Geotechnical Investigation and Recommendations Manual
Geotechnical Investigation and Recommendations Manual
and Recommendations
Manual
Updated 9/9/2021
0.1 TABLE OF CONTENTS
0 Introduction
0.1 Table of Contents ii - vi
0.2 Introduction vii
0.3 Purpose of the Geotechnical Investigation and Recommendations Manual vii
0.4 Mission Statement and Functions of the Geotechnical Engineering Unit vii
0.5 Organization of the Geotechnical Engineering Unit vii
iii
5.1.4.1 Detour Bridge Foundation Field Investigation 53
5.1.4.2 Detour Bridge Foundation Subsurface Inventory 53
5.2 Culvert Foundations 53
5.2.1 Culvert Foundation Field Investigation 53
5.2.2 Culvert Subsurface Inventory 54
5.3 Shoring Foundations 54
5.3.1 Shoring Field Investigation 54
5.3.2 Shoring Subsurface Inventory 55
5.4 Retaining Wall Foundations 55
5.4.1 Retaining Wall Field Investigation 55
5.4.2 Retaining Wall Subsurface Inventory 55
5.5 Sound Wall Foundations 56
5.5.1 Sound Wall Field Investigation 56
5.5.2 Sound Wall Subsurface Inventory 56
5.6 Building Foundations 56
5.6.1 Building Foundation Field Investigation 56
5.6.2 Building Foundation Subsurface Inventory 57
7 GeoEnvironmental Guidelines
7.1 GeoEnvironmental Overview 66
7.2 Consultant Selection Process 66
7.3 GeoEnvironmental Reports 66
7.3.1 Hazardous Materials Report for Planning 66
7.3.2 Preliminary Site Assessment 67
7.3.3 Regulatory Reports 67
7.3.4 Right of Way Recommendations 67
7.3.5 Design Recommendations 67
7.4 Discovery of Potentially Hazardous Waste or Contaminated Sites 67
iv
8 Geotechnical Support for Design-Build
8.1 Design-Build Overview 68
8.2 Planning for the Design-Build Subsurface Investigation 68
8.3 Design-Build Field Investigation 68
8.4 Subsurface Inventory Reports for Design-Build 69
8.4.1 Contents of a Design-Build Roadway Report 69
8.4.2 Contents of a Design-Build Structure Report 69
8.4.3 Electronic Deliverables to Design-Build Unit 69
8.5 Geotechnical Scope of Work 70
8.6 Geotechnical Quantity Estimate 70
v
0.2 Introduction
Geotechnical investigations for roadway and structure projects for the North Carolina
Department of Transportation shall be performed in accordance with current practices, policies
and procedures of the Division of Technical Services, Geotechnical Engineering Unit.
This manual is intended for use by all persons, private or public, performing geotechnical
investigations for the NCDOT.
vi
1 Planning Geotechnical Investigations
1.1 Project Review
The first planning step is to read and understand the proposed Scope of Work for the
Geotechnical project. For roadway projects, note significant cuts and fills paying attention to the
cross-sections as well as profiles. Consider at-grade sections for to potential of poor-quality soils
that commonly occur near the existing ground surface. For structure investigations note the wall
or bent locations, the height of the structure, and any special features or requirements.
Identify any necessary permits or special entry requirements. These will include environmental
permits i.e., NW-6 written notifications (for high quality waters, primary nursery areas, trout
streams, wild and scenic rivers, barrier islands, wetlands, endangered species, historic
properties), CAMA permits in coastal areas, stream buffer permits, environmental moratoriums
(most commonly for spawning seasons in streams), and special entry permits (such as FERC
permits commonly required near power production facilities).
Potential resources in addition to the project plans include: NCDOT Project Development and
Environmental Analysis (PDEA) Unit documents and reports, (Bridge Survey and Hydraulic
Design Reports (BSR) from the NCDOT Hydraulics Unit, NCDOT Bridge Documents
(including routine inspection reports, underwater scour inspection reports, and as-built structure
plans), and Preliminary General Drawings (PGD) from the Structures Management Unit.
1.2 Review of Existing Data
Existing subsurface data may be available from the NCDOT Geotechnical Engineering Unit.
There is currently no public database access. Existing data may be supplied along with the
project data files, or it may be requested from the Unit (typically through the Project Geological
Engineer). When requesting existing subsurface data, include previous NCDOT “TIP” or project
numbers, map coordinates of the location, aerial photo with location marked, or a physical street
address.
Numerous other sources of useful data exist including topographic maps, aerial photos, satellite
imagery, geologic mapping and reports, soil surveys, water resource surveys, mining and
aggregate source mapping, well logs, and personal communication with individuals possessing
local knowledge. A review of all available data will provide a better understanding of the
geology, geomorphology, and topography of the project area. This can be useful in identifying
potential problem areas to improve the overall subsurface investigation plan.
The most commonly cited map reference in North Carolina is the “Geologic Map of North
Carolina”, North Carolina Geological Survey, 1985. There are also numerous maps published by
the USGS and NCGS covering areas of North Carolina in greater detail than the statewide map
1.3 Reconnaissance
Following the data review process, the Project Engineer, Project Geologist, and/or field
Geologist should visit the site and address the following:
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• utility conflicts
• screen the project for existing designs made to deal with Geotechnical problems such as
boulevard ditches used to handle high groundwater.
• traffic control requirements
1.4 Investigation Plan Development
After completion of the previous reviews, the project team should have a general understanding
of the expected soil and rock properties; the effects of topography, vegetation, structures and
utilities on the proposed site exploration plans; the probable depths of borings, the type of
equipment needed for access, etc.
A boring plan should be developed for use by field personnel. The plan will typically utilize a
plan view of the site with the proposed borings shown. The proposed or anticipated depth of the
borings will also be needed, although in many instances the depths will need to be adjusted based
on site conditions as work progresses. The boring plan should also include the following
information: project identification numbers, existing contours, existing features (structures,
roads, utilities, fences, utility poles, etc.), existing Right-Of-Way and property boundaries, and
all proposed alignments and structures. This information is generally available on the roadway
plans. Additionally, any environmentally sensitive areas should be clearly delineated.
1.5 Project Initiation
Prior to commencing the field investigation, conduct a project initiation meeting. Attendees
should include, at a minimum, the NCDOT Project Geologist and NCDOT Geotechnical Design
Engineer. For out-sourced projects, include the appropriate PEF personnel. Other individuals that
may benefit from or add to the discussion include the driller, CADD technician, PEF Geologist
and the PEF Geotechnical Engineer. This meeting can be held on-site or in the office. For small,
uncomplicated projects, this meeting may be accomplished by phone and email. The purpose of
this meeting is to insure that all involved personnel are fully aware of the investigation and
design plan including all required activities and final products. For outsourced projects, the
meeting can be used to review the NCDOT Request for Proposal and the firm’s Proposal. It
should also be used to identify the appropriate people to contact when questions arise during the
course of field investigations. Document the meeting including specific topics discussed, any
special instructions/considerations, and the contact information.
Entry onto private property in performance of NCDOT duties is addressed in The North Carolina
General Statute: GS 136-120 “Entry for Surveys.”
http://www.ncleg.net/gascripts/statutes/statutelookup.pl?statute=136
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GS 136-20 (as of July 15, 2015):
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SECTION 2
For drilling and data collection, refer to Chapters 3 through 8. Other chapters in the Manual are
useful for all aspects of Subsurface Inventories on NCDOT projects.
Items specific to NCDOT practice are listed in this section.
All borings performed for NCDOT whether by NCDOT staff or PEF staff must be supervised
and logged by a field professional possessing at minimum a bachelor’s degree in Geology,
Engineering or other closely related field. Additionally, any PEF field professional must be
observed and pre-approved by NCDOT GEU staff prior to working on NCDOT projects. Any
PEF driller must possess certification from The North Carolina Well Contractors Certification
Commission.
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Soil descriptions must include the origin, color, moisture content, density or stiffness and
material type. Additional descriptors should also be included when they are Geotechnically
significant and may include items such as mica content, organic content, mottling, saprolitic
texture or other components.
All borings begin with measurement of the lead stem including head, bit or shoe and the original
sample depth must be calculated by measuring the stick-up and subtracting from the lead stem.
These measurements should be recorded in the “Notes” section of the bore log.
Borings performed from and through a bridge deck or other elevated surface must include the
freeboard from the collar elevation (ground contact) in the stick-up measurement. Height of the
bridge deck surface above the ground surface must also be noted on the bore log.
The boring log created in the field at the time the boring is performed will remain the “log of
record” for that boring and may only be modified by the “red-lining” process. “Red-lining” is the
process by which corrections are made to the original field log by striking through the incorrect
data and adding the correct data nearby. The “red-lining” must not obscure or destroy the
original document or data contained within it. The geologist or engineer responsible for the “red-
line” log must initial and date the log in the same color or style to identify ownership of the
corrections.
Final boring logs will include all of the data noted on the field log and corrected during the “red-
lining” process and will be recorded and stored in the gINT borelog program.
Test results other than classification will be presented as described in each project type in this
manual.
1. The NCDOT requires that all drill rigs receive SPT hammer calibration within one year
prior to any work being performed in order to be accepted.
2. All SPT hammers must be automatic and must have a means by which to verify drop
distance.
3. SPT Drive Termination Criteria - Drive the sampler with blows from the 140-lbf
hammer and count the number of blows applied in each of three 0.5-foot increments
until one of the following occurs:
a. When 100 blows are applied to the sampler and less than 1.0 foot of penetration is
accomplished in non-Coastal Plain materials. In Coastal Plain materials, if after the
first 0.5 feet of penetration 100 blows has not been achieved, the first 0.5 feet is
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considered the “seating drive” and blow counts start over at 1 and continue until 100
or until 1.0 foot of penetration is achieved. Record the number of blows and the
penetration achieved to the nearest 0.1 feet (i.e. 100/0.9’).
b. SPT Refusal is achieved. SPT Refusal is defined as 0.1 feet of penetration or less
after 60 hammer blows within the first 0.1 feet. After 0.1 feet has been penetrated, the
criteria for SPT termination reverts to that in Section 2.1.1 Article 3.a.
If SPT Refusal material is encountered during an SPT drive but not within the top 0.1 feet, the
boring may be advanced to the bottom depth of the SPT drive and another SPT drive may be
performed to achieve SPT Refusal at that depth.
Weathered Rock is defined as non-Coastal Plain material which yields 100 blows in less than 1
foot of split spoon penetration.
Soil drilling techniques may advance past SPT refusal. It must be noted on the log where the
Crystalline or Non-Crystalline Rock (SPT refusal) is inferred whether by drill behavior or other
observations between SPT drives.
