Earthwork Quality Control

Contractor Quality/Process Control of Earthwork Operations (QC).

Contractor Quality Control (QC) is the system used by the Contractor to monitor, assess and
adjust their production and/or placement processes to ensure the product meets or exceeds
the specified level of quality. Quality Control includes inspection, sampling, testing,
evaluation and corrective action (where/when required) to maintain continuous control of a
production or placement process.
In the process of on-site production, excavation and backfilling of earthen materials, the
Contractor shall be responsible for the process control of all materials during the handling,
stockpiling, blending and mixing (if necessary) and placement operations.
1. Purpose. The purpose of this Section is to establish minimum requirements for the
Contractor's Quality Control system. It is intended that these requirements be used as
a procedural process in detailing the inspection, sampling and testing deemed
necessary to maintain compliance with the Specification requirements.
2. Scope. This specification is applicable to the on-site production, excavation and
backfilling of earthen materials during construction. Contractor Quality Control shall be
utilized at all times during earthwork operations. All QC activities shall be considered
incidental to the item of work. No additional payments will be made for QC activities.
3. Requirements
3.1 General. The Contractor shall provide and maintain a quality control system that
provides reasonable assurance that all materials and products used for earthworks will
conform to the Contract requirements, whether manufactured or processed, by the
Contractor, or procured from suppliers, subcontractors, or vendors.
The Contractor shall perform, or have performed, the inspections and tests required to
substantiate product conformance to the requirements of the Specifications and shall
also perform, or have performed, all inspections and tests otherwise required by the
Contract.
All soil samples shall be collected from a known fill source, such as a stockpile, after
the material has been mixed and/or blended as needed to produce a reasonably
homogeneous mass. Once a source material is approved, the contractor must ensure
that the approved material is not segregated and/or cross contaminated with other
approved and/or unapproved sources.
The Contractor shall maintain standard equipment and qualified personnel as required
by the Specifications to assure conformance to contract requirements. Procedures will
be subject to the approval of the Engineer before the work is started.
Failure to comply with the provisions of this section may result in the Contractor’s
operations being shut down until they are in compliance with these requirements.
There shall be no claims for additional payment by the Contractor nor will there be an
extension of the project Completion Dates for delays resulting from the shutdown of
operations and the Contractor’s obligation for compliance with these requirements.
The Contractor's quality control inspections and tests shall be documented and shall be
available for review by the Engineer throughout the life of the Contract.

3.2 Testing. All off-site testing shall be performed by certified laboratory personnel. An
individual may be certified as a soils lab technician by either the National Institute for
Certification of Engineering Technologies (NICET), the North East Transportation
Training and Certification Program (NETTCP) or an approved equivalent certification
program as approved by the Engineer. Alternatively, off-site testing may be performed
by an accredited laboratory, as approved by the Engineer.
Sampling and laboratory testing shall be performed on all soils initially per source of
material, whenever the material appears to have changed, and in accordance with the
following schedule:
TABLE 1, Laboratory Sampling and Testing Schedule
Laboratory Test(s) Process Control
Material
AASHTO Method Frequency (minimum)
Gradation (T27*),
Common Borrow 1 Additional test per 1,500 CY
Moisture-Density (T180)
Gradation (T27*),
Gravel Borrow 1 Additional test per 1,000 CY
Moisture-Density (T180)
Gradation (T27*),
Pervious Fill Moisture-Density (T180), 1 Additional test per 1,000 CY
Permeability (T215**)
Gradation (T27*),
All other fills or Moisture-Density (T180) 1 Additional test per 1,000 CY
borrow type (special or as otherwise specified on
Other as specified on the
graded backfill) the Plans or Special Provisions
Plans or Special
Provisions
*May also be run in conjunction with AASHTO T11
**Other methods may be used if pre-approved by the Engineer.

