Earthfill & Rockfill Specification

Part 645 Construction Inspection
National Engineering Handbook
Chapter 8 Earthfill and Rockfill
(210–VI–NEH, Amend. 74, October 2015)

Chapter 8 Earthfill and Rockfill Part 645
Issued October 2015
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Contents 645.0800 Introduction 8–1
645.0801 Installation 8–1
(a) Materials............................................................................................................ 8–1
(b) Foundation preparation................................................................................... 8–5
(c) Placement and processing.............................................................................. 8–6
(d) Moisture control............................................................................................... 8–8
(e) Compaction..................................................................................................... 8–10
645.0802 Sampling and testing 8–16
(a) Determining frequency of testing................................................................. 8–16
(b) Testing location.............................................................................................. 8–17
(c) Sampling.......................................................................................................... 8–17
(d) Testing.............................................................................................................. 8–17
(e) Evaluating test results................................................................................... 8–22
645.0803 Records and reports 8–27
645.0804 References 8–28

Figures Figure 8–1 Disk penetrating into preceding lift 8–6
Figure 8–2 Proctor curve 8–8
Figure 8–3 Standard and Modified Proctor effort as specified 8–9

in ASTM D698 and ASTM D1557
Figure 8–4 Compaction moisture’s effect on soil strength and 8–9

permeability
Figure 8–5 Water requirements for compaction 8–11
Figure 8–6 Selection of compactor type 8–13
Figure 8–7 Sand cone apparatus 8–18
Figure 8–8 Apparatus for the rubber balloon method 8–19
Figure 8–9 Drive cylinder apparatus 8–20
Figure 8–10 Typical family of curves 8–23
Figure 8–11 Proctor and ZAV curves 8–24
Figure 8–12 70% ZAV curve, 90% ZAV curve, and ZAV curve 8–25
Tables Table 8–1 Engineering use of earthfill 8–3
Table 8–2 Compaction characteristics of soils 8–12
Table 8–3 Summary of compaction classes defined in NEH 642, 8–14

Construction Specification 23
8–ii (210–VI–NEH, Amend. 74, October 2015)

645.0800 Introduction 645.0801 Installation
Earthfills and rockfills are widely used in NRCS work

for berms, dikes, levees, various types of embankments, (a) Materials
and structural backfills. Many NRCS projects contain
soil and/or rock as the primary structural component. (1) Earthfill and earth backfill
Earthfill is composed of natural earth materials that
The quality of available material and the foundation can be placed and compacted by construction equip-
conditions are major factors in determining the type ment operated in a conventional manner. Earth back-
of structure that can be economically constructed at fill is also composed of natural earth materials placed
a given location. The inherent variability of earth and and compacted in confined spaces or adjacent to
rock materials requires a greater tolerance in design structures (including pipes) by hand tamping, manu-
and construction than for most other construction ma- ally directed power tampers or vibrating plates, or
terials. Materials range from fine-grained soils (50% or their equivalent.
more passing a No. 200 sieve) to rocky soils (predomi-
nantly gravel and cobbles) or combinations of these. Normally, earthfills are constructed from the most suit-
The availability of materials at the site, their engineer- able materials available at or near the site after remov-
ing properties, and the purpose of the structure deter- al of rock particles that are larger than the maximum
mine what can be designed. size specified. Physical properties of these materials
such as permeability, strength, and compressibility
The proper use of earth and rock as construction must be assessed; preferably determined from prior
materials requires special attention to investigation, laboratory and field test results. These laboratory and
testing, and appropriate design procedures and as- field test results are interpreted to predict the suitabil-
sumptions. Onsite use of the materials in installation ity of the material for the type of structure planned.
requires proper selection from a borrow source, control
of placement and processing, moisture control, and Earthfill and earth backfill details in the construction
adequate compaction. Inspection of earth and rock drawings and specifications are generally based on the
construction requires knowledge, experience, and judg- laboratory tests of samples taken from the foundation
ment to ensure compliance with the specifications and and borrow areas at the site. These details identify the
a quality finished job. types of material to be used and their location in the
installation according to their Unified Soil Classifica-
Prior to earthfill and rockfill operations, the inspector is tion System (USCS) designation. The USCS, developed
responsible for: by Cassagrande in 1952, was adopted by most U.S.
Federal agencies as a standard for all engineering
• reviewing and understanding the drawings and work. It is the recognized classification standard for all
specifications related to earthfill and rockfill engineering work in the NRCS. The system is currently
published as a standard in ASTM D2487. ASTM D2488
• verifying diversion, dewatering, and drainage provides the field methods for classifying soils in ac-
systems are in place cordance with the USCS.
• verifying access and haul roads are constructed
All NRCS engineers and inspectors working on
• verifying safety aspects of earthfill and rockfill construction should be familiar with the USCS and
operations are addressed the procedures outlined in both of the above ASTM
• verifying required excavations can be accom- practice standards. The NRCS provides soil mechan-
plished without adversely affecting buried utilities ics training courses and modules for engineers and
inspectors. It is recommended that inspectors take
• verifying required permits are obtained and the advantage of these and other available resources for
work can adhere to permit requirements improving knowledge, skills, and abilities in under-
standing engineering characteristics of various soil

groups and how they can best be used in construction SW–SC. These gravels and sands by definition contain
of conservation measures. Additional information on 5 to 12 percent fines. They would not be suitable for
the USCS can be found in chapter 7 of this handbook. applications where free drainage is necessary. For
Appendix B contains Worksheet 7.1, which could be more on gravels and sands used for drains and filters
helpful in performing a visual classification of the soil. see NEH 645, Chapter 11, Drains and Filters.
Examples of how the USCS can be applied to a variety In addition to being used for backfill, nonplastic granu-
of engineering uses of earthfill are shown in table 8–1. lar materials are often used for structure foundations
The four properties used for evaluation are perme- to improve the bearing capacity by removing and
ability, resistance to piping, compressibility, and work- replacing soft soils with free draining coarse-grained
ability. A numerical rating from 1 (most suitable) to 14 soils.
(least suitable) is used to determine the relative suit-
ability of soil materials in rolled earth embankments, Classifying soils according to the USCS alone does
channel sections, and foundations. not always provide enough information to predict
soil performance. Gravelly and stony soils used in
Earth backfill may be constructed from the same compacted embankments have been classified by the
materials as earthfill; however, the specified maximum NRCS in three groups on the basis of the durability of
particle size is usually smaller than that specified for the coarse rock and soil materials. The details of this
earthfill. Earth backfill may be composed of plastic classification and its use are explained in NRCS Tech-
materials with low permeability for sealing off the nical Release No. 26, The Use of Soils Containing More
movement of water. Common classifications of these Than 5 Percent Rock Larger Than the No. 4 Sieve.
types of backfill materials are CL, ML, SC, SM, CH, and
MH. Most earthfills and earth backfills are designed as
homogeneous fills. Larger structures, such as embank-
Earth backfill may also be nonplastic materials such as ments for flood control dams, or sites that have limited
clean sands and gravels which are often selected over quantities of impermeable soils may be designed as
plastic soils because of the ease and economy of plac- zoned fills. Zoned fills will have the less permeable
ing (particularly in confined areas), good stability, and material placed as a cutoff or core zone and the more
low settlement potential. They cannot be used where permeable material placed at less strategic points
impermeability is required. These nonplastic, granu- such as the outside sections of the embankment. The
lar soils can be made to flow under a pipe or other inspector, in such cases, must be familiar with the
structure and be compacted with little effort if they do quantity and quality of the borrow materials to verify
not contain excessive amounts of fines (i.e., particles the selection and placement of them in the embank-
smaller than the No. 200 sieve size). Sands and gravels ment to produce the zones specified in the design. Any
classified as GW, GP, SW, and SP make the best granu- changes to zone locations or limits must be approved
lar backfill because, by definition, these soils contain by the design engineer.
less than 5 percent fines. Proper selection of granular
materials is important for successful results. Exces- It is common for borrow areas to contain layers or
sive amounts of fines tend to plug the voids between lenses of materials that vary in texture and moisture.
the coarse-grained soils and inhibit drainage necessary The contractor, by selecting the materials at the time
for the consolidation process. of loading and by proper routing and control of the
haul equipment, should place the materials in the
Gravels and sands with up to 12 percent fines may be designated zones where they are suitable for use.
suitable for some backfill applications. These include On some jobs, compaction moisture is controlled by
gravels and sands with a dual classification: GW–GM, selecting borrow materials with a moisture content
GW–GC, GP–GM, GP–GC, SW–SM, SP–SM, SP–SC, and within the specified range. Thus, material suitability is
contingent on both texture and moisture content.
8–2 (210–VI–NEH, Amend. 74, October 2015)

Table 8–1 Engineering use of earthfill
Chapter 8
Important properties Relative desirability for various uses