Boring termination must be described for each boring and on each log as on, or in, a given
stratum at the boring depth or bottom elevation. A few examples are:
• “Boring terminated at 56.6’ in Coastal Plain, silty sand” (when boring terminates in soil)
• “Boring terminated at 20.5’ on Crystalline Rock” (when a boring is terminated by SPT
refusal which does not penetrate rock)
• “Boring terminated at 20.3’ in Crystalline Rock” (when a boring is terminated in strata
that would yield SPT Refusal)
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depths and locations of changes in stratigraphy. All rock core recovered must be placed in
durable core boxes and the lids labelled with NCDOT project numbers, boring identification, run
number and depth intervals, REC, RQD and box number (such as Box 1 of 2). Rock core boxes
must also be labelled both on the lid end and the box end with NCDOT project number, boring
identification and box number.
The “field classification and remarks” section should include descriptors such as color, fracture
spacing, degree of weathering, hardness, mineral assemblages, rock type, formation name and
any additional notes that describe the core.
To measure the length of core between discontinuities, measure along the centerline of the core
to points where the discontinuities cross the centerline. Add the total lengths of each individual
piece of rock core greater than 4 inches and divide by the total length of the core run. Vertical
discontinuities are disregarded and the section of core is added to the RQD percentage because
the discontinuity never “crosses” the centerline of the core.
Final Core Logs are recorded in the gINT bore log program. Required data include the items
listed under “2.1 Soil Borings” and additionally include the following:
• Rock type, and description (per change and strata encountered at each depth)
• Core size
• Length and the depth intervals of each run
• Time (min: sec) per foot of coring
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The Geologic Strength Index is determined by estimating a range of values based on visual
observation of the rock mass. The GSI is read from AASHTO LRFD Figure 10.4.6.4-1 for
jointed rock masses and AASHTO LRFD Figure 10.4.6.4-2 for heterogeneous rock masses.
When an NCDOT Geotechnical Report includes rock core, a GSI value must be included in each
area of the report where the core is described including bore logs, core logs, cross sections and
profiles. The GSI legend supplement must also be included in any Geotechnical report which
includes rock core.
Penetration rates should be between 0.4 to 0.8 in/sec. Tests shall be performed in accordance
with ASTM D 3441 (mechanical cones) and ASTM D 5778 (electronic friction cones and
piezocones). The penetrometer data is plotted showing the end-bearing resistance, the friction
resistance and the friction ratio (friction resistance divided by end bearing resistance) vs. depth.
Pore pressures, if measured, can also be plotted with depth. The results should also be presented
in tabular form indicating the interpreted results of the raw data. The friction ratio plot can be
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analyzed to determine soil type. Many correlations of the cone test results to other soil
parameters have been made, and design methods are available for spread footings and piles. The
penetrometer can be used in sands or clays, but not in rock or other extremely dense soils.
Generally, soil samples are not obtained with soundings, so penetrometer exploration should
always be augmented by SPT borings or other borings with soil samples taken.
The piezocone penetrometer can also be used to measure the dissipation rate of the excessive
pore water pressure. This type of test is useful for subsoils such as fibrous peat or muck that are
very sensitive to sampling techniques. The cone should be equipped with a pressure transducer
that is capable of measuring the induced water pressure. To perform this test, the cone will be
advanced into the subsoil at a standard rate of 0.8 inch/sec. Pore water pressures will be
measured immediately and at several time intervals thereafter. Use the recorded data to plot a
pore pressure versus log-time graph. Pore water pressure dissipation rates or rate of settlement of
soil can be determined from these graphs.
This method is commonly used for measuring shear strength in soft clays and organic deposits. It
should not be used in stiff and hard clays. Results may be unreliable or over-estimated due to the
presence of gravel, shells, roots, or sand layers. Shear strength may be overestimated in highly
plastic clays and a correction factor should be applied.
The following table identifies Vane Shear Test Equivalents for interpretation of Vane Shear
results.
Psf
Very Soft <250
Soft 250-500
Medium Stiff 500-1000
Stiff 1000-2000
Very Stiff 2000-4000
Hard >4000
Vane Shear Tests performed for NCDOT projects must be recorded and reported in the NCDOT
approved form located in GeoForms in the NCDOT Workspace.
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of 8 inches, the pressurized gas expands the membrane and both the pressure required to begin
membrane movement and that required to expand the membrane into the soil 0.04 inches are
measured. Additionally, upon venting the pressure corresponding to the return of the membrane
to its original position may be recorded. Through developed correlations, information can be
deduced concerning material type, pore water pressure, in-situ horizontal and vertical stresses,
void ratio or relative density, modulus, shear strength parameters, and consolidation parameters.
Compared to the pressure meter, the flat dilatometer has the advantage of reduced soil
disturbance during penetration.
The water level of the boring must be measured at 0-hours as soon as practical after the drill steel
has been removed in borings that do not use water or mud as a drilling fluid. When drilling fluid
is used in advancing the borings, the 0-hour water level must be recorded as “N/A”. All
Geotechnical borings must be left open but covered for a minimum of approximately 24 hours
and remeasured for the static or 24-hour water level. Only rare exceptions where potential injury
to the travelling public is significant should the boring be backfilled at 0-hours.
The static groundwater level is measurable 24 hours after the boring is completed and left open
but covered. The boring must be covered during the 24-hour waiting period to prevent false
measurements of groundwater from rainfall and run-off and to prevent injury to people or
livestock which may step into an open hole. The 24-hour groundwater measurement is
considered valid for any boring regardless of drilling technique or fluid used to advance the
boring.
The presence of perched groundwater should be noted whenever possible. Generally, perched
groundwater is most likely to be observed during the 0-hour measurement prior to the waiting
period during which the boring may fill with water to the perched elevation. Perched
groundwater presents cut slope stability problems because it often occurs in sedimentary strata
that may be degradable and underdrain methods are ineffective for remediation.
When artesian water levels are present, the potentiometric surface must be measured. In order to
measure the artesian head in borings where the collar elevation is below the potentiometric
surface, pipe or casing must be stacked to an elevation above which the groundwater flow stops.
Artesian conditions may also be observed within embankments, below the existing ground
surface but above natural ground. The field professional must be aware when in Geologic
regimes that have the potential for artesian groundwater conditions and recognize when artesian
water levels are present within the embankment.
The potentiometric water surface elevation must be noted on the boring log with an indication or
footnote that the elevation is “artesian.”
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During the period that the bore hole will remain open prior to measurement of the 24-hour water
level, the top of the boring must be covered to prevent injury to people, livestock or animals.
Borings that do not encounter groundwater may be backfilled with drill cuttings and soil.
Borings that encounter groundwater must contain a minimum bentonite layer one-foot thick at a
depth above seasonal high groundwater. The bentonite “plug” should be covered with a
minimum of a half foot of soil at the top of the borehole to allow for revegetation. When low
permeability soils are encountered above the water table, the bentonite plug should be placed
within that layer whenever possible.
Borings that encounter artesian conditions must be backfilled with grout or bentonite
chips/pellets the full depth of the boring. Prior to backfilling, the artesian head must be measured
by adding pipe above the ground surface until an elevation above the potentiometric surface is
reached. Once this is reached and the measurements are taken, groundwater flow through the
boring is arrested and the boring can be backfilled with grout without the grout or bentonite
being compromised.
Grout mixes for backfilling purposes should consist of a combination Portland cement and
bentonite powder and should be pumped through the drill rods or a tremie pipe to ensure that the
seal is present in the entirety of the hole.
Bore holes through pavement should be backfilled and compacted sufficiently to support an
asphalt or quick-setting concrete patch. The asphalt or concrete patch should closely match the
thickness of the existing pavement.
Minimum requirements for backfilling and abandoning bore holes may be over-ridden by
requirements set forth in the Request for Proposal or Scope of Work.
2.6 Other Geotechnical Drilling
There are many methods for obtaining subsurface information. These vary greatly across the
physiographic regions of North Carolina and are dependent upon the project being investigated
and designed. Special subsets for GeoPavement and GeoEnvironmental projects will have their
own criteria. These will typically be outlined in a Request For Proposal before a project and may
be modified after consultation with Project or Design Engineers and Project Geologists, either
NCDOT or Consultant. Many standard techniques are discussed in the NHI Manual, referenced
at the beginning of the Section.
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2.7 Quarantines
2.7.1 Fire Ant Quarantine
Soil samples obtained in the areas shown on the Imported Fire Ant Quarantine Area map that are to be
transported outside of the area on the map must be fumigated before the soil is transported.
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Section 3
Borings may be needed for preliminary design purposes to identify depth to rock or for soil
classification to aid in providing a foundation type recommendation. Limit the number of SPT
borings to one per bent at most. A boring should be performed at a proposed or a best estimate
interior bent location to determine the foundation type (piles or drilled shafts). These borings
may also be used in future inventory reporting. Follow GEU guidelines for proper bore hole
logging, sampling, and determining boring depths. Note the presence of exposed or shallow
rock, soil types within the zone of scour, location on NC Geologic Map, groundwater, existing
foundation, condition of existing structure, possible foundation type, preference for detour
location, etc.
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Section 3
Borings may be needed for preliminary design purposes to identify potential rock excavation,
groundwater elevations or for soil classification. The goal is to provide the planners with enough
information to know if a design is feasible or cost effective. Locate borings within the proposed
earthwork boundaries to identify potential geotechnical impacts to the project. Boring locations
should be limited to critical areas, and boring spacing is increased from that used during a typical
roadway investigation. These borings may also be used in future inventory reporting. Follow
GEU guidelines for proper bore hole logging, sampling, and determining boring depths. Note
the presence of rock in cut slopes, highly plastic soils within cut sections or under embankments,
soft/alluvial soils under proposed embankment, location on NC Geologic Map, wetland impact,
will earthwork impact groundwater, soils suitable for embankment construction and stability,
degradable rock or Triassic soils, recommended slope, condition of existing slopes, preference
for detour location, etc.
Techniques/Methodologies
• Review of maps and nearby projects
• Site reconnaissance
• Subsurface investigation
Findings
• Geologic province, geologic trends, rock types, exposures.
• Soils present
• Flooding history
Groundwater
• State the measured or estimated elevation and its impact on construction.
• Drainage across the project site.
Anticipated Impacts
• For structures, state the likely foundation type, i.e. drilled shafts, footing, piles.
• For roadways, include the likelihood for undercut, rock blasting, wetland impacts,
subgrade and embankment stability, and recommended slope.
Attachments/Other
• Drafted bore logs with Northing and Easting information when applicable.
• Graphical profiles and cross sections may be included when it is helpful to the designers.
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For all roadways the investigation shall include the following work:
a) All property owners shall be contacted according to the procedure outlines in Section 1.6 –
Planning Geotechnical Investigations
b) Subsurface investigations should provide sufficient observations, field tests and laboratory
samples to determine the soil and rock classification and the engineering properties pertinent
to the proposed design.
