Geotechnical Engineering (Memorandum)

Memorandum
U.S. Department
of Transportation
Federal Highway
Administration
Subject:
From:
To:
INFORMATION: Transmittal of Geotechnical

Engineering Notebook Issuance GT-15
Geotechnical Differing Site Conditions
Chief, Bridge Division
Office of Engineering
Date:
Reply to
Attn of:
May 2, 1996
HNG-31
Regional Administrators
Federal Lands Highway Program Administrator
Based on a request from the field at the last Regional Geotechnical Engineers Workshop, the
attached Geotechnical Engineering Notebook Issuance GT-15, entitled Geotechnical Differing
Site Conditions, has been prepared. The intent of the document is to provide guidance to design
and construction engineers involved with geotechnical aspects of highway projects. The
issuance contains information on subsurface information acquisition, disclosure of subsurface
information in contract documents, procedures for evaluating claims of subsurface related
changed conditions, and the use of geotechnical design summary reports.
The issuance, which was prepared by Messrs Richard Cheney of the Bridge Division and
Andy Muoz, Region 6 Geotechnical Engineer, has received extensive review by the FHWA,
the States, and industry. The FHWA regional reviews included both regional engineers and
regional counsels.
Please distribute this issuance to holders of the Geotechnical Engineering Notebook. If any
questions arise concerning this document, please contact Mr. Richard Cheney at 202-366-1568.
/s/ original signed by

Stanley Gordon
Stanley Gordon
attachment
U.S. DEPARTMENT OF TRANSPORTATION

FEDERAL HIGHWAY ADMINISTRATION
GEOTECHNICAL ENGINEERING NOTEBOOK

Geotechnical Guideline No.15
TITLE
Geotechnical DIFFERING SITE CONDITIONS
EXECUTIVE SUMMARY
The 23 Federal Code of Regulations (CFR 635.109) contains
policies, requirements, and procedures for standardized changed
conditions clauses for Federal aid highway projects. In
summary, unless prohibited by State law, Part 635 requires that a
differing site condition clause shall be made part of and
incorporated into each highway project approved under Title 23.
This guideline provides information on geotechnical aspects of
differing site conditions, adequate site investigation,
disclosure and presentation of subsurface information by highway
agencies, and the use of such information in mitigating or
resolving contractor claims of differing site conditions.
Recommendations are provided for disclosure of factual, qualified
and interpretive geotechnical information. The uses of
geotechnical design summary reports are described and a typical
report outline provided in the appendices.
GT Guideline No. 15
Date: April 30, 1996
Page 1 of
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Tables of Contents
1.
Purpose
2.
Background
3.
The Differing Site Condition (DSC) Clause

A.
Guideline Wording for a DSC Contract Clause

!
!
!
!
!
!
!
B.
Types of Conditions
Conditions above Ground
No Fault
Knowledge
Damage
Notice
Physical Condition
Definition of a Geotechnical "Differing Site Condition"

! Type I Condition
! Type II Condition
4.
Guidelines for a Minimum Subsurface Investigation
5.
Guidelines-Subsurface Information Made Available to Bidders
6.
A.
Disclosure of Subsurface Information
B.
Presentation of Subsurface Information
C.
Recommendations
Evaluation Procedure for a Geotechnical DSC
Appendix A
Minimum Subsurface Investigation
Appendix B
FHWA 1994 Survey of Geotechnical Information

Included in Bid Documents by Highway Agencies
Appendix C
Outline of Geotechnical Design Summary Report
Appendix D-1
Flowchart for "Management of Differing Subsurface

Site Conditions"
Appendix D-2
Decision Flowchart
GT Guideline No. 15
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1.
PURPOSE:
The purpose of this document is to provide guidelines on the

practical application of a "Differing Site Condition" (DSC) contract
clause, as related to subsurface conditions, and to address the
variable nature of soil and rock materials when used as a foundation
or construction material. This guideline should be of benefit to
Geotechnical, Design and Construction personnel.
Recommendations are provided on disclosure and presentation of
subsurface information to bidders. The objective of these
recommendations is, in part, to decrease bidding contingencies on
subsurface items, address unexpected subsurface problems early, and
provide a basis for equitable resolution of contractor claims based
on differing subsurface conditions. Without a DSC clause, the risk
of subsurface conditions is borne by the contractors who in turn
must increase the price bid to mitigate the risk.
2.
BACKGROUND:
The history of Federal efforts to deal with changed conditions

substantially predates the current DSC clause which applies to
Federal-Aid work. In 1926, the Federal Board of Contracts and
Adjustments required the inclusion of a DSC clause in all Federal
construction contracts. The Boards action was taken to reduce or
eliminate the contingency factor for subsurface conditions and to
limit the latent costs incurred by contractors for pre-bid
subsurface explorations. The original clause only applied where the
conditions varied materially from those indicated. In 1935, the
clause was broadened to include situations where the contract is
silent regarding subsurface conditions but the contractor encounters
unforeseen, unusual conditions which differ materially from
conditions ordinarily encountered.
The current DSC clause, as stated in 23 Code of Federal Regulations,
CFR 635.109, applies to all Federal-Aid highway contracts. Note
that the Code requires that all Federal-Aid Highway Contracts
include the stated DSC clause unless prohibited or otherwise defined
pursuant to State law.
A contractor filing a DSC claim is claiming either that ground
conditions are materially different from those that would be
expected from a reasonable interpretation of the contract documents
or that an unusual, unknown physical condition exists which
materially differs from those ordinarily encountered. A significant
portion of contractor claims and problems during construction
GT Guideline No. 15
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involves subsurface conditions and soil/rock construction materials.

This is due primarily to the complexity and variability of natural
earth and rock formations and materials. Jury awards in the
millions of dollars for contractor claims based on DSC have been
recorded. No record exists of annual jury awards due to changed
subsurface conditions on Federal-Aid highway projects. However, the
Army Corps of Engineers has documented that in the last decade
(1980-1990), contract claims have escalated by more than 200% and
now average more than one billion dollars annually.
Early recognition of geotechnical problems during the design stage
is still the best way to reduce the risk of geotechnical
construction problems and thereby bid prices. This normally means
conducting an adequate subsurface investigation in advance of final
design. The complete disclosure of available subsurface information
in the contract documents is also an important factor in both
preventing contractor claims and in obtaining fair bids for the work
to be performed. Pertinent subsurface information may be presented
in detail in either the contract documents or made available at a
central location for bidder inspection. The amount of subsurface
information actually presented and the method of presentation in the
contract documents can vary depending on the complexity of the
project. The most complex projects often include a Geotechnical
Design Summary Report (GDSR) as a legal part of the contract
documents to establish a common ground (baseline)for resolution of
potential claims related to subsurface conditions.
3.
THE DIFFERING SITE CONDITIONS (DSC) CLAUSE:
Subsurface conditions at a particular site are the result of natural

geologic processes modified in time by physical events, such as
erosion, or by man.
Highway agencies routinely provide subsurface information to the
contractor in good faith to permit a general appraisal of below
ground conditions. However unanticipated latent ground conditions
can and do occur. In such cases the contractor should be fairly
compensated for extra work associated with the unforseen condition.
The following guidelines and recommendations were developed to apply
the DSC clause, as stated in 23 CFR 235.109, to geotechnical
features; and to assist construction personnel in the effective
handling of project DSC notices or claims which involve geotechnical
features.
GT Guideline No. 15
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A.
Guideline for Wording of a "DIFFERING SITE CONDITION"(DSC)