Rolled earth dams Canal sections Foundations
Typical names of Group Permeability Shearing Compressability Workability Homogeneous Core Shell Erosion Compacted Seepage Seepage
soil groups symbols when strength when as a embankment resistance earth important non-
compacted when compacted construction lining important
compacted and material
and saturated
saturated
Well-graded gravels, GW Pervious Excellent Negligible Excellent — — 1 1 — — 1
gravel-sand mixtures,
little or no fines
Poorly graded gravels, GP Very pervious Good Negligible Good — — 2 2 — — 3
gravel-sand mixtures,
little or no fines
Silty gravels, poorly GM Semipervious Good Negligible Good 2 4 — 4 4 1 4
graded gravel-sand- to impervious
silt mixtures
Clayey gravels, poorly GC Impervious Good to fair Very low Good 1 1 — 3 1 2 6
graded gravel-sand-
clay mixtures
Earthfill and Rockfill
Well-graded sands, SW Pervious Excellent Negligible Excellent — — 3 6 — — 2

gravelly sands, little if
or no fines gravelly

Poorly graded sands, SP Pervious Good Very low Fair — — 4 7 — — 5
gravelly sands, little if if
or no fines gravelly gravelly
Part 645
Silty sands, poorly SM Semipervious Good Low Fair 4 5 — 8 5 3 7

graded sand-silt to impervious if critical ero-
mixtures gravelly sion
Clayey sands, poorly SC Impervious Good to fair Low Good 3 2 — 5 2 4 8
graded sand-clay
mixtures
Inorganic silts and ML Semipervious Fair Medium Fair 6 6 — — 6 6 9
very fine sands, rock to impervious erosion
flour, silty or clayey critical

fine sands with slight
plasticity
8–3
8–4
Table 8–1 Engineering use of earthfill—continued
Chapter 8
Important properties Relative desirability for various uses

Rolled earth dams Canal sections Foundations
Typical names of Group Permeability Shearing Compressability Workability Homogeneous Core Shell Erosion Compacted Seepage Seepage
soil groups symbols when strength when as a embankment resistance earth important non-
compacted when compacted construction lining important
compacted and material
and saturated
saturated
Inorganic clays of low CL Impervious Fair Medium Good to fair 5 3 — 9 3 5 10
to medium plasticity,
gravelly clays, sandy
clays, silty clays, lean
clays
Organic silts and OL Semipervious Poor Medium Fair 8 8 — — 7 7 11

organic silt-clays of to impervious erosion
low plasticity critical
Inorganic silts, micac- MH Semipervious Fair to poor High Poor 9 9 — — — 8 12
cous or diatomac- to impervious
ceous fine sandy or
Earthfill and Rockfill
silty soils, elastic silts
Inorganic clays of CH Impervious Poor High Poor 7 7 — 10 8 9 13

high plasticity fat volume
clays change
critical

Organix clays of me- OH Impervious Poor High Poor 10 10 — — — 10 14
dium to high plasticity
Peat and other highly P — — — — — — — — — —

Part 645
organic soils
With respect to earthfill and earth backfill materials, (b) Foundation preparation
the inspector is responsible for verifying:
The purpose of careful foundation preparation for
• adequate knowledge and competency in the field earthfill placement is two-fold. The first is to remove
use of the USCS topsoil, loose materials, organic materials, standing
• materials being used are properly identified and water, or any unsuitable materials that would com-
do not differ significantly from those materials promise the integrity of the contact area between the
specified in design earthfill and the foundation. The second is to prepare
the foundation to allow good bonding of materials at
• materials are routed to specified locations in the the contact area. The project specifications will pro-
earthfill vide the necessary details for preparing the founda-
• frozen materials are not used in any earthfill or tion.
earth backfill
Prior to placing earthfill or rockfill, foundations should
• moisture content of borrow materials is within be prepared by removing vegetation and other unsuit-
the specified range or will be adjusted to comply able material or excavating as specified. Dewatering
with specification requirements before compac- must be accomplished to facilitate placement, process-
tion ing, and compaction.
• significant changes in materials are promptly
reported to the responsible engineer Rockfill foundations must be cleaned in a similar
fashion as for earthfill. Bonding at the contact area
(2) Rockfill is not a concern as long as the contact is clean and
Rockfill will generally be natural materials that are moist. Some contouring may be called for with regard
hard, durable, and larger than gravel size. Rockfill may to overhangs and vertical surfaces.
contain only trace amounts of sand or fine-grained soil
materials; however, various amounts of sand and fine- Occasional rock outcrops in earth foundations for
grained materials may be allowed by some specifica- earthfill may require special treatment if they interfere
tions. Riprap materials differ from rockfill in that they with foundation preparation, the initial layers of the
are generally clean materials of a specified gradation. fill or the bond between the foundation and the fill.
Rockfill materials may be from a source on the con- In dams and other structures designed to restrain the
struction site or from offsite sources. On some occa- movement of water, special treatment of rock out-
sions, rockfill materials may be of less durable onsite crops is generally required. Otherwise, occasional rock
materials that are more weathered, but are being used outcrops should not require special treatment.
as a zoned fill for purposes of economy. These types
of materials will breakdown during the processing and For dams and other structures designed to impound
compaction, so close attention needs to be given to water, it is important that the foundation be prepared
specified methods and field test results. to achieve a good bond with the earthfill to prevent a
future seepage path or a slippage surface due to weak
Borrow sources (onsite or offsite), gradation, quality shear strength properties. Earth foundations should
of rockfill materials, processing, and compaction need be compacted to the specified density with the soil
to be clearly designated in the drawings and specifica- at the specified moisture content. See Construction
tions. Specification 23—Earthfill, NEH 642. Rock founda-
tions, in the same situation, must be clean, moist, and
With respect to rockfill materials, the inspector is contoured to eliminate overhangs, vertical surfaces,
responsible for verifying: and excessively steep surfaces. This treatment is well
represented in NEH 645, chapter 7, section 645.0701.
• only rockfill materials meeting the job specifica-
tions are approved for installation Some foundation soils, when left exposed to the sun
and wind for any length of time, will shrink and begin
(210–VI–NEH, Amend. 74, October 2015) 8–5

to crack. Careful inspection is needed to assure that use of proper equipment, and a systematic routing of
these soils are removed and the surface reworked to this same equipment. This scenario provides a repeat-
restore a competent foundation. able process that will produce a consistent quality fill.
Inspectors should understand this process and be alert
Care must be exercised to prevent the placement to contractors taking shortcuts in any aspect of this
of frozen materials or the placement of material on sequence of operations.
a frozen surface. When all foundation surfaces are
approved as meeting the specifications, the fill opera- It is important to determine if the contractor under-
tions can begin. stands the selection of borrow materials and has the
proper equipment to haul the fill to the work site and
Abutment and sloping surfaces for both kinds of fill spread it in the required lift thicknesses. The place-
should be cleared of all loose material by hand or ment of the earthfill to the required precompaction lift
other effective means and should be free of standing thickness is an important first step.
water when fill is placed upon them. Foundation and
abutment surface steepness should be as specified for After initial placement and spreading, all roots, vegeta-
the job. Fill material should not be placed until the tive growth, oversize rocks, and other debris that may
specified foundation preparation has been approved. have been brought to the fill site from the designated
borrow sources must be separated and removed to the
For more on foundation preparation, see NEH 642.07, specified waste areas. This may require a root rake or
Excavation, Dewatering, and Foundation Preparation. possibly handpicking.
With respect to foundation preparation, the inspector Large, hard lumps or masses of soil must be pulverized
is responsible for verifying that: by disking, harrowing, or other means. When water
is added at the time of placement, it is essential that
• the foundation is prepared as specified prior to it becomes thoroughly and uniformly mixed into the
any placement of materials entire lift. The disk or plow that is used to mix and
incorporate water into the soil must be able to pen-
• surface and subsurface drainage features are in
etrate completely through the current lift and into the
place to control water during earth or rockfill
preceding (previously placed) lift as depicted in figure
operations
8–1. This will promote good bonding to the lower lift.
• clearing and foundation preparation operations When disking is specified, if applicable, the disk must
comply with safety standards meet the size and type specified and be capable of pen-
(c) Placement and processing
(1) Earthfill
Figure 8–1 Disk penetrating into preceding lift
During the placement of earthfill, the inspection of
borrow materials coming to the work area is most
important. The compaction of earthfill, which follows
the placement process, is dependent on clean materi-
als that will allow a consistent compactive effort to
Disk plow
produce a uniformly dense material. Any material that
interferes with this compaction process is detrimental
to the operation. Debris; sticks; stones; roots and other
organic material; soil that is too wet to compact; and
frozen soil all interfere with this process.
Good earthfill placement and processing that results