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c) The drilling equipment required for a roadway subsurface investigation depends upon the
terrain and the type of project. The equipment must be suitable for the necessary
exploration sampling operation, and in good working condition. Drill rigs are required to
maintain SPT hammer calibration within one year of performing work for NCDOT.
d) The spacing of the test borings depends upon the geologic complexity, the soil and rock
continuity of the project area and the roadway design. Therefore, boring placement must be
made to optimize the geologist’s ability to interpret subsurface stratigraphy. The spacing of
borings or soundings is typically at intervals of 200 feet linearly, but may be less than or
greater than 200 feet depending on site conditions or project design.
f) In proposed cut sections, borings shall be advanced to a depth at least 10 feet below the
lowest proposed grade elevation or to rock. Borings in proposed cut sections shall be
advanced to a depth necessary to obtain sufficient data for slope design.
g) When rock is encountered or present within 6ft of proposed grade, “Rock Sounding”
borings shall be made along cross-sections sufficient to establish the rock surface and to
generate an estimate of rock excavation. “Rock sounding” borings should be performed in a
grid pattern generally with 50 to 100-foot bore spacing. In potential cut slopes with large
quantities of rock, core borings may be required to describe the rock type, quality (RQD)
and recovery (REC).
i) All boring locations and elevations shall be referenced to existing project surveys by station
and offset on plan sheets and sections. Alignment, station, offset and coordinates must be
reported on all borelogs.
j) All distances and boring locations shall be measured and reported to the nearest 1 foot
horizontally. All elevations and depths shall be measured and reported within 0.1 feet
accuracy vertically. Elevations for borings for roadways may be obtained from the roadway
design files.
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k) All test borings, core drilling, field and laboratory testing shall be performed according to
applicable AASHTO or ASTM Standard Methods. Standard Methods T87, T88, T89 and
T90 shall be used as modified by NCDOT. The classification of soils shall follow
AASHTO designation M145-82.
l) Sampling guidelines for roadways - The following is a list of guidelines for determining test
and sample location:
1. Sample soils sufficiently to classify all soils on the project. Increase sampling frequency
for any soil that appears to have high organic or clay content, especially for surficial
soils or soils at proposed subgrade.
2. Moisture content samples should be taken in SPT borings or hand auger borings, with
one taken in fine grained soils as the moisture content changes noticeably or when
conditions dictate. Moisture samples are especially important in soils that are at-grade
or within three feet of grade. Moisture samples must be associated with a corresponding
quality test of the same layer within the same boring.
3. California Bearing Ratio (CBR) samples should be taken in cut or at-grade sections with
at least one sample for every major cut section or one sample to represent every major
soil type that will likely be used at subgrade.
4. In cuts or at-grade areas, surficial clays should be sampled frequently. Samples should
be collected every 5 feet in depth to be tested for quality.
5. Shelby tubes for triaxial and consolidation testing (Coastal Plain, Piedmont): One
Shelby Tube per 10 feet (2 drives) of cohesive material less than 15 BPF within 20 feet
of the ground surface (typically for bridge approach embankments).
Mountains: One Shelby Tube per 10 feet (2 drives) of any wet or saturated material less
than 3 BPF within 20’ of the ground surface under proposed embankments.
6. Soil should be tested for organics whenever there appears to be more than 3% by weight
in the soil. Organic content tests must be associated with a corresponding quality test of
the same layer in the same boring.
7. Topsoil - Include the thickness of the topsoil/root mat/or organic soil when logging all
borings. The recorded thickness in the field notes can be as little as 0.3 ft. The quality
and quantity of this material will be addressed in the inventory and recommendations
report as needed.
m) Upon completion of the test boring and after applicable ground water measurements have
been made, bore holes must be abandoned properly (See Backfilling Drill Holes Section
2.5).
n) In areas where local, domestic or industrial water supplies may be in danger by constructing
the proposed roadway, a water well or spring inventory survey shall be made. The well
locations need to be listed in the Inventory report and shown on the plans. The maximum
investigation distance used will vary project to project, but can extend to 1000 feet from the
project corridor. The NCDOT Geotechnical project manager will determine the appropriate
limits of investigation.
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List each survey line investigated including the begin construction and end construction stations
for each alignment.
The following terms are referenced in this section and are defined as:
Soil Properties
Describe the major engineering soil types and soil profiles occurring along the project corridor.
Discuss each soil with respect to the following:
a. Occurrence - Describe the mode of occurrence of each soil type or soils profile including
horizontal and vertical distribution, predominance of any soil type, typical topographic
settings of certain soils, and the relationship between a particular soil and the soils profile as
a whole. Use the AASHTO classification system. Give a general overview of the project
such as “The soils generally consist of silty sands (A-2-4) overlying silty clays (A-7-5).”
b. Origin - Classify soils and discuss the mechanism of their formation, including the parent
material or the transporting and depositional mediums. This would particularly apply to the
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coastal plain or large alluvial valleys in the other regions of the state. It would also include
the nature of colluvial deposits on Mountain projects.
c. Mineralogy - Describe the mineralogy of the soil as it pertains to engineering properties and
performance. This could include highly micaceous rock, rock with high MnO content, acid
producing and pyritic units.
Rock Properties
Describe general rock types. For example: “The project crosses the Rolesville Granite which
generally consists of highly competent, fine-grained granite which is often exposed at the
surface and weathers to sandy soils”.
Describe the mineralogy of the rock as it pertains to engineering properties and performance.
This could include highly micaceous rock, rock with high MnO content, degradable siltstones,
acid producing or pyritic units. In Piedmont and Mountain locations, excavated rock is often
processed and used for rip rap, gravel, rock embankments, etc. Rock present in the unclassified
excavation should be tested for its suitability for these purposes. Highly micaceous schists tend
to not be suitable for processing into gravel but may be suitable for rock embankment
construction.
Groundwater Properties
Describe the occurrence and general quality of the groundwater in the soil and rock units along
the project corridor. The following items should be included:
d. Locations of wells, lakes or ponds that may be affected by the project footprint, construction
activities or engineering activities such as intentional drainage of areas in or adjacent to
Right of Way limits.
This section is intended to serve as an index of special interest areas which are described in the
inventory report and which possibly will be the subject of future recommendations. It should
not be used to summarize the entire project or act as a table of contents. It should not be used to
make recommendations.
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The following examples are intended to present the format for the topics. The details and order
will depend on the project and writer.
1. The following sections were found to contain potentially (or existing) unstable slope
conditions:
Station Offset
16+00 to 22+00 Rt. side of existing slope
2. The following sections were found to contain rock above or within 6 feet of grade:
Station Offset
4+00 to 5+00 52ft to 93ft RT
Other items that may be addressed in the same format are soft or wet soils, highly plastic clays,
organic soils, loose sands, artificial fills, high ground water (within 6 feet of proposed grade),
poor drainage or any other item that may have a geotechnical impact on the project.
Appendix A
List all the undisturbed and bulk samples tested on the project. The sample number, station,
offset, sample depth, and type of test performed should all be listed.
A. The Roadway Subsurface Inventory graphics (borings, test results, plan, profile, and cross-
sections, etc.) shall be plotted on standard 11x17 inch paper. Small bridge approach
roadways that do not require inventory graphics the inventory text shall be plotted on
standard 8.5x11 inch paper. If borings were performed for these small projects a copy of
the final boring logs and any sample results must be attached to the Roadway Subsurface
Inventory text report.
B. The Roadway Subsurface Inventory graphical report must contain the items listed below
and in the following order:
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5. Profiles in the same order as supplied by Roadway or Design Firm (sheet numbering
after Plan sheets)
6. Cross sections (sheet numbering after profile sheets)
7. Boring logs and coring logs (if needed) (sheet numbering after cross section sheets)
8. Soil Test Results if not shown with profiles or cross sections
9. Appendix of CPT data, if collected
The Inventory report graphics must contain all graphics sheets used in the Recommendations
Report without the hatching or other references to any recommendations.
The following criteria apply to the graphical portion of the Subsurface Inventory Report:
1 Roadway Plan Sheets - Plot the boring locations using the appropriate boring cell sized
approximately 0.25” diameter. Label boring locations with station and offset. The plan
sheets will also be used to indicate rock outcrops, alluvial boundaries, trash and landfill
boundaries, and other relevant geologic or topographic features. All relevant background
information (buildings, waterways, existing roads, etc.) and design features (survey lines
with stationing, proposed roadways, retaining walls, etc.) should be visible on the plan
sheets. All of these limits and boundaries shown should match the limits shown on the
profiles and cross sections.
2 Subsurface Profile - Profile sheets should include all borings performed at or near the
profile location. Borings may be projected on to the profile from any distance determined
to be necessary. Offset profiles may be used as necessary for projects where many of the
borings were not performed at the centerline. Profiles are optional and are often useful in
areas of low topographic relief with the absence of the need for drafted recommendations.
Profiles are not typically included on Mountain region projects. Borings not shown on the
profiles must be shown on either a cross section or as a boring log. In addition to the
borings the following items must be included on the profile sheets.
b) Descriptions of Strata - Soil descriptions should follow the soil test results and the
consistency/denseness chart located on the Soil and Rock Classification Legend Sheet.
Soil symbols may not be substituted for the symbols currently used without prior approval
from the Support Services Section of the NCDOT Geotechnical Engineering Unit.
Stratigraphy may be shown at the profile location or from boring to boring like done for a
fence diagram. If the stratigraphy shown on the profile is from boring to boring and not for
the profile location there must be a statement stating so on the profile sheet. The parent
rock type should be listed for any weathered rock or rock strata.
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c) AASHTO Soil Test Results - Soil test results (including quality results for Shelby tube,
CBR, and RT tests) should be shown on the page that corresponds with the boring location.
Sequential order of the samples is not required on the profile sheets. The preference is for
the samples to be shown in order by station location. The sample numbers should be listed
above each boring. If there is not enough room on a profile sheet to list the samples, a
sheet may be inserted immediately following that lists the sample results.
d) Geological Features - Rock outcrops, alluvial boundaries, muck limits, and other
significant geologic features that intersect the profile line should be shown on the profile.
The symbol used to define the above listed items must be shown on the Soil and Rock
Classification sheet.
e) Boring Termination Information - All borings shown on the profile should include a
boring termination abbreviation below the boring.
f) Offset Information - All borings shown on the profile that are offset from the centerline
of an alignment must have the offset from that alignment listed above the boring.
3 Cross Sections - Cross sections should be used to plot boring locations not shown on the
profile or in areas where recommendations will be shown. The criteria for showing
information on cross sections is the same as in section a) through e) listed under profiles.
All borings shall be listed with Station and Offset. Borings should be shown on the section
closest to its drilled location or in some cases the next closest section if site conditions are a
better match. Any cross section sheets included in the report should show all borings that
were performed on the cross sections shown even if the boring has already been shown on
the profile. Mountain projects typically do not have profiles and show subsurface
information on cross sections only.
All borings performed, including 0.5-inch “bridge rod” soundings and any logged soil
excavations, must be plotted on the profile or cross section sheets. If two borings are performed
at the same station (with different offsets) only one may be shown on the profile, but both must
to be shown in cross section. If a boring cannot be shown on a profile or a cross section, a bore
log sheet for that boring must be included in the report.
Laboratory test results must be included in the report on profile or cross section sheets or
presented on separate sheets at the end of the report.
