PRESENTING

OVERVIEW OF THE USE OF GEOTECHNICAL

BASELINE REPORTS (GBR’S)

Conrad W. Felice, Ph.D., P.E., S.E., P.Eng., D.GE., F. ASCE

Owner and Managing Principal
C. W. Felice, LLC
Trustee, Deep Foundations Institute
Risk

ALL PROJECTS HAVE RISK

Risk

New York Times, Nov 9, 2020

Outline Outline

• What is a GBR?
• Historical context
• Baseline statements
• Contract delivery alternatives

Macaulay, D. 1976. Underground, Houghton Mifflin Company, Lake Dorothy hydropower project,
Boston, Massachusetts Juneau , Alaska
GBR use
What aUnderstanding
and abuse
is Historical
GBR? contextRisk

…”to translate the results of geotechnical

investigations AND previous experience into
clear descriptions of anticipated subsurface
conditions upon which bidders may rely”…
 aUnderstanding
What is GBR
Historical
GBR? contextRisk
fundamentals

• To provide a framework for the allocation and management of

risk among the project participants in a fair and equitable
manner

• Identify key ground related risks to the project

• A set of statements of anticipated ground conditions and how

they will influence construction

• To provide a basis for how conditions encountered outside the

baseline will be addressed (i.e., differing site conditions)

• Guidance for bidders

• A contract document
 aUnderstanding
GBR? contextRisk
What is Historical

What is a GBR IS NOT

• A consultant report

• A warranty

• A specification

• A tool to unfairly shift risk – specifically to a contractor

• Shall not contain exculpatory language disclaiming

responsibility for accuracy or completeness
Outline Outline

• What is a GBR?
• Historical context
• Baseline statements
• Contract delivery alternatives

Macaulay, D. 1976. Underground, Houghton Mifflin Company, Lake Dorothy hydropower project,
Boston, Massachusetts Juneau , Alaska
HistoricalUnderstanding
context Risk

Historical philosophy - “you bid it, you build it”

• Contractor assumes too much

risk in bid (inflated prices)

• Contractors exposure to unknown

conditions in field (eat the cost in
field)

Need for a better philosophy

 Understanding
Historical context contextRisk
Historical

• U.S. National Committee on Tunneling

Technology – 1984 Blue Ribbon Panel

• Evaluated 84 tunnel projects

• Over 60% had significant claims relating to

unanticipated soil conditions

• Overall claims averaged 30% of engineer’s

estimate

• 1% of project cost for exploration

• 12% of project cost for settled claims

HistoricalUnderstanding
context Risk

Recommendations

• Dispute review board

• Escrowed bid documents

• Geotechnical baseline report

(GBR)

Lake Hodges Tunnel, courtesy of Kiewit

HistoricalUnderstanding
context Risk

Dispute review board

• Forum to foster cooperation

• Prompt and equitable resolution

• Dissuades frivolous disputes and claims

• 3 member board approved by owner and contractor

• Organized early in contract and meet periodically

• Non-binding but admissible in court

HistoricalUnderstanding
context Risk

Escrow documents

• All documents of successful bidder placed in escrow

• Remains property of contractor

• Accessible jointly by owner and contractor at request of either

• Aids in negotiating price adjustments

• Held by third party and not subject to Freedom of Information

Act
HistoricalUnderstanding
context Risk

What is needed

• Fairer basis for contracting

• Help avoid and resolve disputes

• Minimize schedule delays and cost escalation

Outline Outline

• What is a GBR?
• Historical context
• Baseline statements
• Contract delivery alternatives

Macaulay, D. 1976. Underground, Houghton Mifflin Company, Lake Dorothy hydropower project,
Boston, Massachusetts Juneau , Alaska
 Understanding
BaselineHistorical
statementscontextRisk

What is a “baseline”
 Understanding
BaselineGBR
Historical
statementscontextRisk
fundamentals

Within the baseline Outside the baseline

Contractor’s risk Owners

Means and methods “Owns” the ground
Cost and schedule
Quality

All projects are All GBR’s should

different be different
Baseline statements
Focus of a GBR
Risk and impacts to:
• Cost
• Schedule
• Means and methods

Baseline statements do not

have to be factual

An owner has the right to

allocate and transfer risks
responsibly! Example: Materials from roadway excavation, structure excavation,
and all other excavations are not suitable for reuse as fill or
embankment material
BaselineGBR
statements
fundamentals

Writing suggestions ◼ What not to do!

