MnDOT Design-Build Program
Federal Project No. [insert #]
8
GEOTECHNICAL
8.1
General
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
This Section describes the requirements for geotechnical foundations, including investigations, foundations
analysis and design, settlement criteria, vibrations monitoring, and all other Work necessary to meet the
requirements of the Project.
8.2
Administrative Requirements
8.2.1
Standards
In the event of a conflict between the standards set forth in Book 3 relating to geotechnical, the order of
precedence shall be as set forth below unless otherwise specified:
 MnDOT Special Provisions
 MnDOT Technical Memoranda
 MnDOT Standard Specifications for Construction
 MnDOT Geotechnical Manual
 MnDOT Pavement Manual
 MnDOT LRFD Bridge Design Manual
 MnDOT Standard Plans Manual
 MnDOT Standard Plates Manual
 AASHTO Manual on Subsurface Investigations
 AASHTO Laboratory Specifications
 AASHTO LRFD Bridge Design Specifications
 AASHTO LRFD Bridge Construction Specifications
 AASHTO Standard Specifications for Highway Bridges
 FHWA Publications
 Geotechnical Engineering Circular Number 10 (GEC 10), Drilled Shafts: Construction
Procedures and Design Methods
 Subsurface Investigations—Geotechnical Site Characterization Reference Manual
 Mechanically Stabilized Earth Walls and Reinforced Soil Slopes Design and Construction
Guidelines
 Corrosion/Degradation of Soil Reinforcements for Mechanically Stabilized Earth Walls and
Reinforced Soil Slopes
 Geotechnical Engineering Circular Number 4 (GEC 4), Ground Anchors and Anchored Systems
 Geotechnical Engineering Circular Number 7 (GEC 7), Soil Nail Walls
 Handbook on Design and Construction of Drilled Shafts Under Lateral Load
 Design and Construction of Driven Pile Foundations Reference Manual, Volumes I and II
 Cone Penetrometer Test
 AASHTO Task Force 27 Report—In Situ Soil Improvement Techniques
 Design and Construction of Stone Columns
RFP
Geotechnical
8-1
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
 Micropile Design and Construction Reference Manual
 Micropile Design and Construction Guidelines—Implementation Manual
 Pressuremeter Test for Highway Applications
 ASTM Standards
 Other standards set forth in Book 3
8.2.2
Meeting Requirements
8.2.3
Equipment/Software
Use Bentley gINT© for Windows (version 8 or higher) or a compatible computer program to develop
electronic final foundation boring logs.
8.2.4
Permits/Authorizations
8.2.4.1
Certification Requirements
Perform all laboratory testing and analysis at an accredited AASHTO Materials Reference Laboratory
(AMRL) and as outlined in Section 2 for the geotechnical tests described in the MnDOT Geotechnical
Manual and in Section 8.
8.3
Design Requirements
8.3.1
General
8.3.2
Investigations and Supplemental Investigations
8.3.2.1
Subsurface Investigations
Conduct supplemental and additional subsurface investigations and subsequent geotechnical analysis and
design necessary to:
 Satisfy the minimum subsurface investigation requirements for all project features as provided in
the MnDOT Geotechnical Manual Draft
 Supplement information provided in the exhibits to this Section 8 based on the Contractors design
 Support changes to the Project alignment and scope initiated by the Contractor
Perform subsurface investigations to supplement the information provided in accordance with MnDOT
standards.
RFP
Geotechnical
8-2
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
Table 8-1. Required Foundation Borings for Foundation Support Type
Application
Minimum number of
Exploration Points
Minimum Depth of Exploration
Bridge shallow foundations
Bridge deep foundation piles
Bridge deep foundations drilled
shafts
Retaining wall structures
Noise wall structures
Large box culverts (greater than
80 sf opening)
Embankment foundations over
highly compressible materials
(e.g., peat, organic, silt, soft fine
grained soils)
Miscellaneous structures (radio
towers, high mast towers, bridge
signs)
Reinforced steepened slopes
Rock cuts
Ponds/drainage features/artesian
conditions
Groundwater
8.3.3
Design Criteria
8.3.3.1
General
Perform geotechnical designs and provide Foundation Analysis Design Reports (FADR) following the
requirements for “Geotechnical Report” found in MnDOT Geotechnical Manual .
8.3.3.2
Foundation Analysis and Design
Perform an analysis of foundation borings and prepare foundation analyses and recommendation reports for
all proposed structures. Perform all foundation analyses and designs using the Load Resistance Factor Design
(LRFD) method. Use Allowable Stress Design Method (ASD) only where LRFD design methods do not yet
exist in the most current AASHTO Standards.
RFP
Geotechnical
8-3
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
Table 8-2. Required LRFD Resistance Factors Exceptions to the Geotechnical Engineering Manual
Foundation Design
Condition/Resistance
Determination Method
LRFD Resistance Factor
Spread footings
Drilled shafts
Nominal axial compressive
resistance of single drilled shafts,
φstat
Drilled shafts
Static load test (compression),
φload
Driven piles
Nominal bearing resistance of
single pile, φdyn
Overall stability
8.3.3.3
Ground Improvement Methods
Use the following Ground Improvement Methods, if desired, to improve the foundation soils conditions:
 Lightweight fill—Use expanded polystyrene in accordance with Exhibit 8-D (Geofoam Block
Lightweight Fill) or foamed lightweight concrete
 Excavation and replacement with granular soils
 Ground Improvement Techniques (or lightweight fill material) to improve the underlying poor
foundations soils—Follow the guidelines presented in the most recent FHWA publications on
Ground Improvement
8.3.3.4
Embankment Performance Criteria
Meet the following performance criteria for roadway embankments constructed under this Contract:
 Global stability calculations—minimum Safety Factor of 1.5
 Lateral squeeze calculations—minimum Safety Factor of 2.0
8.3.3.5

