Application of Shrinkage and Swelling Factors on State Highway Construction 
by 
 
Alexandria Rhea Crooks 
 
 
 
 
A thesis submitted to the Graduate Faculty of 
Auburn University 
in partial fulfillment of the 
requirements for the Degree of 
Master of Science 
 
Auburn, Alabama 
May 5, 2013 
 
 
 
 
Keywords: Cut, earthwork, embankment, 
fill, shrink, swell 
 
 
Copyright 2013 by Alexandria Rhea Crooks 
 
 
Approved by 
 
J. Brian Anderson, Ph.D., P.E., Chair, Associate Professor of Civil Engineering 
Rod E. Turochy, Ph.D., P.E., Associate Professor of Civil Engineering 
Wesley C. Zech, Ph.D., Brasfield and Gorrie Associate Professor of Civil Engineering 
 
ii 
 
Abstract 
 
 
The objectives of the research were to review the state of practice for roadway related 
earthwork calculations for the southeastern states, develop a calculation tool for comparing 
various state earthwork methods, demonstrate and compare earthwork calculations methods used 
in southeastern state departments of transportation (DOTs), and evaluate shrinkage and swelling 
factors used in southeastern state DOTs. The southeastern states being observed in this research 
are Alabama, Florida, Georgia, North Carolina, South Carolina, and Tennessee.  
First, a background study and literature review was conducted on earthwork calculation 
methods including shrinkage and swell factors. This study included various southeastern state 
DOT methods in the United States. Next, an analysis tool was developed. This spreadsheet tool 
was used for the comparison of earthwork methods and the evaluation of the impact of shrinkage 
and swell factors. The analysis tool aided in the final aims of the project by using a case study. 
The state earthwork methods were calculated using the analysis tool which allowed for analysis 
and comparisons to be made. Finally, from observations of the research and an evaluation of the 
results of the case study allowed for conclusions to be made based on the findings.  
The research concluded: 
1. The method by which southern states determine earthwork quantities varies from state-
state, and can result in a vast difference when compared side-by-side. 
2. The differences in earthwork quantities are substantial between southeastern state DOT 
methods. This was due to whether or not a swell factor is applied to earthwork (some 
iii 
 
DOTs do not use swell factors) or a result of the shrink factor(s) applied to state 
earthwork calculations (different DOTs use different factors depending on soil type). 
3. The shrinkage and swelling factors have a wide range for soils which are typical in the 
southeastern United States. From the values in this research, typical ranges for general 
soil types in the this southeastern region of the United States were found to vary. Shrink 
percentage ranges from 10-18 % for clays, 11-35 % for sands, 20-25 % for residuals, and 
5-22 % for rocky, gravely soils. Swell percentage ranges from 30-50 % for clays, 3-45 % 
for sands, and 5-40% for rocky, gravely soils. No specific swell percentages were 
discovered for residual soils in the course of this research. 
4. Most southeastern state DOTs do not provide a guide for their typical shrinkage and 
swelling factors. It appears that earthwork is left at the risk of the contractor. 
5. Application of swell percentages was inconsistent among the various DOT earthwork 
calculation methods. 
6. The inclusion and definition of rock (drillable rock or at auger refusal) has a large impact 
on earthwork calculations using the southeastern DOT earthwork methods. 
 
iv 
 
Acknowledgments 
 
 
I would like to thank my family. Thank you to my parents, Stephen and Lisa Crooks, for 
your unconditional love and support. I would not be where I am today without you. To my sister 
Emily Crooks, thank you for your love and for always being proud of your older sister.    
A special thanks to my advisor, Dr. Anderson, for your help and support on this project. 
Thank you for your guidance which has promoted my growth as a student and engineer in the 
geotechnical engineering discipline.  
Thank you to Dr. Zech for serving as a committee member on this thesis. Thank you to 
Dr. Turochy for serving on the committee and for your guidance as my undergraduate civil 
engineering advisor. Thank you to all my committee members for your time and commitment to 
this project. 
Thank you to the rest of the civil engineering professors for your countless advice and 
encouragement throughout the years in pursuit of knowledge. Thank you to Dr. Elton, a 
professor in the field of geotechnical engineering who has taught me so much in this industry 
Thank you to my friends and personal advisors, who have still never stopped in their 
encouragement and support. Thank you to everyone who has been there with me throughout this 
entire process. 
 
v 
 
Table of Contents 
 
 
Abstract ........................................................................................................................................... ii 
Acknowledgments.......................................................................................................................... iv 
Table of Contents ............................................................................................................................ v 
List of Figures .............................................................................................................................. viii 
List of Tables .................................................................................................................................. x 
List of Abbreviations ..................................................................................................................... xi 
Chapter 1: Introduction ............................................................................................................. 1 
1.1 Overview ......................................................................................................................... 1 
1.2 Objective ......................................................................................................................... 2 
1.3 Scope of Work ................................................................................................................ 3 
1.4 Limitations of the Research ............................................................................................ 3 
Chapter 2: Background and Literature Review ........................................................................ 5 
2.1 Introduction ..................................................................................................................... 5 
2.2 Shrinkage and Swelling of Soils ..................................................................................... 5 
2.3 Material States ................................................................................................................ 6 
2.4 Shrinkage and Swelling Factors (or Percentages) .......................................................... 7 
2.5 Subsurface Investigation for Road Design ..................................................................... 9 
2.5.1 ALDOT Procedure for Subsurface Investigation in Roadway Design ......................... 11 
2.6 Earthwork in Roadway Design ..................................................................................... 12 
2.6.1 Earthwork Cut/Fill Process ........................................................................................... 12 
2.6.2 Risk involved in Roadway Earthwork .......................................................................... 12 
vi 
 
2.6.2.1 Risk Example ................................................................................................................ 14 
2.7 Federal Guidelines for Estimating Earthwork Volumes ............................................... 17 
2.7.1 Shrinkage and Swelling Factors for Federal Roadway Projects ................................... 21 
2.8 State Methods for Estimating Earthwork ...................................................................... 27 
2.8.1 Alabama Department of Transportation Method for Estimating Earthwork ................ 27 
2.8.1.1 Determining Shrinkage and Swelling Factors in ALDOT ............................................ 28 
2.8.2 Florida Department of Transportation .......................................................................... 29 
2.8.3 Georgia Department of Transportation ......................................................................... 30 
2.8.4 North Carolina Department of Transportation .............................................................. 34 
2.8.5 South Carolina Department of Transportation .............................................................. 37 
2.8.6 Tennessee Department of Transportation ..................................................................... 40 
2.8.7 Summary of DOT Earthwork Calculation Methods ..................................................... 44 
Chapter 3: Analysis Tool ........................................................................................................ 47 
3.1 Analysis Tool Introduction to User Input and Cross-Sections ..................................... 47 
3.2 State DOT Earthwork Calculations .............................................................................. 48 
Chapter 4: Case Study and Analysis ....................................................................................... 58 
4.1 Case Study .................................................................................................................... 58 
4.1.1 Method for Analysis of the Case Study ........................................................................ 64 
4.1.2 Case Study Example: Stations 81+00 to 101+00 .......................................................... 65 
4.2 Evaluating Shrinkage and Swelling Factors ................................................................. 75 
Chapter 5: Findings from the Research .................................................................................. 81 
Chapter 6: Summary and Conclusions ................................................................................... 84 
6.1 Summary ....................................................................................................................... 84 
6.2 Conclusions ................................................................................................................... 85 
6.3 Recommendations and Future Study ............................................................................ 86 
vii 
 
References ..................................................................................................................................... 88 
Appendix A:  Case Study ............................................................................................................ A-1 
 
 
viii 
 
List of Figures 
 
 
Figure 1. Visual display of material states (CEER 2013). .............................................................. 7 
Figure 2. Earthwork example. ....................................................................................................... 15 
Figure 3. Exhibit 4.6-F shrinkage and swelling factors (FHWA 2007). ....................................... 22 
Figure 4. Shrinkage and swelling factors (Burch 1997). .............................................................. 24 
Figure 5. Approximate material characteristics including shrink and swell (Church 1981). ....... 25 
Figure 6. Continuation of approximate material characteristics including shrink and swell 
(Church 1981). .................................................................................................................. 26 
Figure 7. Swell versus voids of materials and hauling machine load factors (Church 1981). ...... 27 
Figure 8. GDOT Shrinkage factors by county (GDOT 2013). ..................................................... 31 
Figure 9. NCDOT Shrinkage factors (NCDOT 2004). ................................................................. 34 
Figure 10. Shrinkage and swelling factors used in TDOT (TDOT 2013). ................................... 41 
Figure 11. Example calculation for earthwork values when balanced (TDOT 2013) .................. 42 
Figure 12. Example calculation for earthwork values when unbalanced (TDOT 2013). ............. 43 
Figure 13. ?Cross-Sections? worksheet as a user input page for earthwork calculations............. 48 
Figure 14. Tabs for the developed analysis tool showing the file layout. .................................... 48 
Figure 15. Earthwork calculation sheet for ALDOT/HMB method. ............................................ 50 
Figure 16. Earthwork calculation sheet for FDOT method. ......................................................... 51 
Figure 17. Earthwork calculation sheet for GDOT method. ......................................................... 52 
Figure 18. Earthwork calculation sheet for NCDOT method ....................................................... 53 
Figure 19. Earthwork calculation sheet for SCDOT method. ....................................................... 54 
Figure 20. Earthwork calculation sheet for TDOT method. ......................................................... 55 
ix 
 
Figure 21. ?Earthwork Method Comparison? sheet for the analysis tool. .................................... 57 
Figure 22. Corridor X earthwork calculation totals including adjustment values (HMB 2011). . 59 
Figure 23. Earthwork values page 1 (HMB 2011). ....................................................................... 60 
Figure 24. Earthwork values page 2 (HMB 2011). ....................................................................... 61 
Figure 25. Earthwork values page 3 (HMB 2011). ....................................................................... 62 
Figure 26. Earthwork values page 4 (HMB 2011). ....................................................................... 63 
Figure 27. ?Cross-Sections? worksheet for stations 81+00 to 101+00......................................... 66 
Figure 28. ALDOT/HMB earthwork for stations 81+00 to 101+00. ............................................ 67 
Figure 29. FDOT earthwork for stations 81+00 to 101+00. ......................................................... 68 
Figure 30. GDOT earthwork for stations 81+00 to 101+00. ........................................................ 69 
Figure 31. NCDOT earthwork for stations 81+00 to 101+00 ....................................................... 71 
Figure 32. SCDOT earthwork for stations 81+00 to 101+00. ...................................................... 72 
Figure 33. TDOT earthwork for stations 81+00 to 101+00. ......................................................... 73 
Figure 34. Earthwork comparison for stations 81+00 to 101+00. ................................................ 74 
Figure 35. Varying shrink percentage for stations 81+00 to 101+00. .......................................... 77 
Figure 36. Varying swell percentage for stations 81+00 to 101+00. ............................................ 78 
Figure 37. Varying shrink percentage for ALDOT/HMB earthwork estimates. .......................... 79 
Figure 38. Varying swell percentage for ALDOT/HMB earthwork estimates. ............................ 80 
Figure 39: Station 155+00, Corridor X project (Photo courtesy of HMB). ................................ A-2 
Figure 40: Station 185+00, Corridor X project (Photo courtesy of HMB). ................................ A-2 
Figure 41: Station 250+00, Corridor X project (Photo courtesy of HMB). ................................ A-3 
Figure 42: Corridor X Profile Sheet. ........................................................................................... A-4 
 
x 
 
List of Tables 
 
 
Table 1. Earthwork pay items (FHWA 2011). .............................................................................. 14 
Table 2. Summary of excavation volumes (FHWA 2011). .......................................................... 18 
Table 3. Summary of embankment volumes (FHWA 2011). ....................................................... 19 
Table 4. Summary of earthwork calculations (FHWA 2011). ...................................................... 21 
Table 5. NCDOT earthwork balance sheet (NCDOT 2007)......................................................... 35 
Table 6. Summary of southeastern state DOT earthwork calculation methods. ........................... 44 
Table 7. Typical shrink and swell values from research. .............................................................. 76 
 