Uncompacted lift
in fill meeting the quality defined by job specifications,
requires the proper selection of borrow materials, the Preceding lift

etrating and mixing the full depth of the lift. When the • earthfill has been placed, moisture adjusted, and
disk or plow cannot penetrate completely through the processed in a manner consistent with the job
current lift, the alternatives are to get a bigger, heavier drawings and specifications
disk or reduce the lift thickness until this requirement
• frozen materials have not been placed nor have
can be met with the equipment being used.
materials been placed on any frozen foundation
or fill surface
During construction of an embankment, the top sur-
face must be maintained approximately level with just
(3) Rockfill
enough slope for the drainage. Unless otherwise speci-
Rockfill needs to be staked out and placed in those
fied, when building a dam embankment, this slope
zones or areas designated on the drawings.
should drain upstream toward the sediment pool area.
This procedure is designed to minimize erosion on the
The preferred method for rockfill placement is to
back slope and the resulting sedimentation that would
dump on the surface of the layer being placed and
be transported downstream.
then to spread to the desired thickness with a crawler
tractor by pushing the material over the advancing
(2) Earth backfill
faces of the layer. This procedure creates segregation
Earth backfill refers to fill placed adjacent to struc-
with the larger rocks in the bottom of the lift and the
tures or in confined spaces. This fill is placed in thin-
smaller rock, spalls, and finer materials in the upper
ner lift thickness with more strict requirements for
part. The main advantage of this technique derives
removal of oversize particles. The inspector should be
from the relatively smooth upper surface resulting
well aware of the specification requirements for this
from pushing the dumped rock a short distance on top
operation. The height of the earth backfill adjacent
of each layer being placed such that depressions and
to a structure should be maintained at approximately
voids between larger rocks become progressively filled
the same level on all sides of the structure. The idea
with the smaller materials. This approach also facili-
is to prevent overloading of a structure and allow the
tates maintaining the desired lift thickness because the
structure to assume the loads from the earth backfill
dozer operator is always advancing the lift ahead upon
gradually and in a uniform manner. For more on earth
the smooth surface at its proper elevation. The smooth
backfill, see Construction Specification 23 – Earthfill,
layer also reduces tire wear, allows higher truck
NEH 642.
speeds, and provides a better surface upon which to
operate the compaction equipment.
For earthfill and earth backfill placement and process-
ing, the inspector is responsible for verifying:
Lift thickness is generally controlled by the maximum
size of the material that is being used for rockfill.
• earthfill zones are properly staked out
• earthfill is installed at locations designated on The inspector needs to make sure rock materials are
the drawings and specifications of the size range anticipated in design. When this is not
the case, the inspector needs to notify the responsible
• foundation and/or embankment surfaces are
engineer and see that changes are made in the lift
conditioned for bonding and comply with the
thickness to fit the size range of the rockfill.
specified grades and density
• oversize stones, roots, and debris are removed With respect to rockfill placement, the inspector is
before compaction responsible for verifying:
• type of earthfill materials comply with specifica-
• rockfill zones or areas are properly staked out
tion requirements
• rockfill is installed at locations designated on the
• earthfill placed in an embankment has a top sur-
drawings and specifications
face that is maintained approximately horizontal
and properly sloped for drainage

• prescribed placement methods are followed to The Proctor procedure and resultant Proctor curve
produce a competent rockfill (fig. 8–2) yield two important values. The first value,
termed maximum dry density, is the maximum dry
• lift thicknesses are appropriate for the material
density of the soil that can be obtained when com-
being placed
pacted by the Proctor procedure. The second value
is called the optimum moisture content. Optimum
(d) Moisture control moisture is the soil moisture at which the maximum
dry density can be attained.
(1) Earthfill and earth backfill
Compaction moisture is the water content of soil at the As in Proctor’s time, geotechnical design of earthen
time of compaction. Its importance cannot be overstat- structures requires engineering properties of soils be
ed. In 1933, R.R. Proctor, an engineer for the Bureau of known for soils compacted:
Waterworks and Supply in Los Angeles, California, pub-
lished four articles in the Engineering News Record de- • by a specific compaction effort
scribing how soil moisture is critical when compacting • at a specific moisture content
soils. Proctor said, “For a given energy, if a given soil
is compacted at different water contents, the resulting • to a specific density
dry density of the compacted soil will vary.” And he
emphasized the importance of compaction moisture Geotechnical design of earthen foundations and struc-
when he said “The effect of the moisture content of a tures begins with soils sampled in the field being com-
soil upon the density to which it may be compacted is pacted in the laboratory by the procedure described
the most important principle of soil compaction.” in ASTM D698 or D1557. The soils’ optimum moisture
and maximum density are determined from the result-
Proctor was a field engineer involved in the design ing Proctor curve. The soils’ engineering properties
and construction of earthen dams. He understood can then be determined by testing the soil that has
that geotechnical design of earthen structures relied been compacted within a specific moisture range to
on knowing the engineering properties of soil such as some degree relative to maximum density. By specify-
compressibility, shear strength, and permeability. But, ing that the density of in-place soil be a value relative
since these engineering properties are contingent on to maximum density, the earthen structure’s engineer-
compaction moisture and soil density, Proctor sought a ing properties should be similar to those considered by
way to relate laboratory compaction moisture and soil
density to that of soil compacted in the field. His search
lead him to determine that a standardized laboratory
procedure was necessary for compacting soils at vari-
ous compaction moisture contents, and his work lead
to the development of what is commonly called the Figure 8–2 Proctor curve
standard Proctor curve. Figure 8–2 illustrates Proctors’
principle and shows a typical standard Proctor curve.
The standard Proctor procedure is described in ASTM Maximum

10
D698 and is commonly used worldwide. There is also

0p
a modified Proctor procedure (ASTM D1557) with a

er
Density (lb/ft3)
ce
compactive effort approximately four times that of

nt
sa
the standard Proctor effort, but it is rarely used for

tu
Optimum
ra
conservation engineering measures. Figure 8–3 shows

tio
n
the energy application (effort) for standard Proctor

(ASTM D698) and modified Proctor (ASTM D1557).
Subsequent information focuses on the standard Proc-
tor method since it is the most commonly used.
Water content (percent)

Figure 8–3 Standard and Modified Proctor efforts as the design engineer. This was Proctor’s goal when he
specified in ASTM D698 (a) and ASTM D1557 sought a way to relate laboratory compaction moisture
(b)
and soil density to that of soil compacted in the field.
(a) Standard Proctor effort as specified in ASTM D698
In addition to density, compaction moisture must be
• 5.5-lb hammer
specified and should be carefully controlled to gain
• dropped 12 in 5.5-lb hammer efficient compaction and to meet the specification re-
• 3 lifts in 1/30 ft3 mold quirements. Compaction moisture not only affects the
• 25 blows per lift
density to which it may be compacted, it also affects
Total energy is ≈12,400 ft-lb/ft3 soil strength and permeability. Soil that is compacted
at a moisture content that is below the optimum mois-
ture content tends to be stronger but more permeable
than if compacted at a moisture content above opti-
mum. This is illustrated in figure 8–4 showing that soil
12-in drop
particles tend to reorient themselves into a less perme-
able structure when compacted at a moisture content
above optimum. The soil is also more flexible when
compacted at a moisture content above optimum. For
many conservation engineering measures, imperme-
ability and flexibility are more desirable than high
strengths. Thus, most NRCS specifications are written
3 lifts to specify compaction moisture above optimum. Con-
versely, for high fill structures or other structures and
foundations requiring high soil strengths, compaction
moisture below optimum is desirable.
(b) Modified Proctor effort as specified in ASTM D1557 Large increases in moisture content are best achieved
by adding water in the borrow area. This is accom-
• 10-lb hammer plished by irrigation and aided by the mixing that oc-
• dropped 18 in 10-lb hammer curs when loading and transporting the material to the
• 5 lifts in 1/30 ft3 mold, 25 blows
per lift or placement area.
• 5 lifts in 1/13.33 ft3 mold, 56 blows
per lift
Total energy is ≈ 56,000 ft-lb/ft3
Figure 8–4 Compaction moisture’s effect on soil strength

and permeability
18-in drop
Maximum
10
0p
er
Density (lb/ft3)
ce
nt
sa
5 lifts
tur
Optimum
at
io
n
Water content (percent)

Reasonably small amounts of water can be added ef- Compaction is the consolidation of the loosely placed
fectively on the fill and incorporated into the soil with and processed earthfill material. The objective is to re-
the proper equipment and consistent processing. The duce voids in the soil by removing air and water, thus
size, weight, condition, and operating mode must be making the mass denser. This process generally lowers
such that the equipment can efficiently and uniformly the soil permeability and increases the strength prop-
stir and mix the full lift depth of the soil that is being erties. Compaction is achieved by mechanical means
processed. One way to gauge the effectiveness of this such as heavy equipment designed for compacting soil.
equipment is by the ribbon test. Place a piece of survey Examples of equipment designed specifically for com-
ribbon on the ground where the soil is to be deposited; paction are sheepsfoot rollers, static or vibratory tamp-
a piece approximately 10 feet long is sufficient. Place a ing foot rollers, static or vibratory smooth steel drum
small rock on each end to hold it in place. If the equip- rollers, multitired pneumatic rollers, and grid rollers.
ment for incorporating water is stirring and mixing the Equipment such as bulldozers, loaded dump trucks,
full depth of the lift, some of the survey ribbon will be and loaded scrapers may be able to compact soils to
brought to the surface. Otherwise, a change in equip- the specified density but are generally not as efficient
ment size, weight, condition, or mode or installing a as specifically designed compaction equipment.
thinner lift will be necessary.
Compaction equipment must be capable of compact-
Earthfill that is too wet must be dried out to the speci- ing the entire lift of earthfill to the minimum required
fied moisture content to assure success in attaining the density. The compaction equipment must be suited
desired density. Moisture can be removed on the fill to the type of material being placed. The inspector
area or in the borrow area and is best accomplished by should be familiar with the different kinds of compac-
disking or plowing. Figure 8–5 can be used to estimate tors and the types of materials for which each is best
water needs for specified compaction. suited. Table 8–2 and figure 8–6 provide guidance for
judging compaction equipment suitability for various
With respect to moisture control, the inspector is soils identified by the USCS.
responsible for verifying:
If the compaction equipment is not able to compact
• foundation moisture is within the specified range the entire lift of soil to the specified density, it may be
• compaction moisture is within the specified necessary to get heavier equipment, decrease the lift
range throughout the full depth of the lift thickness, increase the number of passes of the equip-
ment, verify that the correct compaction curve is being
• added water is properly incorporated into the referenced, consider a different type of equipment, or
earthfill to produce a uniform moisture content check to make sure the moisture content is appropri-
throughout the lift thickness ate.
(2) Rockfill When earthfill or earth backfill is being compacted, it