Embankment Settlement Criteria
Monitor the settlement of the placed embankment fill as specified in Section 8.5 (Geotechnical
Instrumentation and Monitoring Plan). Provide FADRs that address both the primary and
secondary consolidation of compressible materials for this Project. Figure 8-1 and Table 8-3 list the
performance criteria for constructed roadway embankments.
Figure 8-1. Settlement Zones
RFP
Geotechnical
8-4
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
Table 8-3. Settlement Criteria
Time Period
Settlement Criteria Zone 1
Settlement Criteria Zone 2
From end of paving to end of
Warranty period
Less than ½ inch
Less than 2 inches
Substantial Completion to 25
years after Substantial
Completion
Less than 1 inch (as shown by
Geotechnical calculations)
Less than 2 inches (as shown by
Geotechnical calculations)
Prior to paving
8.3.3.6
Utility Requirements
Pre-bore to a depth at least equal to the bottom elevation of the Utility or storm sewer for piling within 10
feet clear distance of any Utility or storm sewer. Pre-bore a radius 1.25 times the diameter of the pile being
installed.
8.3.4
Reports/Plans
8.3.4.1
Vibration Monitoring Requirements
Develop, implement, and maintain a documented Vibration Monitoring and Control Plan. The principle
components of the Vibration Monitoring and Control Plan are (1) Susceptibility Study, which will include an
assessment of the potential for damage to buildings and impacts to sensitive operations and equipment near
the Project due to vibration-producing activities; (2) Pre-construction Survey, which will include a preconstruction condition survey of nearby buildings and structures to document their condition prior to
construction activity; and (3) Vibration Monitoring Approach which includes locations of vibration monitors,
number of monitors, maximum vibration limits, and communication and reporting processes to control
excessive vibration levels.
Address the potential impacts to nearby receptors due to construction or demolition activities associated with
this Contract in the Vibration Monitoring and Control Plan. The term “receptor” as used in this document
shall include (but not be limited to) buildings, structures, Utilities, Utility service connections, sensitive
operations/processes, and occupants. Obtain MnDOT Acceptance prior to beginning any vibration-producing
activities on the Project.
8.3.4.1.1 Contractor Responsibility
The Contractor shall conduct all Work so as to prevent damage and undue annoyance to adjacent buildings,
structures, operations, and occupants.
8.3.4.1.2 Susceptibility Study
 Develop a list of all anticipated vibration-producing activities and where they are expected to occur.
 Develop a list of all potentially impacted receptors (buildings, structures, sensitive operations, and
building occupants) on each building defined in Section 8.4.3.2.2.
 Provide a vibration susceptibility analysis for each identified receptor, to MnDOT and receptor
owner, and establish vibration control limits to preclude damage or undue annoyance to each of the
identified receptors.
The Contractor shall prepare a Susceptibility Study to assess each building in the survey area (defined in
Section 8.4.3.2.2) and determine its susceptibility to disruption by vibration-producing Work. “Disruption”
includes both cosmetic cracking (threshold damage) and impacts on sensitive and its operation. The
Contractor shall categorize the susceptibility of each building to cracking during Work as high, moderate, or
low as defined below.
Susceptibility to cracking is the threshold of cosmetic cracking, which is:
RFP
Geotechnical
8-5
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]

Threshold damage (e.g., opening of old cracks and formation of new plaster cracks, dislodging of
loose structural particles such as loose bricks from chimneys)
 Architectural or minor damage that is superficial and does not affect the strength of the structure
(e.g., broken windows, loose or fallen plaster, hairline cracks in masonry)
Susceptibility to impacting sensitive equipment or sensitive operations includes disrupting normal operation
of medical scanning equipment or procedures, or exceeding operating tolerances of medical scanning
equipment or other critical vibration or noise sensitive operations.
The categories of building susceptibility to vibration are:



High susceptibility. An identified receptor has high susceptibility if it has already experienced a
significant amount of degradation of its primary structural and/or nonstructural system, and
additional vibrations may further degrade these elements and possibly result in injuries to persons in
the building. Identified receptors with loose or unstable elements (such as loose bricks or structurally
cracked terra-cotta cornices) are in this category. Sensitive equipment or operations would have high
sensitivity if the anticipated vibration levels would cause damage to the equipment or preclude
continuation of an essential process.
Moderate susceptibility. An identified receptor has moderate susceptibility if, although some
building deterioration has occurred prior to construction activities, it has not yet experienced a
significant degradation of its primary structure or its nonstructural systems that would lead to further
building degradation due to construction vibrations. This category includes identified receptors with
bricks that may be loose (as determined by visual inspection) and identified receptors with small to
moderate quantities of fragile, potentially unstable contents that may be damaged by construction
vibrations. Sensitive equipment or operations would have moderate sensitivity if the anticipated
vibration levels would cause loss of data or slow acquisition of data without damage to the
equipment, or would significantly hinder an essential process.
Low susceptibility. An identified receptor has low susceptibility if it is not expected to experience
cosmetic cracking when subject to moderate levels of vibrations (such as those permitted by the
OSM vibration criteria) and if its contents will not be damaged by moderate vibration levels.
Sensitive equipment or operations would have low sensitivity if the anticipated vibration levels are
below the tolerance level of sensitive equipment, but are close enough that monitoring is warranted.
As part of the Susceptibility Study, the Contractor shall also determine whether there are sensitive operations
and/or equipment nearby, such as hospitals, computerized industries or banks, and industrial machinery. The
Contractor shall include a list of buildings with sensitive equipment and/or procedures in the Susceptibility
Study.
The Susceptibility Study will include the three items listed below, which will be provided to MnDOT as part
of the Vibration Monitoring and Control Plan.
8.3.4.1.2.1 Anticipated Vibration-Producing Activities
The Contractor shall identify locations where moderate to heavy construction activities will occur that are
capable of producing vibrations that may cause damage, interference, or annoyance to receptors. Heavy
activities include operations such as blasting, pile-driving, dynamic compaction, and percussive demolition.
Moderate construction activities include operations such as vibratory compaction and heavy equipment
operation. The locations shall be presented on a plan sheet or map that shows in-place topography, including
nearby structures and buildings.
8.3.4.1.2.2 Potentially Impacted Receptors
The Contractor shall produce a map that includes the potential receptors established in this Section. In
addition to the map, the receptors shall be identified by building/structure type, address (if applicable), type
of sensitive equipment or critical process, and owner. The Contractor shall identify all receptors that meet the
preceding criteria, including the two businesses listed below, and will categorize them as to High, Medium,
or Low Susceptibility:
RFP
Geotechnical
8-6
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]

Fairview Maple Grove Medical Center (potential sensitive operations and equipment).
Todd Herrick, CHFM
Director of Facilities
763-389-6378
therric1@fairview.org