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SECTION 4
The following contract pay items are included in Roadway Recommendation reports as
contingency items for projects when no specific areas for their use are encountered during the
Subsurface Investigation but there is some potential that the items will be required for small
areas discovered during construction. Contingency items are also added as supplemental
quantities on projects where the pay items are listed in the Recommendations report in specified
areas. The contingency items in these cases are to account for smaller areas that may be
encountered during construction that were not observed during the investigation. The quantities
listed below are suggested minimums for small roadways such as bridge approaches and for
larger roadway projects. These items are not required to be included in every report but should
be used to provide line items in the contract whenever there is a reasonable likelihood the pay
items will be utilized in small amounts during construction.
1. Is the slope shown on the preliminary plans appropriate for soil and rock cuts,
embankments, and embankments with retaining structures? Generally, recommend
the steepest slope that will be stable. If the engineer anticipates potential slope
stability problems, the problems and solutions must be addressed. Give a station to
station overview as needed.
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2. Typical items include slope design, undercut, slope drain, wick drains, surcharges,
horizontal drains, grade revisions and geotextiles.
B. List the areas with soft soils that may affect embankment stability or settlement with
recommendations for that particular area as appropriate. When topsoil has greater than
4% organic content and is more than 4 inches thick it must be shown as undercut in this
section. When the proposed fill heights are less than 3 feet the recommendation may
need to be included in the subgrade stability section. Potential solutions include:
1. Undercut - If this method is chosen, cross hatch the exact locations on the profile and
cross section drawings and compute a quantity in cubic yards.
2. Wick drains
3. Surcharge
4. Geotextile soil stabilization
When undercut is recommended, criteria for backfill and geotextile for soil stabilization
is recommended in subsequent sections of the Recommendations report.
C. List pay items and quantities associated with or necessary for the construction of items
listed in Section I. B.
1. Geotextile for Soil Stabilization - Compute the amount of geotextile for soil
stabilization required in square yards and include an item for backfill over the fabric
in Section III.
2. Sand Drains (Wicks Drains) - Recommend as needed.
3. Surcharge - Recommend as needed.
4. Ponds within construction fill limits.
5. Rock Embankments in water.
1. Subdrain pipe used for subsurface drain (Roadway Standard Drawing 815.02) that is
expected to function permanently throughout the project’s life. This type of
subsurface drainage should be recommended when it is likely that groundwater will
remain near subgrade indefinitely without additional drainage.
2. Subdrain pipe used for underdrain (Roadway Standard Drawing 815.03) that is
expected to function temporarily during the project construction phase. This type of
subsurface drainage is recommended for areas with high groundwater prior to
construction that may affect subgrade stability during construction, but is not
expected to remain high after the excavation is completed.
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B. Boulevard Ditches
Boulevard ditch depths are typically 6 feet below subgrade elevation with a minimum
depth of 4 feet. Boulevard ditches are preferred over subsurface drains (Roadway
Standard Drawing 815.02) where permanent lowering of the groundwater is required.
Make ditch recommendations as soon as practical as the Roadway Design Unit will need
to add the ditches to the plans and the Hydraulics Unit will need to determine the outfall.
Figure 1.
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SECTION 4
Many factors affect the suitability of subgrade soils and may have the potential to
generate the need for undercutting for subgrade stability. In general, piedmont or
mountain region soils with Plastic Index above 35 requires undercut. Soils with high
percentage material passing a #200 sieve, high moisture content or high mica content
may also require undercut.
In Coastal Plain regions where soils tend to be more moisture sensitive, soils with a
plastic index above 20 or with greater than 50% of material passing a #200 sieve,
undercut is often necessary.
When undercut is recommended, criteria for backfill and geotextile for soil stabilization
is recommended in subsequent sections of the Recommendations report.
E. Aggregate Subgrade
Shallow Undercut for Aggregate Subgrade is used in place of standard undercut in areas
with utilities or traffic control concerns and can range from 0.5 to 2.0 feet thick. List the
quantity of undercut needed in cubic yards and the areas with unsuitable soils that will
affect subgrade stability. A contingency quantity is typically included as well. For
specific areas of shallow undercut, delineate with a shaded pattern as indicated in the
Legend the exact locations on the plan, profile and cross section drawings and compute a
quantity. When appropriate, a typical section may be provided in lieu of showing
shallow undercut on the cross sections.
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SECTION 4
B. Borrow Criteria – state if will be using the statewide criteria or the Coastal Plain criteria.
C. Shrinkage factor – include the appropriate shrinkage factor for the region and site
conditions of the project. Shrinkage factors typically range from 15% in the mountains
to 30% in the eastern Coastal Plain, see Figure 2.
The Shrinkage Factor accounts for increases in the amount of borrow required to build a
project through losses in embankment areas as a result of clearing and grubbing in the
first 6 feet of embankment, erosion and consolidation of underlying materials.
Figure 2.
D. Rock Swell Factor – Give a factor in percent of the amount of swell of earth work
quantity anticipated on the particular project.
E. Select Granular Material – include the appropriate quantities of Class II and/or Class III
select granular material needed to accommodate previous recommendations including
over fabric, backfill in water, for shallow undercut, or just as a contingency. Be sure to
reference the previous section of the report when the select granular material is to be
used in conjunction with a previous recommendation.
(IV) Miscellaneous
A. Reduction of Unclassified Excavation - Clearing & Grubbing
The Reduction of Unclassified Excavation due to Clearing and Grubbing refers to the
intentional removal or accidental loss of soil, root mat, stumps, shrubs, trees, or other
ground cover in unclassified (cut) areas of the project. Removal of this material causes a
loss in the amount of unclassified excavation available for use on the project. Compute
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SECTION 4
the quantity in cubic yards and recommend that the total unclassified excavation be
reduced by that amount. The maximum thickness to use is 1foot with a typical range of 2
to 4 inches for grassy areas and 4 to 6 inches in wooded areas.
At locations where the combined thickness of organic topsoil is 1 foot or more, it should
be shown as the surface layer on the soil profile. Where the combined thickness is less
than 1 foot, it should be adequately described in the written inventory report and may or
may not be shown on the soils profile depending on the overall impact to the project. In
fill sections, any topsoil with greater than 4% organic content and more than 4 inches
thick must be shown and may be used for the following:
Root mat and organic topsoil should be considered a single unit and described as
follows; “Root mat and organic topsoil are an accumulation of organic debris, forest
litter, roots and typically dark organic soil material.”
To Be Considered To Be Considered
Organic Muck
Granular Soils Material tested must have Organic content must be
A-1, A-2, A-3 an organic content of at greater than 10%.
least 3%.
Silty Clayey Soils Material tested must have Organic content must be
A-4, A-5, A-6, A-7 an organic content of at greater than 20%.
least 5%.
1. Unsuitable material - Material that does not meet regional borrow criteria, has a high
moisture content, organic material, muck or peat.
2. If the material is unsuitable or marginal, make a recommendation as to its use,
treatment or disposal.
C. Water Wells - List the station and offset of all wells within the proposed NCDOT right-
of-way that need to be abandoned.
D. Springs and Seeps - List the station and offset of all springs or seeps within the
construction limits that will require Spring Boxes or other drainage. List the quantity of
Spring Boxes needed, the area of seep that will need to be treated, and any drain pipe
needed to tie the flow into existing project drainage. You must contact the Hydraulics
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Unit to determine how and where to connect with existing project drainage. Depending
on the source of the flow and the outfall location there may be jurisdictional issues that
will need to be addressed by the Hydraulics Unit.
H. Ponds - List all ponds near cuts that may be affected by the lowering of the ground water
table or a change in the ground water flow regime. List all ponds that need to be drained
or filled with select material.
I. Rock - List all locations where rock may need to be ripped or blasted during excavation
including ditches and known drainage or underdrain excavation. List areas requiring
horizontal drains, rock bolt, rock fall protection, or containing acidic rock.
The report should be signed and sealed by both a geologist and an engineer if both were
involved in generating the recommendations.
The Geotechnical Quantities Summary Chart and the project specific Project Special Provisions
mentioned in the report are attached to the end of report as separate sheets. The geotechnical
summary table is placed in the NONCADD folder as an excel spreadsheet with appropriate
quantities entered.
A. The recommendation graphics (borings, test results, profile, and cross-sections, etc.) shall be
plotted on standard 11x17 inch paper.
B. The Recommendation graphics must contain the items listed below in the following order:
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SECTION 4
4. Profiles are optional and should only be included if areas of recommendations are
present at centerline. The profiles showing unsuitable material must be displayed in the
same order as supplied by Roadway or Design Firm (sheet numbering after the Roadway
Title sheet).
5. Cross sections showing unsuitable material are required (sheet numbering after profile
sheets). All recommendation graphics drawn on cross sections must be drawn in the
“.xsc” file.
Begin stations for the area to be undercut must be placed below the first cross section
showing undercut for that area within the cross section cell in the “.xsc” file. The end station
for the area to be undercut must be placed above the last cross section showing undercut for
that area within the cross section cell in the “.xsc” file.
Begin stations for the area to be undercut must be placed below the first cross section
showing undercut for that area within the cross section cell on the “.xsc” file. The end
station for the area to be undercut must be placed above the last cross section showing
undercut for that area within the cross section cell on the “.xsc” file.
E. Aggregate Subgrade
Shallow Undercut for Aggregate Subgrade is drawn on cross sections where soft, wet,
highly micaceous, highly plastic or soils with other problematic characteristics make it
necessary that the material be removed prior to paving operations and when other factors
limit the depth of undercut. Shallow undercut may be used in lieu of “full-depth” undercut
adjacent to areas where traffic will be maintained during construction, where utilities would
be in conflict with “full-depth” undercut or other factors. Shallow undercut is represented in
cross section by a shaded pattern which extends the depth of undercut, generally 12 inches,
and laterally to one foot beyond curb and gutter or pavement structure.
Begin stations for the area of shallow undercut must be placed below the first cross section
showing shallow undercut for that area within the cross section cell in the “.xsc” file. The
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SECTION 4
end station of the area for shallow undercut must be placed above the last cross section
showing shallow undercut for that area within the cross section cell in the “.xsc” file.
Begin stations for the area of “Unsuitable Unclassified Excavation – Material to be Wasted”
must be placed below the first cross section showing this material for that area within the
cross section cell on the “.xsc” file. The end station of the area for “Unsuitable Unclassified
Excavation – Material to be Wasted” must be placed above the last cross section showing
this material for that area within the cross section cell on the “.xsc” file.
G. Unclassified Excavation – Acceptable but not in the top three feet of embankment or
backfill
Unclassified Excavation which is marginally acceptable for embankment construction such
as soils with plasticity indices identified in Standard Specification Section 1018-2(A) and
(B) must be represented in the cross sections with the “asterisk” pattern. The pattern in cross
section area must include all of this material encountered or present at the cross section.
Begin stations for the area of “Unclassified Excavation – Acceptable but not in the top three
feet of embankment or backfill” must be placed below the first cross section showing this
material for that area within the cross section cell in the “.xsc” file. The end station of the
area for Unclassified Excavation – Acceptable but not in the top three feet of embankment
or backfill” must be placed above the last cross section showing this material for that area
within the cross section cell in the “.xsc” file.