Moisture content in rockfill is usually not critical. Mini- is important that the equipment establish a consistent
mal moisture content is sometimes specified. pattern of travel to get complete coverage of the area
being compacted. Additionally, implementing a con-
Excessive moisture should be avoided as it may wet sistent compaction process maximizes the probability
down adjacent earthfill and adversely affect the place- that in-place testing of the earthfill will be representa-
ment, processing, or compaction. tive of the entire area being compacted.
As with most specifications, there are two ways to

(e) Compaction
specify compaction. One is to specify the compacted
soil density meet or exceed a minimum density or fall
(1) Earthfill
within a specified range of values. Specifications writ-
When the proper preparation and processing has been
ten in this manner are called performance-based speci-
completed, effective compaction can begin.
fications, or performance specs. The other way com-
paction can be specified is by method specification, or
method specs. In a method spec, the contractor must

Figure 8–5 Water requirements for compaction
4.6
140
4.5
4.4
4.3
130 4.2
4.1 This graph can be used to arrive at the gallons of water

per cubic yard required to raise the moisture content of
4.0 embankment materials to optimum moisture.
120 3.9 The density used in arriving at the water requirement

should represent the density of the material at the time
3.8 the water is added (in-bank density, loose density, or
compacted density).
3.7
Example: Material has a moisture content of 14 percent.
Gallons of water required to raise moisture cotent of 1 cubic yard of soil 1 percent
3.6 Optimum moisture content is 20 percent. Water is to be

110 added to material on fill. Estimated density at time water
3.5 is added is 100 lb/ft3. How much water will be required to
raise moisture content to optimum?
3.4
From graph: 3.24 gal/yd3/1% increase in
3.3 moisture content where density=100 lb/ft3
(gal/yd3/1 percent raise in moisture conten)
100
3.2 Water required: 3.24 (20−14)=19.4 gal/yd3
dry density (lb/ft3)
3.1
3.0
90 2.9
2.8
a
2.7
80 2.6
2.5
2.4
2.3
70
2.2
2.1
2.0
60
1.9
1.8
1.7
50 1.6

Table 8–2 Compaction characteristics of soils
(a) Compaction characteristics of coarse-grained soils

Unified Relative ease Compacted Importance of Preferred type of Number of Typical dry Typical water
class of compaction lift thickness water content equipment passes unit weights content
(in) (PCF) (%)
GW Very easy 10–12 Either dry or Crawler tractor 3–4 125–135 9–12
saturated vibratory roller
GP Good to 10–12 Either dry or Crawler tractor 3–4 115–125 12–16
excellent saturated vibratory roller
GM Good with 6–8 Fairly important Rubber-tired or 3–5 120–135 6–13
close control tramping roller
GC Good 6 Very important Rubber-tired or 6–8 115–130 9–14
tramping roller
SW Excellent 10–12 Either dry or Crawler tractor 3–4 110–130 10–16
SP Fair 10–12 Either dry or Crawler tractor 3–4 100–120 13–22
SM Fair 6–6 Important Rubber-tired or 6–8 110–125 10–16
tramping roller
SC Good 6 Very important Rubber-tired or 4–6 105–125 10–18
tramping roller
Table 8–2 Compaction characteristics—continued
(b) Fine-grained and highly organic soils

Unified Relative ease Compacted Importance of Preferred type of Number of Typical dry Typical water
class of compaction lift thickness water content equipment passes unit weights content
(in) (PCF) (%)
ML Fair 6 Important Tamping Roller 4-6 95-120 12-22
CL Good to 6 Very Important Tamping Roller 4-6 95-120 12–22

fair
MH Poor 6 Very important Tamping Roller 4-6 70-95 22-40
CH Very Poor 6 Critical Tamping Roller 4-6 75-105 20-40
OL Fair 6 Important Tamping Roller 4-6 80-100 20-32
OH Very Poor 6 Important Tamping Roller 4-6 65-100 20-32
Pt Not Suitable Not suitable for most fills - usually placed

with draglines and little compaction

use equipment that meets some specified criteria and be called for, or in some cases, thinner lifts and hand
must traverse the area with this equipment a specified compaction methods employed.
minimum number of passes. When performance specs
are used, the inspector must verify that the required After a temporary or seasonal shutdown of an earthfill
density and water content results are achieved by the operation, the water content and density of the surface
compaction process. When compaction is performed of the unfinished earthfill must be checked for compli-
by a method spec, the inspector must document that ance with the job specifications. It may be necessary
the equipment and number of passes complies with to recondition or remove and replace this material
the spec and the moisture content at the time of com- before resuming operations.
paction is within the specified range. Regardless of
how the work is specified (performance or method There are three classes of earthfill defined in NEH
spec), careful attention needs to be paid to verifying 642 Construction Specification 23: Class A—compac-
complete coverage over the entire area requiring com- tion to a specified density for each borrow material
paction. Areas that are confined or otherwise difficult used, Class B—a given mass density for all the mate-
for the equipment to cover must be given special atten- rial (generally only used on rocky materials that vary
tion. Abutment interfaces or ties into existing earthfill considerably in the amount of rock in the soil matrix),
slopes are examples of areas to be given special atten- and Class C—compaction by a prescribed method.
tion. Different, more maneuverable equipment may Class B compaction is rarely used. Class A compaction
Figure 8–6 Selection of compactor type
Compactor zones of application Compactive method

100% 100%
Clay Silt Sand Rock
Sheepsfoot
Static weight, kneading
Grid
Vibratory
Static weight, vibration
Smooth steel drums
Static weight
Multitired pneumatic
Heavy pneumatic
Vibratory tamping foot
Towed tamping foot
High speed tamping foot
Static weight, kneading, impact, vibration
Tamping foot Tamping foot
Static weight, kneading, impact, vibration

is used extensively where a quality earthfill is required (2) Earth backfill

and testing for field control will be carried out. Class Earth backfill is earthfill placed in confined spaces
C compaction is used where compaction may not be such as trenches, around concrete structures, and
critical, materials are difficult to define, and/or testing around pipelines. Earth backfill adjacent to structures
capabilities for field control are not available. Table or in confined spaces, is compacted by manually
8–3 provides a summary of these compaction classes. directed equipment. Manually directed power tampers
employ a foot of various shapes and sizes that jump
The inspector’s responsibilities related to compaction up and down to impact the soil and work best on finer
of earthfill, include verifying: grained materials that have plasticity. Manually di-
rected plate vibrators sit on the surface and compact
• appropriate compaction equipment is being used by static weight and vibration; they are most effective
on coarse-grained nonplastic materials.
properly to compact earthfill and earth backfill
• compaction equipment is being controlled to Two markedly different types of materials and cor-
provide a systematic and complete coverage of responding installation operations are associated with
entire area requiring compaction earth backfill. One type of backfill materials can be
categorized as plastic soils; the other type is sands and
• for classes A and B compaction, the specified gravels. Since the compaction characteristics of plas-
density is attained throughout the full depth of tic soils differ from those of sands and gravels, each
each lift of earthfill type is described separately.
• for class C compaction, the prescribed equip-
ment and method are being consistently applied Plastic backfill material is normally compacted by
tamping rollers when space is available or by hand-
• for zoned embankments, all zones are located controlled power tampers in confined areas. Tamping
and configured as specified or as shown on the rollers must proceed with caution when operating
drawings near pipes and concrete structures to avoid damage
Table 8–3 Summary of compaction classes defined in NEH 642, Construction Specification 23
Compaction Type specifi- Items specified Advantage/disadvantage

class cation
A Performance Density test method and re- Provides a way to verify the earthfill density meets or exceeds the
quired percent of maximum minimum specified density which has been deemed necessary for
density the earthfill to function as designed. Requires inspector to employ
testing equipment and match the soil to a Proctor curve developed
by the inspector or by a lab. Works best for soil containing no rocks
or gravel or for soil containing uniformly distributed gravel.
B Performance Required minimum mass Like Class A, provides a way to verify the earthfill density meets or
density exceeds the minimum specified density. Unlike Class A, works for
soil containing rocks and gravel including nonuniform amounts of
rock or gravel. Requires large equipment and several man-hours to
conduct one test. Rarely specified.
C Method Type of equipment including Requires no density testing, but requires constant surveillance by
weight and contact pressure, the inspector to verify the specified method is employed over the
minimum vibrating force entire area. Used where compaction may not be critical, materials
and frequency for vibrating are difficult to define, and/or testing capabilities for field control
equipment, and minimum are not available.
number of passes