 
  
xi 
 
List of Abbreviations 
 
 
ALDOT Alabama Department of Transportation 
BF  Bulkage Factor (Also referred to as swelling factor) 
DOT  Department of Transportation 
FDOT  Florida Department of Transportation 
GDOT  Georgia Department of Transportation 
NCDOT North Carolina Department of Transportation 
PCC  Portland Cement Concrete 
P.S.&E. Plans, Specifications, and Estimates Bureau 
SCDOT South Carolina Department of Transportation 
SF  Shrinkage Factor 
SPT  Standard Penetration Test 
TDOT  Tennessee Department of Transportation 
 
 
1 
 
Chapter 1:  
Introduction 
1.1 Overview 
A large aspect of economic risk on roadway construction projects deals with the 
earthwork calculations. Risk in earthwork calculations results from borrow or waste material on 
a project that was not budgeted for prior to construction. Since soils and rocks have the ability to 
expand and contract volume during the process of cut, haul, and fill, they do not have a constant 
volume. Geotechnical materials are able to move and shift, producing more or less void space 
between their particles. Since material volume can vary, initial estimates of earthwork and mass 
hauls for a project often do not match the actual final quantities. Whether a project results in 
excess material that becomes waste, or a deficit of material that requires borrow to be brought in, 
both cases can result in increased project costs. Borrow or waste materials are quantified as cost 
per unit volume. These costs include excavation, transportation, and placement of the soil plus 
the material cost. Additional costs from unforeseen unbalanced earthwork come from hauling 
costs including transportation and labor, and location of the waste or borrow site(s). These 
additional costs post project construction are usually at the risk of the contractor. Unforeseen 
unbalanced earthwork is usually as a result of inaccurate earthwork estimations. In an effort to 
address the additional costs due to volume change of materials on-site that is unbudgeted for, this 
research aims to understand the methods involved in earthwork calculations and applications of 
the shrinkage and swelling factors.  
2 
 
Shrinkage and swelling factors account for the volume change on a project between the 
various stages of soil placement. Generally, soil shrinks when going from a loose state to a 
compacted state, and soil swells from the insitu soil state to a looser volumetric state. When 
conducting earthwork estimates, shrinkage and/or swelling factors are applied to the soils present 
in an attempt to compensate for changes in volumetric amounts. 
It is important to note that shrink and swell in this research refers to this volume change 
in soils during construction. This volume change is due to the shifting of soil particles when a 
soil is unearthed, moved, and/or compacted. This is not referring to shrink/swell clays which 
have a high plasticity index. The volume of shrink/swell clays alters when there is a change in 
water content in the soil, and therefore varies insitu. The topic of discussion in this research, 
therefore, is the shrinking and swelling of soils in the excavation and placement processes during 
construction, not shrink/swell clays.  
It is also important to note the use of different shrink and swell terms in this report. 
Shrinkage and swelling factors are the factors applied to earthwork calculations. The factors are 
used as conversions between different soil volumetric states. On the other hand, shrink and swell 
values refer to the potential of a soil to shrink and swell in volume. This potential is usually in 
the form of a percentage which can then be converted to a factor for use in earthwork 
calculations. 
1.2 Objective 
The objective of this research was to investigate methods for application of shrink and 
swell factors to earthwork estimates and make recommendations about shrink and swell factors 
used by departments of transportation (DOTs) in the southeastern United States. The goals of 
this report are to:  
3 
 
? Review the state of practice for roadway related earthwork calculations for the 
southeastern states 
? Develop a calculation tool for comparing various state earthwork methods 
? Demonstrate and compare earthwork calculations methods used in southeastern state 
DOTs 
? Evaluate shrinkage and swelling factors used in southeastern state DOTs 
1.3 Scope of Work 
The objectives of this research were completed by: 
? Conducting an extensive literature review on earthwork calculation methods 
including shrinkage and swell factors 
? Developing  a spreadsheet tool for the comparison of earthwork methods and 
evaluating the impact of shrinkage and swell factors 
? Analyzing  a case study applying each state earthwork methodology simultaneously 
? Evaluating the results and making conclusions based on the findings  
1.4 Limitations of the Research 
There were limitations on this research and the conclusions made in the final chapter of 
this report. The first limitation is that the case study project does not have the final earthwork 
values after construction. Therefore final conclusions cannot be made on the accuracy of 
different methodologies when comparing earthwork calculation methods and evaluating 
shrinkage and swelling values. This research shows the various methods used and comparisons 
between methods; however, it does not conclude which methods are more effective. The second 
limitation is that not every state department of transportation in this research had a guide 
available which shows shrinkage and swelling values used by the state DOTs. Not knowing 
4 
 
typical shrinkage and swelling values currently in use limited conclusions made for the shrink 
and swell factors used in the southeastern state DOTs. 
5 
 
Chapter 2:  
Background and Literature Review 
2.1 Introduction 
In order to improve the application of shrinkage and swelling factors on highway 
projects, an understanding of the characteristics of these soils as well as their application to the 
design projects is required. While the construction industry recognizes the effect of volume 
change due to soil bulking on a job site, the uncertainty in the amounts of shrinkage and swelling 
result in financial risk. This is the result of inaccurate volume calculations during earthwork 
estimation, and therefore strains budgets. When estimating the amount of cut and fill, the 
potential for soil shrinkage and swelling of material must be taken into account; otherwise, 
volume calculations to and from the site will not be balanced. Having balanced earthwork 
calculations represents lessened waste of soil or less amount of borrow required to be hauled 
onto a project. A waste or borrow amount from unbalanced earthwork is an added expense to the 
project. 
2.2 Shrinkage and Swelling of Soils 
Soil shrinkage and swelling, as applied to earthwork design and calculations, can be 
defined as the volume change of soil when moved or distributed from one state to another within 
a project. Volume of soil varies from one soil state to another because of the cut and fill practices 
and mass hauls that take place on construction sites. This is because an amount of volume of 
varies depending on whether the soil is bank, loose, or compacted material (defined subsequently 
in Section 2.3). The difference in soil volume is based on whether the soil is undisturbed, 
6 
 
excavated, or compacted for the project which relates to the soil state whether it is bank, loose, or 
compacted material, respectively. Shrink and swell factors are used in the earthwork calculations 
to account for the volume changes, shrinkage and swelling, of soils through excavation, 
transportation, and placement. 
Laboratory tests and equations have been derived to predict the shrink and swell potential 
of a given soil. These models are then applied to the design procedures to estimate the amount of 
cut and fill required for a roadway section. The use of shrinkage and swelling factors and their 
application to earthwork calculations varies from state-to-state, and even with various projects, in 
the United States. Guidelines have been set by federal agencies for the roadway earthwork 
calculations and suggested shrinkage and swelling factors are supplied. On the other hand, these 
guidelines do not represent a standard; therefore, different states and agencies have differences in 
the earthwork practices and values. As seen in this section, and later sections of this chapter, the 
effects of shrinking and swelling soils make earthwork calculations increasingly complex. 
2.3 Material States 
The following terms are typically used for material states on roadway projects: 
Bank material: Soil that is in its natural, or in situ, state before disturbance. The measurement of 
soil that is in its bank state is typically in bank cubic yards (bcy). 
Loose material: Soil that has been disturbed and is no longer in its original state. Through the 
excavation and transportation processes, the soil has developed an increase in void volume and 
void ratio, e. The measurement of soil that is now in a loose state is measured at loose cubic 
yards (lcy). 
7 
 
Compacted material: Soil that has been compacted for use in construction projects. The 
geotechnical report will state specific compaction for each soil type on the site. This volumetric 
measurement is in compacted cubic yards (ccy). 
 Figure 1 demonstrates a visual representation of the various material states during 
construction. 
 
Figure 1. Visual display of material states (CEER 2013). 
2.4 Shrinkage and Swelling Factors (or Percentages) 
To estimate, more accurately, the amount of cut and fill for a project, shrinkage and 
swelling factors are used for converting the volume of soil between the various material states. 
According to Burch (1997), the shrinkage and swelling factors for each soil ?consider the 
combined effects of: moisture content, density or unit weight (compacted versus loose) and soil 
type.? However, different volumes (bank, loose, or compacted) are used in different phases of 
project design based on soil type, the current project timeline, and location within the project. To 
convert between the various stages of soil volume, the shrinkage and swelling factors or 
percentages are applied to cut/fill and excavation calculations. 
8 
 
In order to determine shrinkage and swelling factors, generally lab testing is performed 
for large projects while approximate conversion factors are used for smaller projects (Burch 
1997). Lab testing is the most accurate way of determining shrink and swell potential of a soil. 
Tests for the unclassified excavation material include: moisture density test (Proctor Test), in-
place density, and soil analysis (ALDOT 2003). However, it is not always economical to perform 
these tests on smaller, low budget projects. Therefore, suggested factors based on soil type are 
used. The amount of shrink percentage is typically between 15-20%, but can be as high as 40-
50% (Bowman and Barksdale 2013). Deciding which factor to use then becomes an important 
step in the earthwork estimation process. 
It is also important to understand the difference between shrinkage and swelling factors 
and percentages. Shrinkage and swelling factors come from the universal equation as described 
in Chopra (1999): 
          
 
         
    
  (Eq. 1) 
where, 
 SF = Shrinkage Factor 
 VE = Volume of Excavated Material 
 VC = Volume of Compacted Material 
 ?d(E) = Dry Unit Weight of Excavated Material 
?d(C) = Dry Unit Weight of Compacted Material 
          
 
       
    
   (Eq. 2) 
where, 
 BF = Bulkage Factor (Also known as Swelling Factor) 
 VE = Volume of Excavated Material 
9 
 
 VL = Volume of Loose Material 
 ?d(E) = Dry Unit Weight of Excavated Material 
?d(L) = Dry Unit Weight of Loose Material 
When developing earthwork quantities these volumes and dry unit weights are oftentimes 
unknown. Instead, potential for shrinkage or swelling is determined from the soil type or by the 
combined effect with testing if soil testing is budgeted or permitted. The soil type is either 
determined on-site or in the lab. On-site soil type investigation includes visual inspection or the 
Standard Penetration Test (SPT). Lab testing consists of various lab samples and standard tests 
(which may include particle size analysis, Atterberg limits, etc.). The shrink or swell percentage 
can then be converted to the shrinkage or swelling factor to be used in calculations by using the 
ratio value. For shrinkage, the shrink percentage is divided by 100, then subtracted from 1. 
Therefore, the shrinkage factor is always a positive value less than one. For swelling, the swell 
percentage is divided by 100, then added to 1. The shrinkage or swelling factor is then multiplied 
by the material volume to determine the adjusted volume to be used for fill on the project.  
2.5 Subsurface Investigation for Road Design  
Before the start of any project, a subsurface investigation is conducted. The purpose of 
subsurface investigations on roadway projects is to identify and characterize soil along the road 
alignment for use on the project. These investigations can be in the form of insitu soil testing to 
soil sampling and testing from in a lab. Soil borings should be conducted along the centerline of 
the intended roadway and along the ditches to the left and right of the roadway along with further 
details in the following guidelines:  
The spacing of borings along the roadway alignment generally 
should not exceed 60 m (200 ft) for a fully invasive program. 
10 
 
