Experiences with Design Construct contract of the Green Heart tunnel, the Netherlands

W. Leendertse Project Organization High Speed Line South P.S. Jovanovic Project Organization High Speed Line South, Project Office North Holland (Holland Railconsult)

ABSTRACT: The Dutch Ministry of Transport and Water Management, Project Organization High Speed Line South has aimed a clear goal to realize, before 2005, the prestigious project of the worlds biggest tunnel under the Green Heart in The Netherlands. The 7 km. long single tube, 14.8m.diameter, takes a part of the high-speed line between Amsterdam and Paris. Special challenge for the client and contractor was reflected to the unconditional use of the creativity applying innovative solutions available at this moment on the market. This led to the preferable cost reduction, shorter construction schedule and efficient results. The client expectations from the chosen Design-Build contracting form were based on better estimation of the final product considering the possible optimization of the available solutions. To achieve this the client proposed a program of requirements to the contractors pointing the range where the optimum solution could be find. The job has been awarded to only one party, which is now taking care about all phases of the project from the design to the construction. The contractor has been stimulated to use his full expertise, creativity and innovation to realize the best product getting at the same time a privilege to build the biggest shield driven tunnel in the world for the high speed trains. This paper deals with the client experience concerning contracting issues, advantages and disadvantageous of applied Design -Build contract through the risk management control of this unique project. 1 INTRODUCTION The Amsterdam to Paris will be just a matter of three hours in armchair comfort. Or from central Rotterdam to the centre of London in three hours when the Channel Tunnel Rail Link will be ready. In 2005, when the Netherlands will be connected to the European high-speed rail network, both should be possible. No motorway tailbacks or waiting at the check-in desk at Schiphol. Instead, smooth journeys at up to three hundred kilometres an hour, not only in the European countries but also inside the Netherlands itself. In the construction of the High Speed Line emphases, wherever possible, will be on the state of the art, technologies, safety, reliability and sustainability with low costs and low risk profile. Much attention will also be paid to architecture of the required infrastructure engineering, including around a hundred and seventy bridges, tunnels and underpasses. The High Speed Line is unique project, an interplay of state and private enterprises resulting in a safe and fast transport system that meets both the needs of our times and the needs of tomorrow and beyond. The shield driven tunnel under the Green Hart is going to be constructed as a part of the High Seed Line South to meet the needs of development and mobility. Since 1991, the high-speed line has gone through all the statutory procedures for of major infrastructure projects, including the procedure for the Kay Planning Decision (KPD) which is embodied in the Infrastructure (planning Procedures) Act. Following the approval of the High Speed Line KPD by the First Chamber, at the end of April 1997, a start was made on a detailed elaboration of the route. This was done in close consultation with local residents and the relevant local, provincial and national authorities and governmental agencies.

Fig 1 The Green Heart Tunnel

In the meantime the ministers also accepted The Route Decision and at this moment hearing activities are running at the Council of State. It is still possible for local residents, companies, organisations and communities to make objections and to submit them officially. The Council of State will make a decision and will announce in August 1999 when the Route Decision is going to become irrevocable with no more official and formal obstacles to begin with constructing of the tunnel. 2 PROJECT DESCRIPTION The total length of the tunnel is more than 8 km comprising a 741 m north incline, a 707 m southern incline and 7,16 km of the shield driven tunnel. There will be three maintenance and safety shafts at intervals of about 2,0 km and additional ventilation shafts. Tunnel diameter is 14,9 m and the thickness of the precast concrete segments is 0,6 m. The safety shafts have diameter of 32 m and depth of about 38 m. In the serviceability phase these shafts will be used for emergency purposes and ventilation, and also as a plant building.