to these structures. It is common to specify plastic When placing backfill against a pipe and some small
backfill materials be compacted to a density that is structures, the level of backfill on each side of the pipe
equal to or greater than the surrounding earthfill. Or, or structure should be about the same so as not to
specifications may require the earth backfill be com- displace or damage the pipe. It may also be important
pacted to a minimum density that is some percentage to guard against overcompaction near pipes or other
of standard Proctor maximum density. For example, structures to avoid similar displacement and damage.
the specification may read “compact to 95 percent of
standard Proctor maximum density as determined by The inspector’s responsibilities related to compaction
ASTM D698.” Earth backfill compaction moisture is of earth backfill include, verifying:
typically specified as minus 1 percent to plus 2 percent
of optimum moisture. Compacted cohesive backfill • the material and particle size for backfill meet
is generally placed in 6-inch layers prior to compac- the specification requirements
tion. Backfill composed of plastic materials must be
• the appropriate compaction requirements are
protected from drying and cracking until covered by
met for the material involved
permanent cover.
• the finished backfill is appropriately protected
Consolidation of granular materials is accomplished from drying and cracking until permanent cover
by pneumatic rollers, tractors, and surface vibrators or is placed
internal vibrators. Manually directed vibratory rollers
• backfill is not overcompacted
or plate vibrators are generally used for backfill. Mois-
ture control is not needed for gravels. Sands are gen-
(3) Rockfill
erally compacted dry or thoroughly wetted because
Rockfill, once placed in the required lift thickness, is
they are difficult to compact if the moisture content
best compacted by heavy vibratory compaction equip-
is within a range which causes bulking. This moisture
ment. Heavy vibratory steel-wheeled rollers can be
range varies depending on the soil, but for clean sands
very effective. Heavy bulldozers working to spread
the bulking moisture range is generally between 2 and
rockfill may provide adequate compaction on some
8 percent. One method of compacting clean sand is to
smaller sized materials.
flood and drain it. The flooding breaks the sand par-
ticle bonds that occur from bulking moisture and the
Weathered rock that is inclined to break down and
movement of water through the sand matrix causes
produce smaller material, including soil, may best be
the particles to settle into a denser configuration. Ad-
compacted with a tamping roller. A grid roller is also
ditional movement caused by mechanical vibration
useful on this type material.
can make the particles settle even more.
Rockfill compaction is specified by method of compac-
When cohesionless, free-draining materials are placed
tion, rather than a performance specification. Inspec-
as compacted backfill, the density requirement is spec-
tors must know what method is specified and plan
ified as a percentage of sand relative density or as a
how best to verify specification compliance. There are
percentage of the one-point Standard Proctor maxi-
three classes of compaction listed in CS 25—Rockfill:
mum density. As an alternative, a method specifica-
classes I, II, and III. These classes of compaction range
tion may be employed. Regardless of how compaction
from the most dynamic method to the least dynamic
is specified, sand is best compacted by flooding and
method. They produce the densest result to the least
applying some vibratory compaction as the material is
dense result respectively.
draining. The uncompacted lift thickness is generally
specified to be a maximum of 12 inches and limited
When a bedding layer is used under the rockfill or a
to 8 inches when only manually directed compaction
transition zone is called for adjacent to the rockfill,
effort is applied. Gravels can be placed in thicker lay-
the proper compaction of these materials is impor-
ers, require no moisture control, and may require little
tant. Bedding will obviously be placed and compacted
compactive effort beyond that incidental to placement.
prior to rockfill. Transition zones may be placed and
For more on the installation of free-draining materials,
compacted before or after depending on whether the
see Chapter 11, Drains and Filters, of this handbook.
transition zone is below or above the rockfill. The

inspector must verify that the zones are located and

configured as specified or as shown on the drawings. 645.0802 Sampling and testing
The inspector’s responsibilities related to compaction
of rockfill include verifying: When specified, in-place testing for moisture and
density of compacted earthfill must be carried out to
• the specified equipment is used and specified verify compliance with contract specification require-
method of compaction is strictly followed ments. This testing is a significant part of contractor
quality control and NRCS quality assurance inspection.
• compaction equipment is in good condition and In-place testing involves the following steps:
being operated properly
• the proper sequence of placing and compaction Step 1: Determine the frequency of testing.
of transition zones is implemented Step 2: Determine the test location.
• all zones are located and configured as specified Step 3: Obtain the sample.
or as shown on the drawings
Step 4: Perform the specified test.
Step 5: Evaluate the test results.
Step 6: Record the test results.
Step 7: Assess the need for additional testing.
There may also be action required to correct noncom-

pliant work identified from negative results.
(a) Determining frequency of testing
The Quality Assurance Plan (QAP) for any earthwork

job should specify a minimum frequency of compli-
ance testing to be performed by the Quality Assurance
Inspector (QA). Frequency of inspection required of
Contractor Quality Control (CQC) is specified in CS
94, Contractor Quality Control. The actual field testing
frequency necessary to provide verification of specifi-
cation compliance, can only be determined on the job
during the performance of the work.
In general, more field compliance testing is needed

early in an earthwork construction job rather than
later. Later in the job, the contractor has usually de-
veloped a process that consistently gets the specified
results. CS 94 may require the CQC to make in-place
tests for density/moisture on the order of one test for
every 1,000 cubic yards of compacted earthfill. It may
take the contractor several days to get the process
going, and to get production up to 1,000 cubic yards
per day. In this situation, the CQC should take at least
one test each day, and the QA should verify the CQC
testing at least once per day. This same scenario could
happen when new borrow material is beginning to be

placed or a new zone of fill is established. The fre- the testing should be located in the weaker section
quency of QC testing should be whatever is necessary identified. The elevation of the compacted lift surface
for the contractor to verify that the earthfill process is and the actual elevation of the test location must be re-
achieving the specified density/moisture results. corded if the test is documented. The horizontal loca-
tion is usually referenced as an offset distance from a
When the contractor is satisfied, the QA should verify centerline or by rectangular coordinates.
the CQC results. Once a reliable earthfill process has
been established and consistent density/moisture
results are being obtained, the frequency of testing (c) Sampling
and verification of these results can be reduced. Thus,
the higher frequency of testing is needed to establish Sampling and maintaining the integrity of the sample
a reliable process, and a lower frequency needed for are critical steps in the testing process. All of the
verifying and documenting compliance thereafter. in-place density methods, with the exception of the
Where CQC testing is not specified the entire above nuclear method, take a soil sample from the test area.
scenario falls on the QA. The purpose of this removed soil sample is to pro-
vide a weight and volume determination needed to
More frequent in-place testing is required in areas compute a density value and provide a portion of the
where a consistent earthfill process cannot be es- sampled soil for the determination of water content.
tablished (i.e., areas susceptible of poor compaction Until these determinations can be made, the sampled
effort). This occurs where earthfill or earth backfill is soil needs to be protected from moisture loss by
to be placed in confined or limited access areas where being placed in a plastic storage bag or an air-tight
equipment and traffic patterns are limited. Such areas container. Sampling requirements are typically speci-
include those adjacent to structures or against steep fied in all ASTM test standards. Sampling according
foundations like the abutment of a dam. The inspector to the specification is required for the test to be valid.
must be aware of areas that are susceptible to poor When sampling is required to conduct a test (generally
compaction effort. Since placing, processing, and com- required except for when the nuclear gauge is em-
paction of earthfill in these areas are generally accom- ployed), consider sampling the most critical part of the
plished in a variety of ways, it is not possible to rely on test method.
an established method to achieve specified results. In
these cases, more frequent testing is the only way to (d) Testing
check compliance to specification requirements.
The required test methods will be spelled out in per-
(b) Testing location formance specifications where the specifications call
for end result testing of in-place earthfill. Construction
Selecting the location of a test is based on two areas Specification 23, Earthfill (NEH 642), contains two
of concern. The first is a random test of the recently classes of compaction that fit this category, classes A
placed and compacted material. This test needs to and B.
be representative of all the material in that section or
area. The second is testing specific areas of concern. The inspector needs to have an operational knowledge
This may be a soft area, an overly compacted area, of each standard test method. For soil in-place density,
or areas susceptible of poor compaction effort. Both the following test methods apply: sand-cone method,
kinds of testing are needed to adequately document ASTM D1556; rubber balloon method, ASTM D2167;
the quality of the in-place fill. drive cylinder method, ASTM D2937; and nuclear
method, ASTM D6938. There are other methods, but
Additionally, it is important to verify that the moisture these are the most commonly used in NRCS field
and density at the test location is representative of the work.
earthfill in the specific lift being tested. Close observa-
tion is needed to verify the consistency of processing For water content testing the following tests apply:
and compaction of the lift. If there is an observed oven dry method, ASTM D2216; microwave oven
difference in the processing and compaction effort, method, ASTM D4643; direct heating method, ASTM