Maple Grove Hospital (potential sensitive operations and equipment).
Allen Fenderson
Facilities Manager
763-581-1731
allen.fenderson@maplegrovehospital.org
8.3.4.1.2.3 Establish Vibration Limits
The Contractor shall establish safe vibration levels that preclude damage to structures or undue disturbance
to operations and sensitive equipment. These safe vibration levels shall be used as vibration limits for the
Contract. The Contractor may set separate levels for each receptor, but the limits may not be less stringent
than those set forth in the OSM Alternative Blasting Level Criteria (Modified from Figure B1, RI 8507U.S.
Bureau of Mines. Building or structure vibration criteria shall be expressed in peak particle velocity with
units of inches per second (ips). Vibration criteria for sensitive equipment or operations will be expressed in
the same units as the manufactures tolerance limits (e.g. MRI tolerance levels are generally expressed in
RMS Acceleration).
8.3.4.1.3 Preconstruction Survey
The Contractor shall perform a Preconstruction Survey to document the existing condition of each receptor
defined in Section 8.4.3.2.2. As part of the survey, the Contractor will complete the following items.
8.3.4.1.3.1 Public Notification
The Contractor shall contact each household, institutional operator, Utility Owner, and business
establishment identified as receptors in Section 8.4.3.2.2. The contact shall be via a registered letter. The
Contractor shall obtain confirmation of receipt of notification letter before beginning any Work that produces
perceptible ground vibration. The letter shall, at a minimum, include the following:
 Description of the proposed construction.
 Explanation of the potential for producing vibrations.
 Steps the Contractor will take to avoid potential damage from those vibrations.
 Name and telephone number of a contact person to respond to any questions or concerns.
 Description of the preconstruction survey, including probable date that the survey will be conducted.
 Description of Vibration Monitoring Plan
 Invitation to the Open House
The Contractor shall hold an open house to discuss and educate the public about the Preconstruction Survey
process. All owners/occupants of buildings identified as requiring a preconstruction survey will be invited to
the open house. A minimum of a two week notice for the open house is required. The notice shall be via a
registered letter. The Contractor shall obtain confirmation of receipt of open house notification letter. This
open house shall be held prior to commencing pre-construction surveys.
8.3.4.1.3.2 Building Condition Report
The Contractor shall document the existing structural and cosmetic condition of each building, and document
all sensitive equipment and operations that may be impaired or damaged by construction activities. The
RFP
Geotechnical
8-7
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
Contractor shall document conditions with digital photographs, videotape, and engineering sketches of each
element of each building, including the following items:
 Interior subgrade and above-grade walls
 Floors
 Ceilings
 Roof
 Visible exterior as viewed from grade level
The Contractor shall identify in writing each documented element by its relative location within the building.
The Contractor shall list the location of each building, the documentation of the existing conditions, and a
description of any areas of concern. The Contractor shall include the following in the Building Condition
Report:
 Name and address of person(s) contacted and (if known) their telephone numbers
 Date letter was sent
 Location(s) and telephone numbers of the building(s)
The Contractor shall provide MnDOT and the building owner with a copy of the Building Condition Report
before commencing vibration causing activities.
8.3.4.1.4 Vibration Monitoring Requirements
8.3.4.1.4.1 General Requirements
The Contractor shall monitor construction related vibrations at the three most critical receptors within 300
feet of vibration causing activities with approved seismographs or accelerometers. In addition, any vibration
receptor within 500 feet, identified as having ”High Susceptibility”, will also require monitoring. Vibrations
shall be monitored continuously during vibration-producing events. If the vibration level of any of the three
components of the peak particle velocity exceeds the vibration limit, then the Contractor shall immediately
cease the vibration-producing activity. The Contractor may not resume the vibration-producing activity until
given written permission to do so by MnDOT.
The Contractor shall maintain records of all vibration-producing activities for which vibration monitoring is
required. The records shall include:



Location of the vibration-producing event
Distance from the event to the monitoring Site(s)
Maximum peak particle velocity or other approved motion descriptors (displacement, acceleration,
etc.)
The Contractor shall immediately notify MnDOT and receptor owner when a violation of the vibration limits
occurs. The activity that produced the violation must be stopped until permission to proceed is given in
writing by MnDOT.
The Contractor shall immediately submit a report to MnDOT that explains the conditions of the violation and
the steps that the Contractor will take to reduce the vibrations to below the vibration limit. Based on this
report, MnDOT will decide if permission to proceed with the construction activity will be granted.
8.3.4.1.4.2 Monitoring Equipment Requirements
The Contractor shall supply a suitable number of seismographs to cover monitoring requirements described
above. Each seismograph shall be capable of measuring, recording and producing a printed paper version of
the frequency and peak particle velocity in each of three mutually perpendicular axes. They must also be
capable of recording vibrations as a histogram, a peak reading over a selected period of time. The
instruments must have an appropriate sampling rate and velocity range to measure vibration levels generally
found in construction activities. In the case where vibration tolerance for a sensitive machine or instrument is
expressed in a motion descriptor other than velocity, the contractor must also supply a suitable measuring
RFP
Geotechnical
8-8
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
device that will record and print vibration levels in the specified format. Each vibration instrument must have
current calibration documentation, which must remain current during the course of monitoring. The
Contractor shall obtain MnDOT Approval of all vibration monitoring equipment prior to usage on the
Project.
8.3.4.1.4.3 Vibration Damage Arbitration
MnDOT Acceptance of the Vibration Monitoring and Control Plan does not guarantee that damage will not
be caused by construction activities, nor does it relieve the Contractor from responsibility should damage
occur. The Vibration Monitoring and Control Plan does not preclude receptor owners from claiming damage.
If receptor owner claims vibration damage anytime up to one year after Substantial Completion and the
Contractor does not agree with those claims, the Contractor shall schedule and attend an arbitration hearing
with the receptor owner (subject to the receptor owner's agreement to use arbitration). The cost of the
arbitrator will be borne by the Contractor. The Contractor must advise the receptor owner, in writing, of the
availability of the arbitration option, and that the Contractor will pay the arbitrator. The Contractor must also
advise the receptor owner that the Contractor cannot provide legal advice to the receptor owner, that the
receptor owner should consider obtaining legal counsel, and that the receptor owner will be responsible for
the costs of its own legal counsel
The Contractor shall select an arbitrator from the list of arbitrators provided by the American Arbitration
Association in accordance with the Association's procedures.
8.3.4.2
Foundation Analysis Design Report
Provide the FADR following the requirements for “Geotechnical Report” found in Geotechnical Manual
Draft manual and the following:
 Include clearly defined dimensions and detailed drawings for linear, area, or volume features
described in the FADR, including (but not limited to) soil subcut and removal dimensions, preload
and surcharge earthwork dimensions, soil removal and excavation dimensions, and similar works.
 Address staging requirements, where they are relevant to the proper construction of the Work.
 Clearly show the elevations of proposed foundations with respect to borings, soundings, and other
investigation data in drawings within the FADR.
 Plot borings on plan sheets to clearly show boring locations with reference to proposed structures.
 Show proposed foundation locations and dimensions including those supplied by vendors. A sketch
or other approximate location is required as are other important design considerations such as
height, wall type, etc.
 Plan sheets must be included in design drawings that adequately detail geotechnical works for
construction. Dimensions (including slopes) must be clearly shown. Plan notes must include
requirements such as material information, durations, staging, or timelines, necessary construction
sequencing, and similar details.
8.3.4.3
Geotechnical Instrumentation and Monitoring Plan
8.4
Construction Requirements
8.4.1
General
Do not damage adjacent infrastructure; show no damage has occurred by providing pre-construction and
post-construction condition reports in accordance with Exhibit 8–C. At a minimum, provide condition reports
for the following:
RFP
Geotechnical
8-9
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
 Receptors identified (Potentially Impacted Receptors) as follows:
 XXXXX
 XXXXX
 XXXXX
 Damage identified in the post-construction condition report that was not present in the pre-
construction condition report (to be repaired by the Contractor and Approved by MnDOT)
8.4.2
Construction Criteria
8.4.3
Materials/Testing Requirements
8.4.4
Instrumentation/Monitoring Plan
8.4.4.1
Geotechnical Instrumentation and Monitoring Plan
Table 8-4. Data and Program Reporting Requirements
Time Period
Reporting and Data Reading Schedule
8.4.4.2
Monitoring Criteria
8.4.4.3
Monitoring Equipment
8.4.4.4
Vibration Damage Arbitration
8.4.4.5
Post-Construction Survey
8.4.4.6
Movement-Related Damage to Adjacent Properties
8.5
Deliverables
Location
 Subsurface Investigation Plan—Submit a subsurface investigation plan for the supplemental
subsurface investigation in Section 8.3.2 to MnDOT for Acceptance at least three Working Days
prior to commencement of subsurface investigations
 Foundation Boring Field Logs—Submit one copy of the field log for each foundation boring in the
supplemental subsurface investigation to MnDOT
RFP
Geotechnical
8-10
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
 Foundation Boring Final Logs—Submit a hardcopy and an electronic copy of the final log for each
foundation boring in the supplemental subsurface investigation to MnDOT.
 Lab Testing Data—Submit one copy of the completed lab test data to MnDOT.
 Foundation Analysis and Design Report—Submit one copy of each Foundation Analysis and
Design Report to MnDOT for Acceptance. MnDOT will respond within five Working Days of
receipt of each Foundation Analysis and Design Report. MnDOT will not Approve RFC plans for
retaining walls or structures without Approving the FADR.
 Presentation of Foundations Investigation—Submit the results of the supplemental subsurface
investigation for foundations, incorporating the geotechnical information provided in the RFP, for
each structure in the form of plotted borings on proposed plans and profiles and cross-sections.
 Geotechnical Instrumentation and Monitoring Plan—Submit six hardcopies of the GIMP to
MnDOT for Approval two weeks prior to beginning the installation of monitoring equipment.
Submit supplemental monitoring reports to MnDOT in accordance with Table 8-4.
 Vibration Monitoring and Control Plan—Submit the following to MnDOT:
 Six hardcopies of the Vibration Monitoring and Control Plan
 One copy of each notification letter sent out
 Vibration monitoring records and report immediately upon violation of vibration limits
 Condition Reports—Submit a pre-construction and post-construction Building Condition Reports,
Sewer Condition Reports, and Structures and Pavement Condition Reports to MnDOT identifying
damage, as required. Submit pre-construction condition reports 5 Days before the Work affecting
the element assessed in the report commences. Submit post-construction condition reports within
14 Days of completion of the Work
RFP
Geotechnical
8-11
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
EXHIBITS
All exhibits are provided as electronic files.
Exhibit 8-A
Foundation Boring Logs
Exhibit 8-B
Susceptibility Study (also attached)
Exhibit 8-C
Pre-construction Survey (also attached)
Exhibit 8-D
Geotechnical Instrumentation and Monitoring Plan (also attached)
Exhibit 8-E
Monitoring Criteria (also attached)
Exhibit 8-F
Geofoam Block Lightweight Fill
RFP
Geotechnical
8-12
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
EXHIBIT 8–B Susceptibility Study
Prepare a Susceptibility Study to assess each building, structure, Utility, Utility Service Line, and other
receptors with sensitive operations/processes and occupants in the survey area (defined in Section 8.4.1) and
determine its susceptibility to disruption by vibration-producing Work. “Disruption” includes both cosmetic
cracking (threshold damage) and impacts on sensitive equipment and its operation. Categorize the
susceptibility of each building to cracking during Work as high, moderate, or low as defined below.
Susceptibility to cracking is the threshold of cosmetic cracking, which is:

Threshold damage (e.g., opening of old cracks and formation of new plaster cracks, dislodging of
loose structural particles such as loose bricks from chimneys)

Architectural or minor damage that is superficial and does not affect the strength of the structure
(e.g., broken windows, loose or fallen plaster, hairline cracks in masonry)
The categories of building susceptibility to vibration are:

High susceptibility—An identified receptor has high susceptibility if it has already experienced a
significant amount of degradation of its primary structural or nonstructural system, and additional
vibrations may further degrade these elements and possibly result in injuries to persons in the
building. Identified receptors with loose or unstable elements (such as loose bricks or structurally
cracked terra-cotta cornices) are in this category.

Moderate susceptibility—An identified receptor has moderate susceptibility if, although some
building deterioration has occurred prior to construction activities, it has not yet experienced a
significant degradation of its primary structure or its nonstructural systems that would lead to further
building degradation due to construction vibrations. This category includes identified receptors with
bricks that may be loose (as determined by visual inspection) and identified receptors with small to
moderate quantities of fragile, potentially unstable contents that may be damaged by construction
vibrations.

Low susceptibility—An identified receptor has low susceptibility if it is not expected to experience
cosmetic cracking when subject to moderate levels of vibrations (such as those permitted by the
OSM vibration criteria) and if its contents will not be damaged by moderate vibration levels.
As part of the Susceptibility Study, determine whether there are sensitive operations or equipment nearby,
such as hospitals, computerized industries or banks, and industrial machinery. Include a list of buildings with
sensitive equipment or procedures in the Susceptibility Study.
The Susceptibility Study will include the three items listed below, which will be provided to MnDOT as part
of the Vibration Monitoring and Control Plan.
Anticipated Vibration-producing Activities
Identify locations where moderate to heavy construction activities will occur that are capable of producing
vibrations that may cause damage, interference, or annoyance to receptors. Heavy activities include
operations such as blasting, pile-driving, dynamic compaction, and percussive demolition. Moderate
construction activities include operations such as vibratory compaction and heavy equipment operation. The
locations shall be presented on a plan sheet or map that shows in-place topography, including nearby
structures and buildings.
Potentially Impacted Receptors
Produce a map that includes the potential receptors established in this Section. In addition to the map, the
receptors shall be identified by type/material of construction, size, address (if applicable), and owner.
Identify all receptors that meet the following locations and criteria and categorize them as High, Medium, or
Low Susceptibility:
RFP
Geotechnical
8-13
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]

All buildings and structures within a distance at which vibrations of 0.1 inch per second or greater
will occur from construction activities

Any building that has sensitive operations or Utility that may be affected by vibration-producing
activities
Establish Vibration Limits
Establish safe vibration levels that preclude damage to structures and are not vexatious to operations or
occupants. These safe vibration levels shall be used as vibration limits for the Contract. Set separate levels
for each receptor, if desired, but the limits may not be less stringent than those set forth in the OSM
Alternative Blasting Level Criteria (Modified from Figure B1, RI 8507U.S. Bureau of Mines). Express the
vibration criteria in peak particle velocity with units of inches per second (ips).
RFP
Geotechnical
8-14
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
EXHIBIT 8–C Pre-construction Survey
Perform a Pre-construction Survey to document the existing condition of each receptor defined in
Section 8.4.1 (Potentially Impacted Receptors). As part of the survey, complete the following items.
Public Notification
Contact each household, institutional operator, Utility Owner, structure owners, and business establishment
identified as receptors in Section 8.4.1 (Potentially Impacted Receptors). The contact shall be via a registered
letter. Obtain confirmation of receipt of notification letter before beginning any Work that produces
perceptible ground vibration. Include the following, at a minimum, in the letter:

Description of the proposed construction

Explanation of the potential for producing vibrations

Steps the Contractor will take to avoid potential damage from those vibrations

Name and telephone number of a contact person to respond to any questions or concerns

Description of the pre-construction survey, including probable date that the survey will be conducted

Description of Vibration Monitoring Plan

Invitation to the Open House
Hold an open house to discuss and educate the public about the Pre-construction Survey process. Invite
owners/occupants of buildings identified as requiring a pre-construction survey to the open house. A
minimum of a two week notice for the open house is required. The notice shall be via a registered letter.
Obtain confirmation of receipt of open house notification letter. Hold the open house prior to commencing
pre-construction surveys.
Condition Report
Buildings
Document the existing structural and cosmetic condition of each building. Document conditions with digital
photographs, videotape, and engineering sketches of each element of each building, including the following
items:

Interior subgrade and above-grade walls

Floors

Ceilings

Roof

Visible exterior as viewed from grade level
Identify, in writing, each documented element by its relative location within the building. List the location of
each building, the documentation of the existing conditions, and a description of any areas of concern.
Include the following in the Building Condition Report:

Name and address of person(s) contacted and (if known) telephone number

Date letter was sent

Location(s) and telephone number(s) of the building(s)
Provide MnDOT and the building owner with a copy of the Building Condition Report before commencing
vibration-causing activities.
RFP
Geotechnical
8-15
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
Utilities, Storm Sewers, and Culverts
Document the existing structural and cosmetic condition of Utilities, storm sewers, and culverts identified as
receptors. Document conditions with digital photographs, videotape, and engineering sketches of each
element, including the following items at a minimum:

Interior of pipe (cracks, fractures, loose or dislodged concrete liner, etc.)

Joints (horizontal or vertical deflections or settlement, voids, leaks, etc.)

Manholes, catch basins, or other appurtenances

Headwalls
Identify, in writing, each documented element by its relative location along the sewer. List the location of the
sewer, the documentation of the existing conditions, and a description of any areas of concern. Include the
following in the Sewer Condition Report:

Name and address of person(s) contacted and (if known) telephone number

Date letter was sent

Location(s) of the sewer
Provide MnDOT and the sewer owner with a copy of the Sewer Condition Report before commencing
activities that could impact a sewer or culvert.
Structures and Pavement
Document the existing structural and cosmetic condition of the structures and pavements (lanes and
shoulders) that are deemed receptors. Document conditions with digital photographs or videotape,
measurement and engineering sketches of structure or pavement, including the following items at a
minimum:

Cracks (width, length, quantity)

Joints (separation, alignment)

Spalling or delamination
List the limits of the pavement area inspected, the documentation of the existing conditions, and a description
of any areas of concern. Include the following in the Structures and Pavement Condition Report:

Name and address of person(s) contacted and (if known) telephone number

Date letter was sent
RFP
Geotechnical
8-16
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
EXHIBIT 8–D Geotechnical Instrumentation and Monitoring Plan
The Geotechnical Instrumentation and Monitoring Plan (GIMP) shall include a detailed program for
monitoring settlement of all structures supported on shallow foundations and embankments where fill will be
placed over compressible organic and clayey soils and where long-term settlements of over 1 inch are
predicted. Long-term settlements are predicted settlements that occur after the warranty period expires.
Develop, implement, and maintain a GIMP to include the following information:

Instrument types to be used

Locations of each instrument

Installation procedures

Zone of influence for each instrument

Frequency of readings
For embankment monitoring, use automated sensing and data acquisition systems. Do not use manual data
acquisition and sensing systems. Install and monitor geotechnical instruments. At a minimum, monitor the
following parameters:

Settlement and settlement rates of embankments

Pore water pressures

Groundwater levels

Stability of walls and slopes
Design the program to:

Be specific and appropriate to evaluate the performance of the type of work to be performed in the
area

Be appropriate for the successful short- and long-term monitoring of the specific construction,
means, and methods (e.g., the program will be different for construction employing lightweight fill
than for ground improvement/replacement/stabilization, or structural solutions)

Accurately and precisely record the behavior of the structure/embankment from the beginning of
structure/embankment placement through the Project warranty period

Comprehensively monitor and evaluate structure/embankment performance and the associated
impact on the existing and new roadways

Consist of the evaluation of the magnitude and rate of movement by measuring and recording
deflection, obtaining data with respect to stress, strain, tilt (inclination), pressure, and monitoring
overall embankment movement and stability in both the subsurface soils and embankment fill