Contract Clause for Inclusion in Agency Specifications (from
the 23 Code of Federal Regulations CFR 235.109):
235.109a. During the progress of the work, if subsurface or latent

physical conditions are encountered at the site differing
materially from those indicated in the contract or if
unknown physical conditions of an unusual nature,
differing materially from those ordinarily encountered and
generally recognized as inherent in the work provided for
in the contract are encountered at the site, the party
discovering such conditions shall promptly notify the
other party in writing of the specific differing
conditions before the site is disturbed and before the
affected work is performed.
235.109b. Upon written notification, the Engineer will investigate
the conditions, and if it is determined that the
conditions materially differ and cause an increase or
decrease in the cost or time required for the performance
of any work under the contract, an adjustment, excluding
anticipated profits, will be made and the contract
modified in writing accordingly. The Engineer will notify
the contractor of the determination whether or not an
adjustment of the contract is warranted.
235.109c. No contract adjustment which results in a benefit to the
contractor will be allowed unless the contractor has
provided the required written notice.
235.109d. No contract adjustment will be allowed under this clause
for any effects caused on unchanged work. (This provision
may be omitted by the State Highway Agencies at their
option.)
This DSC clause contains several important points, which are
described below for clarity, in relation to geotechnical features.
!
TYPES OF CONDITIONS - The DSC clause grants relief for two

distinct types of conditions.
1.
"Subsurface or latent physical conditions at the site

differing materially from those indicated in this
contract; commonly referred to as a Type I DSC, and,
GT Guideline No. 15
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2.
"Unknown physical conditions at the site of an unusual

nature differing from those ordinarily encountered and
generally recognized as to be inherent in work of the
character provided for in this contract; commonly
referred to as a Type II condition.
CONDITIONS ABOVE GROUND - The DSC clause is not limited to

buried, subsurface differing site conditions. Changes in
ground elevations from those shown in the contract, such as
filling which was done after the borings were completed, are an
example of a differing site condition at or above ground level.
NO FAULT - The assignment or proof of guilt is not necessary

for a DSC claim. The only requirement is proof that conditions
which were encountered differed materially from those indicated
in the contract, or, those which should have reasonably been
anticipated for the particular work and/or that particular
site.
KNOWLEDGE - Recovery is barred if the contractor knew or could

have reasonably known of the condition, as for example through
a site visit.
DAMAGE - The DSC must be the cause of the damage which is

alleged in the notice. The written notice should contain the
details of the DSC, and how the condition differed materially
to result in the damage.
NOTICE - The clause requires notice of any DSC, in writing,

promptly and before any such conditions are further disturbed.
This portion of the clause can produce a contentious dispute
unless good faith is exhibited by all parties. The purpose of
this notice is to allow the agency an opportunity to both
determine whether or not such condition exists, before the
evidence is destroyed, and mitigate cost consequences by
changing the design or terminating the work. The agency's
geotechnical engineer should respond promptly to inspect the
site in a reasonable time before the contractor continues work.
Potential impacts due to deterioration of site conditions
should be considered when establishing time frames for
oral/written reports of the condition by the contractor and the
agency response to the contractor. However unless failure to
give notice prejudices the owner, a claim will not be barred.
GT Guideline No. 15
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B.
!
PHYSICAL CONDITION - The DSC clause only relates to physical

conditions; not governmental, political or economic causes that
may effect the contract.
Definition of a Geotechnical "DIFFERING SITE CONDITION:
TYPE I DSC CONDITION - A Type I condition requires that a
subsurface or latent condition was encountered which differed
materially from what was indicated in the contract documents.
Therefore the contract documents must contain some indication
of conditions to be expected and the actual conditions must
vary from that indication. Two general types of indications
exist; "express indications" and "general or design
indications". Express indications include such items as boring
locations, ground elevations, logs, subsurface investigation
reports, ground water levels, and foundation investigation
reports, which are made available to bidders. General or
design indications are the inferences that can reasonably be
made from reading the plans and specifications.
The test for a Type I DSC is to compare the conditions
indicated with those actually encountered. If conditions
differ, a Type I DSC exists. Remember, a Type I DSC cannot
exist if the contract is silent regarding subsurface or latent
conditions. In such cases either a Type II DSC or breach of
contract claim may be filed by the contractor.
The task of performing a subsurface investigation usually falls
to the agency. The agency not only desires to avoid the
unnecessary costs of bidders who include contingencies for
unknown risks but also to avoid the latent costs for pre-bid
subsurface investigations by bidders. The results of the
agency's investigation are used both in project design and
provided to the bidders as part of the contract documents. The
resulting design implies, and the subsurface data describes,
the conditions on which bidding and construction will be based.
The representation of these results also provides the basis for
application of the DSC clause. Type I DSC claims usually occur
when the agency does not conduct an adequate subsurface
investigation and prepares plans based on assumptions as to the
nature of the subsurface condition.
GT Guideline No. 15
Page 7 of
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In general a Type I DSC is easier to prove than a Type II DSC

as noted in the following example.
A highway maintenance building was designed to occupy a 50 m
square footprint in an area described geologically, in project
reports prepared by the agency, as containing dune sands. A
field inspection of the site disclosed gently rolling
topography common to sand dune areas. The plans contained the
boring logs for four borings taken at the corners of the
proposed building. In addition, the soil samples, lab test
information and the foundation report were made available to
the bidders. All subsurface information showed fine sand
material for the full depth of the soil profile. The basement
excavation was bid based on a lump sum quantity removal. A
massive boulder, 10x10x5 meters, in dimensions, was encountered
during the excavation. The removal of the boulder by blasting
represented a Type I DSC as subsurface conditions differed
materially from what was indicated in the contract documents.
!
TYPE II DSC CONDITION - Type II DSC are those physical site

conditions which are unusual, unknown, and differ materially
from what is ordinarily encountered and generally recognized as
involved in the particular item of work or geographic area.
Type II DSC are conditions which were not indicated on the
contract documents, which the contractor did not have knowledge
from any other source, and which would not be reasonably
anticipated. The burden of proof is heavy and on the
contractor to show that conditions are unusual in nature and
differ materially from those ordinarily encountered.
Contractors can have a basis for recovery even though the
contract is silent about the condition because Type II DSC does
not involve a comparison between contract indications and
actual facts.
A Type II DSC involves comparison between the actual condition
and what the contractor would reasonably expect, taking into
account all factors that a prudent bidder customarily considers
in making a judgement regarding the quantity, quality, and
methods for performing the work. Judgements are based on what
a reasonably experienced contractor [not a geologist or
geotechnical engineer] would have observed during a pre-bid
inspection after a study of the contract documents. The main
questions to be answered are, "Was the bidder's judgement and
interpretation reasonable at the time of bidding and was the
condition unusual for the geographic area?"
GT Guideline No. 15
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Also, an unusual condition must be unknown at the time of

bidding to qualify as a Type II DSC. If the condition is
unusual and unknown to both the agency and the contractor or
just the contractor, a DSC exists. If an agency is aware of
the condition but fails to disclose the information in a
reasonable fashion prior to bidding, the avenue exists for
contractors to claim on the basis of misrepresentation,
concealment or breach of contract.
If the contractor knows of the condition, prior to bidding, a
Type II condition cannot be claimed. Also a differing site
condition does not exist if the condition should have
reasonably been expected by the contractor. Unknown physical
conditions at the site do not include unusual and abnormal
conditions which would have been discovered by a reasonable
site inspection by the contractor. Failure to visit the site,
particularly when alerted to do so in the plans, may cause the
bidder's judgement to simply be "a guess, premised in error"
which forms no basis for recovery.
A simple, fundamental test in establishing a Type II differing
site condition is that of reasonable expectations versus
actually encountered conditions as shown in the following
example.
A highway maintenance building was designed to occupy a 50 m
square footprint in an area known locally to contain dune
sands. A field inspection of the site disclosed gently rolling
topography common to sand dune areas. However, the plans were
silent on the subsurface conditions. The basement excavation
was bid based on a lump sum quantity removal. A massive
boulder, 10x10x5 meters in dimensions, was encountered during
the excavation. The removal of the boulder by blasting
represented a Type II DSC as no subsurface information was
included in the contract documents, the condition did not match
either the commonly known area geology or local excavation
knowledge and could not have been ascertained by the bidder
during the site inspection.
GT Guideline No. 15
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4.
GUIDELINES FOR A MINIMUM SUBSURFACE INVESTIGATION:
An adequate site investigation is needed to minimize the potential