In the event of a disagreement/discrepancy between the State’s Acceptance test

and the Contractor’s QC test results, the State’s test results will govern.
Backfill of earthen materials shall not be placed without quality control personnel
present. QC personnel shall approve all compaction efforts with respect to lift
thickness moisture content and relative density prior to any acceptance testing by
the Engineer and prior to subsequent lifts of material being placed.
Field density tests with moisture content testing shall be performed on each
compacted lift, or portion thereof, in accordance with the following:
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Table 2, Field Moisture/Density Testing Schedule

Area of Lift (X) SY Minimum Number of
Density Tests Per Lift*
X < 100 SY 1
100 SY < X < 1000 SY 2
1000 SY < X < 2000 SY 3
X > 2000 SY 3 + 1 Additional Per Completed 1000 SY
*QC Personnel shall perform additional tests as they feel necessary to ensure the entire lift meets the Specification
requirements.

A Lift shall be defined as a single layer of earthen material placed and compacted in
a single operation. If the full lift cannot be placed and compacted in a single
operation, the partial lifts shall be tested independently.
Field density and moisture content testing shall be performed at greater frequencies
than those listed above whenever a change in soil composition occurs, when
density/moisture test results are highly variable, or when tests fail to meet the
specifications for density and moisture.
3.3 Weekly Production/Operations Schedule. The Contractor shall supply the
Engineer with a weekly production and field operation schedule detailing projected
earthwork activities. The schedule shall include earthwork production such as On-
site production (i.e. crushing and blending) as well as anticipated deliveries of
borrow material. In addition, the schedule shall detail the specific location(s) of
anticipated excavation and placement and include specific classification/item of each
material, storage/stockpile location(s), borrow sources, specific equipment to be
used, and QC activities to be performed.
3.4 Contractor’s Quality Control Plan (QCP). The Contractor shall submit a
detailed written QCP to the Engineer for review. The Quality Control Plan shall be
submitted as a shop drawing and must be accepted prior to the start of earthwork
operations. The QCP shall describe the type and frequency of inspection, sampling
and testing necessary to measure and control the various properties of materials
and construction governed by the Specifications. As a minimum, the sampling and
testing plan shall detail sampling location(s), tests to be performed and techniques,
test frequency to be utilized, and details of stockpile management, trench excavation
and backfill, and working in winter conditions.
Quality control inspection, sampling and testing shall be an integral part of the
Contractor's quality control system. The Contractor's quality control system shall
document that the quantities and frequencies of quality control activities are at least
equal to or greater than those detailed in Tables 1 and 2, above. Sampling and
testing shall be in accordance with the methods and procedures as specified herein,
or in accordance with industry standards, if not otherwise specified. All measuring
and testing equipment shall be industry-standard, if not otherwise specified, and
properly calibrated. If non-standard or alternative sampling methods, testing
procedures, or equipment are proposed to be used, they shall be detailed in the
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Quality Control Plan.

The QC Plan shall be maintained to reflect the current status of the operations. Any
process control changes to the QC Plan must be submitted to the Engineer in
writing and must be accepted by the Engineer before implementation.
3.4.1 Quality Control Plan Administrator. The Contractor shall employ a Quality
Control Plan Administrator who must meet one or more of the following criteria: a
professional engineer with a minimum of five (5) years of experience in quality
control and soil management, an individual certified by the National Institute for
Certification of Engineering Technologies (NICET) at Level III or above for soils, or a
North East Transportation Training and Certification Program (NETTCP) QA
Technologist.
3.4.2 Quality Control Plan Site Manager. The Contractor shall employ a Quality
Control Plan Site Manager. The QCP Site Manager is someone who is intimately
involved with the Project and acts as the QC liaison between the Contractor and the
Engineer. The QCP Site Manager is responsible for the execution and
implementation of the QCP at the Project level. This person may also be the QCP
Administrator, a designated Quality Control Technician, or any designated person
with the authority to implement the QCP.
3.4.3 Quality Control Technician (QCT). All sampling and testing of soils on the
Project shall be performed by certified QCT. An individual may be certified by either
the National Institute for Certification of Engineering Technologies (NICET), the
North East Transportation Training and Certification Program (NETTCP) or an
approved equivalent certification program as approved by the Engineer.
3.4.4 Elements of the QC Plan. The QCP shall address all elements that affect the
excavation, placement and compaction of earthen material on the Project including,
but not limited to the following
1. Reference all applicable specifications including the latest revision of
the Rhode Island Department of Transportation Standard
Specifications for Road and Bridge Construction along with the all
applicable compilations and supplements. Special attention shall be
made to reference specific Project Specific Special Provisions, shop
drawings and/or any additional relevant specifications that may apply.
2. Include an organizational chart detailing the project specific hierarchy
of the Quality Control Organization. Include a detailed list of all
relevant QC Personnel and their corresponding duties and
responsibilities for all Earthwork Quality Control activities. The names
and credentials of the quality control staff shall be included on the
Quality Control Plan including, but not limited to assigned duties,
certifications with expiration date, telephone contact number(s), and e-
mail address.
3. Include all appropriate accreditations for any and all Quality Control
Laboratories, including all satellite and/or third party laboratories,
which will be used for QC testing for the Project.
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4. Detail activities related to material control. Include each specific