Reliably define the embankment behavior at a minimum of two cross sections of the roadway within
each area of interest
 The instrumentation in each cross section shall be the same and shall provide enough data to
reliably evaluate individual cross-section behavior relative to adjacent cross sections. Provide
the same model and brand for sensors used on the Project.
Provide and monitor instrumentation starting at the beginning of structure/embankment construction to
capture results and to compare with the predictions of the geotechnical design, to validate (or invalidate) the
design, and to aid in determinations as to whether design changes or remediation activities are necessary for
the successful completion of the work.
RFP
Geotechnical
8-17
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
Repair or replace sensors or survey targets that fail or are otherwise compromised immediately. In critical
monitoring areas, provide redundant instrumentation. A critical monitoring area is either an area where large
stresses, strains, or pressures are predicted or where large stresses, strains, or pressures are occurring during
the monitoring period.
Protect sensors, survey targets, data collectors, power supplies, and related equipment from weather,
construction, and rodent damage. Secure enclosures with locks to prevent unauthorized entry. Route data and
power cables through appropriate protective conduit. Ensure components perform from time of installation
through the Project Warranty period.
Table 8-D-1 provides the minimum data reading and reporting requirements for the program. More frequent
readings for particular sensors and cross sections shall be obtained if anomalous or unanticipated data is
reported which indicates potential failures or the probability of deleterious impacts to the Work.
Table 8–D-1. Data and Program Reporting Requirements
Time Period
Reporting and Data Reading Schedule
During active embankment construction
Daily reporting—Readings every four hours
After embankment construction but prior to
Substantial Completion
Weekly reporting—Readings twice per day
Initial six months after Substantial Completion
Reporting every two months—Readings every two
days
Remaining Warranty period
Reporting every six months with final report at end of
Warranty period—Readings every three days
Use near-real-time web-based site data reporting to meet reporting requirements provided that MnDOT has
immediate access to the Project sensor and survey target monitoring data, including graphical representations
of time-domain behavior and data magnitude information.
Provide plan, profile, and cross section sheets showing the program instrumentation, including locations (X,
Y, Z) of sensors, cables, and associated cabinets. Show sensor types, measurement ranges, and related data
on the plans. Conduct a meeting to coordinate details of the monitoring program with MnDOT and program
implementation staff.
RFP
Geotechnical
8-18
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
EXHIBIT 8–E Monitoring Criteria
Monitor construction-related vibrations with Approved seismographs at the three most critical receptors
within 300 feet of vibration-causing activities. In addition, any vibration receptor within 500 feet identified
as having ”High Susceptibility” shall also be monitored. Vibrations shall be monitored continuously during
vibration-producing events. If the vibration level of any of the three components of the peak particle velocity
exceeds the vibration limit, immediately cease the vibration-producing activity. Do not resume the vibrationproducing activity until given written permission to do so by MnDOT.
Maintain records of all vibration-producing activities for which vibration monitoring is required, including:

Location of the vibration-producing event

Distance from the event to the monitoring Site(s)

Maximum peak particle velocity
Immediately notify MnDOT and receptor owner when a violation of the vibration limits occurs. Stop the
activity that produced the violation until permission to proceed is given in writing by MnDOT. Immediately
submit a report to MnDOT that explains the conditions of the violation and the steps to be taken to reduce the
vibrations to below the vibration limit. Based on this report, MnDOT will decide if permission to proceed
with the construction activity will be granted.
Monitoring Equipment
Supply a suitable number of seismographs to cover monitoring requirements described above. Each
seismograph shall be capable of measuring, recording, and producing a printed paper version of the
frequency and peak particle velocity in each of three mutually perpendicular axes. They must also be capable
of recording vibrations as a histogram, a peak reading over a selected period of time. The instruments must
have an appropriate sampling rate and velocity range to measure vibration levels generally found in
construction activities. Each vibration instrument must have current calibration documentation, which must
remain current during the course of monitoring. Obtain MnDOT Approval of all vibration monitoring
equipment prior to usage on the Project.
Vibration Damage Arbitration
MnDOT’s Acceptance of the Vibration Monitoring and Control Plan does not guarantee that damage will not
be caused by construction activities, nor does it relieve the Contractor from responsibility should damage
occur. The Vibration Monitoring and Control Plan do not preclude receptor owners from claiming damage.
If a receptor owner claims vibration damage anytime up to one year after Substantial Completion and the
Contractor does not agree with those claims, schedule and attend an arbitration hearing with the receptor
owner (subject to the receptor owner's agreement to use arbitration). The cost of the arbitrator will be borne
by the Contractor. Advise the receptor owner, in writing, of the availability of the arbitration option, and that
the Contractor will pay the arbitrator. Also advise the receptor owner that the Contractor cannot provide legal
advice to the receptor owner, that the receptor owner should consider obtaining legal counsel, and that the
receptor owner will be responsible for the costs of its own legal counsel.
Select an arbitrator from the list of arbitrators provided by the American Arbitration Association in
accordance with the Association’s procedures.
Post-Construction Survey
Conduct post-construction building, structure, Utility, sewer, and culvert condition surveys to identify
damage, if necessary. Provide a copy of the survey report to MnDOT and receptor owner. Post-construction
surveys shall, at a minimum, meet the requirements set forth for the pre-construction survey.
Movement-Related Damage to Adjacent Properties
Install instrumentation where necessary to monitor movements of structures, Utilities, and other features
within the zone of influence of constructed embankments. For embankments, the zone of influence shall be
RFP
Geotechnical
8-19
MnDOT Design-Build Program
Federal Project No. [insert #]
Book 2—[insert full name of project] Design-Build Project
S.P. [insert #]
defined as a zone extending a minimum horizontal distance (H) from the toe of the embankment, where H is
the height of the embankment. For retaining walls, the zone of influence shall extend from the toe of the
footing to a minimum distance of twice the height of the wall.
Identify the recommended instrument types, locations, installation requirements, zones of influence, critical
readings, and frequency of readings in the Settlement Monitoring Plan. Include instrument readings in
supplemental settlement monitoring reports, as readings become available, including monitoring done during
and after construction.
RFP
Geotechnical
8-20