for construction problems, change orders, and claims. Such an
adequate site investigation should include sufficient amounts of
boring, sampling and testing to identify potential sources of
construction problems which were identified during terrain
reconnaissance or site inspection. Accepted standard procedures
from ASTM, AASHTO or as established by the agency should be followed
in the investigation process.
Appendix A contains guideline site investigation criteria. This
information is excerpted from the FHWA "Checklist and Guidelines for
Review of Geotechnical Reports and Preliminary Plans and
Specifications" Manual.
5. GUIDELINES - SUBSURFACE INFORMATION MADE AVAILABLE TO BIDDERS:
In December 1994, the FHWA completed a National survey of highway
agency practice in disclosure of subsurface information in contract
documents. The results of the survey, which are attached as
Appendix B, show variations in practice between agencies but the
majority of agencies have adopted an open disclosure policy for
factual subsurface information. The question of whether to
disclosure or not to disclose has many aspects, both legal and
engineering, to be considered before the agency renders a decision.
A.
Disclosure of Subsurface Information:
The term disclosure is taken in this guideline as a formal

notification to the bidders of pertinent subsurface information
which was available to the designers up to the time of project
advertisement. Disclosure usually is in the form of a list of
subsurface information, placed in the contract documents, which is
available to the bidders. In general, subsurface information may be
designated as factual, interpretive, or qualified (such as old
borings from historical records which may or may not be factual).
The pertinency issue, of which information not to disclose, usually
deals with interpretive or qualified information that the agency
deems not to have an impact on construction of the project.
Examples of non-pertinent information may include geotechnical
information related to superseded alignments, technical or economic
comparisons of design alternates, etc.
GT Guideline No. 15
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Disclosure of subsurface information to bidders has been a sensitive

topic in the past for highway agencies. However, in past studies on
the topic of disclosure, certain principles have become clear:
!
Courts have stated that agencies have a duty to disclose, to

the contractor, pertinent information that the agency possesses
or knows is available if such information could reasonably be
expected to have a material effect on bidding or construction
of the project.
Ambiguous disclaimers normally go against the agency and in

favor of contractors.
General disclaimers are disfavored and often ruled

unenforceable by courts.
Narrowly tailored, specific disclaimers may be accepted by the

courts.
The agency assumes the risk in the following situations:
1.
pertinent subsurface information is withheld,
2.
inaccurate test data or results are provided,
3.
the bidders are not provided either adequate subsurface

information or a reasonable opportunity to conduct
subsurface investigations, or,
4.
defective plans or specifications are provided; although

the defects may constitute a separate and different legal
issue.
Interpretive information made, available to bidders, should

have been analyzed and interpreted by qualified geotechnical
engineers or engineering geologists.
Goals
Information disclosed in the contract documents should establish the
design engineer's geotechnical basis regarding anticipated
conditions for design and construction. Thus the agency, through
the designer, establishes the data base on which the geotechnical
baseline should be established. Such full disclosure of information
represents the agency's recognition that preestablishing such a
baseline is good business. This approach results in a cooperative
GT Guideline No. 15
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climate with the contractor since the initial emphasis is openness

and candor. The agency's established geotechnical baseline should
provide the basis for identification and resolution of differing
condition claims.
Concerns
The main concerns over full disclosure have been expressed for
disclosure of interpretive information; not for factual information.
The fear is that the geotechnical engineer's interpretation in the
development of the geotechnical baseline could be incorrect. Overly
conservative interpretations may restrict the contractor's
willingness to be innovative and therefore increase costs. On the
other hand, if the interpretation is overly optimistic, the
potential for claims during construction may increase. Concerned
agencies may restrict disclosure to only factual data and leave
interpretation to the contractor. Concerns over disclosure should
not be addressed by the inclusion of exculpatory (excuse from fault)
clauses such as:
"The contractor is advised that the Department does not
guarantee the contents of the reports, borings, tests & other
material used to compile such reports, and assumes no
responsibility whatsoever as to the accuracy thereof stated in
the records."
"Statements as to the condition under which the work is to be
performed, including plans, surveys, measurements, dimensions,
calculations, estimates, borings, etc., are made solely to
furnish a basis for comparisons of bids, and the Party of the
First Part [The Commonwealth] does not guarantee or represent
that they are even approximately correct. The contractor must
satisfy himself by his own investigation and research regarding
all conditions affecting the work to be done, and labor and
material needed, to make his bid in sole reliance thereon.
In addition to demeaning the work of agency professional engineers,
such clauses cause contractors to add contingencies for perceived
increases in risk.
GT Guideline No. 15
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Reasons to Disclose
The agency spends months in project development to collect
information about subsurface conditions at the project site. The
agencys engineers assess the reliability and representativeness of
the available data in project design. The contractor, on the other
hand, has a limited time during bidding in which to assimilate all
the available data and develop his interpretation. The inclusion of
geotechnical information in the contract provides both the agency
and contractor a consistent geotechnical baseline for determination
of what constitutes a differing site condition.
Nothing can remove the risk of encountering a differing site
condition. But the potential for costly disputes and possible
litigation over what constitutes a differing condition is greatly
reduced, if not eliminated, with a well-defined geotechnical
baseline. Further, an adequate subsurface investigation will reduce
contractor contingencies, enhance the contractor's opportunity to be
innovative and allow a rapid, equitable settlement when a claim
results from an apparent differing condition. The contractor is
also protected by having a well-defined basis for preparing the bid
and a clear definition of the limits of exposure to unanticipated
subsurface conditions. Failure to disclose may create a legal cause
for action under the superior knowledge doctrine.
B.
Presentation of Subsurface Information:
Presentation of subsurface information to bidders can take several

forms. The key rule to follow is that all involved parties have
access to the presented information.
Factual information pertinent to the work is commonly shown in
detail on the contract documents. Factual information may include
the results of subsurface investigation methods, field or lab
testing, records from preconstruction test programs and
instrumentation records. Soil or rock samples are factual
information which is commonly made available to the bidders. Factual
information represents an actual condition that exists at a specific
location at a specific time. Factual information is presumed to be
obtained by qualified personnel using standard techniques. Factual
data is commonly reproduced in a summary or a plot to permit the
bidders an opportunity to easily interpret the data.
GT Guideline No. 15
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Some factual information may need to be qualified, as the source of

the data may not be under the control of the agency or the design
staff. The most commonly qualified data are historic subsurface
information or geologic/pedologic records or historic construction
records which are used to supplement project subsurface information.
Such information, if pertinent and properly qualified as to
limitations of use, may be presented in either the contract
documents or made available at a prescribed time and location for
inspection by bidders.
Interpretive geotechnical information, if pertinent, is commonly
made available at a prescribed time and location for inspection by
the bidders. Such information represents the opinions based on
factual data by qualified geotechnical engineers or engineering
geologists of the agency. Interpretive information may include
contour plans of subsurface deposits, subsurface profiles, or,
foundation reports which have unique information that pertains to
project geotechnical features.
Complex projects may use a Geotechnical Design Summary Report
(GDSR) approach where the agency prepares a stand alone report that
is made part of the specifications by reference. The GDSR contains
the design engineers geotechnical interpretations regarding
anticipated conditions for design and construction. A typical GDSR
contains not only the subsurface data but offer opinions on both
anticipated ground behavior and construction difficulties. The
function of the GDSR is not to simply repeat factual information
contained elsewhere in the contract documents, but to describe the
thought process that led to the design and specifications included
in the plans. Experience indicates that the GDSR provides a more
realistic portrayal of actual conditions likely to be encountered
than the raw data reports (with little or no interpretation) which
are commonly provided in contract documents. Many claims (and
resulting settlements) have been based on one or two words included
(or omitted) on boring log descriptions that the contractor has
subsequently maintained were key in his bid preparation. A clear
statement of the conditions to be assumed during bid preparation
will facilitate resolution of disputes in a more timely and costeffective manner for both agency and contractor. A typical outline
of a GDSR is included in Appendix C.
In summary, the presentation of subsurface information should focus
the bidders attention on data which is pertinent to the subsurface
conditions at the project site. Extraneous information should be
either excluded or qualified, if of limited use.
GT Guideline No. 15
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C.
Recommendations:
The current AASHTO guidance on disclosure of subsurface information

