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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Guidelines for Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25262.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Guidelines for Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25262.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Guidelines for Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25262.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Guidelines for Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25262.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Guidelines for Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25262.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Guidelines for Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25262.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Guidelines for Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25262.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Guidelines for Managing Geotechnical Risks in Design–Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/25262.
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2018 N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP RESEARCH REPORT 884 Subscriber Categories Administration and Management • Construction Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration Guidelines for Managing Geotechnical Risks in Design–Build Projects Douglas D. Gransberg InstItute for transportatIon research Iowa state unIversIty Ames, IA Michael Loulakis capItal project strategIes, llc Reston, VA Ali Touran northeastern unIversIty Boston, MA Ghada Gad calIfornIa state polytechnIc unIversIty Pomona, CA Kevin McLain MIssourI Dot Jefferson City, MO Shannon Sweitzer s&Me Raleigh, NC Dominique Pittenger arbor servIces, llc Norman, OK Ivan Castro Nova Ricardo Tapia Pereira Milagros Pinto-Nunez Iowa state unIversIty Ames, IA

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed research is the most effective way to solve many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation results in increasingly complex problems of wide inter- est to highway authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniques—the National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRB’s recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRB’s relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of special- ists in highway transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs identified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the Federal Highway Administration. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&I’s recommendations are proposed to the AASHTO Board of Direc- tors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement, rather than to substitute for or duplicate, other highway research programs. Published research reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America NCHRP RESEARCH REPORT 884 Project 24-44 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-39060-6 Library of Congress Control Number 2018952408 © 2018 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report.

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied committees, task forces, and panels annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR NCHRP RESEARCH REPORT 884 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Waseem Dekelbab, Senior Program Officer Megan A. Chamberlain, Senior Program Assistant Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Linda A. Dziobek, Senior Editor NCHRP PROJECT 24-44 PANEL Field of Soils and Geology—Mechanics and Foundations Jon E. Bischoff, Utah DOT, Salt Lake City (Chair) James H. “Jim” Anspach, Cardno, Bend, OR Kristina Assouri, WSP, Sacramento, CA Shunyi Chris Chen, North Carolina DOT, Raleigh Joseph K. Dongo, California DOT, Sacramento Richard A. Lamb, Minnesota DOT, Maplewood Michael F. McDonnell, Connecticut DOT, Newington Christian G. Youngs, Michigan DOT, Lansing Khalid Mohamed, FHWA Liaison AUTHOR ACKNOWLEDGMENTS The Institute for Transportation Research at Iowa State University performed the research reported in this report under NCHRP Project 24-44: “Guidelines for Managing Geotechnical Risks in Design–Build Projects.” Additionally, Northeastern University and California State Polytechnic University at Pomona provided co-principal investigators. The Institute for Transportation Research was the prime contractor for the study. The authors acknowledge the contribution of the Missouri Department of Transportation, which allowed Dr. Kevin McLain, Director of Geotechnical Engineering, to be available to the project at no cost. Michael Loulakis, Capital Project Strategies, LLC, Reston, Virginia; Shannon Sweitzer, S&ME, Raleigh, North Carolina; and Dr. Dominique Pittenger, Arbor Services, LLC, Norman, Oklahoma served as co-principal investigators. Dr. Douglas Gransberg of the Institute for Transportation Research led the team as principal investigator with Dr. Ali Touran, Northeastern University, and Dr. Ghada Gad, California State Polytechnic University at Pomona, as co-principal investigators. The Institute for Transportation Research graduate research assistants on the project were Ivan Castro Nova, who is now at Manatt’s Inc., Des Moines, Iowa; Dr. Ricardo Tapia Pereira, who is now at the Panama Canal Authority; and Dr. Milagros Pinto-Nunez, who is now at the Technological University of Panama.