Where subsurface conditions are known to be uniform, a minimum 
spacing of 120 m (400 ft) is generally recommended. In a program 
supported by geophysical and in-situ tests, such as recommended 
in Sections 4.5.4 [Geophysical Investigations] and 4.5.5 [In-Situ 
Testing], a spacing of 150 ? 450 m (500 ? 1500 ft) as indicated in 
NCHRP 1-37A may be all that is necessary, depending on the 
uniformity of site conditions. For new pavement projects, most 
agencies locate borings along the centerline, unless conditions are 
anticipated to be variable. Borings should be located to disclose the 
nature of subsurface materials at the deepest points of cuts, areas of 
transition from cut to fill, and subgrade areas beneath the highest 
points of embankments. The spacing and location of the borings 
should be selected considering the geologic complexity and 
soil/rock strata continuity within the project area, with the 
objective of defining the vertical and horizontal boundaries of 
distinct soil and rock units within the project limits. It should be 
noted that the cost for a few extra borings is insignificant in 
comparison to the cost of unanticipated field conditions or 
premature pavement failure. Christopher et al. (2006) 
After determining soil type and other factors affecting soil constructability, the 
suitability of a soil is determined. Soils may need to be treated and/or redistributed across 
the site, or additional soil (borrow) may be required. Based on this information, grading 
summaries and mass haul diagrams are made for the design.  
11 
 
2.5.1 ALDOT Procedure for Subsurface Investigation in Roadway Design 
ALDOT has its own state procedures for subsurface investigations, as well as 
specifications under new locations for projects. One specification includes that the division 
materials engineer will accompany the consultant on a walk through of the site, where a 
materials and tests soft soils engineer may join upon written request. Specifications are also 
included by ALDOT (2009) for soil borings along the proposed roadway: 
Perform borings in fill areas every 300 ft (90 m). Extend the boring 
to 1.5 times the proposed fill height or to auger refusal, whichever 
is shallowest, but no more than 10 ft (3 m) into competent material 
(A competent material shall be defined as having [a blow count of] 
N ? 20). Should soft soils be encountered, follow the guidelines 
under Subarticle 9, below. If uniform conditions are encountered 
while drilling every 300 ft (90m), then the boring interval may be 
extended to 500 feet (150 m). Perform additional borings if there is 
a noticeable change in the soil between borings. 
Perform borings in cut areas every 200 ft (60 m) along and on 
centerline and extend the boring approximately 3 ft (1 m) below 
the ditch line. For every third boring along centerline, perform a 
boring in the left and right ditch lines, extending approximately 3 ft 
(1 m) below the ditch line. Perform additional borings if there is a 
noticeable change in the soil between borings. ALDOT (2009) 
ALDOT guidelines also include testing and soil identification. SPTs are performed at 
each boring location in overburden soils every 5 ft (1.5 m) of boring depth in accordance with 
12 
 
AASHTO T 206 (ALDOT 2009). Guidance for state roadway projects is included for testing and 
identification of soil and application by the materials and test engineers. The Bureau of Materials 
and Tests evaluates subsurface materials for shrink and swell potential in accordance with 
Alabama state guidelines for operation (ALDOT 2009). 
2.6 Earthwork in Roadway Design 
2.6.1 Earthwork Cut/Fill Process 
The cut/fill and roadway construction process uses general terms including: 
Embankment: For transportation purposes, an embankment is a raised bank of compacted soil to 
carry the road. 
Borrow: The borrow, or borrow pit, is where soil is being hauled from for use on the project. The 
borrow can be either on-site or hauled from an off-site location. Soil that is required to be 
transported onto a location of a project site is known as the borrow. 
Stockpile: Another term for borrow. 
2.6.2 Risk involved in Roadway Earthwork 
Risk involved in earthwork estimation depends on the final earthwork quantities. 
Completely balanced earthwork is when the calculated earthwork is equal to the project material 
needs. Borrow or waste material can be budgeted for if calculated prior to construction. 
Unplanned borrow or waste material can then add risk, or added costs to the responsibility of 
whom the risk falls on, to the project. For example, risk is added if a project results in an excess 
amount of soil, also known as waste, that was unaccounted for in the earthwork estimation. This 
is because any waste material needs to be transported to a deposit location. If this waste was 
unaccounted for prior to construction, then the transportation and location of a waste site adds 
cost to the budget. Similarly, material that is required to be brought in to the project, borrow 
13 
 
material, is an additional cost to the project if not budgeted for by correct earthwork estimations. 
The cost to transport soil to or from a project due to unforeseen unbalanced earthwork is an 
added risk to the project. 
Risk in earthwork usually falls on the contractor. The amount of risk is then usually 
dependent upon which pay item is used on the project. According to FHWA (2004), for 
earthwork in roadway projects, some typical pay items for federal roadway projects include: 
? Pay Item 20401-0000, Roadway Excavation 
? Pay Item 20441-00, Waste 
? Borrow Pit Construction is more complicated, 
o Pay Item 20420-0000, Embankment Construction 
o Combination of Pay Item 20401-0000, Roadway Excavation, and Pay Item 
20403-0000, Unclassified Borrow 
The pay items usually play a role in the type and use of the project contract, and, 
therefore, are used in dictating the risk on the project. The primary pay item for earthwork on 
roadway projects is usually 20401-0000, Roadway Excavation. Under this pay item, the 
contractor must budget the entire earthwork process including, excavation, transportation, 
placement, and labor. The waste pay item may be in conjunction with roadway excavation if the 
project includes waste jobs. By using Pay Item 20420-0000, Embankment Construction, risk and 
payment to the contractor is based on the embankment in its final state. This places the risk of 
volume changes due to shrinkage and swelling on the contractor as well. (FHWA 2004). Table 1 
includes the various pay items for earthwork. 
14 
 
Table 1. Earthwork pay items (FHWA 2011). 
 
Since the contractor typically assumes most of the risk in roadway construction, a better 
understanding on the construction end of the project is required. Since material shrink and swell 
and other factors come from Materials and Testing Bureau and the geotechnical report, it is 
important that every factor in the project is understood and accounted for. 
2.6.2.1 Risk Example 
As stated previously, a certain amount of risk is inherent to a roadway construction 
project due to uncertainty in earthwork calculations. A simple example is provided which shows 
the nature of  the risk in earthwork calculations. This example assumes no rock, muck, or 
unsuitable material on-site.  
Consider the simple cut and fill balance shown in Figure 2. 
15 
 
 
Figure 2. Earthwork example. 
Cut Section: Total Unclassified Excavation = 500,000 yd3 (Cut soil and topsoil) 
  Total Fill Required = 400,000 yd3 
Scenario 1: Soil Shrink Percentage = 15% 
  Soil Shrink Factor = 0.85 
  Adjusted Soil Cut = (Total Unclassified Excavation)*(Soil Shrink Factor) 
      = (500,000 yd3)*(0.85) 
      = 425,000 yd3 
   Borrow or Waste = (Total Required Fill) ? (Adjusted Soil Cut) 
= (400,000 yd3) ? (425,000 yd3) 
= - 25,000 yd3 
= 25,000 yd3 waste 
                                                                         
16 
 
            
 
                
= - 5% 
Scenario 2: Soil Shrink Percentage = 25% 
  Soil Shrink Factor = 0.75 
  Adjusted Soil Cut = (Total Unclassified Excavation)*(Soil Shrink Factor) 
      = (500,000 yd3)*(0.75) 
     = 375,000 yd3 
   Borrow/Waste = (Total Required Fill) ? (Adjusted Soil Cut) 
= (400,000 yd3) ? (375,000 yd3) 
= 25,000 yd3 
= 25,000 yd3 borrow 
                                                                         
          
 
                
= 5% 
In this hypothetical example, both scenarios required the same amount of fill, and had the 
same soil type available from the cut. The percent balanced is the relation of the amount of waste 
or borrow required to the total unclassified excavation. This shows the balance of soil on a 
particular portion of the project. A negative percent balanced value signifies a waste while a 
positive shows a borrow. A percent balance of 0% would be perfect balance of cut and fill. The 
difference between the two scenarios is the shrink percentage being applied to the available cut 
soil. Scenario 1 applied a 15% shrink to the available soil, and resulted in 25,000 yd3 of soil 
being wasted. Unless this soil can be used somewhere else on the project, there is substantial risk 
17 
 
for the wasted soil. For example, excess soil can bring on added expenses from haul costs and 
disposal of the soil to a site. On the other hand, scenario 2 applied a 25% shrink to the available 
soil, and resulted in 25,000 yd3 of soil needing to be brought on to the project. Unless soil can be 
brought to the cut section from another location on the project, bringing in soil is another added 
expense. Oftentimes, the hauling of soil adds another shrinkage or swelling factor that can 
further alter the volumetric value for the soil. This borrow and transportation of material adds to 
the expense of scenario 2. 
The hypothetical expenses in both scenario 1 and scenario 2 are to the risk of the project. 
The expenses include transportation, labor and any additional costs to either remove soil or bring 
the required borrow material to the site. If these waste or borrow costs are unaccounted for from 
the earthwork estimation, then this is risk to the project. This risk, as mentioned previously, 
usually falls on the responsibility of the contractor unless otherwise stated in the project contract. 
A typical value assigned to amount of soil in construction is around $15 per cubic yard. If this 
value were assigned to Scenario 1 and 2, then the amount of added cost in both cases would 
result in $375,000. If the unbalanced earthwork was unaccounted for prior to construction, this 
cost results in a risk to the responsibility of the liable party, typically the contractor. 
2.7 Federal Guidelines for Estimating Earthwork Volumes 
Earthwork calculations for federal projects are done through spreadsheet analysis which 
outlines all parameters in the excavation, embankment, and earthwork process.  
Table 2, Table 3, and Table 4 demonstrate the earthwork calculation process that takes 
place in a spreadsheet from column B to AL. Each table summarizes a portion of the earthwork 
and mass haul process, including which earthwork value is displayed in each column. The 
calculation process is done using GEOPAK (Bentley 2013) or hand calculations that are placed 
18 
 
in specified columns, identified by the alignment stationing through the various rows of the 
spreadsheet. GEOPAK is  computer aided design software distributed by Bentley primarily used 
for transportation and design civil engineering. The format identifies unadjusted and adjusted 
volumes for the final design of the roadway project. 
Table 2. Summary of excavation volumes (FHWA 2011). 
 
 
After the excavation summaries have been calculated, the embankment volumes are 
determined for the project.   
19 
 
Table 3. Summary of embankment volumes (FHWA 2011). 
 
  
  
20 
 
Table 3 (Continued). Summary of embankment volumes (FHWA 2011). 
 
The final design volumes are then verified in the final earthwork calculations. These 
values are shown in the summary Table 4. 
  
21 
 
Table 4. Summary of earthwork calculations (FHWA 2011). 
 
 
2.7.1 Shrinkage and Swelling Factors for Federal Roadway Projects 
Typical shrink and swell percentages set from Federal Highway Administration 
guidelines are shown in Figure 3. 
22 
 
 
Figure 3. Exhibit 4.6-F shrinkage and swelling factors (FHWA 2007). 
23 
 
 
Figure 3 (continued). Exhibit 4.6-F shrinkage and swelling factors (FHWA 2007). 
The primary source supporting the FHWA shrinkage and swelling factors is Burch 
(1997). This source outlines conversion factors for soil shrink and swell used in excavation 
calculations as presented in Figure 4. 
24 
 
 
Figure 4. Shrinkage and swelling factors (Burch 1997). 
As shown in Figure 4 the shrink or swell factor is based on soil type and compaction. The 
soil type, however, is a general estimation which leaves the conversion factors for soil swell and 
shrinkage to be an approximation. 
The secondary source for the FHWA shrinkage and swelling factors is by Church (1981). 
Figures and applications for shrinkage and swelling factors are then included in the source. 
25 
 
 
Figure 5. Approximate material characteristics including shrink and swell (Church 1981). 
 