Begin stations for the area of “Unclassified Excavation – Acceptable Degradable Rock”
must be placed below the first cross section showing this material for that area within the
cross section cell in the “.xsc” file. The end station of the area for “Unclassified Excavation
– Acceptable Degradable Rock” must be placed above the last cross section showing this
material for that area within the cross section cell in the “.xsc” file.
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Weathered rock stability is a special case in which sampling and determination of strength
parameters is often difficult. Consideration must be made for parent rock type, mineralization
(including presence of Magnesium oxide, MnO, on discontinuity weathering planes), bulk
strength characteristics (typically derived from SPT’s) and direct shear strength testing (when
feasible to obtain).
When designing rock slopes it is necessary to consider and include references to blasting. These
may be done through the “Rock Blasting” Provision that may include pre-split blasting as a
Geotechnical Special Provision or fall under the guidelines of Section 220 “Blasting” in the
2012 Standard Specifications. On slopes 1:1 or steeper where rock reaches 50% RQD, NCDOT
expects pre-split blasting to be considered and a project Special Provision concerning this shall
be included in the Recommendations. Slopes steeper than 1:1 should not be considered without
pre-split or controlled blasting techniques.
When designing rock slopes with catchment areas or attenuation devices, NCDOT expects a
90% rockfall retention rate at the paved shoulder edge, once all considerations for a clean,
scaled and stable cut have been achieved.
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SECTION 4
a. The feasibility of using geo-textiles to achieve stability, reduce excavation of soft soils,
and reduce the effect of settlement on the roadway.
b. The feasibility of using sand drains or wick drains to increase the rate of consolidation of
compressible soils beneath embankments.
c. The need for settlement gages, slope inclinometers and other embankment monitoring
devices and their placement and location.
3. Embankments of compacted soil in the Piedmont and mountains should not be constructed
steeper than 2:1 without incorporating shot rock plating, shot rock construction, reinforced
soil slope design or similar improvements. This applies to slopes steeper than 3:1 in the
Coastal Plain.
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SECTION 5
A minimum of two Standard Penetration Test (SPT) borings are required at every bent location
on all non-Coastal Plain projects. Where bent lines measured along skew exceed 60 feet, one
additional boring will be required per bent. Additional borings are also required when significant
variation in subsurface conditions will impact the foundation design.
Standard Penetration Tests shall be conducted at intervals of 5 feet or less. The borings should
extend a minimum of 10 feet below the anticipated ultimate design bearing capacity. The
ultimate design bearing capacity for pile foundations for standard bridges is 180 tons. Pile
foundations for non-standard bridges must be evaluated for ultimate bearing capacity by the
Design Engineer. Additional soil or core borings may also be required when boulders are
encountered or suspected.
Termination statements should be included on all boring logs and should be consistent between
the field and final log. In soil or weathered rock, the termination statement should consist of the
format “Boring Terminated at Elevation 325.1 feet in Silty Sand”. The boring termination
statement for borings terminated in or on rock should consist of the format “Boring Terminated
with SPT Refusal at Elevation 325.1 feet in Crystalline Rock”.
A minimum of one Standard Penetration Test (SPT) boring is required at every bent location on
all Coastal Plain projects. Additional borings are necessary when variations in the subsurface
may substantially impact the foundation design. Where bent lines measured along skew exceed
60 feet, one additional boring will be required per bent.
Standard Penetration Tests shall be conducted at intervals of not more than five feet. The
borings should extend a minimum of 20 feet below the anticipated ultimate design bearing
capacity. The ultimate design bearing capacity for pile foundations for standard bridges is 180
tons. The minimum SPT boring depth in Coastal Plain is 60 feet. Pile foundations for non-
standard bridges must be evaluated for ultimate bearing capacity by the Design Engineer.
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SECTION 5
Termination statements must be included on all boring logs and should be consistent between the
field and final log. The Coastal Plain formational name or rock type should be included at the
end of the termination statement when the formation is known. The termination statement for
Coastal Plain borings terminated in formational soils should use the format “Boring Terminated
at Elevation 89.2 feet in Silty Sand (Yorktown Formation)”.
• When there is less than 10 feet of functional pile length below the Design Scour Elevation.
• In water when rock is shallow such that insufficient material exists to provide lateral support
for sheet pile cofferdams.
• For high structures such as those with column heights over 25 feet where the depth to rock is
less than 16 feet.
• Railroad structures with high design load criteria and where other foundation designs may
require the use of shoring.
• Nearby structures cause concern about vibration damage by pile driving.
Borings should be performed at the proposed drilled pier locations when possible.
Changing RQD conditions with depth tend to change the required coring depth. For drilled piers
greater than 5 feet in diameter the design engineer should be consulted for boring depth. For
details on collecting and logging rock core see Section 2.2 of this manual.
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When investigating for a drilled pier in soil, the standard method for obtaining soil data includes
standard penetration tests, Cone Penetration Tests (CPT) and the collection of Shelby Tubes for
lab analysis. Subsurface conditions affecting construction include the following.
Where spread footing foundations are anticipated, Standard Penetration Tests shall be performed
at intervals of not more than 2.5 feet beginning at the highest possible bottom of footing
elevation. The test boring shall extend to a depth equal to twice the anticipated footing width
(2B) below bearing material up to 25 feet or until rock is encountered. If rock is present within
10 feet below the proposed bottom of cap elevations, the design engineer should be consulted.
Cores may need to be taken ten 10 feet into rock for footings and 15 feet below proposed bottom
of cap for piles to verify continuity of rock.
A minimum of two undisturbed “Shelby tube” samples shall be taken at the end bent locations of
any cohesive or organic soils with n-values less than 15. “Shelby tubes” must be sealed with wax
at the top and the bottom of the tube in a manner to prevent loss of in situ moisture and the tube
must be filled with material sufficient to prevent disturbance of the sample within the tube.
Tubes must be transported in the upright position in a manner to prevent damage caused by
movement. Shelby tubes must not be exposed to extreme heat or cold. The samples shall be
tested for shear strength or consolidation and soils that are considered organic should be tested
for organic contents (AASHTO T 267).
The offset must be given for every boring and when the offset is 0, the offset is recorded as
centerline (CL).
Other in-situ soil testing such as vane shear, Cone Penetration Tests or Geophysical testing may
be used to supplement the test boring information.
Soil samples shall be tested according to AASHTO Standard Methods T 87, T 88, T 89 and T 90
as modified by NCDOT. The classification of soils shall follow AASHTO Designation M 145.
All S and SS sample numbers should be listed consecutively as a group throughout the entire
project. Shelby Tube (ST) samples should be listed consecutively throughout the entire project
separate from S and SS samples.
Locations and elevations shall be referenced to existing project surveys and bench marks. The
benchmark (BM) used to survey elevations will typically be located outside the construction
limits. The benchmark noted on the legend sheet should be an NCDOT Location & Survey Unit
control point typically listed on roadway profile sheets, structure preliminary general drawings or
the Bridge Survey & Hydraulic Design Report. Survey-Grade GPS equipment may be used in
lieu of physical benchmarks and traditional survey.
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SECTION 5
Upon completion of a test boring and after applicable groundwater readings have been made, the
bore hole must be abandoned properly as indicated in Section 2.5 of this manual, “Abandoning
Bore Holes”.
Rock core testing is required for any foundation that will be designed in rock. The number of
specimens tested depends upon the variability of the strata, column height, load and span length
of the proposed bridge. The design engineer should be consulted to determine the likely bearing
zones for shafts or footings so the actual bearing materials are submitted for testing. Weathered
rock should be cored and tested when it can be retrieved.
Samples should be tested for unit weight (AASHTO T265), Compressive Strength of Intact Rock
Core (ASTM D2938) and Standard Method for Elastic Moduli of Intact Rock Core (ASTM
D3148). If there are not any pieces of the recovered core long enough to test for compressive
strength a Split Tensile (ASTM D3967) test can be requested.
Highly variable stratigraphy or weathering warrants a higher frequency of rock core testing.
When artesian conditions are encountered, the field supervisor must direct the acquisition of the
potentiometric surface and record that elevation on the boring log. Casing or pipe must be added
above the collar elevation until the water level becomes static before the elevation can be
measured. Artesian conditions which present within embankment must be measured after 24
hours and noted on the boring log as artesian.
When a water-crossing bridge replacement project will be Let through the Design-Build process,
the top of rail on the downstream side of the bridge must be surveyed for elevation at both ends
and reported in the final report on the site plan.
When established benchmarks are absent or have been destroyed, the field professional must
establish a temporary benchmark and note the location and assumed elevations in the notes. The
temporary benchmark must also be selected or established as a point that is resilient and
markable, such as the corner of the existing structure.
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The Structure Subsurface Inventory Report must contain the items listed below in the following
order:
Projects with dual structures may be reported as multiple, individual projects with separate
reports or they may be reported as a single report with the following format.
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5.1.2.2 Legend
All structure subsurface investigation reports must include the Geotechnical Engineering Unit
Subsurface Investigations Soil and Rock Legend. Notes may be added to the legend in the
“Benchmark” and “Notes” sections and the description of equipment used on the project should
be added to the “Equipment Used on the Subject Project” section. No other portion of the legend
may be removed or edited for submittal.
Benchmark location and elevation data must be listed in the “Benchmark” section of the Legend.
• Tip number
• Bridge number or bridge site number from Structure Management Unit
• North arrow
• Scale with units
• Line of reference -L-, -LREV-, -Y- etc.
• Stationing of line indicated at a minimum of 2 locations.
• Proposed bent lines at the station and skew listed on the Preliminary General Drawing or
from the Bridge Survey and Hydraulic Design Report
• Flow direction of the creek, stream, tributary, or swamp
• Borings plotted with identifiers (EB1-A, EB2-B, etc.)
• Any significant geologic and geographic features such as outcrops, muck limits, alluvial
boundaries, sandbars, dunes, existing roadways, structures, buildings, etc.)
• Other features such water wells, dumps, landfills etc.
• In the case of dual bridges refer to eastbound lane (EBL) and westbound lane (WBL) or left
lane (LL) and right lane (RL), etc. The designation used should match the Preliminary
General Drawing or Bridge Survey Report.
• Stream limits or water surface boundaries
• The scale is dependent on the length of the bridge and must be one of the following
standard scales: 1:10, 1:20, 1:30, 1:40, 1:50, and 1:60. Other scales may be considered for
use with prior approval from the Geotechnical Engineering Unit.
• Include the top of rail elevation on the downstream side of water crossing bridges for all
Design-Build bridge replacements.
Other proposed roadway and bridge design features may be shown on the plan view but should
not obscure the boring locations or other significant geologic features that may affect design.
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5.1.2.4 Profile
A profile represents the general subsurface conditions of a structure site along or parallel to a
surveyed alignment. Drafted profiles must be included in all Bridge Subsurface Inventory
reports. A ground-line must be shown and a reference to the ground-line source must be noted
on the sheet, such as by field survey or “.tin” file. Stratigraphy on the profiles is recommended
to be drawn at the profile offset, but may be drawn through the boring locations. A statement
should be included on the profile describing how it was obtained and how the stratigraphy is
drawn. Boring termination abbreviations must be included below the boring strips. The
following items must be shown on the profile drawings.
