for Proposals, SR 99 Bored Tunnel Alternative Design-Build Project, WSDOT, 2010. Washington Department of Transportation (WSDOT), Request for Proposals, SR 520 Pontoon Construction Design-Build Project, Volume 1: General Provisions 194, WSDOT, 2009. [Online] Available: http://www.wsdot.wa.gov/biz/contaa/DESIGNBUILDCONTRACTS/SR520BRIDGEREPL ACEMENT/ [July 1, 2015]. Washington State Department of Transportation (WSDOT), Request for Proposals, Thurston Way Interchange, SR500 MP3.15 to MP 4.73, Clark County, Washington Department of Transportation, Kelso, Washington, 2000. Washington State Department of Transportation (WSDOT). Guidebook for Design-build Highway Project Development, Washington State Department of Transportation, Olympia, Washington, 2004, 109 pp. Washington State Department of Transportation (WSDOT). Project Risk Management Guide, November, 2014.

130 Abbreviations and Acronyms a - Constant defining the weight assigned to each survey response ASCE - American Society of Civil Engineers ATC - Alternative Technical Concepts Austroads - Australia-New Zealand version of AASHTO Caltrans - California DOT CMGC - Construction manager/general contractor CMR - Construction manager-at-risk DB - Design-build DBB - design-bid-build DOT - Department of transportation DSC - differing site conditions Eq. - Equation FHWA - Federal Highway Administration FI - Frequency Index GBR - Geotechnical baseline report GDR - Geotechnical design report GIR - Geotechnical Interpretive Report GMP - Guaranteed maximum price Ho - Hypothesis II - Impact Index IMPI - Importance Index MnDOT - Minnesota DOT N - Total number of survey responses.

131 n - Frequency of the survey responses NCHRP - National Cooperative Highway Research Program PDB - Progressive design-build RFP - Requests for proposal RFQ - Requests for qualifications XX+ - State postal abbreviation plus; indicates more than one state

Next: Appendix A: State of the Practice »
Managing Geotechnical Risks in Design–Build Projects Get This Book
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TRB's National Cooperative Highway Research Program (NCHRP) Web-Only Document 247: Managing Geotechnical Risks in Design–Build Projects documents the research effort to produce NCHRP Research Report 884: Guidelines for Managing Geotechnical Risks in Design–Build Projects.

NCHRP Research Report 884 provides guidelines for the implementation of geotechnical risk management measures for design–build project delivery. The guidelines provide five strategies for aligning a transportation agency and its design–builder’s perception of geotechnical risk as well as 25 geotechnical risk management tools that can be used to implement the strategies on typical design–build projects. This report helps to identify and evaluate opportunities to measurably reduce the levels of geotechnical uncertainty before contract award, as well as equitably distribute the remaining risk between the parties during contract execution so that there is a positive impact on project cost and schedule.

In addition to the guidelines, the report is accompanied by an excel spreadsheet called the Geotechnical Risk Management Plan Template.

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