 
 
26 
 
 
Figure 6. Continuation of approximate material characteristics including shrink and swell 
(Church 1981). 
 
 
 
27 
 
 
Figure 7. Swell versus voids of materials and hauling machine load factors (Church 1981). 
FHWA (2007) along with Burch (1997) and Church (1981) are references cited for 
earthwork shrink and swell guidance by the FHWA and USDOT.  
2.8 State Methods for Estimating Earthwork 
2.8.1 Alabama Department of Transportation Method for Estimating Earthwork  
Earthwork calculations are usually broken into phases based on construction sequence 
(ALDOT 2008). The earthwork calculations are typically completed by the average end area 
method. The following list is a summary of the method for earthwork design by ALDOT from 
ALDOT (2013) with references to example spreadsheets from the ALDOT (2008): 
1. The first step in earthwork design for roadways is to develop a preliminary plan. The 
preliminary plan includes: title sheet, typical section sheets, plan and profile sheets 
(including topography), grading, paving layouts, and cross sections (ALDOT 2013).  
2. The preliminary prints, including the initial profile, are sent to the materials and test 
engineer for determination of shrink/swell values for the proposed site. These preliminary 
prints include earthwork balanced based on initial site cut sections. An example of 
ALDOT preliminary prints can be found in ALDOT (2008). 
28 
 
3. The materials and test engineers provide soil reports including boring logs and soil 
profiles. These profiles include soil shrink/swell values and any additional factors that 
need to be considered. (ALDOT 2008) 
4. From this information, earthwork is then balanced based on the factors (shrink/swell) 
provided by the Materials and Test Engineer. If the profile changes significantly, a new 
set of plans and cross sections are developed and sent to the Materials Bureau. An 
example of earthwork quantities based on each distinguished layer can be found in 
ALDOT (2009). 
5. The earthwork material up until this point then undergoes inspection by the Plans, 
Specifications, and Estimates Bureau (P.S.&E. inspection). 
6. After inspection, earthwork factors will be kept on file, however, will not be included in 
the as-let plan assembly. 
7. The final earthwork summary will include unclassified excavation, borrow excavation, 
muck excavation, topsoil, and topsoil from stockpiles (ALDOT 2013). 
In summary, preliminary earthwork calculations are determined based on an initial 
evaluation of the site. After further inspection and testing of site soils have taken place, factors 
including shrink and swell values for specific materials are applied to the preliminary earthwork 
calculations in order to obtain revised earthwork values. This earthwork summary is inspected 
then submitted as the final earthwork summary. The final earthwork summary does not include 
the shrinkage and swelling factors on the final earthwork plan sheet; however these factors are 
kept on file until construction has been completed. 
2.8.1.1 Determining Shrinkage and Swelling Factors in ALDOT 
29 
 
The ALDOT Bureau of Materials and Tests is responsible for the consideration and 
application of materials on ALDOT projects. These are the engineers that determine the soil 
type, and therefore assign the shrinkage and swelling factors that are applied to earthwork 
calculations. 
ALDOT includes procedures for sampling and testing of are listed for various materials 
encountered in Alabama state transportation projects. For unclassified excavation material from 
approved cuts or borrow pits, soil tests include: moisture density, in-place density, and soil 
analysis. For the purposes of roadway earthwork, based on specifications by ALDOT (2003) and 
AASHTO M-145, soil analysis is conducted for determination of uses in subgrade material on 
roadway projects. 
Shrinkage and swelling factors for earthwork summaries on roadway projects are 
determined by the materials and test engineers and included in the materials report for a specific 
project. Based on soil analysis and testing as described in the previous paragraph and specific 
site characteristics (including historical data) these shrinkage and swelling factors are assigned. 
Once assigned, the factors are sent to the design engineers for the final earthwork summary. 
2.8.2 Florida Department of Transportation 
Earthwork calculations are completed by a manual average end area method or by a 
program, typically GEOPAK (FDOT 2013). The method of computation is primarily based on 
the pay item designated. Pay for cut is completed as either regular excavation by CY (cubic yard) 
or Lump Sum while pay for fill is by Embankment or Borrow Excavation, aka Truck Measure 
(FDOT 2013).  
If the pay item of Borrow Excavation is chosen, a fill and truck adjustment are both 
calculated for. The fill adjustment is added to the net total fill value from the plans. The truck 
30 
 
adjustment is the correction to soil volume for hauling the material from the borrow to the fill 
location. Fill and truck adjustment percentages for each specific project should come from the 
District Materials Office or the Construction Office. (FDOT 2013) 
2.8.3 Georgia Department of Transportation 
Georgia assigns shrinkage values through the soil survey, usually based on 
county/location. While the engineer/desiger completes the earthwork quantities, factors for 
adjustment values usually come from the materials engineers. It is important to note that ?the 
designer cannot control the shrinkage factor given in the Soil Survey but he can make 
adjustments if PCC pavement, curb and gutter are being removed? (GDOT 2009). Figure 8 
shows the shrinkage values per county. 
31 
 
 
Figure 8. GDOT Shrinkage factors by county (GDOT 2013). 
The average end area method is used for excavation quantities unless specified otherwise 
(GDOT 2013). For general earthwork guidelines: 
If earthwork is required, normal standards shall apply; however, 
because earthwork is generally minimal, the earthwork shall be let 
as "Grading Complete - Lump Sum." The designer should 
calculate earthwork volumes, but no quantities shall be shown in 
the plans. Removal of vegetation within the clear zone shall be 
included within the project limits. GDOT (2012) 
32 
 
No table for swelling factors was found from GDOT. According to GDOT (2009), 
earthwork calculations are typically completed either by the shrink on cut method or the 
swell on fill method. A main difference with the GDOT method of earthwork is that 
calculations are done by lump sum instead of cubic yard. Calculation methods by GDOT 
(2009) include: 
? Grading Complete: The quantities are not shown in the plans, 
but the quantities for excavation and Borrow are completed in 
order to provide: the construction estimate for Contracts, to 
Engineering Services with FPR request, and to the District 
Earthwork Coordinator.  Calculations for ?Grading Complete? 
are done the same for Pay Items of ?Unclassified Excavation? 
and ?Borrow, Including Material?. 
? In-Place Embankment: The construction fills are measured ?in-
place,? therefore the quantities for excavation and/or borrow 
are not shown in the plans. However, the quantities are 
calculated in order to provide to Engineering Services and the 
District Earthwork Coordinators. If quantities are correct, the 
values will be the pay quantity. It is important to note that no 
adjustment for shrinkage is required under this method.  
Calculations for ?In-Place Embankment? are done the same as 
if quantities were ?Unclassified Excavation? and Borrow. 
33 
 
? Unclassified Excavation and Borrow: Two calculation methods 
can be used for this Pay Item. Both methods should produce 
the same results, but they must be used separately 
?  These methods are: 
o The ?Swell the Fill? method mathematically increases the 
volume of the fill and subtracts the raw cut volumes from 
this number. Note that the word ?Swell? indicates the 
inverse of the Shrinkage and not the Swell percentage for 
rock. 
o The ?Shrink the Cut? method basically reduces the volume 
of the excavation and subtracts this volume from the ?Raw 
Fill.? 
The ?Shrink the Cut? method, aka Shrink on Cut, is primarily used if the soil has 
different shrinkage coefficients. One case requiring this method is if a soil survey was 
done at the location of the borrow pit. This is done if the borrow is located for the project 
(prior to start of the project). However, it is not the GDOT practice to provide borrow 
locations prior to the start of a project. Another case is if there are large rock deposits on 
the project site where a swell factor will need to be used. 
 When using pay items ?Unclassified Excavation? and ?Borrow, Including 
Material,? the volume quantity is the measure used for payment. For ?Unclassified 
Excavation,? the volume is on the right-of-way while the ?borrow? is the volume, 
provided by the contractor, not on the right-of-way. This difference affects the risk and 
34 
 
budget on the project. Note, if there is a net ?waste? in the earthwork, then the inclusion 
of ?borrow? in the pay item is left out. 
2.8.4 North Carolina Department of Transportation 
Shrinkage factors used by NCDOT typically range from 15% in the mountains to 30% in 
the Outer Coastal Plain (NCDOT 2004). Figure 9 shows the typical shrinkage factors used for 
NCDOT based on soil geographical location.  
 
Figure 9. NCDOT Shrinkage factors (NCDOT 2004). 
Swell factors are used for rock and soils with larger grain sizes. The swelling factor is 
usually provided by the geotechnical engineer if being used for a specific project. The given 
shrinkage and swelling factors are applied to earthwork calculations when used in borrow 
earthwork calculations. 
35 
 
The earthwork volumes for NCDOT are calculated in the earthwork balance sheet. The 
NCDOT balances earthwork in a spreadsheet outlined in Table 5 in the ?description? column for 
each spreadsheet column number. Then, the last column in the table below, ?Interpreted 
Earthwork for Analysis Tool,? gives the translated earthwork values for use in this research. 
Table 5. NCDOT earthwork balance sheet (NCDOT 2007). 
Column 
No. 
Description Interpreted Earthwork for Analysis 
Tool 
1 The survey line reference and beginning 
station for each summary point. 
Beginning stations 
2 The ending station for each summary 
point 
Ending stations 
3 The volume of all material excavated 
between summary point stations (except 
material covered by other excavation pay 
items such as undercut excavation and 
drainage ditch excavation). 
Total unclassified excavation. This is a 
sum of the soil volume cut, volume 
topsoil in cut areas, volume topsoil in fill 
areas, and rock/?hard? rock. ?hard? rock 
for NCDOT is the rock that cannot be 
treat as soil (Material that swells). 
4 Volumes of "hard" rock that is excavated 
as a part of unclassified excavation. 
Total rock on the project. This is the 
swelling material. 
5 Volumes of material excavated beneath 
the roadway subgrade. 
Material found during the subsurface 
investigation which is determined 
unsuitable for the project that is taken 
out. 
6 Volumes of any unclassified excavation 
that is not suitable for roadway 
embankments. 
The amount of topsoil in fill areas in 
addition to any other material deemed 
unsuitable for the project. 
7 Unclassified Excavation (less "hard" 
rock) volume that is suitable for 
constructing roadway embankments. 
Soil volume suitable for construction. 
The amount of unclassified excavation 
minus ?hard? rock on the project. 
8 List the total embankment (include 
backfill for undercut) in column eight. 
This figure is the volume of all the 
different materials used (do not include 
shrinkage or swell factors). 
The area required for construction of an 
embankment. 
9 The volume of embankment that is to be 
constructed from "hard" rock. Use the 
"hard" rock portion of unclassified 
excavation, before the earth, to construct 
embankments within each summary 
point. 
Total rock material available to be used 
in construction. 
10 The volume of embankment that is to be The volume of soil to be constructed 
36 
 
constructed from earth. from soil. This is the unadjusted soil 
volume. This is the soil cut volume minus 
the material excavated beneath roadway. 
11 The actual volume of material needed to 
construct the embankment. A shrinkage 
factor must be applied to the earth 
portion and then the "hard" rock is added 
if applicable. Shrinkage and swelling 
factors do not apply to "hard" rock unless 
specified by the Geotechnical 
Engineering Unit. 
The adjust material to be used in 
construction on the project. This is the 
amount of soil and rock after shrink and 
swell adjustments have been applied. 
 