NCHRP Research Report 884 will assist public agencies in managing geotechnical risk on highway construction projects that are delivered using design–build. The guidelines provide five strategies for aligning the DOT’s and its design–builder’s perception of geo technical risk as well as 25 geotechnical risk management tools that can be used to implement the strate- gies on typical design–build projects. This report will be of immediate interest to agencies and consultants to identify and evaluate opportunities to measurably reduce the levels of geotechnical uncertainty before contract award, as well as equitably distribute the remain- ing risk between the parties during contract execution so that there is a positive impact on project cost and schedule. Mitigating the risk of differing geotechnical site conditions is never simple, but when a design–build (DB) contract awarded before a complete subsurface investigation is com- pleted, it becomes even more difficult. While DB project delivery is a proven tool for accel- erating badly needed renewal projects, it does so by awarding the contract before design is complete. Typical DB highway projects often provide only a small fraction of the necessary geotechnical investigation required by the state DOT geotechnical manual of instruction at the time of procurement. These DB contracts require the DB team to conduct the full subsurface site investigation and geotechnical design report in final design. As a result, construction costs could increase because of unforeseen site conditions. Because current DB case law has shown that the agency cannot effectively shed risk due to differing site conditions, measures were needed to mitigate the risk of both cost and time overruns if actual conditions were found to differ significantly from those portrayed in the project’s DB request for proposal. Under NCHRP Project 24-44, “Guidelines for Managing Geotechnical Risks in Design–Build Projects,” Iowa State University was asked to develop guidelines for the implementation of geotechnical risk management measures for DB project delivery related to geotechnical investigation, design, and construction. In addition to the guidelines published as NCHRP Research Report 884, the research agency’s final report that documents the entire research effort is available as NCHRP Web-Only Document 247: Managing Geotechnical Risks in Design–Build Projects. F O R E W O R D By Waseem Dekelbab Staff Officer Transportation Research Board

1 Summary 3 Chapter 1 Introduction to Design–Build Geotechnical Risk Management 4 1.1 Design–Build Project Risk Management 8 1.2 Project Geotechnical Risk Management Process 11 1.3 Design–Build Project Risk Management Planning 16 1.4 How to Use the Guidelines 18 Chapter 2 Geotechnical Risk Identification 18 2.1 Geotechnical Risk Identification Throughout Project Development 18 2.2 Geotechnical Risk Identification: Strategies, Methods, and Tools 22 Chapter 3 Qualitative Geotechnical Risk Analysis 22 3.1 Risk Assessment 23 3.2 Qualitative Approach 24 3.3 Risk Matrix 25 3.4 Two-Step Approach for Evaluating the Project for Design–Build Delivery 28 Chapter 4 Quantitative Geotechnical Risk Analysis 28 4.1 Risk Quantification 28 4.2 Risk Register 29 4.3 Non-Simulation Approach 30 4.4 Simulation Approach 35 Chapter 5 Geotechnical Risk Management Strategies, Methods, and Tools 35 5.1 Geotechnical Issues and Available Risk Mitigation Strategies 35 5.2 Methods for Implementing Tools 36 5.3 Tools 39 5.4 Strategies, Methods, and Tools for Risk Mitigation 42 Chapter 6 Geotechnical Risk Monitoring, Control, and Retirement 42 6.1 Post-Award Geotechnical Risk Register 44 6.2 Retiring Geotechnical Risks 47 Chapter 7 Design–Build Geotechnical Risk Management Planning Workshop Template 47 7.1 Design–Build Project Geotechnical Risk Management Plan 50 7.2 Example Design–Build Project Geotechnical Risk Management Plan 53 References C O N T E N T S

A-1 Appendix A Glossary of Geotechnical and Risk Terms B-1 Appendix B Geotechnical Risk Management Workshop Templates C-1 Appendix C Detailed Explanation of Geotechnical Risk Management Strategies, Methods, and Tools Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.

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TRB's National Cooperative Highway Research Program (NCHRP) Research Report 884: Guidelines for Managing Geotechnical Risks in Design–Build Projects 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. NCHRP Web-Only Document 247: Managing Geotechnical Risks in Design–Build Projects documents the research effort to produce NCHRP Research Report 884.

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