as stated in the AASHTO Manual on Subsurface Investigations (1988)
should be followed by highway agencies.
It is generally considered desirable and prudent to make all
pertinent geotechnical data available to bidders, and to
require contractor acknowledgment of the availability, either
in writing or by the inclusion (of the information) in the
(contract) documents. There should be appropriate contract
clauses clearly stating the limitations and applicability of
the data that is made available. It is also desirable to make
pertinent interpretive information available to bidding
contractors to clarify geotechnical aspects of the project and
provide a uniform basis for bidding. However there is less
agency acceptance of a policy of disseminating interpretive
information, particularly if it is to be included in the
contract documents, and there is a greater need for clear
contract stipulations as to the purpose of the information and
the obligation of the contractor to draw his own conclusions.
Consideration should be given to the following:
!
All pertinent subsurface information should be disclosed in the

contract documents. The disclosure may take various forms but
a summary of all disclosed subsurface information should be
included. The summary should be easily accessed by the bidders
through the index sheet of the pertinent contract document.
All bidders should be provided equal opportunity to access the

same information.
Factual subsurface data which is pertinent to the project

subsurface conditions should be presented in an easily
understood fashion on the contract documents. Extraneous
factual data should not be presented in detail in the contract
documents, but may be made available at a designated location
and time for bidder inspection. Whenever possible, and
particularly at wall or structure locations, factual data from
subsurface explorations should be reproduced in a scaled
profile. Pertinent soil test results should be extracted from
the test forms and summarized. Pertinent information from
comprehensive preconstruction test program reports should be
excerpted for inclusion in the contract documents.
GT Guideline No. 15
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Pertinent soil and rock samples should be made available at a

designated time and location for inspection by the bidders.
The contract documents should contain a notice of sample
availability.
The agency should qualify the use of any preexisting surface or

subsurface data which may be neither factual nor applicable to
the project.
Interpretive subsurface information pertinent to the project

subsurface conditions should be made available at a designated
time and location for inspection by the bidders. Interpretive
information should be clearly labeled to represent the opinion
of qualified engineers or engineering geologists of the agency
and should not be a substitute for personal interpretations of
the contractor.
A geotechnical design summary report should be prepared by the

agency for complex projects which involve substantial
underground work. The GDSR should be legally incorporated as
part of the contract documents.
Additional activities, which can be incorporated into the contract

to promote fairness between the agency and contractors, include the
following.
!
Plan for a pre-bid meeting to discuss subsurface conditions.
Include the differing site condition clause directly in the

contract documents and list the appropriate page number where
the clause can be found in the summary of subsurface
information.
Use specific plan notes to communicate experience with the type

of subsurface condition at a specific project site to all
prospective bidders. An example follows:
Although boulders in large quantities were not encountered on
this site in borings, which are numbered BAF-1 through BAF-4,
previous projects in this area have found large quantities of
boulders. Therefore, the Contractor should be expected to
encounter substantial boulder quantities in excavations. The
contractor should include any perceived extra costs for boulder
removal in this area in the bid price for Item xxx."
GT Guideline No. 15
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The purpose of the note is to share, with the bidders,

information which the agency has in its possession regarding
the potential quantity of boulders at the site and state how
the contractor should base the bid for excavation of the area.
Also the term, boulders, denotes a specific size of material
to be removed, which is of a high degree of difficulty as
compared to cobbles. Boring logs can also be reviewed to
determine if the soils were described as with cobbles (denoting
only cobble-sized particles), with boulders (denoting only
boulder-sized particles) or with cobbles and cobbles. The
exact number or size or hardness of boulders at a site cannot
be determined with currently available exploration procedures.
Special notes can help the bidders assess the risk and the need
to upset bid prices to account for the risk.
!
Specific disclaimer clauses can be used as plan notes to define

what the agency considers factual data and what is subject to
interpretation. The use of specific disclaimer clauses is
preferred to the use of a general disclaimer clause which is
often unenforceable. An example of a specific disclaimer would
be a statement such as;
"The boring logs for BAF-1 through BAF-4 are representative of
the condition at the location where each boring was made but
conditions may vary between borings."
This plan note serves to warrant that the agency used proper
techniques to locate, drill, and log the borings which are
shown on the contract plans. Soil conditions encountered at
the warranted location of these boring which differ materially
from those stated on the logs form the basis for a Type I DSC.
Soil conditions between borings, which differ materially from
those stated in the boring logs, may form the basis for a Type
II DSC but not a Type I DSC.
6.
EVALUATION PROCEDURE FOR A DIFFERING SUBSURFACE CONDITION:

(Is there a changed subsurface condition?)
Immediately on notification of a differing site condition claim, the

agencys geotechnical staff should perform a field review of the
site of the differing site condition. Remember that the agency has
the responsibility to promptly investigate the condition of the site
and the contractor has the responsibility to keep the site
undisturbed for a reasonable time.
GT Guideline No. 15
Page 17 of
36
Completely document the conditions which were encountered by the

contractor. This may involve extracting samples from the site,
reading existing instrumentation, interviewing inspectors, and
requesting more exploration at this site or other similar sites on
the project. The geotechnical engineer should direct all requests
for extra work by the contractor, such as soil sample extraction,
etc., through the engineer in charge. The agency should also
document the date of notification (both oral and written), date of
investigation, and the date of follow-up meetings with the
contractor on how the alleged DSC will be addressed.
Step 1 - Review subsurface information gathered by the agency for
the design of the project. Review the information
presented in the plans, specifications & estimates package
and other information made available to bidders, both
during project advertising and at the pre-bid meeting.
Step 2 - Document any non-disclosed items and assess any impact on
the claimed differing site condition.
Step 3 - Review actual subsurface
Record actual conditions
video methods. Remember
date, time, and authors
conditions at the project site.

by photographs, notes and/or
to inscribe each exhibit with the
name to validate the work.
Step 4 - Make comparison and document any differences.

Step 5 - Consider the following items in making a decision on a
"Differing Subsurface Site Condition."
a.
Are soils, and/or rock, types materially different

from those indicated in the contract documents?
b.
Are soils, and/or rock, physical properties

materially different from those indicated in the
contract documents?
c.
Are ground water levels materially different from

those shown in the contract documents?
d.
Are ground elevations materially different from those

shown in the contract documents?
e.
Should the contractor have recognized the condition

during a field inspection?
GT Guideline No. 15
Page 18 of
36
f.
Did the contractor provide a prompt written notice

(although absence of such notice may not bar a claim
depending on State law or prejudice to the owner)of
the condition?
g.
Did the agency promptly respond to the condition

notice and was the condition still exposed during the
inspection?
h.
What was the effect on overall project performance?
I.
What was the effect on construction equipment?
j.
What was the effect on time to perform work?
k.
What was the effect on cost to perform work?
See Attached Flowcharts for "Management of Differing Subsurface Site

Conditions" and "Decision" included in Appendix D.
GT Guideline No. 15
Page 19 of
36
APPENDIX A
Guidelines for Minimum Boring,
Sampling and Testing Criteria
For more detailed information on guidelines for site exploration and

information on review of plans with geotechnical features, please
consult FHWA ED-88-053; CHECKLIST AND GUIDELINES FOR REVIEW OF
GEOTECHNICAL REPORTS AND PRELIMINARY PLANS AND SPECIFICATIONS,
October 1985.
GT Guideline No. 15
Page 20 of
36
APPENDIX A
GUIDELINES "MINIMUM" BORING, SAMPLING, AND TESTING CRITERIA
The most important step in geotechnical design is to conduct an adequate site investigation. The number, depth, spacing and character of
borings, sampling and testing to be made in a site specific exploration program are so dependent on site conditions and design objective that
no rigid rules can be established for minimum criteria. Usually the extent of the work is established as the work progresses. The following
are considered reasonable guidelines to produce the minimum data needed to allow cost -effective design and minimize construction claim
problems.
Geotechnical
Feature
Minimum Number of Borings
Minimum Depth of Borings
Structure
Foundation
1 per substructure unit under 30 m in width.
Advance borings: (1) through unsuitable foundation soils, such

as peats, highly organic soils, soft fine-grained soils, etc.,
and into competent material of suitable bearing capacity. (2) to
depth where added stresses due to estimated footing loads is less
than 10% of the existing effective soil overburden stress. (3)
minimum of 3 m into bedrock if bedrock is encountered at
shallower depth.
2 per substructure unit over 30 m in width.