• Tip number
• Bridge number or bridge site number from Structures Management Unit
• Scale with units
• Line of reference (-L-, -LREV-, -Y-, etc.)
• Stationing
• Ground surface line
• Water surface elevation
• Boring location and offset
• Elevation scale
• “24” hour water measurements with date or “DRY”, “FIAD” or other notation
• SPT results (plotted 1 foot below top of the drive or at the bottom of a partial drive)
• Shelby tube locations
• Interpretations should be shown with dashed lines between embankment fill, alluvium,
colluvium, residual, weathered rock, rock, and any other unit with a note near the top of the
page describing if the interpretations are at the profile location or projected through the
borings. (See example notes below)
• Include REC, RQD and GSI within the descriptions for strata that are cored.
• Provide a written description of the strata on the profile. Follow the Legend for soil and rock
classification, abbreviations and consistencies.
• The scale is dependent on the length of the bridge and must be one of the following
standard scales: 1:10, 1:20, 1:30, 1:40, 1:50, and 1:60. Other scales may be considered
for use with prior approval from the Geotechnical Engineering Unit.
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• Tip number
• Bridge number or bridge site number from Structure Management Unit
• Scale with units
• Line of reference (-L-, -LREV-, -Y-, etc.)
• Bent number (EB1, EB2, B1, B2, etc.)
• Stationing
• Ground surface line at the profile location with a source note (i.e. field survey or .tin file)
• Water surface elevation
• “24” hour water measurements with date or “DRY”, “FIAD” or other notation
• SPT results (plotted 1 foot below top of the drive or at the bottom of a partial drive)
• Shelby tube locations
• Tick mark with label showing CL of line of reference or work-point (dual structures)
• Interpretations should be shown with dashed lines between embankment fill, alluvium,
colluvium, residual, soft weathered rock, crystalline rock, and any other stratigraphy
distinguishable by origin.
• Include REC, RQD and GSI within the descriptions for strata that are cored.
• Provide a written description of the strata on the cross section. Follow the Legend for soil
and rock classification, abbreviations and consistencies.
• The scale is dependent on the length of the bent line and may be one of the following
standard scales: 1:10, 1:20, 1:30, 1:40, 1:50, and 1:60. Other scales may be considered for
use with prior approval from the Geotechnical Engineering Unit.
When a bridge has a skew other than 90 degrees, the boring is plotted on the bent line at the
offset measured along the skewed bent line. When a boring does not fall on the bent line, the
borings are projected to the cross section perpendicular to the bent line.
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• Project Number
• TIP Number
• County
• Site Description of the bridge including: Bridge #, road name or alignment name, Creek or
Stream name, Railroad name or number etc.
• Field supervisor name
• Drilling equipment used and last hammer calibration date
• Method of drilling
• Date the boring started
• Date the boring was finished
• “24” hour water reading
• “0” Hour water reading
• Collar elevation (ground elevation at 0.0’ depth of boring)
• Total depth of the boring
• Boring identification (EB1-A, B1-B, etc.)
• Offset of the boring
• Boring station
• Alignment
• Northing and Easting
• Hammer type
• Surface water depth (if any at boring location)
• Termination statement
Borings shall be identified by standard nomenclature where End Bent 1 is “EB1” and Bent 1 is
“B1”. Each boring name will contain a letter that corresponds to the boring location on the bent
where A=left, B=right, C=center, D=fourth boring location, E=fifth boring location. When
subsequent investigations are required at a bridge site, the designation REV should be added to
the boring name as a suffix (B3-A REV). The borings performed during the first investigation
will retain their original designations. If additional revisions are necessary, a number sequence is
added to identify the revision for which the boring was performed, such as B3-A REV2. For
dual structure investigations the abbreviations LL (Left Lane), RL (Right Lane), EBL (East
Bound Lane), WBL (West Bound Lane) should be added at the end of the boring name to
distinguish between the bridges (B1-A LL and B1-A RL).
Sample numbers, Shelby tube numbers, and moisture content shall be shown on all borelogs. In
reference to the Geotechnical Engineering Unit Soil and Rock Legend, the following
abbreviations will be used: S-Bulk sample, SS-Split Spoon sample, ST-Shelby tube, SAT-
Saturated, WET, M-Moist, DRY.
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• Project Number
• TIP Number
• County
• Site Description of the bridge including: Bridge #, road name or alignment name, Creek or
Stream name, Railroad name or number etc.
• Field supervisor name
• Drilling equipment used and last hammer calibration date
• Method of drilling
• Core size
• Total run
• Date the boring started
• Date the boring was finished
• “24” hour water reading
• “0” Hour water reading
• Collar elevation (ground elevation at 0.0’ depth of boring)
• Total depth of the boring
• Boring identification (EB1-A, B1-B, etc.)
• Offset of the boring
• Boring station
• Alignment
• Northing and Easting
• Hammer type
• Surface water depth (if any at boring location)
• Termination statement
• Individual run beginning and end depths
• Run length
• Drill Rate
• Core run Recovery
• Core run Rock Quality Designation
• Sample numbers
• Run Recovery and RQD
• Geologic Strength Index
Core runs are to be listed as RUN1, RUN2, RUN3 and the RQD (run and strata) and REC (run
and strata) values must be shown on all core boring reports.
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• Boring number
• Sample number
• Passing #10 sieve
• Passing #40 sieve
• Passing #200 sieve
• % coarse sand
• % fine sand
• % silt
• % clay
• Liquid Limit (LL)
• Plastic Index (PI)
• AASHTO Classification (with Group Index)
• Depth the sample was taken
• Water content (if tested)
• Organic content (% ORG) (if tested)
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The list of items below is a partial list of topics that may need to be addressed in the cover letter.
Individual projects may require the addition of other topics due to unique site characteristics.
• Dams
• Ponds
• Landfills or buried debris
• Rubble piles
• Cobbles and/or boulders
• Shallow groundwater
• Artesian groundwater
• Perched groundwater
• Highly weathered zones in rock
• Difficult drilling conditions
• Adverse rock structure
The long term channel profile and plan form change predictions are based on hydraulic factors
and principals outlined in FHWA HEC No. 20 “Stream Stability at Highway Structures”. This is
the primary reference for this phase of the Hydraulic Design Study.
Three types of scour may be listed: contraction, local, and abutment. Contraction scour may be
present at any structure over water. Local scour may occur when an interior bent is present
within the stream during the specified flood event. Abutment scour may occur at the abutment
face.
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Contraction, local, and abutment scour estimates are determined through application of the
process presented in FHWA publication HEC No. 18 “Evaluating Scour at Bridges”. The
formulas used in this process are based on sand bed model studies. Surface materials are
considered in the mathematical analysis but subsurface conditions and their resistance to scour
forces are not.
The structure foundation investigation is dependent on the scour depth. Therefore, scour depth
must be estimated during the field investigation. The field supervisor considers the
geomorphological setting, soil classification, density or hardness, standard penetration test
values, core recovery and core RQD to evaluate resistance to scour. Spread footings, pile
foundations, and drilled shaft foundations each require specific types of investigation.
Upon completion of the field investigation and laboratory testing, the project geologist/engineer
assembles the red-lined boring logs and preliminary cross sections to evaluate the scour
potential. Design Scour Elevation is reported at all bents where scour is shown for the design
flood event. A Design Scour Elevation memorandum will be sent to the Project Engineer in
Structures Management Unit (or Division Bridge Program Manager) and Hydraulics Unit (listing
the 100-year DSE (or the Over-Topping event if it occurs before the 100 year).
Identify the Theoretical Scour Elevation on the Bridge Survey & Hydraulic Design Report
(BSR). The BSR contains calculations and a graphical representation of the theoretical scour at
stream crossings. The Theoretical Scour Elevation is the elevation at which the theoretical scour
envelope shown graphically crosses the Bent line in profile.
Summarize the subsurface data at each DSE location. Choose a starting elevation for
calculations based on the Historical Scour Elevation (HSE). The Historical Scour Elevation is the
elevation to which historical flood events have scoured residual or formational materials and is
represented by the contact between alluvial soils and residual or formational material. Determine
the maximum theoretical scour (Zmt) by calculating the difference between the Historical Scour
Elevation and the Theoretical Scour Elevation. Use the Theoretical Scour Elevation shown
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graphically in the BSR profile. Determine the thickness of each stratum from the Historical
Scour Elevation to the Theoretical Scour Elevation. Apply the scour reduction factor from the
Jim Keane Scour Reduction Chart to determine the reduction ratio (Zc) for each stratum.
Determine if each stratum will resist scour from progressing into the underlying layer. If an
individual stratum does not resist the remaining scour entirely, then subtract the thickness of that
stratum from the remaining Zmt. Once a stratum resists the available scour energy, determine
what portion of that stratum remains and calculate the elevation scour will reach.
If the DSE impacts the end bents, notify the State Geotechnical Engineer before proceeding. The
State Geotechnical Engineer and the State Hydraulics Engineer will reach a consensus for
structures where the DSE impacts the end bents, and the DSE will be reported to Structures
Management Unit (or Division Bridge Program Manager) and Hydraulics Unit with a
memorandum from the Geotechnical Engineering Unit head. If the DSE does not impact the end
bents, the Regional Geological Engineer will report the DSE to Structures Management Unit (or
Division Bridge Program Manager) and Hydraulics Unit with a memorandum. The memorandum
will include the Design Scour Elevations reported to the nearest foot and will indicate whether or
not the DSE impacts the end bents. If the DSE is higher than the Theoretical Scour Elevation,
state what the material is that will stop the scour. DSE memorandums for proposed single span
structures with no scour impacts to the end bents should be written for consistency, but
information can be conveyed with an email instead of a memorandum.
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There is 3 feet of contraction scour and 6 feet of local scour for a total of 9 feet of
scour at interior bent 1. The Theoretical Scour Elevation shown graphically in the
BSR is measured at 97.0.
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For Detour Structures less than 100 feet in length, a total of two borings should be performed,
one boring at each end bent.
For Detour Bridges between 100 and 200 feet in length, a total of three borings should be
performed, one boring at each end bent and one boring as close to the center of the bridge as is
practical.
For Detour Structures greater than 200 feet in length, one boring should be taken at each end
bent, and additional borings should be performed at one third intervals along the proposed bridge
with a maximum spacing between borings of 200 feet.
Boring depths should be determined by the same criteria as boring depths for the primary
structure on the project.
Bore logs performed for detour structures must be included in the Structure Subsurface Inventory
report under the same guidelines as those under Section 5.1.2.6.
Bottomless culverts are a special case and may be considered when in-place rock and weathered
rock can be reliably verified to be within one foot of the stream bottom across the entire structure
footprint by visible outcrop or by drilling. Consultation with the Hydraulics Project Engineer is
required.