D4959; calcium carbide gas pressure (Speedy Moisture C778. ASTM D1556 covers this calibration proce-
Tester) method, ASTM D4944; and nuclear method, dure and all calculations in detail.
ASTM D6938. These are the primary methods used
This test is appropriate for all fine-grained soils
for NRCS field work. Moisture content testing yields
from the USCS (CL, ML, CH, MH), sands with
a value used to convert wet density to dry density.
fines (SM, SC), and gravels with fines (GM, GC)
Moisture content testing is also needed to verify that
with particles less than 1.5-inch diameter.
compaction moisture is within the specified range.
Other important uses are to assess the water content The test is generally not suitable for noncohesive
of borrow materials and monitor drying efforts for fill soils or soft saturated soils because it is difficult
materials that are too wet for compaction. to maintain a stable hole in these soils while
performing the test.
The ASTM methods are well written and generally
A primary advantage of this test method is the
easy to follow once the format becomes familiar.
opportunity to visually observe the in-place soil
There are some significant precautions that should be
material as it is excavated out of the hole. This
emphasized for most methods. They are briefly sum-
observation should be helpful in identifying bor-
marized below.
row materials and evaluating the processing of
the fill materials. Identifying borrow materials is
(1) Density testing
important for determining the standard reference
• Sand cone method, ASTM D1556—While a
curve to be used for evaluating the density test
long-time proven method, this method requires
results.
excellent technique. The procedure for this test
involves determining the volume of excavated As mentioned earlier, excellent technique is
soil from a hole in the compacted earthfill. The critical for obtaining good test results. There
excavation is carried out through a base plate are some cautions that deserve mention as they
that is secured to the prepared soil surface prior are common causes of errors. The operator is
to any digging.
Free-flowing sand of known unit weight is then
poured into the hole from a jug and a calibrated
cone (fig. 8–7). The volume of the hole is deter-
mined from this operation. Knowing the volume, Figure 8–7 Sand cone apparatus
the density of the soil in-place can then be de-
termined by the weight of the soil removed and
saved from the excavation. This saved soil is
then used to determine the in-place water con-
tent of the test material. Care must be taken to
place all of the soil being excavated from the
hole in a suitable container to protect it from los-
ing moisture prior to performing the density and
water content determinations.
The sand calibration required to determine the
unit weight of the sand must be accurate and
performed frequently. Temperature and relative
humidity variations affect these calibrated val-
ues. Proper storage and protection of calibrated
sand will greatly reduce this vulnerability. ASTM
D1556 has a specific sand gradation requirement,
but NRCS experience has shown a need for even
tighter control on the sand. The NRCS recom-
mends using Ottawa Sand as described in ASTM

cautioned to ensure the hole from which the termined by measuring the volume of the water
soil sample is obtained does not deform when that is needed to fill up a rubber balloon as the
running the sand cone test. Placing a knee near balloon expands through the plate and into the
the hole may deform the hole thereby reducing hole to the boundaries of the hole. A graduated
the volume of the hole and causing the reported glass cylinder measures the water required to fill
density values to be erroneously high. Also, the balloon in the hole (fig. 8–8). ASTM D2167
vibrations might occur from heavy equipment contains the details on this procedure and the
operating near the test site causing an increase in calculations required.
sand density, which would cause reported density
This test is appropriate for cohesive fine-grained
values to be erroneously low.
soils (CL, ML, CH, MH) and dirty sands and
Appendix B contains worksheet WS 8.8 to aid in gravels (SM, SC, GM, GC) with less than 5 per-
the performance of the sand cone moisture-densi- cent oversize (i.e., no more than three-fourths
ty determination. inch). It is not practical to use this test method
on soils having particles larger than three-fourths
• Rubber balloon method, ASTM D2167—Not
inch, due to irregularities in the excavated hole
a widely used method, but it will return good
the balloon cannot accurately measure. This test
results when the equipment is in good shape
is generally not suitable for noncohesive soils or
and used properly. The purpose of this test is to
soft saturated soils as it is difficult to maintain
determine the volume of an excavated hole in
a stable hole in these soils while performing the
the compacted earthfill. The hole is excavated
required test.
through a plate attached to the leveled ground
surface. The excavated soil is saved and weighed Be sure to have extra balloons, and be careful
for the density calculation and later used for the with the glass cylinder. As with most tests, it is
water content determination. The volume is de- important to protect the material excavated from
the hole from loss of moisture by putting it in
Figure 8–8 Apparatus for the rubber balloon method
Air pressure
fitting
Scale
Rubber
balloon

an airtight container until the density and water Figure 8–9 Drive cylinder apparatus
content determinations are made.
Similar to the sand cone method, excavating the (a) Driving head being placed on cylinder
hole in the in-place soil can be helpful for mak-
ing judgments about borrow materials. The hole
will be smaller than that excavated for the sand
cone, so problems may be less obvious. If a
larger hole is needed to make these judgments,
the inspector may need to dig a larger hole after
the test is conducted.
Appendix B contains worksheet WS 8.9 to aid in
the performance of the rubber balloon moisture-
density determination.
• Drive cylinder method, ASTM D2937—A

simple and accurate method, this test is accom-
plished by driving a thin-walled metal cylinder of
known volume into the prepared surface of the
compacted soil using a drop hammer. Figure 8–9
shows the cylinder and drop hammer. The cylin- (b) Cylinder being extracted after being driven into the
der is then extracted from the soil by digging it ground
out, and the sample is trimmed to determine the
volume of soil in the cylinder. The weight of the
soil in the cylinder then allows the determination
of the density of the test sample. Soil removed
from the cylinder is used to determine the water
content of the test sample. While the density
is determined with the soil still in the cylinder,
the soil must be removed and protected prior to
determining the water content. All test details
and required calculations are covered in ASTM
D2937.
This method is appropriate for all fine-grained
cohesive soils, but will not work for cohesionless
soils. It also has limited use in gravelly soils due
to the likelihood of deformations and voids along
the sides of the cylinder caused by the coarse (c) Drive cylinder containing soil that is being trimmed after
material as the cylinder it is being driven in the being driven and excavated
ground.
This method also provides a visual observation
of the in-place material that can be used to evalu-
ate borrow materials and mixing consistency.
The cylinder must be driven into the soil deep
enough to get a complete sample. The ensuing
excavation of the cylinder must extend below the
bottom of the cylinder to allow removal without
damaging the captured soil sample in the cylin-
der. The test method may be both laborious and
tricky in some soils.

Appendix B contains worksheet WS 8.10 to aid in to provide a true moisture value. Although rare,
the performance of the drive-cylinder moisture- there are some soils that absorb neutrons and
density determination. cause the reading to be low. Either way, a calibra-
tion is usually required.
• Nuclear method, ASTM D6938—Although
this method is the fastest and easiest to use, it Since the nuclear gauge measures only wet
requires certification training for safe use, safe density and moisture, it must compute the dry
transportation, and operation of the nuclear density. If the moisture measurement is errone-
device. Also, regulations require periodic in- ously high, the computed dry density will be low.
spections and calibration of the equipment, and Some QC inspectors claim that by not calibrating
equipment storage is strictly regulated. States the gauge, the resulting dry density value will be
that have nuclear gauges have an annual license lower than the specified minimum and, thus, be
expense and expenditures related to employees’ conservative. However, there may be concerns
training and licensure; however, if a State does with overcompaction that would not be ad-
a lot of moisture and density testing of earthfill, dressed if the true value of density is not known
these items associated with owning and operat- and; therefore, verifying that compaction mois-
ing the equipment have proven to be well worth ture is within the specified range is important.
the required time and cost. Thus it is essential to have water content calibra-
tion corrections, especially for most fine-grained
The nuclear gauge can be used to determine the
soils, as these generally contain no moisture
in-place density and water content of most soil/
related hydrogen or contain elements that can
aggregate mixtures used in earthfills and struc-
absorb neutrons.
tural backfill. The wet density is determined by
gamma rays either in a backscatter mode from The procedures and precautions for this test
the surface or by a direct transmission mode method are covered in detail in ASTM D6938.
from the tip of a probe inserted into the mate-
Appendix B contains worksheet WS 8.11 to aid in
rial being tested. The direct transmission mode
the performance of the nuclear gauge moisture-
measures an average density from the depth at
density determination.
which the source rod is positioned back to the
detectors located in the base of the gauge. The
(2) Water content testing
direct transmission mode is generally more accu-
In all methods used for water content testing, it is ex-
rate and reliable than the backscatter mode and
tremely important to protect the soil materials during
preferred by most users.
sampling and transporting so that they do not dry out
The water content is determined by a second prior to determining the water content.
source that emits neutrons in a backscatter
mode and provides a measurement that is biased • Oven dry method, ASTM D2216—This test
toward the surface. If the soil moisture content is method is the standard to which all other tests
uniform throughout the soil profile, this measure- are calibrated and compared. The main draw-
ment will not present a problem. If the moisture back is the test takes 24 hours to get a result.
in the soil profile is variable, the value deter-
• Microwave oven method, ASTM D4643—Still
mined may not accurately represent the moisture
not quite “the oven” method, but reliable. A less
content over the full depth of the density mea-
expensive and readily available piece of equip-
surement.
ment makes this method more adaptable to field
Water content values obtained by the nuclear work.
gauge may be misleading in some soils. The
• Direct heating method, ASTM D4959—Sim-
gauge actually reports hydrogen ions in the soil.
ple equipment and field oriented. Watch out for
If the only hydrogen ions present are in the soil
burning off organic material, which will yield an
moisture, the measurement will be quite accu-
incorrect higher water content value.
rate. When other sources of hydrogen are in the
soil, the moisture reading will be erroneously • Speedy moisture tester, ASTM D4944—
high making it necessary to calibrate the gauge Handy and portable for field work. Needs cali-