Large, diameter or non-redundant drilled shaft
foundations should follow GT-14 criteria.
Retaining Walls
Borings spaced every 30 to 60 m. Some borings

should be in front of and in back of the wall.
Extend borings to depth of 2 times the wall height or minimum of

3 m into bedrock.
Bridge Approach
Embankments Over Soft
Ground
When approach embankments are to be placed

over soft ground, at least one boring should
be made at each embankment to determine the
problems associated with stability and
settlement of the embankment. Typically, test
borings taken for the approach embankments are
located at proposed abutment locations to
serve a dual function.
The same as established above for bridge foundation.
Cuts and Embankments
Borings typically spaced every 60 m (erratic

conditions) to 150 m (uniform conditions) with
at least one boring taken in each separate
landform.
For high cuts and fills, should have a minimum
of 2 borings along a straight line
perpendicular to CL or planned slope face to
establish geologic cross-section for analysis.
Cuts: 1) In stable materials extend borings minimum 3 to 6 m

below grade or to refusal. 2) In weak soils, extend borings
below grade to: firm materials, or to the depth of cut below
grade whichever occurs first.
Embankments: Extend borings to firm material or to depth of
twice the embankment height. Wide embankments may require deeper
borings to account for pressure distribution to deeper depths
when settlement problems are anticipated.
Landslides
Minimum 2 borings along a straight line

perpendicular to CL or planned sloe face to
establish geologic cross-section for analysis.
Number of sections depends on extent of
stability problems. For an active slide,
place at least one boring above and below one
sliding area.
Extend borings to an elevation below active or potential failure

surfaces and into a hard stratum, or to a depth for which failure
is unlikely because of geometry of cross-sections.
Borings spaced every 30 to 60 m.
Extend exploration to base of deposit or to depth required to

provide needed quantity.
Materials
Sites (Borrow Sources
Quarries)
GT Guideline No. 15
Additional shallow explorations, hand auger holes taken at

approach embankment locations, are an economical way to determine
depth of unsuitable surface soils or topsoil.
Slope inclinometers used to locate the depth of an active slide

must extend below base of the slide.
Page 21 of
36
APPENDIX A (continued)
Silty-Clay Soils
SPT and "undisturbed" thin wall tube samples should be taken at 1.5 m intervals or at significant changes in strata. Take alternate SPT and
tube samples in same boring or take tube samples in a separate, undisturbed, borehole. SPT jar or bag samples should be sent to lab for
classification testing and verification of field visual soil identification. Tube samples should be sent to the lab to allow consolidation
testing (for settlement analysis) and strength testing (for slope stability and foundation bearing capacity analysis). Field vane shear
testing is also recommended to obtain in place shear strength of soft clays, silts, and fine fibrous peats.
Sand-Gravel Soils
SPT (split-spoon) samples should be taken at 1.5 m intervals or at significant changes in soil strata. Continuous SPT samples are recommended
in the top 4.5 m of borings made at locations where spread footings may be placed in natural soils. SPT jar or bag samples should be sent to
lab for classification testing and verification of field visual soil identification.
Rock
Continuous cores should be obtained in rock or shales using double or triple tube core barrels. In structural foundation investigations, core
a minimum of 3 m into rock to insure it is bedrock and not a boulder. Core samples should be sent to the lab for possible strength testing
(unconfined compression) if for foundation investigation. Percent core recovery and RQD value should be determined in field or lab for each
core run and recorded on the boring logs.
Ground Water
Water level encountered during drilling, at completion of boring, and at 24 hours after completion of boring should be recorded on the boring
logs. In low permeability soils such as silts and clays, a false indication of the water level may be obtained when water is used for drilling
fluid and adequate time is not permitted after hole completion for the water level to stabilize (more than one week may be required). In such
soils a plastic pipe water observation well should be installed to allow monitoring of the water level over a period of time. Seasonal
fluctuation of water tables should be determined where fluctuation will have significant impact on design or construction (e.g., borrow
sources, footing excavation, excavation at the toe of landslide, etc.). Artesian pressure and seepage zones, if encountered, should also be
noted on the boring log. In landslide investigations, slope inclinometer casings can also serve as water observation wells by using "leaky"
couplings (either normal aluminum couplings or PVC couplings with small holes drilled through them) and pea gravel backfill. The top 300 mm or
so of the annular space between water observation well pipes and borehole wall should be backfilled with grout, bentonite, or sand-cement
mixture to prevent surface water inflow which can cause erroneous groundwater level readings.
Soil Borrow Sources
Exploration equipment that will allow direct observation and sampling of the subsurface soil layers is most desirable for material site
investigations. Such equipment which can consist of backhoes, dozers, or large diameter augers, is preferred for exploration above the water
table. Below the water table, SPT borings can be used. SPT samples should be taken at 1.5 m intervals or at significant changes in strata.
Samples should be sent to lab for classification testing to verify field visual identification. Groundwater level should be recorded.
Observation wells should be installed to monitor water levels where significant seasonal fluctuation is anticipated.
Quarry Sites
Rock coring should be used to explore new quarry sites. Use of double or triple tube core barrels is recommended to maximize core recovery.
For a riprap source, spacing of fractures should be carefully measured to allow assessment of rock size that can be produced by blasting. For
an aggregate source, the amount ant type of joint in-filling should be carefully noted. If assessment is made on the basis of an existing
quarry site face, it may be necessary to core or use geophysical techniques to verify that nature of rock does not change behind the face or at
depth. Core samples should be sent to lab for quality tests to determine suitability for riprap or aggregates.
GT Guideline No. 15
Page 22 of
36
APPENDIX B
FHWA National Survey of Geotechnical
Information Included in Bid Documents by
Highway Agencies
(December 1994)
GT Guideline No. 15
Page 23 of
36
FHWA SURVEY: Geotech Information Included in Bid Documents -- December 1994

Questions
Alaska
Arizona
Arkansas
California
Central Federal Lands
Yes
Yes
Yes
Yes
Yes
No
No
Yes
Yes
Yes
No
Yes
No
Yes
Yes
Yes - Rock core, but no soil.
Yes - Lab
Yes -- Materials Lab
Yes
Yes -- Usually Lab
Yes -- for Bridges
Yes
Yes
Yes
Yes -- Structures only.
No
No
No
No
No
1. Is the full GTR available to bidders?