Culverts are often included on roadway plans and borings should be performed during the
roadway investigation. Boring depth will vary depending on the height of the fill over the
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culvert. Roadway boring drilling criteria can be used to determine depth. Borings may be
terminated at rock or after penetrating 5 feet below the lowest possible footing elevation if the
soils are sufficient for bearing. Hand augers and sounding rods may be used to gather additional
information. One boring should be performed at each end of the culvert. The number of
additional borings must be sufficient to characterize the site conditions.
Most culvert locations do not require separate Subsurface Inventory Reports and the data will be
presented in the Roadway Subsurface Inventory report. A Culvert Subsurface Inventory report
with Foundation Recommendations is only generated when specifically requested by the
Hydraulics Unit, Structures Management Unit, Highway Division offices or other requesting
agencies.
• Title Sheet
• Legend
• Structure Site Plan
• Profile along proposed culvert length with stratigraphy and borings
• Cross sections at the edges of the culvert when an existing culvert is extended
The boring plan for a shoring investigation will vary based on the length and height of the
proposed shoring. When performing a boring near the top of proposed shoring, boring depth
should be a minimum of 2 times the height of the exposed shoring or until 5 feet of 50 blows-
per-foot material is encountered below the shoring face, whichever is less. Borings located at the
bottom of the shoring face should extend to a depth equal to the height of the exposed shoring.
For culvert shoring, the borings should extend to 2 times the height of the culvert below the floor
of the culvert or until 5 feet of 50 BPF material is encountered, whichever is less. The number of
borings may vary depending on the length of the proposed shoring, but there should be enough
borings performed to characterize the site conditions.
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• Title Sheet
• Legend
• Plan view showing existing structures, shoring location, and borings
• Bore log reports
The design engineer should be consulted prior to beginning field activities to determine the
preliminary wall type, whether coring will be needed when rock is encountered before the
planned boring depth is reached, and if changes to the general guidelines listed above are needed.
If there are specific conditions encountered during the investigation that need to be conveyed to
the design engineer they should be included in a cover letter addressed to the Regional Design
Engineer. These conditions should also be noted in the inventory report. (See Section 100-7)
If a wall is investigated during the roadway investigation then the borings should be shown in the
roadway inventory graphics and in a separate structure inventory report when the Structure
Design Unit requests the wall design. If the wall is investigated during a bridge investigation
then the wall borings and profile can be included in the inventory report for the bridge.
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Within certain Geologic regimes and for certain building types, one SPT boring for seismic
analysis may be required by the requesting Architect of Engineer. The center-of-building boring
location should be used as the seismic boring when one is required. For more information on the
requirements for seismic borings, see Section 1613.5.5 at the following link.
http://ecodes.biz/ecodes_support/free_resources/2012NorthCarolina/Building/PDFs/Chapter%20
16%20-%20Structural%20Design.pdf
Buildings investigations for low design loads may be requested to be performed with Sowers
Dynamic Cone Penetrometers (DCP’s). Sowers DCP tests must be performed in accordance with
ASTM STP 399 for foundation investigation and design (see example report). Testing are
performed at 1 foot intervals. The DCP test consists of driving the penetrometer through three
1.75 inch intervals and averaging the blow counts for the second and third intervals. Sowers DCP
data is presented in a table in the body of the Building Foundation Subsurface Inventory report.
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Review HICAMS for nearby projects to find trends in pay item quantities that may be expected.
Review existing satellite imagery for additional information on the project. Satellite imagery can
assist in determining the number of turn-lanes, widenings and condition of the pavement.
Review any existing subsurface inventory plans, design and construction recommendation
reports.
Review of the proposed design should include but not limited to plan views, cross-sections,
profiles, and typical sections.
During the field reconnaissance, proposed sample locations will be marked in the field as white
circles painted for the exact locations to be tested. Geotechnical Engineering Unit personnel will
determine core and sample locations. Core locations and approximate stations will be marked
with white paint.
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Mainline widenings are sections of pavement added to the original mainline to increase the
overall width of the travel lanes or to accommodate additional lanes. Sampling frequency should
be similar to that of original mainline pavement
Interstate and paved shoulder investigations should consist of a sampling frequency of 500 to
2500 feet between locations.
Widenings for turn lanes must include a minimum of one test location per widening for
widenings less than 250 linear feet with additional locations added for every 1000 linear feet of
widening.
The Investigating Supervisor, or Consultant, will provide the following prior to the initiation of
fieldwork.
An email shall be sent to the Division Traffic Engineer to communicate the intentions of the
consultant. A directory for division personnel can be found at
(https://www.ncdot.gov/divisions/highways/Pages/divisions.aspx) click on the division in
the Map of NC and click directory. The email will include the following:
1. Description of the project and project limits, route that will be impacted by the
investigation and description of the fieldwork.
2. Dates of the fieldwork
3. Request Lane Closure and time restrictions requirements
4. Description of proposed traffic control operations.
5. Approximate duration of the investigation.
6. Requirements for TIMS or other traffic management systems.
7. Name of traffic control contractor.
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Traffic control must be provided and may include flaggers, impact attenuator and any other
necessary devices to protect workers, equipment and the traveling public in accordance with the
Manual on Uniform Traffic Control Devices (MUTCD), NCDOT Construction and Maintenance
Operations Supplement to the MUTCD and the North Carolina Survey Crew Safety Supplement.
Utility location notification must be provided to utility owners a minimum of three full business
days prior to the start of any boring or excavation.
Use a 4 foot to 6 foot level to measure all rutting depth when the depth of rutting exceeds 1/4
inch. Place the level perpendicular to the rut and measure the gap between the bottom surface of
the level and the asphalt. Report the depth of rutting to the nearest 1/8 inch.
Obtain cores with a portion of the painted circle on the core unless conflicts, such as the presence
of utilities, require relocation of the core. Note when core or sample locations must be relocated.
When relocating cores, the relocated core should represent the same pavement structure that was
intended by the original location.
Clearly mark any mechanical breaks in the pavement core. At core locations where cracking is
present within the painted circle, include the cracked portion of the pavement within the core. If
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the core is extracted in multiple pieces try to retain as much of the core as possible either by
taping large pieces together or bagging asphalt material.
Label the core with station and lane then store the samples in two-foot, non-waxed, sturdy
cardboard boxes designed for asphalt pavement cores. When cores are broken, each piece should
be labeled and placed in the box in their in-situ layer sequence. All cores within a core-box
should be oriented in the same direction, with the top-of core direction identified. Use spacers
between individual core samples to keep them separate. Store cores from a single location in the
same box whenever possible. Store the cores in boxes in the order of stationing.
The top and one side of the box shall be labelled with the project number, TIP, list of cores
contained within the box, station and lane, consultant name, and dates that the cores were
obtained.
After extracting the core, remove any remnant water in the core-hole left from the coring
process. Advance the Dynamic Cone Penetrometer through the base material and any subsequent
layers to a minimum of 18 inches into the subgrade in accordance with ASTM D 6951 Section
six (6).
DCP Refusal is identified as penetration of less than 4 inches over 50 blows and may be used to
terminate a DCP test within a given subgrade structure (ABC, Chemical Stabilization or
Subgrade). When DCP Refusal is achieved in either ABC or Chemical Stabilization, an auger
must be used to advance the boring through to the next structural layer or subgrade. Use caution
not to disturb the underlying layer. When DCP Refusal is not achieved in subgrade, the DCP test
must not be terminated prior to utilization of the entire DCP apparatus.
Individual blow penetrations should be recorded on a wooden stake with a pencil mark
representing the resting position after each blow. Date, station, lane, cut or fill and datum (ABC,
SG, etc.) must be provided on the stake for each test location. Blow penetrations may be grouped
in intervals of 2, 5, or 10 when blow penetration is less than 2 mm with the number of blows per
group identified on the stake. Individual blow penetration depths must be recorded in centimeters
on the logs provided by the GeoPavement Section and grouped blows must be reduced to the
individual blow penetration depths.
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The Dynamic Cone Penetrometer used in Pavement and Subgrade Investigations for NCDOT is
shown below in Figure 3.
Figure 3.
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6.2.5 Sampling
After DCP testing is completed, advance a 4-inch continuous flight, solid stem auger to a
minimum depth of 18 inches into the subgrade. Extract the auger and clean any subgrade
contamination from ABC or drainage sand by scraping the surface of the soils on the auger
flights. Collect representative base material and subgrade soil samples from the auger stem and
store in quart-sized, sealable, plastic bags. Describe the soil and moisture content on the field
log. Include soil origin, color, moisture content, density or stiffness and AASHTO classification.
Also include relative amounts of accessory materials such as mica and organic debris. Obtain
natural moisture content samples for all subgrade soils and store in moisture tins with a 16oz
capacity. Label samples with TIP, sample number, station and location (ie: RT LN) and depth.
Determine the predominant soil types on the project and when chemical stabilization will be
utilized, collect bulk soil samples to represent the design soil types. Collect one bulk sample per
mile with a minimum of two bulk samples per project. Do not collect more than 6 samples per
project unless otherwise specified. Collect approximately 80lbs of soil material in several large
containers and label samples with TIP, sample number, station, offset and depth or material
represented, such as subgrade.
All samples should be protected from exposure to excessive moisture, heat or other
environmental factors that might change the soil parameters.
Record the thickness of aggregate base course (ABC), chemically stabilized soils, drainage sand
and other subsequent structural layers on the field log to the nearest quarter inch for all locations.
After the location has been augured use a “scratch stick” to locate the bottom surface of the ABC
or subsequent layers by applying pressure and scratching the sidewall of the bore hole to identify
the boundaries between the structural layers. Measure the layer thicknesses with a tape or fold-
out ruler. A diagram of “scratch stick” is available upon request.
Measure all lanes and shoulders present within the vicinity of the core location to the nearest half
a foot if it is safe to do so. Curb and gutter does not need to be measured but its presence should
be noted in field log.
Crown Measurements shall be taken using a string line and string bubble level. Place the string
on the high end of the crown and pull across the lane. Raise the end of the string until bubble is
in the center of the level. Take the measurement to the nearest quarter inch.
Note the presence of any water that is not the result of coring operations. Record the depth of
water in the core hole on the field log measured from the pavement surface. Ensure water from
the coring operation does not impact the native water level in the core hole.
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• Typed pavement investigation data sheets including Northings and Eastings of each coring
location on NCDOT template.
• Labeled color pavement core photos on NCDOT template.
• DCP logs with cumulative depth measurements per blow reported in centimeters on
NCDOT Template.
• Submit all cores and samples to the GeoPavement Section at the following address:
• Submit all DCP wooden stakes.
For Design-Build projects, the depth of cracking within the pavement cores must be measured
and reported.
The Pavement and Subgrade Investigation Report will include the following.
• The predominant soil types are listed with references to AASHTO classifications and
pertinent characteristic to the soil that could impact design or construction.
• A table of results for Chemical samples tested for unconfined compressive strength.
• A table of results for environmental parameters of the design soil types which will include
a table to report the results from lab testing.