bration and has a sample size limitation. Less B can be used in conjunction with D4718 to make the
accurate with the more plastic fine-grained soils correction.
of higher water content.
The inspector’s responsibilities related to test location,
• Nuclear method, ASTM D6938—It is essential
sampling, and testing include verifying:
with this method to have good water content
calibration for each soil type involved in field
• selected in-place testing locations are truly repre-
testing. Water content generally reads high,
sentative of the section or area being evaluated
especially for fine-grained soils, and only rarely
low with this test method. The other limitation, • areas that have suspect compaction effort or may
previously addressed, is that the water content is be too dry or too wet are tested
always determined in a backscatter mode and is
• soil materials from the testing and sampling
biased to the surface and, thus, may not be truly
process are properly protected to retain their
representative throughout the density sample
integrity until the required determinations are
range.
completed
It is important for the inspector to have ready access
• any test selected from those specified is per-
to the applicable current ASTM Standard specified for
formed in strict accordance with the specified
a given job. Onsite test results are only meaningful and
test standard and is appropriate for the soils
valid when they are performed in accordance with the
being tested
appropriate ASTM Standard.
• a moisture and density correction is made ac-
(3) Correction for oversize particles cording to ASTM D4718 whenever the soil being
When performing in-place moisture or density tests tested contains significant amounts of oversize
on soils containing gravel, a correction for oversize particles
particles may be necessary. Oversize particles are par-
• test location and results are promptly recorded
ticles that are larger than the maximum size particle
in the soil that was used to develop the Proctor curve.
For example, if the Proctor curve was made according (e) Evaluating test results
to ASTM D698 Method A, the curve represents a soil
with a maximum particle size no greater than the No. The evaluation of compaction and moisture test re-
4 sieve size (3/16 inch). Thus, if the field compacted sults includes selecting the Proctor curve that best
soil contains a significant amount of oversize particles fits the tested soil and making sure the test results are
(an amount greater than five (5) percent of the mass reasonable. Begin by choosing a Proctor curve.
of the soil is generally considered significant), a cor-
rection for oversize particles must be made so that Choosing a Proctor curve—A field density and wa-
the measured field density and moisture values can be ter content determination is compared to the chosen
compared to the Proctor curve values for moisture and Proctor curve that has been developed for the soil be-
density. ing compacted. Historically, Proctor curves for NRCS
projects were developed in a laboratory from soils
Note that the sand cone, rubber balloon, and nuclear that were sampled during the geologic investigation
gauge methods may be used for testing soils with that preceded the design. The curves were available to
oversize particles, but the drive cylinder is not used for CQC and QA who would be tasked with determining
soils containing gravels. which curves fit the various soils being used for the
earthfill. CQC and QA developed additional Proctor
The procedure described in ASTM D4718 Standard curves during the course of the job if those supplied
Practice for Correction of Unit Weight and Water by the lab did not represent all of the soils or compos-
Content for Soils Containing Oversize Particles should ite soils being used for earthfill or earth backfill. The
be employed whenever there are significant amounts greatest source for error in evaluating field test re-
of oversize particles in soil that is being tested for sults for compaction was likely in determining which
moisture or density. Worksheet WS 8.13 in appendix curves fit the various soils being used to construct the
earthfill.

To determine which Proctor curve fits the soil being AASHTO T 272, “Standard Method of Test for Family
tested, the inspector must be able to field classify the of Curves-One Point Method,” that covers this method.
soils by the method described in ASTM D2488 for field
classifying soils according to the USCS. Many soils can A family of curves can be developed specifically for
be reliably matched with their corresponding Proctor each job by plotting all of the Proctor curves available
curve by field classification and visual appearance. for the job on the same sheet. A smooth curved line
Three methods have generally been used for verifying is then drawn to best-fit the apex of each curve. The
which Proctor curve should be used to evaluate the Proctor curves are then moved to the left or right to
field compaction test values. These methods—the jar, align with this best-fit curved line. Any curve that has
one-point, and the family of curves/one-point—are to be moved so much that its moisture content values
described. change more than 2 percent should not be included in
the family of curves. If large gaps exist between the
(1) Jar method remaining plotted curves, additional curves may be
The jar method is a simple visual method and is most needed to make use of the family of curves. See the
applicable when only a few different soils having family of curves in figure 8–10.
distinct visual appearances are involved. Samples of
soils used to develop the Proctor curves are obtained After the family of curves is developed, the results of a
from the laboratory and placed in jars that are labeled one-point test made from any site-specific soil can be
with the corresponding Proctor curve designation. Soil plotted on the family of curves sheet. If the point falls
being tested for in-place density and water content on one of the curves, that curve is selected to repre-
can then be compared to the jar samples to select the sent the soil being compacted and tested in the field.
Proctor curve that best matches the soil being tested. If the point falls between two curves and these curves
are fairly close together, a new Proctor curve can be
(2) One-point method free-hand drawn to pass through the plotted point and
The one-point method is used to verify that a Proc- the best-fit curved line. The shape of the free-hand
tor curve matches the soil being tested. The soil be- curve should follow that of the nearest existing curves.
ing tested is compacted according to ASTM D698 or This free-hand curve becomes the Proctor curve that
D1557, as applicable, at a moisture content judged to will be used for comparison to the field test results of
be about 2 percent dry of optimum. The results are the soil being compacted and tested in the field. The
then plotted on the same sheet as the Proctor curve, dotted line in figure 8–10 is intended to depict a free-
and the plotted point will fall on the Proctor curve if hand curve.
the curve and soil match. The best match becomes the
Proctor curve that will be used for comparison to the Departments of Transportation (DOT) in several States
field test results if the results do indeed plot on or very have developed a family of curves from Proctor curves
near the Proctor curve. in their States. These curves have been successfully
used in other areas outside the State where they were
(3) Family of curves/one-point method developed. If one of these DOT family of curves is to
The jar and one-point methods work well if the soils be used on any job, especially on a job located outside
that are being placed and compacted correspond to of the state where it was developed, its applicability to
the available Proctor curves. However, most earthfills the soils on the jobsite should be verified. This can be
are constructed from a mixture of soils that have dif- done by plotting a few site-specific Proctor curves on
ferent compaction characteristics than the individual the same sheet as the DOT family of curves to see if
soils making up the mixture. These soil mixtures vary they align with the family of curves. Alignment would
in field classification and visual appearance, and these verify that the DOT family of curves applies to these
variations make it difficult to identify which Proctor site-specific soils and very likely would apply to other
curve best matches the soil. The family of curves/one- soils on the site.
point method can be utilized to fill in some of the gaps
between existing compaction curves. This method is Make sure test results are reasonable—Both the
used by many of the State highway departments across ASTM D698 and D1557 standards require a zero air
the country, and there is an American Association voids (ZAV) curve be plotted on the same sheet as
of State Highway Transportation Officials standard, the Proctor curve. The ZAV curve will always plot on

the wet side or to the right of the Proctor curve. Since sheet to quickly determine if they fall within the rea-
the absolute maximum density of any soil at a specific sonable range of 70 to 90 percent saturation. Any field
moisture content is attained when all of the air voids test results that fall outside of this range are suspect
are filled with water, the ZAV curve represents the and should be evaluated further. If results plot outside
maximum density of the soil at various water contents. of the 70 to 90 percent saturation range, there is a high
probability that either the Proctor curve does not cor-
Figure 8–11 shows a ZAV curve (100% saturation line) respond to the tested soil or there was an error made
plotted with the Proctor curve. If the corresponding when performing the test or recording test results.
test results of field density and water content were
plotted on this same sheet, the point will plot to the ASTM D698 and D1557 include the formula for com-
left of the ZAV curve. If it plots to the right of the ZAV puting the ZAV curve. The specific gravity of the soil
curve, something is wrong, since water content cannot must be known to compute the ZAV curve. The for-
increase once the soil is saturated. mula is:
 62.4 1 
Furthermore, compacting soil to 100 percent satura- w (max) =  −  × 100
tion, although not impossible, is very unlikely to occur  γ dry G s 
with conventional compaction equipment. Generally,
soils are compacted to a density that falls within the where:
70 to 90 percent saturation range. It is good practice w(max) = the maximum water content at a given dry
to plot a 70 percent ZAV curve and a 90 percent ZAV density in percent
curve along with the Proctor curve and ZAV curve. γdry = dry density in lb/ft3
Field test results can then be plotted on the same Gs = the specific gravity of the soil
Figure 8–10 Typical family of curves
120
Line of optimums
115
80 percent of optimums
110
Dry density (lb/ft3)
105
100
95
90
8 10 12 14 16 18 20 22 24 26 28
Water content (%)

Figure 8–11 Proctor and ZAV curves The 70 percent and 90 percent ZAV curves are com-
puted by the following formulas, which are the same
formula multiplied by 0.7 and 0.9.
Maximum
 62.4 1 
w ( 70%) =  −  × 70
10
 γ dry G s 
0p
er
Density (lb/ft3)
ce
nt
Sa
 62.4 1 
tu
Optimum
ra
w ( 90%) =  −  × 90
tio
 γ dry G s 
n
where:
w(70%) = 70 percent of maximum water content at a
given dry density
Water content (%) w(90%) = 90 percent of maximum water content at a
given dry density
These curves and the ZAV curve for a specific soil

are shown in figure 8–12. Note that there are several
points plotted along with the curves. These points
were plotted from actual test results obtained by
testing the compacted soil in the field. If the specific
Figure 8–12 70% ZAV curve, 90% ZAV curve, and ZAV curve
130.0
ZAV Gs=2.66
120.0
Percent sat line 1−70
Dry density (lb/ft3)
Percent sat line 2−90