2. Is GTR legally considered part of "Contract
Documents"?
3. Do standard specs/special provisions state
what subsurface info is available and where for
bidders review?
4. Are soil/rock samples available for
inspection by bidders? If yes, where?
5. Are boring/testhole logs in contract plans?
6. Are boring/testhole logs in contract special
provisions?
7. If displayed on plans -- how is subsurface
data presented for:
1) Structure Foundations?
1) Yes
1) Graphic logs for large jobs. On
1) Yes -- Test hole logs on foundation
2) Grading (Cuts & Fills)?

a. Plan & profile sheets?
2) No -- But GTR made available and
b. Cut/fill x-sections?
listed in the "Invitation to Bid"
8. Are boring/testhole logs included in

GTR/Plans/SP's final logs?
1) Yes
1) Yes
foundation data sheets for small jobs.
data sheet
2) On cross-sections for large jobs.
2) Yes
2) a. Yes
2) a. No
b. Yes
b. No
Yes
Yes
Yes
Yes -- Plans
Yes
No
No
No
Yes
No
Yes
Yes
Yes
Yes
Yes
No
Yes
No
No
Yes
9. Are "Differing Site Condition" claims a

significant problem for your agency? If yes, is it
predominately related to earthwork or
foundations?
10. Do you use geotech info to fight differing
site condition claims?
11. Is a "pre-bid" meeting typically held on
major projects w/difficult or complex geotech
conditions/features?
12. What actions has your agency taken to
There have been no actions taken to
Little or no claims submitted due to
Upgrade the Geotech expertise by
Increase awareness of "potential for
reduce number of geotech related
reduce the geotech related claims
geotech info. Additional borings are
combining them w/Engineering
claims." Establish standard operating
claims/change orders?
other than to do a very complete
taken on jobs where geotech problems Geology.
procedures/guidelines. Continuous
geotech study in the beginning.
are expected.
improvement.
Comments:
When we have claims our policy is to
GTR = Geotechnical Report
work them out with the Contractor prior
"Final" testhole logs are field logs revised to
to going to court. We tend to pay and
include lab test/classification data.
pay quick in some cases.
GT Guideline No. 15
Construction partnering.
Page24 of 36

Questions
Colorado
Connecticut
Delaware
District of Columbia
Eastern Federal Lands
Yes
Yes -- Upon request.
Yes
Yes
Yes
No
No
No
No
Yes
No
Yes
No
Yes
Yes -- Headquarters
Yes -- Test Boring Office
No
Yes - Lab
Yes - Lab/Yard-Sevierville, TN*
Yes
Yes
Yes
Yes
Yes - For structures/walls

Documents"?
bidders review?
No
provisions?
No
1) Edited boring logs usually on own
No
No
1) No
1) Yes -- Graphic logs.
2) On plan & profile sheets.
2) No
2) No
sheet.
data presented for:
1) Engineering Geology sheet is
required for all structures.

2) Rock lines & unsuitable excavation

No
1) As graphic logs.
limits.
2) Mostly on profile sheets.
Yes
Yes
Yes
Yes
No**
No
No
Yes
Yes -- Earthwork/Foundations
Yes*** - Tunnels
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No
Yes
No

foundations?
Conduct geotech investigations
Contingency item in special provisions Geotech Quality Action Team
thoroughly. Review all F.O.R. plans by
for change in site condition.
Geotech staff. Once different
(planned)
conditions are encountered, work "with"
Greater Internal Review
Geotech Process Management Team
contractor to resolve differences. Dept.

will conduct additional investigation to
justify any claims.
Comments:
*They are not advertised as available
but are upon request.
**With some exceptions.
***One project $10M
GT Guideline No. 15
Page25 of 36

Questions
Florida
Idaho
Illinois
Indiana
Iowa
Yes*
Yes
Yes
Yes
No
No*
No
Yes
Yes
Yes
Yes
No
Yes
Yes -- All information always in.
No
No

Documents"?
bidders review?
Yes
Yes -- Materials Lab
Project/Headquarters Office
Yes
Yes
Yes -- Only for structures foundations.
Yes -- Major structures only.
Yes -- Structure borings.
Yes

provisions?
No
No
2) No
No
No
No
1) Yes -- Just boring logs.
1) Yes
2) No
2) a. Yes -- Graphic logs.
2) a. Yes
b. Yes -- Graphic logs.
b. Yes

data presented for:
Yes
Yes
Yes
Yes
Yes
No
Yes -- Earthwork
No
Yes -- Foundations*
No
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No**
Yes

foundations?
Training construction inspectors on
Make all information on Foundation
Perform thorough geotech investigation Revised our method of analysis. Using Full disclosure of geotech info.
what and what not to do. Train
Investigations available to the
in accord. w/IDOT policies &
new technology for pile driving, i.e.
Appropriate specs and job
designers for proper info. presentation. contractors. Thoroughly review and
procedures. Anticipate, to the extent
WEAP, PDA, static pile load test.
requirements. Good communication -
check consultant's work. Better
possible, any difficult subsurface
Also, doing six demo projects on pile
i.e., partnering with contractor.
communication between construction
conditions. See item #11 above.
driving. Once completed, will revise our
and materials through design reviews. Perform timely construction inspection specs & make necessary corrections
to identify potential problems.
to our manuals & guidelines.
Comments:
*The geotech report is available to
*In gray area -- "yes" if it is specifically
* Specifically H-pile in sand, but not
bidders upon request.
referred to in contract documents.
too often.

** Review contract documents before

letting.
GT Guideline No. 15
Page26 of 36

Questions
Kansas
Kentucky
Louisiana
Maine
Maryland
Yes
Yes
No
Yes
Yes
Yes
No
No
No
No
Yes
No
No
No
Yes
No
Yes -- Lab
Yes -- Lab
Yes
Yes
Yes

Documents"?
bidders review?
Yes -- Headquarters Lab
Rock samples only.
No
No

No
provisions?
1) Yes -- Graphic logs plus interpeted

No
1) Yes
No
1) Yes (graphic logs)
No
1) Yes
Yes
1) Yes -- Boring info only -- no
engineering geology.
interpretation or profiles.
data presented for:

2) Displayed on plan set sent to

2) a. Yes
2) Yes -- On cross sections.
2) *
Design Div. This info is partially
b. Yes
2) Boring info only.
carried to bid plans, i.e. ledge lines.

No
No
Yes
Yes
Yes
No
No
No
No
Yes*
Yes
No
Yes
No
Yes
Yes
Yes
No
Yes -- If needed; not usual practice.
Yes

foundations?
We have not experienced a signficant
Establish better communication
Writing tighter specs on problems that None
More comprehensive subsurface
number of claims. Therefore, we have
between design, construction & the
arise.
investigations. Improved, more
not taken any actions to modify our
Geotech Branch
concise wording in specs and special
procedures.
Comments:
provisions.
Geotech info is standardly provided to
*Question 9 - How signficant is
* No response.
MDOT's Design Div. & available to
"significant"? Note that while we show
contractor & others. MDOT proj.
boring data on plans we do not classify
resident is provided w/soils rpt. Bridge excavation quantitites soil/rock.

project plans contain soils info.
Foundation info, stratification & logs
are on "Foundation Survey Sheet".
GT Guideline No. 15
Page27 of 36

Questions
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
No -- (in general)
No
No
Yes
No -- (in general)
Yes
No
No
No
Yes
No - Special cases only
No - (sometimes)
Yes
Yes
Yes -- Lab
No - Special cases only
Rock cores @ HQ
Yes -- Lab
Yes
Yes
Only on Bridge Plans
Yes

Documents"?
bidders review?
Yes -- Headquarters Lab (Only rock

core on major projects)
Yes

provisions?
No
1) Separate sheets, graphic logs.
Yes
1) No
No - only on special projects

1) Yes
No
No
1) Yes (graphic logs)
Selected logs shown in Bridge Plans
data presented for:

2) No
2) Separate sheets, graphic logs.
2) No
2) a. No
2) No
b. No

Yes
Yes
Yes
Yes
Yes -- Both
No
Yes -- Earthwork
No
Yes
Yes
Yes
Yes
Yes
Yes
No (sometimes)
No
No
Usually based on field logs

Yes -- Earthwork
foundations?
Yes - Geotech info reviewed for all

cases, used in some.

Yes
Try to have a more detailed and
More extensive testing. Require
On current project we are not providing
Recently revised Sec. 102 of Standard
extensive subsurface program.
Contractor to supply borrow soil.
shrinkage factor and shifting
Specs. Provide "factual" info to all
responsibility to contractor by having
bidders upon request.
contractor bid cu yd exc. and bid cu yd

embankment.
Comments:
Our new policies have not yet been
tested in court.