picture of difficult soil conditions for any construction works. Under this Westland formation is the Twente and Urk formation 25m to 30m from the surface. This formation consists of fine sand layers with density between 10 % to 60 %. This means a great risk of squeezing and settlements. Furthermore, any construction works that are going to take place under these soil conditions should be carefully considered, taking into account the influence of a soil disturbance on the structures 3 CONTRACTING PROCEDURE A contract procedure for the shield driven tunnel Green Heart started in September 1998 considering an original and unusual way of tendering. There were no traditional advertisements with information, process to record and general specifications but informal, frank and public approach through an organised symposium with domestic and foreign constructors. The main goal of this was to call the market for an intelligent, creative and original solution for the shield driven tunnel project, one of the biggest and expensive parts of the high-speed line rail link. The contract procedure was finished in November 1999 when the Design-Construct type of contract has been signed with the awarded constructor Franco Dutch consortium consisting of Bouygues Travaux Publics and Koop-Tjoekem. The contract was awarded on 1st of November 1999 after a second phase of negotiation that began in June 1999 before the bid was submitted. There ware a serious presentations and technical discussions between the Client and contractors and through its complete openness about technical matters, risks, costs and schedule, the Bouygues -Koop consortium succeeded in their approach of partnering with the Client. The innovative single tube solution with a central partition wall brought enormous amount of advantages to the Client as well as contractor. The High-Speed Line Project Organisation is responsible for ensuring a successful construction operation of hundred kilometres of high-speed line. In it, NS-RIB (Dutch Railways Rail Infrastructure Management), Holland Railconsult and DHV (environment and infrastructure consultants) work together under responsibility of the Ministry of Transport, Public Works and Water Management and the Ministry of Housing, Spatial Planning and Environment. In 1998 the structure of the organisation changed from a preparatory phase structure to a structure with emphases on project construction. The Project Office Shield Driven Tunnel Groene Hart of the Project Organisation High Speed Line South has the following tasks:

Fig 2 TBM of the Green Heart Tunnel, (NFM, Lyon 14,9 m diameter is the largest ever built) The northern and southern inclines are broken down in three sections: open cutting of 540 m; cut and cover tunnel of 200 m and start respectively exit shafts. The inclines are built inside the containment made of steel sheet piles and diaphragm walls where the underwater concrete has been anchored by driven piles and barrettes. Soil characteristics of the Green Hart location are challenging. There are multiple soil layers consisting of salty and brackish water with water table up to the ground surface. The Holocene Westland geological formation, with 10 m to 15 m thick pit (specific weight of 1100-1300 kg/m3) and marine clay layer settled on the lose sand, gives a proper

To prepare and guide project design and construction, inclusive technical installations. To establish necessary boundary conditions for realisation (ground purchase, cables and ducts, permissions, etc.) Communication activities with local res idents and authorities concerning tunnel design and construction Preparation of (optional) maintenance plan in a period from five to ten years after completion

same circumstances concerning the scope of the work with all changes during the project life. On the other hand the risk assessment belongs with its mayor part to the contractor instead to the client. UsChanges Contractors Responsibility Clients responsibility Changes Claims Claims

Traditional

By adopting an open attitude and approaching the commercial exploitation of the line, in an innovative way, the Project Organisation stimulated the research and development of the best possible solutions and products that will fit seamlessly into wishes of its users. The contracting process has been realized concerning the following order: 1. Pre-qualification phase 2. Invitation to consultation 3. Consultation phase 4. Invitation for offers 5. Offering phase 6. Offer Submission 7. Evaluation phase 8. Invitation for negotiation 9. Negotiation phase 10. Awarding

Clients Responsibility

Design & Construct

Contractors responsibility Scope Risks

ing the traditional contracting form the client and contractors responsibilities are mirrored (see Fig 3). Considering the issues of Design Construct assumptions it was necessary for the client to define and chose the most effective and easiest way of the project management control during all project phases from the first idea to maintenance taking care for each phase about risk profile on the one side and the prevision costs, schedule, quality, information and organization issues on the other side.