12 The amount of borrow material needed to 
construct embankments after the suitable 
excavation (rock and earth) has been 
utilized within the summary points. 
Note: If cut/fill is the amount of surface 
cut/fill including the amount for 
embankment, then: 
 
This is the total amount of fill required 
for the project. This is the total amount 
from volume fill required, volume topsoil 
from fill area, material excavated beneath 
roadway subgrade (column 5), and the 
total embankment. 
13 Any "hard" rock excavation not utilized 
in embankments must have the volume 
listed in column thirteen. 
See note for column 14 for use in 
analysis tool. 
14 The volume of any suitable excavation 
(undercut or unclassified) not utilized in 
embankments. NCDOT excludes "hard" 
rock in this column because it is 
accounted for in column 13. 
In order to calculate waste or borrow 
amount, total earthwork is calculated in 
the analysis tool combining column 13 
and 14. Therefore, the amount of borrow 
required is signified by positive value 
while waste material is a negative value.  
15 Record the volume of excavation 
(unclassified or undercut) that does not 
have the necessary properties to be used 
in embankments 
This is the total amount of topsoil from 
cut and fill areas and the material 
excavated beneath roadway subgrade 
(column 5). 
16 Column sixteen shows the summation of 
volumes recorded in columns thirteen, 
fourteen, and fifteen 
The project totals include the ?hard? rock 
not used, suitable material not used, and 
unsuitable material not used. 
It is important to note that this method only classifies rock as ?hard? rock, determined at 
auger refusal, and does not separately classify the drillable rock on site. The ?hard? rock requires 
some form of coring or blasting for excavation. So, the ?hard? rock, classified as rock by 
NCDOT, is adjusted for project use with the application of swell factors. It is assumed then that 
37 
 
any other rock, which is able to be drilled in the subsurface investigation, is therefore treated as 
soil. As a result, this rock would have a shrink factor applied to it. 
Next, after completing the earthwork balance sheet, the total volume amounts for each 
section are required for columns three through sixteen. These values will become the ?Project 
Totals? on borrow projects, which then need an additional 5% added to column twelve for 
replacing the topsoil. The ?Earthwork Summary? shown in the final design should only include 
columns one, two, three, five, eleven, twelve and sixteen of the ?Earthwork Balance Sheet.? The 
shrinkage factor for the embankment from the borrow pit (column eleven) is not included in the 
final design. (NCDOT 2007) 
Swelling factors can also be applied to projects. These are usually only applied when 
significantly hard rock is encountered. Oftentimes, a general swell factor of 25% is applied, as 
opposed to the 20% used in recent years (15-20 years) ago (Pilipchuk 2013). The general swell 
value is most commonly used unless specified to a more exact number. 
2.8.5 South Carolina Department of Transportation 
The SCDOT identifies variation in earthwork quantities due to shrink and swell 
considerations primarily in two state manuals/specifications: SCDOT Division 200 Earthwork 
(SCDOT 2004) and SCDOT Standard Specification for Highway Construction (SCDOT 2007). 
These two manuals/specifications are being identified specifically because assumptions for the 
SCDOT earthwork method and for the designation and use of shrink and swell values are made 
in this study based on the guidelines provided. 
One of the first steps in a design process is to complete the subsurface investigation. This 
investigation is done to identify the material on site and if this soil is suitable for the project. 
38 
 
Testing may be required of the soil type to determine the amount of shrinkage or swelling that is 
to be expected. Specifications for excavation areas by SCDOT (2004): 
If an area of questionable material is encountered, it may be 
necessary for the Resident Construction Engineer to request 
additional borings for the purpose of verifying shrink/swell and 
suitability. This will be determined on a case-by-case basis. The 
Resident Construction Engineer should contact the Research and 
Materials Laboratory to arrange the use of any needed boring 
equipment. See Section 106 for additional information on control 
of materials. (SCDOT 2004) 
Then, based on the borings, soil identification, and cross-sections for the project 
relating to cut/fill quantities, earthwork calculations are done to determine amount of soil 
needed, if any, brought to the embankment/roadway area. Specifications for borrow 
excavation areas by SCDOT (2004): 
It is often necessary to borrow material to balance earthwork, 
because the shrink/swell factor does not agree with the design 
factor. Borrow material may be obtained by widening cuts, 
flattening cut slopes, lowering grades or by obtaining borrow pits. 
Grade adjustments on primary roads and Interstate projects and 
those greater than 0.3 feet on secondary roads should be avoided 
and require approval by the District Construction Engineer. 
(SCDOT 2004) 
39 
 
SCDOT (2007) outlines when shrinkage values are used in earthwork quantities 
in the ?Shoulders and Slopes? section of the specifications. Since this specification 
includes earthwork conditions, it is reasonable to assume that this process may be applied 
to the rest of the earthwork calculation. The steps for earthwork are then as follows by 
SCDOT (2007): 
1 The quantity for the pay item Select Material for Shoulders 
and Slopes is the volume of the approved materials placed and 
compacted to bring the shoulders and slopes up to the required 
lines, grades, and cross-section and is measured by the cubic yard 
(CY) of material, complete in-place, and accepted.  
2 In cases where it is not feasible to measure the compacted 
in-place volume, it is measured on the cubic yard basis in loose 
volume at the point of delivery on the road by scaling and counting 
the loads, with a 25% deduction for shrinkage.  
3 When selected material for shoulders and slopes is placed 
on irregular areas where it is not feasible to determine the volume 
of the soil compacted in place, in lieu of scaling and counting the 
loads, the RCE may designate pit areas from which to obtain 
selected material for shoulders and slopes and take measurements 
in accordance with Subsection 203.5. When measurement is made 
of the material in its original position, no deduction is made for 
shrinkage. This method of measurement is not allowed when the 
depth of the pit excavation is less than 18 inches.  
40 
 
4 Material used in the construction of shoulders, other than 
that obtained from sources specified in Subsection 209.2, is not 
measured or paid under the item Select Material for Shoulders and 
Slopes. When the material used in the shoulders and slopes 
consists of ordinary roadway or drainage excavation the material is 
measured as Unclassified Excavation. 
(SCDOT 2007) 
2.8.6 Tennessee Department of Transportation 
The TDOT categorizes most roadway projects as unclassified excavation. Earthwork 
values are calculated by the average end area method. The earthwork for road projects will 
typically, unless otherwise stated, fall under pay item 203-01, Road and Drainage Excavation 
(Unclassified), by cubic yards (instead of a lump sum). In special cases, earthwork may be 
classified under separate bid items or embankment in place bid items. (TDOT 2013) 
According to the TDOT (2013), shrinkage and swelling of soil and rock will vary based 
on soil type, weather, equipment, depth of cuts and fills, and length of haul. Shrinkage and 
swelling percentages used by the TDOT are shown in Figure 10. 
41 
 
 
Figure 10. Shrinkage and swelling factors used in TDOT (TDOT 2013). 
42 
 
The TDOT (2013) shows examples of how the TDOT calculates earthwork to be shown 
in the profile sheet. The following figure shows how the calculations are done when the 
earthwork is balanced. 
  
 
 
Figure 11. Example calculation for earthwork values when balanced (TDOT 2013) 
43 
 
 On the other hand, Figure 12 shows an example of earthwork in the plan set when the 
values end up unbalanced. 
 
Figure 12. Example calculation for earthwork values when unbalanced (TDOT 2013). 
For earthwork quantities, TDOT follows the previously mentioned methods with the 
application of shrinkage and/or swelling values. 
44 
 
2.8.7 Summary of DOT Earthwork Calculation Methods 
The southeastern state DOT earthwork calculation methods are separately discussed in 
this background and literature review. A summary of the earthwork calculation methods is 
included in this background study in order to compare the methods side-by-side. This summary 
is presented in Table 6. 
Table 6. Summary of southeastern state DOT earthwork calculation methods. 
State DOT Calculation Method 
ALDOT                                     
                                    
                     
                                                     
                  
                                                                       
FDOT ? Same calculation method as ALDOT with one exception: 
o FDOT includes truck adjustments to the earthwork estimation. This is a 
factor applied to earthwork values for hauling of material.  
o This truck adjustment is to account for hauling of material, and not final 
earthwork. 
45 
 
GDOT Using Unclassified Excavation pay item: 
Swell on Fill calculation method: 
                     
                                                        
                   
                                                                    
Shrink on Cut calculation method: 
                     
 
                                                            
  
                   
                                                                    
? GDOT does not swell material. The term ?swell? in Swell on Fill? method 
refers to the inverse of shrink. 
NCDOT ? NCDOT completes earthwork in specified values, then determines final 
values. 
                
                                                                                               
46 
 
SCDOT ? SCDOT does not swell any material. 
? Typical state shrink amount is 25%. 
                                    
                                                           
                   
TDOT                               
     
                                    
                     
                                                     
                  
 
47 
 
Chapter 3:  
Analysis Tool 
An analysis tool was developed to simultaneously calculate earthwork values for the 
previously mentioned southeastern DOTs, while applying shrink and swell adjustments, for use 
in roadway design projects. 
3.1 Analysis Tool Introduction to User Input and Cross-Sections 
The analysis tool is a spreadsheet developed in Microsoft Excel? 2010 (Excel ?). This 
Excel? spreadsheet was created in order to calculate the earthwork values (including 
adjustments for material shrink and swell) and percent balanced for a 10-station alignment by 
each state method, simultaneously for comparison. The first worksheet, titled ?Cross-Sections,? 
is where the user inputs the stations, the volumetric values hand calculated from the average end 
area method, and the shrink percentage. For simplicity, the worksheet is presented with a 10-
station increment or a 1000 feet section, but this could easily be expanded to work with a larger 
section or entire project. The user inputs into the designated cells. The swell value(s) are not 
included in this user input section since rock is treated in different ways among the various 
southeastern state DOTs. Some swell use is determined based on: the state DOT earthwork 
method, whether the swelling material is used on for the final project, rock hardness (if the 
material is rock). This first worksheet is the primary sheet where the other state methods and 
calculations are referenced from. The worksheet presented in Figure 13 is the first sheet of the 
analysis tool, the ?Cross-Sections? page: 
48 
 
 
Figure 13. ?Cross-Sections? worksheet as a user input page for earthwork calculations. 
The other worksheets in this analysis tool include each state method and final comparison 
sheets. Each of these sheets following the initial ?Cross-Sections? page cross-references the 
stationing, volumetric values, and shrink percentage from the first worksheet. Each state method 
and the comparison sheet then automatically complete the earthwork calculations with minimal 
user input. The user input that is required is indicated in red by the input cell. The outline of the 
Excel? file is set-up with tabs, as shown in Figure 14. 
 