GT Guideline No. 15
Page28 of 36

Questions
Montana
Nebraska
Nevada
New Hampshire
New Jersey
No
No
Yes*
Yes
No
No
No
No
No
No
No
No
Yes
Yes
Yes
Yes/No -- See Comments(1)
No
Yes/No -- See Comments (2)
Yes
Yes

Documents"?
bidders review?
No -- Not specifically
addressed in contract/bid docs.
Yes -- Headquarters Office
Yes -- Structures only.
No

provisions?
No
No
No
Unusual projects only.
Yes
1) Yes
1) N/A
2) No -- Not shown in plans.
2) *
2) Yes**
2) No -- Not shown in plans.
2) N/A

data presented for:
No
Yes
Yes
Yes
No
No
No
No
No
No
Yes
No
Yes
Yes
Yes
Yes
No
Yes
No
No

foundations?
Increased the amount of subsurface
Be specific & accurate as
Have made clarifications to
investigation holes to adequately
economically possible. Include all
specifications regarding availability of to be more "construction oriented".
represent materials on project.
data obtained in field exploration, i.e.
geotech info.
Increase amount of lab testing.
show all borings & associated data on Send GTR to AGC, who exhibits GTR
2) Greater emphasis on designs which
log of test borings.
stress"constructability".
with plans during bidding period.
1) Revising soil/rock I.D. format on log
Comments:
The MDT Geotech Sec. is considering * No Response
* Made available but only logs of test
placing all borehole info on the plans.
borings included in plans.
Currently, (1) Bidders can inspect
samples at MDT Headquarters.
** Only for special cases, i.e. soft
access "final" Geotech reports.
(2) Structure foundation info on plans,
ground, high fills or landslides.
Currently only allowed to purchase
but grading info left off.
Continued from above.

3) Considering allowing contractors to
boring logs. Lab and test results

provided free.
4) Final logs are typed field logs, not
combined with lab results.
GT Guideline No. 15
Page29 of 36

Questions
New Mexico
New York
North Carolina
North Dakota
Ohio
Yes
No
Yes
Yes
No*
No
No
No
No
Yes
No
Yes
Yes*
Yes
Yes
No
Yes -- Rock cores.*
Yes
No
Yes *
No
No
Yes
Yes
No
No

Documents"?
bidders review?
Yes -- Field Office

or Geotech Unit

Yes **
provisions?
1) Yes
No
1) Yes
No
1) Yes -- On preliminary design plans, 1) Yes
1) Yes -- Plotted on plan and profile
not construction plans.
views.
data presented for:

2) a. Yes
2) No -- but available for review in
Geotech Report.
2) a. No
b. Yes
2) a. Yes
b. Yes
2) Yes -- Plotted on plan and profile
b. No
views.

Yes
Yes**
Yes
Yes
Yes
No
No
Yes -- both
No
No
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
Yes
No

foundations?
The Dept does not explore aggregate
NYSDOT warns contractor, by special We are reviewing our disclaimer
pits for projects. No longer include a
notes, of subsurface conditions that
clause. Have increased number of
undercut of soft subgrade and
possible surfacing pit in plans --
may present specific problems.
borings. Have added new pay items,
embankment foundations under low
e.g., drilled shaft coring in rock.
fills (and other situations).
contractor responsible for locating own
No claims and few change orders.
Have added contingency quantities for
source.
Comments:
*Boring logs are summarized on Bridge *Rock cores available in Region Office *Availability of subsurface information
*Only large plan sheets included in
Foundation Sheet in plans.
Lab.
is conveyed in the announcement
contract plan. Standard note says
**Boring log summaries included in
**Logs are made available to bidders
soliciting bids.
where to find additional soil
special provisions for specialty
separately from plans and special
NCDOT Attorneys don't want GTR to be
information, if available.
contracts, i.e. densification of
provisions.
part of contract documents.
collapsible soils, grout injection,

vertical drains, etc.
GT Guideline No. 15
Page30 of 36

Questions
Oregon
South Carolina
South Dakota
Texas
Utah
No
Yes*
Yes
Yes
No
No
No
No
No
Yes
Yes
Yes**
No
Yes
Yes -- Lab (seldom)
Yes -- Geotech Lab*
Yes
Yes
Yes -- Earthwork
No -- Foundations

Documents"?
bidders review?
Yes -- Project Office
Yes -- Lab
or Region HQ
Yes -- Structures Only
Yes
No
No
Only on special projects that have

prebid meeting.
Yes

provisions?
1) Yes - Foundation data sheets show 1) Yes -- Borings only.

No
1) Yes
consolidation of Exploration log data
data presented for:

We never attempt to show subsurface
attached to the geotech rpt.
2) No
2) No**
2) Yes -- Profile sheets - copy in Main 2) b. Seismic data for rock made
Bldg.
2) No - very seldom.
available.
Special problems (settlement)
No
1) Yes - A summary of test data is
profiles.
No
1) Graphic logs - yes.
separate foundation sheet.

No
Yes
Yes
No
Yes
No
No***
No -- Foundations (very few)
No
Yes
Yes
Yes
Yes

Yes -- Earthwork
No -- Foundations
foundations?
No -- Earthwork
Yes -- Foundations
Yes -- We try, but usually are not
Yes
successful.

Yes
Yes
Yes
Foundation unit stays in direct control
Emphasis on partnering, maintain
Try to get best info possible. Also, are Testholes drilled at footing locations.
of special provisions that are related to Tighter Claims Procedures
Escrow Bid Documents
good communications w/contractor
obtaining more borings on projects.
substructures. Have std soil & rock
associations. Following new plan note
geology and size and concentration of
class. manual. Have revised Pile
now put on all subsurface sheets in
surface cobbles/bouders. Site photos
Spec 00520. Have formed Geotech
the plans: "The geotechnical
in GTR. Cobbles/boulders and difficult
Team to help set stds statewide.
engineering activity has on file all of
drilling noted on logs.
Geologist required to describe surface
the boring logs for this product. These

logs
Comments:
Continued from above.
Continued from above
The concept of partnering has put us
*Only recall one time in last 5 years
and additional results of laboratory test in the position of paying geotech
that contractor inquired about
Adopted 1988 AASHTO Manual on
are available for review at the Central
claims when we should not be just to
subsurface profile or inspected
Subsurface Investigations. Prebid
Office in Pierre."
stay on "good terms" w/contractor.
samples.
meetings & partnering. Trying to make

geotech information more available.
**Considering including logs in plans.

*At Central Office.
** Say available, but does not say
where.
***Some recent claims on deep
foundations due to new scour criteria.
GT Guideline No. 15
Page31 of 36

Questions
Western Federal Lands
Wyoming
Summary of Responses
Yes
No
31 - Yes 11 - No
Yes
No
10 - Yes 32 - No
Yes
Yes
27 - Yes 14 - No
No
32 - Yes 10 - No
Yes - (optional)
36 - Yes 6 - No

Documents"?
bidders review?
Yes - Headquarters -- Some jobs at

project office.
No

provisions?
No
No
1) Yes

data presented for:
38 - Yes 4 - No
N/A
b. No (cut/fill x-sections)
22 - Yes 20 - No
Other: Yes-Pits & Quarry layout
2) a. Yes (soils profile)
sheets.
Yes
No
33 - Yes 9 - No
No -- Some Earthwork
No
12 - Yes 30 - No
Yes
Yes
38 - Yes 4 - No
No
Yes
28 - Yes 14 - No

foundations?
Increased the effort during design to
identify and report geotechnical
Include seismic data; all excavation is Majority emphasized doing good work/conducting thorough GT
bid as unclassified except in rare
investigations.
conditions in the field.
instances, rock ex.
Comments:
We get very few requests for drill log
information. Lately some interest in
raw seismic data.
GT Guideline No. 15
Prepare good GTR's and contract documents.