Fig 3 Responsibilities The main issue Risk Profile The clients intention was to keep the in Design risk profile low during the contracting Offer Construct phases establishing the efficient basephilosophy ment of the risk control procedure with Reference Design (RD) is the way the contractor. This basement considers of risk disthe optimal segmentation of the risks beAwarding tribution tween the client and contractor avoiding Garantee As Built between the unacceptable risks and an agreement client and about the risk control with its superv iPhases contractor sion during the project cycles (see Fig where the Consideration 4). Design Maintainance project Negotiation Construct manag eFig 4 Risk Profile during contracting ment is phase based on the risk management control (RMC). Client has chosen for the negotiation procedure based on the Design Construct philosophy intending 4 DESIGN & CONSTRUCT (D&C) BASES to establish healthy cooperation between the client and contractor due to their main goal of making the The clients approach to the idea of applying at project successful by all means. Contractor on the the first time in the Netherlands the Design Conother hand was surprised with the professionalism of struct contracting form on a mayor tunneling project the client granting his full cooperation during the all was based on the statement: Clearness above Reaphases of the project. sonableness. This means that the clients respons ibilities in Design Construct approach decrease and the contractors responsibilities increase under the

5 D&C PHASES For the consideration phase was important to give a clear picture about the client wishes and procedures. The target was to harmonize the main line with the design (offer). Basic document produce by client ware: The Tender Guidelines with instruction about evaluation; draft contract mentioning the program of requirements and project details; reference design. For the contractors was important that they could submit an offer based on clients reference design (risk profile) and draft contract (risk allocation). This was considering by the client through superv ision of design development concerning the offer consistency (risk profile plus risk allocation). Offers evaluation was based on risk profile definitions: discrepancies with reference design and control measures. The other side was available noclaim bonus with definition of negotiation basement: risk allocation (conditions) with the statements does not satisfy unless and satisfy if. regarding the program of requirements. Awarding criterias ware based on the offered price realization with offered price for maintenance (15 years / 25 years). Minimum construction nuisance with shorter construction time inclusive recycling possibility of out-coming soil, low risk profile and innovative elements covered with the acceptable quality assessment plan where the additional criterias consider by the client. The negotiation phase was important for the client as well as contractor because of the possibility to discuss and solve many issues concerning the control measures does not satisfy unless and satisfy if. Furthermore ware the preconditions and the top risks discuss making it clear for contractor what should be considered in their finial offer. Award went to the contractor who achieved to harmonize the risk profile, risk allocation, control measures agreed in negotiation phase with the design considering the quality assurance in the construction phase. Of course the implementation of the clients external quality assurance has as a main target to control the contractors demonstrability of fulfilling the program requirement. This is based on project risk management where consequences of taking the countermeasures by the contractor should be avoided. This means that predict and avoid got the priority before happened and cured.

6 THE RISK MANAGEMENT PROCESS The Australian Risk Management Standard [4] is a generally acknowledge standard for risk management. The general method is widely used as a generic risk management process applicable to almost all projects or processes. It consists of 8 phases shown on Fig 5.

1. Risk policy

2. Risk identification
6. Monitoring, control and review 7. Risk communication internal and external 8. Documentation

3. Risk analyses Acceptable risk 4. Risk evaluation

5. Risk treatment

Unacceptable risk

Fig 5. The generic risk management process This type of risk management control is applied on the green Heart project. The part of risk management involving implementation of procedures and physical changes to eliminate or minimize adverse risks. Risk control includes review of the risk process and review of relevant documents during and after completion of the project. Risk policy consider the context in which RM is performed; relations/interactions with other management systems and criteria for acceptable risks. Risk identification consists of what can happen, how and why it can happen. In this stage the client gave to the contractor additional subjects of concern which contractor add to his risk identification file. Risk analyses have been performed from the contractor side for existing risk controls inclusive likelihood and consequences due to the risk level definition. Risk evaluation is very important to establish mayor risk and risk priorities, which can be discussed due to measuring risks against the risk policy. If the risk evaluation shows that the risks are acceptable then the process leads to the monitoring, control and review of the parameters defined in previous steps. If the unacceptable risks occurred then the risk treatment is the next step. This means that the process of identification of possible risk reducing measures shell take place to reduce likelihood or and consequences; risk transfer and the elimination of risks. Risk treatment consider the evaluation of technical economical and administrative measures;