Figure 14. Tabs for the developed analysis tool showing the file layout. 
3.2 State DOT Earthwork Calculations 
The remaining worksheets are linked to the values from the ?Cross-Sections? sheet for 
use in the separate state calculation methods. Additional user input may be required, depending 
on the state, designated in red lettering by the cells. If swell is being applied to a state method, a 
swelling factor must be input into that state sheet. For each state earthwork, the cells highlighted 
in green are the total excavated values and the adjusted values for stockpile use. The cell in blue 
49 
 
is the percent balanced value which compares the total excavated value and the adjusted material 
value (cells in green). If the percent balanced value is 0%, then the earthwork values are 
completely balanced. Therefore, theoretically, to have the most economic earthwork method 
would require a method where the percent balanced value is the closest to 0%. If percent 
balanced is positive, then the observed stations require material from a borrow source. On the 
other hand, if the percent balanced is negative, the stations have a waste amount that requires 
disposal, or use on another section of the project. Since this chapter merely introduces the 
analysis tool structure, the volumetric values are all provided as 0.00, therefore the calculation 
cells show a ?#DIV/0? error message.  
The first state calculated by the analysis tool is ALDOT. Since the case study in this 
research uses an HMB Alabama, LLC project, the calculation tab is ?ALDOT-HMB.?  
50 
 
 
Figure 15. Earthwork calculation sheet for ALDOT/HMB method. 
 Next, Figure 16 through Figure 20 show the worksheets for the rest of the southeastern 
state DOTs including Florida, Georgia, North Carolina, South Carolina, and Tennessee. The 
same color coding and user input signaling applies for these sheets as for the ALDOT-HMB 
worksheet. As mentioned, the volumes are read from the ?Cross-Sections? worksheet, and then 
earthwork values are calculated using the various state methods. 
51 
 
 
 
Figure 16. Earthwork calculation sheet for FDOT method. 
 GDOT calculations vary based on pay item. Since the unclassified excavation is a typical 
pay item used in roadway construction, the GDOT calculation methods for unclassified 
excavation are calculated in this analysis tool. Therefore, the GDOT calculation sheet calculates 
for both the ?unclassified excavation and borrow? earthwork estimation methods: Swell on Fill 
and Shrink on Cut. These methods are outlined in the Background and Literature Review chapter 
of this report. Figure 17 shows the GDOT worksheet. 
52 
 
 
Figure 17. Earthwork calculation sheet for GDOT method. 
 The worksheet displayed in Figure 18 is for the NCDOT earthwork method. 
53 
 
 
Figure
 18
. Ea
rthw
ork 
cal
culation s
he
et for
 NCD
OT me
thod
 
54 
 
The SCDOT earthwork worksheet calculates earthwork quantities for the SCDOT 25% 
shrinkage as well as the shrink percentage referenced from the ?Cross-Sections? worksheet. 
Having the SCDOT page calculate for both shrink percentages allows for a more in-depth 
comparison of the SCDOT earthwork calculation method, and comparing the method to the other 
southeastern state DOT methods.  The SCDOT worksheet is shown in Figure 19. 
 
 
Figure 19. Earthwork calculation sheet for SCDOT method. 
 Figure 20 is the worksheet for the TDOT method. The TDOT earthwork method also 
?un-shrinks? any excess on the project. Therefore, if any ?waste? is detected in the earthwork 
55 
 
estimations, the analysis tool will multiply the excess material by one plus the shrink factor 
divided by one hundred percent. If no waste is detected for the section, the ?Unbalanced Value? 
will read ?no waste,? telling the user the earthwork is either complete balanced or results in 
required borrow material. If ?no waste? is determined, the amount of ?Waste(-) after 
Adjustment? will read ?#VALUE!? as an error message since the calculations were not able to 
be completed because of the text in the ?no waste? cell. 
 
Figure 20. Earthwork calculation sheet for TDOT method. 
56 
 
After the state earthwork methods, the next worksheet in the proposed analysis tool is 
?Method Comparison.?  This worksheet first displays the ?Section Characteristics? of the section 
being observed. Under this section, the starting station and primary shrink percentage is 
automatically updated from the ?Cross-Sections? page. The ending station is automatically 
updated if the section is a 10-station increment; otherwise user input is required for the ending 
station. Next, the quantity budget is input by the user, as dollars per unit volume, for the project. 
Then, the ?Method (State DOT),? ?Total Borrow (+) or Waste (-),? and ?Percent Balanced,? 
columns are automatically updated values from calculations made by the state worksheets. The 
?Unbalanced Earthwork Cost? is calculated in this page from the ?Total Borrow(+) or Waste(-)? 
multiplied by the quantity budget mount. Finally, the ?Comments? section allows the user to 
include any additional information. 
The comparison worksheet , ?Method Comparison? page, shows each state method?s 
values side-by-side. The GDOT, SCDOT, and TDOT worksheets each have two rows instead of 
one. GDOT distinguishes between the two methods used for earthwork calculation in 
unclassified excavation. SCDOT calculates earthwork with the SCDOT shrink percentage of 
25%. The analysis tool then also calculates SCDOT earthwork with the same shrink percentage 
used by the other states, as input in the ?Cross-Sections? worksheet. This allows the actual 
SCDOT calculation method to be compared to the other state DOT earthwork methods; 
otherwise the comparison includes a further comparison between the shrinkage values used. 
Lastly, TDOT calculates the earthwork estimates in the first row. Then, if any waste is detected, 
the waste values after ?un-shrink[ing]? the excess material is presented in the final row. 
Having the ?Earthwork Method Comparison? summary sheet set up in this manner allows 
the user to compare the southeastern state DOT earthwork methods more efficiently. Having a 
57 
 
dollar amount assigned to any unbalanced earthwork, displays the amount of risk the project 
could potentially take on. This risk is added if an unbalanced earthwork is not budgeted for the 
project prior to construction. The ?Earthwork Method Comparison? summary sheet is shown in 
Figure 21. 
 
Figure 21. ?Earthwork Method Comparison? sheet for the analysis tool. 
This analysis tool compares the southeastern state DOT earthwork evaluation methods. 
To use this Excel? file for any other project, the user inputs the cut and fill volumetric 
quantities, and the shrink percentage for a 10 station alignment. If the section being observed is 
greater than 10 stations, then additional rows must be inserted by the user as well as an 
incorporation of the new rows in the ?Totals? for the initial volume quantities (?Totals? shown in 
row 18 of Figure 13). Additional user input is then required for the state calculation pages if 
swell values are used or required, and the NCDOT method requires an input if special material is 
found and needs to be observed for use on the project. The spreadsheet calculates earthwork 
values for ALDOT, FDOT, GDOT, NCDOT, SCDOT, and TDOT. 
58 
 
Chapter 4:  
Case Study and Analysis 
This chapter presents results of a case study. The analysis tool, presented in Chapter 3, is 
used to determine the borrow or waste volume required for a short roadway section based on a 
set of drawings and provided shrink and swell factors.  The purpose of the case study analysis 
was to compare the earthwork methods of some of the southeastern state DOTs and observe the 
effect of shrinkage and swelling factors on an earthwork problem. 
4.1 Case Study 
The case study used in this research was the ALDOT Corridor-X project. Calculations 
and earthwork values that were conducted by HMB Alabama, LLC, were provided by Mr. Brian 
K. Hynniman. The earthwork calculations provided by HMB for the entire Corridor X project are 
divided into earthwork east and west of Mulberry Fork. Figure 22 shows the earthwork totals for 
the entire Corridor X project. This earthwork summary demonstrates the earthwork calculation 
method used by HMB and ALDOT, as well as provides the shrinkage and swelling factors used 
on the project. 
59 
 
  
Figure 22. Corridor X earthwork calculation totals including adjustment values (HMB 2011). 
Figure 23 through  display the calculated volumes for each station along the Corridor X 
project line. These volumes were calculated using the average end area method. The total 
volumes shown in the following figures were used in the earthwork summary sheet, Figure 22, 
60 
 
separated into values east and west of Mulberry Fork. The volumetric values used in the 
examples from the case study come from these figures for the respective station increments. 
 
Figure
 23
. Ea
rthw
ork v
alues pa
ge
 1 (
HMB 2011).
 
61 
 
 
Figure
 24
. Ea
rthw
ork v
alues pa
ge
 2 (
HMB 2011).
 
 
62 
 
 
Figure
 25
. Ea
rthw
ork v
alues pa
ge
 3 
(HMB 2011)
. 
 
63 
 
 
Figure
 26
. Ea
rthw
ork v
alues pa
ge
 4 
(HMB 2011
). 
64 
 
Selected plan sheets used in the examples as well as photographs taken from the roadway 
site are included in Appendix A. It is important to note, however, that not all of the plan sets or 
stationing photographs are available from the case study. 
4.1.1 Method for Analysis of the Case Study 
Stationing data and preliminary earthwork values for the examples were taken from the 
case study. Stations and volumetric values were taken from the tables in Figure 23 through . The 
shrinkage and swelling values for the project were taking from the Corridor X earthwork 
summary sheet, Figure 22. Details for the shrink and swell percentages used in the project are 
found in the profile plan sheets located in Appendix A. It is important to note that the shrinkage 
and swelling values are the ALDOT values. Some states will treat soil types with different shrink 
and swell percentages, as well as apply these factors differently. The variation of shrinkage and 
swelling factors is discussed later in this chapter. 
The earthwork calculation analysis tool, presented in Chapter 3, was used for the 
calculation and comparison of the state earthwork methods as well as the assessment of shrink 
and swell values on these methods. Therefore, the analysis tool was applied to methods used by 
ALDOT, FDOT, GDOT, NCDOT, SCDOT, and TDOT. This way, the state DOT methods are 
conducted at the same time and, therefore, available for comparison. The earthwork computation 
for each southeastern state DOT uses the earthwork methods described in the Background and 
Literature Review chapter of this report. The earthwork values by station, shown in Figure 23 
through , were completed using the average end area method for volume calculation in cross-
sections. It was observed that each state in this project uses the average end area method for hand 
calculations. Some states may also use a computer or program for volumetric computations; 
however, in this case study, it is assumed that all states use the average end area method for 
65 
 
initial bank material volume calculations for comparison purposes. In order to compare the 
southeastern state DOT earthwork methods, two examples of the case study were conducted. The 
two examples varied by the amounts of cut material or fill required for the station increments. 
Then, the assessment of shrinkage and swelling values was completed by altering the shrinkage 
percentages in the case study examples and referring to the shrink and swell values used for each 
method as presented in the Background and Literature Review chapter of this report.  
4.1.2 Case Study Example: Stations 81+00 to 101+00 
The first step in the analysis of the provided case study was to select a cross-section as an 
example to be used in the comparative calculations. Calculations for the case study were 
completed using the analysis tool for a 20-station increment. The cross-sections observed are 
stations 81+00 to 101+00. The case study stationing and preliminary volumetric values were to 
input into the ?Cross-Sections? worksheet of the analysis tool. The stationing, volumes, and 
shrink percentage are user inputs for the first worksheet in the analysis tool. The ?Cross-
Sections? worksheet for the case study example is shown in Figure 27. 
66 
 
 
Figure 27. ?Cross-Sections? worksheet for stations 81+00 to 101+00. 
As described in Chapter 3, the worksheets follow the southeastern state DOT methods for 
earthwork calculation. Again, for these sheets, the earthwork values are shown in green and the 
percent balanced value is highlighted in blue. Some worksheets require few user input cells, 
especially when swell values are being used. Most of the states require some input value(s) for 
material swelling except GDOT and SCDOT. Other than the user inputs, depicted in red writing 
next to the cell, each state earthwork worksheet reads stationing, earthwork values, and shrink 
percentage from the ?Cross-Sections? page and completes the necessary calculations through 
formulas already in-place for the analysis tool. The first state earthwork calculations are for 
67 
 
ALDOT. The calculations given for the provided case studied were evaluated and understood as 
the ALDOT method of earthwork calculation. The ALDOT earthwork calculation method was 
recreated for the selected cross-sections for the research study. These values are shown in the 
?ALDOT-HMB? tab, noting that earthwork calculations for the case study were completed by 
HMB for the ALDOT project. Also, since the ALDOT earthwork method uses swell values on 
the rock material, swell factors were input into the worksheet. These swell values come from the 
Corridor X case study in the earthwork summary sheet as well as the plan sheets for the stations.  
 