Use standard Operating procedures/guidelines.
Inc. awareness of claim potential/closer internal review/better wording of
specifications.
Good communication and partnering w/contractor and construction
personnel.
Thoroughly review and check consultant's work.
Better communication w/design and construction.
Greater emphasis during design on "constructability" issues.
Testholes drilled at footing locations. Cobbles/boulders & difficult drilling
noted on logs.
Use special notes to warn contractor of anticipated subsurface problems.
Upgrade capability by combining geotechnical engineers and engineering
geologists.
Train construction inspectors on what to do and what not to do.
Send GTR to AGC to exhibit w/plans during bidding period.
Strive for continuous improvement.
Page32 of 36
Appendix C
Geotechnical Design Summary Report(GDSR)
The length of the GDSR will vary, depending on the complexity of the
project, but should always be limited to no more than fifty pages,
including figures. To accomplish the objective of the GDSR, the report
must contain at least the following:
A.
Title - Identify the contract.
B.
Introduction - This report describes the subsurface conditions

anticipated and the influence these anticipated subsurface
conditions have had upon the design. In addition, emphasize that
the report is intended to assist prospective bidders in evaluating
the requirements for excavating and supporting the ground, to
enable the contractor to plan the work, to assist the engineer in
reviewing the contractor's submittal and operations, and to
establish a geotechnical baseline which will serve as the basis
for identification of differing conditions.
C.
Project Summary - A brief general description of the project.
D.
Sources of Information - Reference sources of information that

have been used in developing the GDSR, such as subsurface
investigation reports, including boring logs, construction
experience reports, and geological reports by other agencies or
individuals. (These sources should not be made a part of the GDSR,
but should be made available for bidder review.)
E.
Geologic Setting - Regional geology discussion, geologic map and

generalized cross-section of the region. Site Exploration;
description of subsurface investigations that have been carried
out. Site Geology; profile of subsurface conditions with
discussions of physiography, stratigraphy, structure and ground
water conditions. Nomenclature should be well defined and based
on standard classification systems to the maximum extent possible.
Local terms such as "Glacial Till" should be avoided or clearly
defined and used with caution, as they may have different
connotations in different geographic areas and may lead to
misinterpretations among bidders.
F.
Geologic Features of Engineering and Construction Significance Bedrock weathering profiles (if projected at or near the tunnel).
Engineering properties of each distinguishable rock or soil unit.
Geologic hazards such as faults or shear zones in rock, boulders
in soils, or gas. Groundwater conditions, including range of
GT Guideline No. 15
Page 33 of
36
variation and relationship to rock and soil units.

streams and old stream channels
Present
G.
Manmade Features of Engineering and Construction Significance Sensitive surface and subsurface structures, Existing and
abandoned utilities, Possible sources of hazardous or toxic
substances
H.
Selection of Ground Support - soil, rock, and mixed face

conditions should be addressed in separate subsections).
Definitions - Initial and Final Support. Types of initial and
final support considered and any special considerations relative
to the design and construction of the subject project
I.
Design of Ground Support - soil, rock, and mixed face conditions

should be addressed in separate subsections). Initial Support,
including discussion of assumptions and considerations regarding
such items as minimum support requirements, system design
responsibility (owner or contractor), excavations and support
sequence, expansion of supports, grouting, construction and short
term loading.
J.
Anticipated Ground Behavior and Construction Difficulties - soil,

rock, and mixed face conditions should be addressed in separate
subsections). This section should describe anticipated ground
behavior in response to construction operations within each soil
or rock unit and describe specific construction difficulties that
should be anticipated. Discussion within this section should
include the following: definitions of ground behavior terminology
(including effects of groundwater seepage or inflow); impacts of
construction equipment and procedures, excavation and support
sequences, blasting, ground modification (grouting, freezing,
etc.), and groundwater control; previous local tunneling
experience; potential effects on existing and new facilities in
the project area; special cultural or environmental constraints;
and required instrumentation and monitoring.
K.
Construction Specifications - Discussion of the reasons for

important or unusual requirements. Statements of special
conditions and allocation of risks between owner and contractor
e.g. boulders should be anticipated and will be paid for at
separate unit prices for boulders greater than 500 mm in maximum
dimension. Boulders less than 500 mm, in maximum dimensions, are
considered incidental to normal excavation and will not be paid
for separately.
GT Guideline No. 15
Page 34 of
36
GT Guideline No. 15
Page 35 of
36
GT Guideline No. 15
Page 36 of
36

Geotechnical Engineering (Memorandum)

Uploaded by

Geotechnical Engineering (Memorandum)

Uploaded by

Memorandum

INFORMATION: Transmittal of Geotechnical

/s/ original signed by

U.S. DEPARTMENT OF TRANSPORTATION

GEOTECHNICAL ENGINEERING NOTEBOOK

The Differing Site Condition (DSC) Clause

Guideline Wording for a DSC Contract Clause

Definition of a Geotechnical "Differing Site Condition"

Guidelines for a Minimum Subsurface Investigation

Guidelines-Subsurface Information Made Available to Bidders

Disclosure of Subsurface Information

Presentation of Subsurface Information

Evaluation Procedure for a Geotechnical DSC

Minimum Subsurface Investigation

FHWA 1994 Survey of Geotechnical Information

Outline of Geotechnical Design Summary Report

Flowchart for "Management of Differing Subsurface

The purpose of this document is to provide guidelines on the

The history of Federal efforts to deal with changed conditions

involves subsurface conditions and soil/rock construction materials.

THE DIFFERING SITE CONDITIONS (DSC) CLAUSE:

Subsurface conditions at a particular site are the result of natural

Guideline for Wording of a "DIFFERING SITE CONDITION"(DSC)

235.109a. During the progress of the work, if subsurface or latent

TYPES OF CONDITIONS - The DSC clause grants relief for two

"Subsurface or latent physical conditions at the site

"Unknown physical conditions at the site of an unusual

CONDITIONS ABOVE GROUND - The DSC clause is not limited to

NO FAULT - The assignment or proof of guilt is not necessary

KNOWLEDGE - Recovery is barred if the contractor knew or could

DAMAGE - The DSC must be the cause of the damage which is

NOTICE - The clause requires notice of any DSC, in writing,

PHYSICAL CONDITION - The DSC clause only relates to physical

In general a Type I DSC is easier to prove than a Type II DSC

TYPE II DSC CONDITION - Type II DSC are those physical site

Also, an unusual condition must be unknown at the time of

GUIDELINES FOR A MINIMUM SUBSURFACE INVESTIGATION:

An adequate site investigation is needed to minimize the potential

Disclosure of Subsurface Information:

The term disclosure is taken in this guideline as a formal

Disclosure of subsurface information to bidders has been a sensitive

Courts have stated that agencies have a duty to disclose, to

Ambiguous disclaimers normally go against the agency and in

General disclaimers are disfavored and often ruled

Narrowly tailored, specific disclaimers may be accepted by the

The agency assumes the risk in the following situations:

pertinent subsurface information is withheld,

inaccurate test data or results are provided,

the bidders are not provided either adequate subsurface

defective plans or specifications are provided; although

Interpretive information made, available to bidders, should

climate with the contractor since the initial emphasis is openness

Presentation of Subsurface Information:

Presentation of subsurface information to bidders can take several

Some factual information may need to be qualified, as the source of

The current AASHTO guidance on disclosure of subsurface information

All pertinent subsurface information should be disclosed in the

All bidders should be provided equal opportunity to access the

Factual subsurface data which is pertinent to the project

Pertinent soil and rock samples should be made available at a

The agency should qualify the use of any preexisting surface or

Interpretive subsurface information pertinent to the project

A geotechnical design summary report should be prepared by the

Additional activities, which can be incorporated into the contract

Plan for a pre-bid meeting to discuss subsurface conditions.

Include the differing site condition clause directly in the

Use specific plan notes to communicate experience with the type

The purpose of the note is to share, with the bidders,

Specific disclaimer clauses can be used as plan notes to define

EVALUATION PROCEDURE FOR A DIFFERING SUBSURFACE CONDITION:

Immediately on notification of a differing site condition claim, the

Completely document the conditions which were encountered by the

conditions at the project site.

Step 4 - Make comparison and document any differences.

Are soils, and/or rock, types materially different

Are soils, and/or rock, physical properties