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Embankment Stability
Subgrade Stability
• Aggregate Subgrade
Miscellaneous Recommendations
• Proof Rolling
• Blotting Sand
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7 GeoEnvironmental Guidelines
7.1 GeoEnvironmental Overview
The GeoEnvironmental Section (GES) of the North Carolina Department of Transportation
(NCDOT), Geotechnical Engineering Unit, is primarily responsible for identifying and managing
properties and potential hazardous waste sites located within the proposed and existing Right-of-
Way. This Section investigates potentially contaminated properties at the earliest possible stage
of project development. The Section coordinates their investigation with the Planning
Development and Environmental Analysis, Highway Design, Right-of-Way, and Construction
Branches, as well as with state and federal environmental agencies. The Section makes
recommendations based on current environmental regulations.
The Firm must be staffed with an adequate number of employees judged by the Department to be
capable of performing a majority of the work required. The Geologists or Engineers in
responsible charge of the work must be a Licensed Geologist or Professional Engineers in the
State of North Carolina and must have good ethical and professional standing.
The GeoEnvironmental Section contracts environmental work to these firms based on history
with the project, availability, workload, and past performance along with other criteria.
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Investigation and report preparation time for Design-Build projects is generally shortened due to
the accelerated Letting schedule associated with most Design-Build projects. As a result, there
may be insufficient time to collect the amount of data required for traditionally Let projects prior
to shortlisting.
Additionally, due to the competitive nature of the Design-Build process, interpretation of the
data is minimized in the Subsurface Inventory Report such that the teams are not influenced by
the Department’s or the Department’s Consultant’s judgement. Interpretations such as
stratigraphy are not included in the subsurface plans for Design-Build projects.
Public hearing maps and preliminary design files are generally available to assist in planning and
executing the Design-Build investigation.
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consistent with those for traditionally Let projects as described in the respective sections of this
Manual.
The Subsurface Inventory for Design-Build differs from standard reports in the language of title
sheet caution notice, the absence of profiles, cross sections, stratigraphy and origin boundaries
and the omission of roadway recommendations or foundation design for structures. Subsurface
Inventories for Design-Build will include the laboratory data.
Additional graphics or requirements may be added to the Scope of Work or RFP for special
cases.
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• An intelligent, searchable pdf which has been sealed through the “DocuSign” process.
• Original gINT files
• Raw laboratory data for samples such as those from Shelby Tubes
• Raw Dynamic Cone Penetrometer (DCP) data for Geopavement reports
• Raw CPT data (if collected)
Requirements set forth by the Geotechnical Scope of Work may include the following.
• Use of English
• Qualifications of the Geotechnical Engineer of Record
• List of required submittals, such as structure foundation, roadway or wall
recommendations
• Standards by which any Geotechnical investigation work is performed
• Spacing and number of borings required for retaining structures and bridges
• Borehole spacing for roadway alignments
• Foundation Design parameters
• Specific design criteria such as slope recommendations
• Construction testing methods
• Construction Requirements
• Testing requirements such as PDA’s
• Drilled Pier inspection criteria
• Proof rolling
• Site or Building Surveys
• Vibration Monitoring
Prior to performing work for the Department all Private Consulting Firms, Prime Contractors and
Subcontractors (generally referred to as Consultant, Private Engineering Firms, (PEF’s) or the
Firm) must be prequalified for the services to be provided. The prequalification process requires
that the firm provide examples of recent, representative work performed by key personnel to be
officially approved by Contract Standards and Development/Prequalifications Management. The
Geotechnical Engineering Unit (GEU) provides the evaluation of the prospective PEF’s work to
Contract Services to assist in prequalification of Geotechnical PEF’s. In general,
prequalification of a PEF is specific to key personnel and may be revoked if the PEF ceases to
employ the key personnel upon which prequalification was based. When any key personnel is no
longer employed by the Firm, the Firm must notify the Assistant State Geotechnical Engineer -
Contracts and Statewide Services with cc to Contract Geotechnical Investigation Supervisor,
Geotechnical Design Supervisor and GeoEnvironmental Engineering Supervisor.
The Limited Service Contract (LSC) process is the typical method of procuring work from
consultants. The Professional Services Management Unit (PSMU) advertises the contract with
specifications from the GEU. Consultants may then submit a Letter of Interest, which indicate
intended services based on the firm’s prequalification status. GEU evaluates each Firm based on
the following criteria.
• The evaluation of the performance on any work previously reviewed by NCDOT GEU;
• The firm’s experience and staff to perform the type of work which they propose to
accomplish, including any subconsultants;
• The firm’s laboratory equipment and design software, including any designated
subcontractors;
• The firm’s investigation equipment capabilities, including any designated subcontractors;
• Location of firm’s laboratory equipment and design software, and location of firm’s
investigation equipment, including any designated subconsultants/subcontractors to
facilitate expeditious investigations and analysis delivery and to add value to the quality
and efficiency of the project(s).
If no work has been performed by the interested PEF consultant, they may submit a list of assets
and key personnel’s work experience with product examples for evaluation.
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9.2 Contract Project Management Guidelines
9.2.1 General Project Expectations
As a contractor for the NCDOT, and as a professional firm, it is expected that any work
performed in such capacity be ethical, follow NCDOT and/or industry standards and best
practices for the field of work contracted. At all times work should be performed safely and
efficiently, with the mindset that as a consultant/contractor to the State you are a steward of this
State’s resources. Therefore, all work should be cost effective not only in the short term, but
during the life expectancy of the project. Due dates are expected to be met and careful
considerations should be made as to work schedule requirement prior to accepting proposed
services and signing the Notice To Proceed (NTP).
The GEU will expect that all persons involved in projects to be properly trained in their
respective positions and able to perform the work assigned. Field procedures, reporting and
design shall follow those outlined in this manual or those referenced by this manual. If there are
questions that are not addressed in this manual it is expected that a discussion will commence
between GEU project manager and the consultant.
Finally, safety shall be the number one priority when working for the Department. Any required
Personal Protection Equipment should be in place prior to entering the work zone. Proper
signage, warning lights, traffic control, etc. shall be in place as required by Manual on Uniform
Traffic Control Devices (MUTCD) and NCDOT policy prior to starting work. At no time should
the safety of the traveling public or project personnel be put at risk.
9.2.2 Proposal Procedure
Upon a Firm’s acceptance of a project the GEU will prepare a Request for Proposal (RFP) and
an in-house cost estimate. After internal review, the signed RFP will be forwarded to the Firm
along with an established blank excel cost estimate proposal (ECEP) workbook and other
pertinent documents. The Firm shall prepare a statement of understanding and work plan
(Firm’s proposal) on company letterhead, complete the ECEP workbook, and combine into a
single PDF file using the file name from the ECEP workbook along with sub-
consultant/contractor quotes. RS-2 form shall be submitted as a separate pdf file. The Firm shall
use current approved salary rates in CRS (Consultant Rate System) and current approved
overhead and, if applicable, cost of capital. The proposal PDF along with the ECEP workbook
file shall be emailed to GEU designated personnel by the required date range specified in the
RFP utilizing the Contract File Naming Convention for proposals.
GEU’s Contract Project Manager (CPM) will review the proposal for all pertinent information.
If necessary, negotiation will take place, the GEU generated in-house estimate may be revised
and/or the firm’s estimate may be revised according to negotiation agreement; the firm will then
submit a revised proposal for further review and reach a man-day and monetary agreement. The
Contract Project Manager shall generate an Account Initiation Request (AIR) then forward the
AIR along with the current in house estimate and the firm’s current proposal to their Supervisor
for review and approval. After approval, the Purchase Order (PO) will be created and GEU will
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issue the Notice to Proceed (NTP) for the firm to sign the agreement. After the PO is approved
in SAP at all levels then invoicing documents will be sent to the Firm via e-mail.
Note:
• C-number: This is an assigned contract management screen number.
• REVX: “REV” indicates revised; “X” indicates chronological order of the revisions.
• Initial submittal to be sent to Assistant State Geotechnical Engineer - Contracts and
Statewide Services and Contract Project Manager only.
• Revised submittal to be sent to GEU Contract Project Manager.
Products shall be submitted for review by the requested due date listed in the RFP or a negotiated
due date to the Project Manager(s) listed in the RFP. Please refer to the appropriate section of
the manual for specific product requirements.
Electronic submittal of all requested geotechnical products should be made via the appropriate
SharePoint Site per NCDOT policy. All documents should be placed in the Geotechnical
Discipline tab, within a GT Document Set with the topic “consultant submittal”. To further aid
in the review, submit all supporting geotechnical design analyses and calculations, MicroStation
files, gINT files, laboratory testing results, etc. in a zip file organized in the GEU standard
project folder setup.
Reviews will be performed using Adobe Acrobat Pro and Drawing Markups under the Comment
tools. Once the review has been completed the GEU Project Manager will return the annotated
PDF along with the required resubmittal date through the Project SharePoint site. Any questions
regarding comments should be directed to the appropriate GEU Personnel.
At the completion of the monthly billing cycle a firm shall submit an invoice for work completed
on a project. The GEU has implemented a process that ensures compliance with NCDOT’s
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Office of Inspector General and allows the GEU to track specific cost associated with a project.
Adherence to this procedure is paramount to ensure prompt review and payment of invoices. We
strive to process and pay invoices within 30-days of receipt.
The first step in the invoicing process is issuance of the Notice to Proceed (NTP). When GEU
issues the NTP, check the following items for accuracy:
• Contract Work Type matches RFP (either Cost Plus Profit Plus Overhead or Lump Sum)
• Limited Services Contract Number
• Vendor Number per CRS
• Firm’s Name per CRS
• Purchase Order amount matches final proposal amount
If there are issues with any of the above items, contact GEU Contract Administrator or
Supervisor.
Shortly after approval of the NTP in SAP the GEU will email an Excel Workbook containing the
Invoice Cover Sheet with standardized invoice, Invoice Summary, DBE-IS Form and
instructions. This workbook is generated from our Project Status Database and is prepopulated
with contract, project, and PO information. Maintain a clean copy of this file as it must be
submitted with each invoice. The workbook file name format must follow the Contract File
Naming Convention. Save a copy of the Excel workbook and append the invoice number
to the end of the file name.
On the Invoice Cover Sheet, Invoice Summary, the DBE-IS, the standardized invoice tab,
populate the green fields with the requested information and save the file. Create a PDF of the
Invoice Cover Sheet, Invoice Summary, the DBE-IS and the standardized invoice form and name
the PDF file the same as the Excel Workbook. If an invoice is rejected, then follow the
instruction in the Contract File Naming Convention.
9.2.6 Invoice Naming Convention
Note:
• REVX: “REV” indicates revised; “X” indicates chronicle order of the revision.
The remainder of the invoice documents will be appended to the invoice pdf file in the order
specified in Section 9.2.7 through 9.2.8.
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9.2.7 Cost Plus Invoices
Submit both the invoice PDF and the Excel Invoice Workbook via email to
[email protected] and cc the Contract Project Manager as specified in the RFP. Please
include the TIP, project type and the word “Invoice” in the subject line of your email to
ensure prompt processing.
If the invoice file size exceeds NCDOT e-mail capacity, then divide the invoice and submit in
subsequent e-mails as instructed above.
9.2.10 Evaluations
Forthcoming.
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