evaluation of residual risks against the risk policy; selection of the solutions; implementation of solutions and the transferred risks have to be monitored and reviewed to insure that the conditions are fu lfilled. To close the risk loop the last stage in the process is dedicated to the monitoring, control and verifying the risk evaluation and treatment pointing back to the risk identification. Risk communication internal as well as external is recorded to the risk documentation of the contractor always available for the client.

REFERENCES Bakker, K. J., (2000), Soil Retaining Stru ctures, PhD Thesis, Delft University of Technology, Delft, The Netherlands Blom, C.B.M., Jovanovic, P.S., (1999), Requirements for tunnel design in soft soil, Proceedings Long Road and Rail tunnels, Basel, Switzerland Blom, C.B.M., Jovanovic, P.S., Oudejans, W.L., 2000, Recommendations for Tunnel Lining Design in Soft Soil, Conference Proceedings, 16th congress of IABSE, Structural Engineering for Meeting Urban Transportation Challenges, Lucerne, Switzerland Blom, C.B.M., van der Horst, E.J., Jovanovic, P.S., (1999), Three-dimensional Structural Analyses of the Shield-driven Green Heart Tunnel of the High-Speed Line South, Tunnelling and Underground Space Technology, Vol. 14., No. 2, pp. 217-224. Bakker, K.J., Leendertse, W.L., Jovanovic, P.S., Oosterhout, G.P.C. van, 1999, Stresses and Strains in Segmented Lining, Evaluation of Monitoring and Numerical Analyses, Conference Proceedings, TC 28 Symposium on Geotechnical Aspects of Underground Construction in Soft Soil, Tokyo, Japan Blom, C.B.M., 2001, Damage patterns and mechanism of segmented concrete tunnel linings, Delft University of Technology, Delft, The Netherlands Bloemhof, K, 2001, Geometrical tunnel model, damage of segmented concrete linings Delft University of Technology, Delft, The Netherlands [in Dutch] Blom, C.B.M. Oosterhout, , G.P.C. van, 2001, Full Scale laboratory tests on a segmented lining, summary report, Utrecht, Delft, The Netherlands Blom, C.B.M., 2001, Lining behaviour Analytical solutions of coupled segmented rings in soil, Preliminary Thesis Design Philosophy of Concrete Linings of Shield Driven Tunnels in soft soils, Chapter 3, Delft University of Technology 25.5-01-15, Delft, The Netherlands Jovanovic, P.S., Veen, C. van der, (1999), Design of lining structure, Conference proceedings, Infratunnel, RAI Amsterdam, The Netherlands Leendertse, W.L. (1997), Damages of segments on the west tube The Second Hein enoord tunnel, Bouwdienst Rijkswaterstaat 1933-T-980735, The Netherlands

Quality assurance contractor

Internal Quality Internal assurance Client

Quality Handbook Project quality plan Section quality Plan

Actualisation

Risk File File

Quality frame HSL-South Project Plan PB North Holland Contract control Plan BOT
Testing Plan BOT

Realisation Plan Verification Plan Testing Plan

External External

Test Tables Test Results

Testing Results

Quality Quality assurance assurance

Fig. 6. Project control Standard Agenda: 1. Already indentified risks Measures 2. New Risks (Client Contractor)
Examples discussions of progress: Conditioning Healthy & Safety Discussion about TBM Ramps/ strating shaft diverse

Risk File

Fig. 7. Project Discussion 7. CONCLUSIONS This experience with the risk management control leads to the conclusion that the stimulation of proactive thinking with limitation to the essence under the streamline discussion of progress between the contractor and the client are the keywords for the success.