material type, how it’s classified, its intended use and anticipated
source. Detail borrow-sources, potential reuse of existing/excavated
materials, and any on-site processes material as a result of crushing
and blending. Include storage and Stockpile Management practices
and how quantities will be tracked.
5. Quality Control Sampling and Testing: Include requirements and
procedures for QC sampling and testing of Earthwork Materials.
a. Lot/Sublot sizes
b. Random Sampling vs Process control sampling
c. Sample Identification system (i.e.Tags)
d. QC Sampling and Testing requirements
e. Reporting QC Results
f. Sample storage/retention
6. Field Operations. The QCP shall list all field QC activities and who is
responsible for each activity. Include any pre-placement preparations
needed as well as QC activities to be performed during placement.
Include anticipated lift thickness, how the lifts shall be
measured/controlled, and who is responsible for measuring/controlling
lift thickness.

Include details for identifying non-conforming material and procedures

for corrective action of any non-conforming material.
7. Equipment. List specific equipment to be used for the purposes of
mixing, blending and compacting earthen materials on the Project.
Include the manufacturer’s specifications as well as a Maintenance
and inspection schedule. All equipment shall be industry standard.
Alternative equipment may be used if approved by the Engineer.
8. Samples of all QC report forms.
Note:
A “model QC Plan” may be found on the Northeast Transportation Training and
Certification Program (NETTCP) website: http://nettcp.com/new_search_certs.php .
The “model QC Plan” may be used as a template with specific modifiers to meet
these Specifications.
3.5 Documentation. The Contractor is required to record and report the results of
all completed Quality/Process Control sampling and testing. The Contractor shall
maintain complete records of all inspections and tests. The records shall indicate the
nature and number of observations made, the number and type of deficiencies
found, the quantities conforming and nonconforming, and the nature of corrective
action taken as appropriate. The Contractor's documentation procedures will be
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subject to approval by the Engineer prior to the start of the work and to compliance
checks by the Engineer during the progress of the work.
All test data shall be documented in accordance with Department requirements.
Copies of the Quality/Process Control sampling and testing results shall be
submitted to the Engineer as the work progresses (or weekly at minimum).
3.6 Corrective Action. The Contractor shall take prompt action to correct conditions
that have resulted, or could result, in materials and products that do not conform to
the requirements of the Contract Documents.
3.7 Non-Conforming Materials. The Contractor shall establish and maintain an
effective and positive system for controlling nonconforming material, including
procedures for its identification, isolation, and disposition. Reclaiming or reworking of
non-conforming materials shall be in accordance with procedures acceptable to the
Engineer.
All non-conforming materials and products shall be positively identified to prevent
the use of and/or the intermingling with conforming materials and products.
Segregated holding areas shall be provided by the Contractor, subject to approval
by the Engineer.
3.8 Certification. At the conclusion of the Project the contractor shall certify in
writing to the Engineer that the project has been constructed and inspected and all
materials have been tested in accordance with the QCP and the Contract.