110.0
100.0
90.0
80.0
10.0 15.0 20.0 25.0 30.0 35.0 40.0
Water content (%)

gravity value used to develop the ZAV curves is that of conducted properly and also fails, more tests may be
the tested soil, the following are true: needed to determine the extent, both depth and lateral
limits, of the noncompliant earthfill or earth backfill.
• the moisture and dry density values that fall These actions are the responsibility of the CQC. The
within the 70 and 90 percent ZAV lines are rea- CQC should work with the contractor to fix any non-
sonable values compliant earthfill or backfill. This may require more
processing and compaction and may even require re-
• moisture and dry density values used for plotting
moval of some in-place material. When failures occur,
points that fall outside of these lines are suspect
every effort should be made to determine the cause
• the moisture and/or dry density value used to of the failure and make necessary adjustments to the
plot any point that lands to the right of the ZAV earthfill process in an effort to limit reoccurring failure.
curve is wrong The QA inspector should allow this process to play out
before getting too involved. When CQC is satisfied that
The designer specifies the tests for determining the in- noncompliant work has been fixed and the process has
place water content and density of earthfill materials. been adequately adjusted to limit reoccurring failure,
The water content is specified as a range above and/or the QA should then verify specification compliance and
below optimum water content. The density is specified document the scenario including any consultation with
as a percentage of the maximum dry density. An exam- CQC and contractor.
ple of an earthfill specification might look like this: “the
earthfill is to be compacted to 95 percent of maximum The inspector’s responsibilities related to evaluating
dry density as defined in ASTM D698. The water con- test results include verifying:
tent at the time of compaction shall range from –1 to
+2 percent of the optimum water content as defined in • the selected Proctor curve represents the soil or
ATSM D698.” The inspector is responsible for verifying composite soils being tested
and documenting that the in-place processed and com-
• test results are reasonable
pacted soil complies with specifications such as these,
but this is only a part of the inspector’s responsibilities. • soils are retested if initial test results are unrea-
The other part is to verify that the results represent sonable
the soil throughout the lift that is being compacted and
• actions are taken to correct noncompliant work
that enough test results are evaluated to verify that the
when reasonable test results fail
entire lift is compacted to the density and at the mois-
ture content specified. • any reworked areas are again tested to verify and
document compliance with specifications
If test results fail, action must be taken. The first ac-
tion is to verify the test was conducted properly and
the correct Proctor curve was indeed used in evaluat-
ing the test results. This generally requires retesting
near the same failed test location. If the second test is

• WS 8.11—Nuclear Compaction Test Data for

645.0803 Records and reports ASTM D6938
• WS 8.12—In-Place Moisture-Density Determina-
Accurate records of testing and test results are needed tion: Template & Plastic Liner Method: ASTM
to document: D5030
• WS 8.13—Correction of Unit Weight and Water
• the method used to select the Proctor curve Content for Soils Containing Oversized Particles
• the horizontal and vertical location of the field
density and moisture test and the section or area These worksheets, guidance on filling out the work-
represented by the test sheets and examples are included in this handbook
in appendix B along with example entries to illustrate
• the standard test method applied and the test the proper use of the worksheets. The job diary entries
results should reference the applicable worksheets that are
• any other actions or testing done for verification used. Some test results may be included in the regu-
of test results lar diary entries when they are pertinent to the daily
activity and needed for clarification. Relevant sample
• any actions taken to correct noncompliant work job diary entries are included in appendix C of this
identified by negative test results handbook.
The job diary should reference or further explain all of

the information listed.
These records and reports are related to earthfill and

rockfill:
• Daily diary—used to record the day-to-day activi-

ties of earthfill and rockfill construction.
• WS 8.1—Test Fill Report
• WS 8.2—Weekly Summary of Density Determina-
tions
• WS 8.3—Determination of Volume of Compac-
tion Mold ASTM D698 and D1557
• WS 8.4—Worksheet for Reference Density Com-
paction Data ASTM D698 and D1557
• WS 8.5—Moisture Correction Determination
• WS 8.6—Earthfill Construction Report
• WS 8.7—Bulk Sand Density Determination and
Calibration of Cone and Base Plate for ASTM
D1556
tion: Sand Cone Method: ASTM D1556
tion: Rubber Balloon Method: ASTM D2167
tion: Calibrated Cylinder Method: ASTM D2937

645.0804 References
Association of State Highway Transportation Officials.

2004. Standard Method of Test for Family of
Curves One Point Method. T 272, Washington DC.
U.S. Army Corps of Engineers. 1994. Engineering and

Design—Test Quarries and Test Fills, EM
1110–2–2301. Washington, DC.
U.S. Department of Agriculture, Natural Resources

Conservation Service. 1997. National Engineering
Manual, 210–V–NEM, Amend. 23, Part 533, Soil
Engineering, Subpart A, Engineering Field Clas-
sification of Soils. Washington, DC.

Manual, 210–V–NEM, Part 531, Geology, Subpart
531A, Geologic Investigations. Washington, DC.

Handbook, Construction Specification 25—
Rockfill, 210–VI–NEH. Washington, DC.

Conservation Service. 2002. National Engineer-
ing Handbook, Part 631, Geology, 210–VI–NEH,
Chapter 12, Rock Material Field Classification
System. Washington, DC.

Handbook, Construction Specification 23—
Earthfill, 210–VI–NEH. Washington, DC.
U.S. Department of Agriculture, Soil Conservation

Service. 1964. The Use of Soils Containing More
than 5 Percent Rock Larger than the No. 4 Sieve.
Technical Note 26. Washington, DC.
U.S. Department of Agriculture, Soil Conservation Ser-

vice. 1984. Soil Mechanics Note 8: Soil Mechanics
Testing Standards. Washington, DC.
U.S. Department of Agriculture, Soil Conservation Ser-

vice. 1990. Elementary Soil Engineering, Chapter
4, Engineering Field Manual. Washington, DC.

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Part 645 Construction Inspection

National Engineering Handbook

Chapter 8 Earthfill and Rockfill

(210–VI–NEH, Amend. 74, October 2015)

Issued October 2015

The U.S. Department of Agriculture (USDA) prohibits discrimination

To file a complaint of discrimination, complete, sign, and mail a program

Or call toll free at (866) 632-9992 (voice) to obtain additional information,

Persons with disabilities who require alternative means for communication

(210–VI–NEH, Amend. 74, October 2015)

Contents 645.0800 Introduction 8–1

645.0801 Installation 8–1

(a) Materials............................................................................................................ 8–1

(b) Foundation preparation................................................................................... 8–5

(c) Placement and processing.............................................................................. 8–6

(d) Moisture control............................................................................................... 8–8

(e) Compaction..................................................................................................... 8–10

645.0802 Sampling and testing 8–16

(a) Determining frequency of testing................................................................. 8–16

(b) Testing location.............................................................................................. 8–17

(c) Sampling.......................................................................................................... 8–17

(d) Testing.............................................................................................................. 8–17

(e) Evaluating test results................................................................................... 8–22

645.0803 Records and reports 8–27

645.0804 References 8–28

Figures Figure 8–1 Disk penetrating into preceding lift 8–6

Figure 8–2 Proctor curve 8–8

Figure 8–3 Standard and Modified Proctor effort as specified 8–9

Figure 8–4 Compaction moisture’s effect on soil strength and 8–9

Figure 8–5 Water requirements for compaction 8–11

Figure 8–6 Selection of compactor type 8–13

Figure 8–7 Sand cone apparatus 8–18

Figure 8–8 Apparatus for the rubber balloon method 8–19

Figure 8–9 Drive cylinder apparatus 8–20

Figure 8–10 Typical family of curves 8–23

Figure 8–11 Proctor and ZAV curves 8–24

Tables Table 8–1 Engineering use of earthfill 8–3

Table 8–2 Compaction characteristics of soils 8–12

Table 8–3 Summary of compaction classes defined in NEH 642, 8–14

8–ii (210–VI–NEH, Amend. 74, October 2015)

645.0800 Introduction 645.0801 Installation

Earthfills and rockfills are widely used in NRCS work

8–2 (210–VI–NEH, Amend. 74, October 2015)

Important properties Relative desirability for various uses

Well-graded sands, SW Pervious Excellent Negligible Excellent — — 3 6 — — 2

(210–VI–NEH, Amend. 74, October 2015)

Silty sands, poorly SM Semipervious Good Low Fair 4 5 — 8 5 3 7

flour, silty or clayey critical

Important properties Relative desirability for various uses

Organic silts and OL Semipervious Poor Medium Fair 8 8 — — 7 7 11

silty soils, elastic silts

Inorganic clays of CH Impervious Poor High Poor 7 7 — 10 8 9 13

(210–VI–NEH, Amend. 74, October 2015)

Peat and other highly P — — — — — — — — — —

(210–VI–NEH, Amend. 74, October 2015) 8–5

(c) Placement and processing

Good earthfill placement and processing that results

8–6 (210–VI–NEH, Amend. 74, October 2015)

(210–VI–NEH, Amend. 74, October 2015) 8–7

The standard Proctor procedure is described in ASTM Maximum