• Use quantitative terms that are measurable

Parameter: Unconfined
and able to be verified in the field compressive strength
• Statements can be physical and/or behavioral
Test data: 5 < UCS < 10 (ksi)
• Avoid ambiguous words
– e.g., might, could, maybe,… Baseline: 15 ksi
• Avoid qualitative descriptions
– Occasional jointing
– Short stand-up time
– High ground water table
Baseline statements

Risk elements used as baselines

• Groundwater
• Slope instability
• Poor ground
• Liquefaction
• Construction
Baseline statements
At Location B, within the limits shown in Figure X, the Data limitations
Design-Builder shall expect to encounter peat, organic
silt, organic clay, and other poor soils to a depth of XX
feet below the existing ground surface; these soils will
not be suitable for reuse on the Project. In this area,
the Design-Builder shall be prepared to over excavate, Bridge
improve, modify subgrades, and use deep foundations
as needed to provide adequate support for all Project
structures, roadways, and other features.
Outline Outline

• What is a GBR?
• Historical context
• Baseline statements
• Contract delivery alternatives

Macaulay, D. 1976. Underground, Houghton Mifflin Company, Lake Dorothy hydropower project,
Boston, Massachusetts Juneau , Alaska
Contract Outline
delivery alternatives

Delivery alternatives

• Design – bid –build

• Design – build
• Public – private – partnership
• Early contractor involvement
• …….

SR 16, Tacoma Narrows Bridge

Contract delivery alternatives

Geotechnical challenges

You pay for site investigation whether

you have one or not (Peart, 2011)

Site investigation
• How much?
• For design-build: just enough!
• Options
• Phased and iterative
• Collaborative
Contract Understanding Risk
delivery alternatives

RFP Concept

Design-Builders
approach
Contract delivery alternatives
Contract Managing Risk
delivery alternatives

Contractual consistency

• Understand who
owns the risk
GBR
• Clarity or roles and Technical
specifications
responsibilities

• Full integration of Contract

the delivery drawings
process General
Special
provisions
conditions
History Understanding Risk
context
Contract delivery alternatives

Claims for differing site

conditions (DCS)
The Contractor shall promptly, and
before the conditions are disturbed,
give written notice to the Contracting
Office of:
(1) Subsurface or latent conditions at the site
which differ materially from those
indicated in this contract; or
(2) Unknown physical conditions at the site
of an unusual nature which differ
materially from those ordinarily
encountered and generally recognized as
inhering in work of the character provided
for in the contract Cofferdam construction, New Orleans
Courtesy of Kiewit
Contract delivery alternatives

Geotechnical
contract
documents

GBR GDR

Design-Bid-
No GBR Design-Build Reference
Build

GBR – bidding Other

GBR – contracting studies

Set a monetary ceiling

SummaryUnderstanding Risk

Desired outcomes

• Identification and
allocation of risks

• Fair basis for contracting

• Help avoid and resolve

disputes

• Minimize schedule delays

and manage cost
Rajiv Gandhi Sea Link, Mumbai, India (under construction)
Wrap-up Outline

Conrad W. Felice, Ph.D., P.E., S.E., D.GE., F. ASCE

C. W. Felice, LLC
Owner/Managing Principal
Email: conrad.felice@cwfelicellc.com
Mobile: 1-425-753-3316
Website: www.cwfelicellc.com

Wenchuan earthquake surface fault expression, 2008