Figure 28. ALDOT/HMB earthwork for stations 81+00 to 101+00. 
68 
 
The next state earthwork calculations are for FDOT. The Florida DOT method mentions 
a truck adjustment used in earthwork calculations. However, for the purposes of this research, a 
truck adjustment was intentionally not included in order to compare just the soil values and what 
is required for fill and what is available. Swell factors for the rock and refusal rock were input by 
the user. The earthwork method and computation values are shown in Figure 29. 
 
 
Figure 29. FDOT earthwork for stations 81+00 to 101+00. 
69 
 
The earthwork calculations for GDOT are in the next worksheet. Since the Georgia DOT 
uses two methods for earthwork calculation in unclassified excavation, the Swell on Fill and 
Shrink on Cut methods are both used in the worksheet. Remember from the Literature Review 
that the Georgia method for earthwork calculation defines swell in Swell on Fill as the inverse of 
shrinkage. GDOT does not usually apply swell values to rock quantities, and, therefore, does not 
require the swell factor user input. 
 
Figure 30. GDOT earthwork for stations 81+00 to 101+00. 
70 
 
The NCDOT earthwork calculation method is the next worksheet in the analysis tool. 
This method displays each useful quantity in earthwork calculation in individual cells. Then, the 
method totals the columns to make comparisons for construction earthwork values. It is 
important to note that this method only classifies ?hard? rock, and does not separately classify 
the drillable rock on site. Since the rock in this case study is not sufficiently hard enough to 
require coring or blasting, it is classified in the soil values. Therefore, the ?Volume Sandstone? 
and ?Volume Shale? (not Refusal) also have the shrinkage value applied to it for adjusted reuse 
values on the project. Columns 5 and 6 denote a user input to be used if material is found in the 
subsurface investigation that is underneath the roadway or material in the unclassified excavation 
that unsuitable for construction. 
71 
 
 
Figure
 31
. NCDO
T e
arthw
ork for
 statio
ns 81+
00 t
o 101+
00
 
 
72 
 
Next, the SCDOT earthwork calculation method was reproduced. South Carolina does 
not usually apply a swell value for rock. Also, as noted in the Background and Literature 
Review, South Carolina typically uses a general shrink percentage of 25%. This shrinkage value 
is noted by the SCDOT which outlines when shrinkage values are used in earthwork quantities. 
For the purposes of comparing the SCDOT method, the analysis tool calculates SCDOT with the 
25% shrinkage as well as the shrinkage value used by the other states.  
 
 
Figure 32. SCDOT earthwork for stations 81+00 to 101+00. 
73 
 
Lastly, the TDOT method for earthwork calculation is shown in the next worksheet. 
Tennessee uses swell factors for the rock and requires the user to input these values for TDOT. 
Along with calculating earthwork and the percent balanced value, this method also shows what 
Tennessee does to the extra (waste) soil. For any excess, or unbalanced, material on site TDOT 
?un-shrinks? the soil to show a more reasonable value to be dealt with on site. This means that 
the waste material found for TDOT has the shrink factor originally applied to the soil taken out 
of the equation. 
  
Figure 33. TDOT earthwork for stations 81+00 to 101+00. 
74 
 
Finally, the totals for each method are shown in the ?Earthwork Method Comparison? 
worksheet. In this worksheet, the ?Section Characteristics? for this example are referenced from 
the user input page, ?Cross-Sections? worksheet with the exception of the ending station. Since 
the ending station is not part of a 10-station increment, the user must input this final station. The 
user also inputs the quantity budget for the material in row 8. This adds a cost value to the 
material being observed. For the case study, a typical value of $15.00 per cubic yard was chosen. 
Then, the ?Method (State DOT),? ?Total Borrow (+) or Waste (-),? ?Percent Balanced,? 
?Unbalanced Earthwork Cost? are recorded for each state method. The user can then add 
comments in the last row of the totals sheet.  
 
Figure 34. Earthwork comparison for stations 81+00 to 101+00. 
 For the case study comparison of earthwork methods, stations 81+00 to 101+00, the 
southeastern state DOT earthwork methods are compared next to one-another. One of the aims of 
this report was to compare the methods. This ?Earthwork Method Comparison? sheet compares 
the different state DOT earthwork calculation methods side-by-side and shows the characteristics 
of the project location being observed.  
75 
 
This ALDOT case study example chosen for research was a primarily balanced section 
for the ALDOT/HMB earthwork quantities. The quantity unbalanced for ALDOT/HMB resulted 
in waste. Waste means the soil is being disposed of off project unless it can be used somewhere 
else on the project, while borrow means the station requires soil to be brought in from another 
source. 
When discussing accuracy of the totals in the findings, there are some important notes to 
observe. First, a perfectly balanced earthwork would be at 0%. Also, remember this example is 
of a 20-station increment and only a portion of the entire Corridor X project. Lastly, the final 
earthwork quantities are not available in for this case study. Therefore, the actual final amount of 
waste or borrow resulting from this project are unknown. Without these values, making a final 
statement on the accuracy of the DOT earthwork methods is impossible.  
4.2 Evaluating Shrinkage and Swelling Factors 
The last step of the case study is to evaluate shrinkage and swelling factors used in the 
southeastern states as well as their application to earthwork estimation. First, based on the factors 
found from the background and literature review, a summary of the factors used for soils in the 
southeastern states is concluded. The published range of shrink and swell factors for typical soil 
types found in the southeast are shown in Table 7. These shrink and swell values were gathered 
from the Background and Literature Review of this research from FWHA (2007), Burch (1997), 
Church (1981), GDOT (2013), and NCDOT (2004).  
  
76 
 
Table 7. Typical shrink and swell values from research. 
Soil Type Shrink Percentage Swell Percentage 
Clay 10-18 % 30-50 % 
Sand 11-35 % 3-45 % 
Residual 20-25 % - 
Rocky, gravely soil 5-22 % 5-40 % 
 
The last step of the case study was then to evaluate the application of these shrinkage and 
swelling factors used in southeastern state DOT earthwork estimate calculations. In order to do 
this, the final percent balanced sheets for both examples are shown with different shrink and 
swell percentages. Based on the summary table of typical shrink and swell values in the 
southeastern states, Table 7, a range of shrink and swell percentages were chosen to be applied 
for analysis in the case study. For the comparison of the shrinkage percentages on earthwork 
values, shrinkage percentages of 10%, 15%, 25%, and 35% were chosen. This variety of 
shrinkage percentages provides the lower end values, the typical shrink values, and values that 
are on the higher end of the typical shrink value spectrum. Using 25% also provides another 
comparison against SCDOT which uses 25% shrinkage as the typical value. Then, based on the 
summary values presented in Table 7, typical swell values applied to the case study analysis are 
5%, 10%, 25%, and 40%.  
First, the different shrinkage values are applied to the stationing 81+00 to 101+00 case 
study example. Both the GDOT calculation methods result in the same amount of borrow or 
waste, even when the shrink percentage changes. Again, these two calculation methods are the 
Shrink on Cut and Swell on Fill. Therefore, for simplicity of reading the figure, GDOT is 
represented as one method on the graph. 
77 
 
 
Figure 35. Varying shrink percentage for stations 81+00 to 101+00. 
By showing the application of various shrink percentages side-by-side allows 
comparisons to be made. Of all the states observed in this research, GDOT and SCDOT have the 
only methods which do not apply swell factors to the earthwork calculations. The differences in 
the SCDOT methods are in part due to the fact that SCDOT does not apply a swell factor to the 
material. Also, the typical SCDOT method is to apply a consistent 25% shrinkage value. 
Applying the same percentage used by the other states to the SCDOT method alters the percent 
difference. The fact that GDOT values are so much larger than the others is reasonably due to the 
fact that the two methods apply the shrinkage factor in a different way than the other DOTs do. 
The earthwork calculation methods by state DOT are presented in Table 6. This differences in 
the state earthwork methods are shown in this table. 
Next, the various swell percentages were applied to the case study stations 81+00 to 
101+00. The typical swell values applied to the earthwork calculations are 5%, 10%, 25%, and 
78 
 
40%. These swell values are applied as the only swell factor for each calculation; therefore, 
swelling the same percentage to both rock/material being swelled and to the ?hard? rock 
determined at auger refusal. This allows comparison of direct changes one factor at a time, which 
is a separate comparison than that of the calculation methods which has already been completed 
in this chapter. The various swell factors are then applied to the case study with a consistent 
shrink value which is the 15% shrink value used in the actual case study. The different swell 
values applied to the case study is presented in Figure 36. As with the change in shrink 
percentage, when the swell percentage changes, both the GDOT calculation methods result in the 
same amount of borrow or waste. Therefore, only one value for GDOT for each of the varying 
swell is shown in the figure. 
 
Figure 36. Varying swell percentage for stations 81+00 to 101+00. 
The application of various swell factors while using a constant shrink percentage allows 
for a comparison to be made only of the swell factors with the varying DOT earthwork 
79 
 
estimation methods. Remember that this example is for a primarily balanced earthwork for the 
ALDOT/HMB calculations. 
Lastly, the unbalanced earthwork costs were evaluated for the varying shrink and swell 
percentages. In order to show the differences more clearly, two representative graphs were made 
only for the changes in the ALDOT/HMB values. The difference in cost due to the change of 
shrinkage or swelling factors is indicative of the overall effect of changing the factors in 
earthwork estimation. The effects of different shrink and swell percentages on the unbalanced 
earthwork cost for the ALDOT/HMB method in the case study are displayed in Figure 37 and 
Figure 38.  
 
Figure 37. Varying shrink percentage for ALDOT/HMB earthwork estimates. 
80 
 
 
Figure 38. Varying swell percentage for ALDOT/HMB earthwork estimates. 
81 
 
Chapter 5:  
Findings from the Research 
Findings are based on analysis of the literature, individual DOT earthwork methods, and 
examination of the case study. The outcomes for this case study are from observations of the: 
differences between the earthwork methods, varying shrink and swell percentages on earthwork 
values, and varying shrink and swell percentages on the unbalanced earthwork cost.  
It is important to note the limitations in comparisons that can be made in the case study. 
First, the earthwork values of the case study example are not compared to final earthwork 
quantities. Therefore, no statement can be made on the accuracy of the methods. The findings 
point out the differences and trends in the methods and shrink and swell factor application; this is 
not an endorsement for any of the methods in this research. It is also important to recognize that 
observations on the shrink and swell percentages as used in the case study should be made 
separately. The shrink percentages vary with constant swell factors of which some methods use 
multiple swell factors. Similarly, the swell percentages vary with a consistent shrink percentage. 
Therefore, one cannot make inferences by comparing Figure 35 and Figure 36 simultaneously. 
Observations from the research include: 
? ALDOT and FDOT result in the same earthwork values when no truck adjustments 
are applied to the FDOT earthwork quantities. 
? As shown in Table 7, there are very wide ranges for the typical shrink and swell 
percentages in the southeastern state DOTs. 
82 
 
? Varying the shrink percentage changes the earthwork values. As shown in Figure 35, 
amount of borrow required (or a decrease in waste) results from an increase in shrink 
percentage. Figure 37 shows this effect on cost when deviating from the close-to-
balanced earthwork estimation. 
? From Figure 37, the earthwork calculation in the case study is for 2,000 feet of 
roadway. At nearly balanced, the earthwork would cost around $100,000.00. Varying 
the shrink percentage increases cost significantly. In this case, the cost varies to six 
times the close-to-balanced amount. 
? Varying the swell percentage changes the earthwork values more significantly than 
changing the shrink percentages in this case study. As shown in Figure 36, as swell 
percentage increases, the trend shows an increase in waste material, with the 
exception of the states that do not apply swell factors to earthwork calculations. Also, 
Figure 38 shows this observation by comparing earthwork costs in the ALDOT/HMB 
method. 
? Figure 38 demonstrates how much an excess swell percentage can increase the 
unbalanced earthwork cost on a project. Similar to Figure 37, the costs multiply 
approximately three to six times, based on a typical range of swell factors for the soil 
region. 
? In this case study, the GDOT earthwork calculation method is indicative that GDOT 
will yield a higher earthwork estimate when compared to the other southeastern state 
DOTs. This is demonstrated when the shrink percentages are varied. 
83 
 
? Earthwork estimations for GDOT and SCDOT do not change when swell percentage 
is altered. This is because GDOT and SCDOT do not apply swell factors in their 
calculation methods.  
? If TDOT results in waste on a project, the amount of waste increases after ?un-
shrink[ing]? the volumetric amount.  
? NCDOT only classifies ?hard? rock, or rock at auger refusal. This accounts for 
difference in earthwork volumes between the various methods as well as when 
varying the shrink and swell percentages. The fact that NCDOT only classifies ?hard? 
rock affects values when both the swell and shrink factor are altered. This is because 
the ?hard? rock has the swell factor applied to it, while, using the assumption that the 
softer rock is treated like soil by NCDOT, the rock has the shrinkage factor applied to 
it. 
 
84 
 
Chapter 6:  
Summary and Conclusions 
6.1 Summary 
In order gain a full understanding of shrinkage and swelling factors and the earthwork 
calculations, an extensive background study and literature review was completed in chapter 2. 
Completing the initial study of the research included a review the earthwork methods currently in 
practice in the southeastern state DOTs. The review of state methods along with the study of 
current earthwork and shrink and swell practices allowed for the final aims of this research to be 
carried out. 
The calculation tool for completing earthwork values for the southeastern state DOTs 
uses the Excel? program. The developed Excel? program is user friendly, requiring some user 
inputs for the program to do the actual calculations and comparisons. The user inputs for the 
program include: Updating the ?Cross-Sections? worksheet for volumetric values and shrink 
percentage, inputting swell values where appropriate for the state methods, and some specialized 
evaluation for the NCDOT method. The Excel? document then calculates the earthwork 
quantities, making required adjustments for material shrinkage and swelling. Based on the goals 
of this research, the Excel? file completes earthwork quantities for the following State 
Departments of Transportation: ALDOT, FDOT, GDOT, NCDOT, SCDOT, and TDOT. 
The next goal of this study was to assess earthwork calculation methods used in 
southeastern state DOTs. This was done by using the analysis tool on the case study. The case 
study for this research is the ALDOT/HMB Corridor X project. For the study, one 20-station 
85 
 
roadway section was chosen and analyzed using each state DOT earthwork method. The section 
analyzed was close to balanced for the ALDOT/HMB method. Based on the Excel? file, the 
percent balanced value aims in being closest to 0%. A balanced value closest to 0% means the 
earthwork values for cut and adjusted material available were similar. This means that the more 
balanced the earthwork values are, requires less borrow or waste on the project. Comparing the 
various southeastern state DOT methods analyses the final earthwork values and the percent 
balanced for each method. By observing the percent balanced of the earthwork values, this 
research shows the differences between the methods.   
The final aim of this study was to evaluate the shrinkage and swelling factors used in the 
southeastern state DOT earthwork methods. This included comparing the shrinkage and swelling 
factors used in the DOT calculation methods as well as comparing the state factors (upon 
availability) between similar soil types. One result that the research concluded on shrinkage and 
swelling factors used in southeastern state DOTs is that varying the shrink percentage changes 
the earthwork values. Also, applying a swell percentage alters the earthwork values as well as the 
percent difference. Some of the DOTs had their shrink and swell values available while others 
did not. Therefore a definite conclusion on the factors used by each DOT cannot be made.  
6.2 Conclusions 
1. The method by which southern states determine earthwork quantities varies from state-
state, and can result in a vast difference when compared side-by-side. 
2. The differences in earthwork quantities are substantial between southeastern state DOT 
methods. This was due to whether or not a swell factor is applied to earthwork (some 
DOTs do not use swell factors) or a result of the shrink factor(s) applied to state 
earthwork calculations (different DOTs use different factors depending on soil type). 
86 
 
3. The shrinkage and swelling factors have a wide range for soils which are typical in the 
southeastern United States. From the values in this research, typical ranges for general 
soil types in the this southeastern region of the United States were found to vary. Shrink 
percentage ranges from 10-18 % for clays, 11-35 % for sands, 20-25 % for residuals, and 
5-22 % for rocky, gravely soils. Swell percentage ranges from 30-50 % for clays, 3-45 % 
for sands, and 5-40% for rocky, gravely soils. No specific swell percentages were 
discovered for residual soils in the course of this research. 
4. Most southeastern state DOTs do not provide a guide for their typical shrinkage and 
swelling factors. It appears that earthwork is left at the risk of the contractor. 
5. Application of swell percentages was inconsistent among the various DOT earthwork 
calculation methods. 
6. The inclusion and definition of rock (drillable rock or at auger refusal) has a large impact 
on earthwork calculations using the southeastern DOT earthwork methods. 
6.3 Recommendations and Future Study 
After making conclusions based on the findings of this study, it is further concluded that 
further research on the subject should be completed. 
1. An analysis of a study with final earthwork values should be conducted in order to make 
final observations on the earthwork estimation methods. 
2. An evaluation if how each state determines material shrink and swell potential, and how 
shrinkage and swelling factors are chosen. 
3. Development of a large database of measured shrinkage and swelling factors for soils 
throughout the United States that is tied to quantitative measurements such as grain size, 
Atterberg limits, fines content, etc.. 
87 
 
4. A detailed study of how excavated rock is used in roadway fills for transportation 
earthwork. 
5. Propose a true universal method which can be adopted nationally, rather than methods 
that vary state-to-state.  
  
88 
 
References 
 
 
Alabama Department of Transportation. (2003). ALDOT Testing Manual. 
 <https://www.dot.state.al.us/mtweb/Testing/testing_manual/testing_manual_index.htm>. 
Alabama Department of Transportation. (2013). ALDOT Guidelines for Operation. 
 <http://www.dot.state.al.us/dsweb/EngineeringSupport/pdf/AldotGFO1.pdf>. 
Alabama Department of Transportation. (2008). ALDOT Roadway Plans Preparation  
Manual. <http://www.dot.state.al.us/dsweb/pdf/PPM_121508.pdf>. 
Alabama Department of Transportation. (2009). Procedure for Conducting Soil Surveys 
and Preparing Materials Reports. ALDOT-390.  
< http://www.dot.state.al.us/mtweb/Testing/testing_manual/doc/pro/ALDOT390.pdf>. 
Bowman, Brian L. and Barksdale, Theresa. (2013). ?Roadway Design 
with InRoads V8i.? Albany, NY: Delmar. 
Bentley. (2013). GEOPAK Civil Engineering Suite V8i. 
 <http://www.bentley.com/en-US/Products/GEOPAK+Civil+Engineering+Suite/>. 
Burch, Deryl. (1997) ?Estimating Excavation.? Carlsbad, CA: Craftsman Book. 
Center for Earthworks Engineering Research. (2013). ?Earthwork Volumetric Calculations and 
Characterization of Additional CFED Soils ? CFED Phase IV.? CEER. 
<http://www.ceer.iastate.edu/research/project/project.cfm?projectID=951992062>. 
Christopher, Barry R., Charles Schwartz, and Richard Boudreau. (2006). "NHI-05-037: 
Geotechnical Aspects of Pavements." FHWA, NHI, USDOT. 
89 
 
Church, Horace K. (1981) ?Excavation Handbook.? New York: McGraw-Hill. 
Florida Department of Transportation. (2013) "FDOT Plans Preparation Manual Vol. 1." FDOT - 
Roadway Design ? Criteria And Standards. N.p., 2013.  
<http://www.dot.state.fl.us/rddesign/PPMManual/2013/Volume1/2013Vol1.shtm>. 
Federal Highway Administration. (2004). Central Federal Lands Highway Guidelines. 
< http://www.readbag.com/cflhd-resources-design-toolsguidance-documents-earthwork-
representation>. 
Federal Highway Administration. (2007). FHWA Geotechnical Technical Guidance Manual. 
<http://flh.fhwa.dot.gov/resources/manuals/pddm/Geotechnical_TGM.pdf>. 
Federal Highway Administration (2011). Central Federal Lands Highway Guidelines.   
http://www.cflhd.gov/resources/design/toolsguidance/documents/earthwork_representatio
n.pdf 
Georgia Department of Transportation. (2013). GDOT Guidelines for Geotechnical Engineering 
Manual. <http://www.dot.ga.gov/doingbusiness/Materials/qaqc/Pages/default.aspx>. 
Georgia Department of Transportation. (2012). GDOT Design Policy Manual. 
<http://www.dot.ga.gov/doingbusiness/PoliciesManuals/roads/DesignPolicy/GDOT-
DPM.pdf>. 
Georgia Department of Transportation. (2013). GDOT Standard Specifications. 
< http://www.dot.ga.gov/doingbusiness/theSource/Pages/specifications.aspx >.
Georgia Department of Transportation. (2009). "Earthwork Training." Online Lecture. 
<http://www.dot.ga.gov/doingbusiness/PoliciesManuals/roads/_layouts/PowerPoint.aspx 
?PowerPointView=ReadingView&PresentationId=/doingbusiness/PoliciesManuals/roads 
/OtherResources/EW%20Training.ppt&Source=http%3A%2F%2Fwww.dot.ga.gov%2Fd 
90 
 
oingbusiness%2FPoliciesManuals%2Froads%2FOtherResources%2FForms%2FAllItems 
.aspx&DefaultItemOpen=1&DefaultItemOpen=1>. 
Pilipchuk, J. (2013). "NCDOT Shrink/Swell Factors." E-mail interview. 
HMB Alabama, LLC. (2011). Corridor X Earthwork Calculations and Plan Sheets. Jefferson 
County, AL. 
South Carolina Department of Transportation. (2004).?Division 200 Earthwork.? Construction 
Manual. 
<http://www.scdot.org/doing/doingPDFs/constructionManual/Division%20200.pdf>. 
South Carolina Department of Transportation. (2007). "SCDOT Standard Specifications for 
Highway Construction." 
<http://www.scdot.org/doing/doingpdfs/2007_full_specbook.pdf>. 
"TDOT Roadway Design Guidelines." TDOT Design Division. N.p., n.d. Web. 6 Feb. 2013. 
<http://www.tdot.state.tn.us/chief_engineer/assistant_engineer_design/design/DesGuide. 
htm>. 
 
A-1 
 
Appendix A:  
Case Study 
  
A-2 
 
The following figures, Figure 39 through Figure 41, are photos taken at specific stations 
along the Corridor X project: 
 
Figure 39: Station 155+00, Corridor X project (Photo courtesy of HMB). 
 
Figure 40: Station 185+00, Corridor X project (Photo courtesy of HMB). 
A-3 
 
 
Figure 41: Station 250+00, Corridor X project (Photo courtesy of HMB). 
 The final page in Appendix A is the profile sheet from the Corridor X project that is 
relative to the case study, stations 81+00 to 101+00.. 
A-4 
 
 
Figure 42: Corridor X Profile Sheet.