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UNDERCUTTING &
BACKFILLING UNSTABLE
SUBGRADE SOILS
Technical Paper
What successf ul Cost Estimators know. . . . and you shoul d, too.
ESTIMATE THE COST OF
AN ESTIMATORS GUIDE TO POLICIES,
PROCEDURES, AND STRATEGIES
submitted by Brian P. Stumph CPE
1) Introduction
A. Main CSI Division
B. Specifc Sub-Division Code and Name
C. Brief Description of Subject Matter
2) Types and Methods of Measurement
3) Factors Affecting TakeOff and Pricing
A. Small Quantities vs. Large Quantities
B. Geographic Locations
C. Seasonal Effect on Work
4) Overview of Labor, Material, Equipment, and
Indirect Costs
5) Special Risk and Considerations
6) Ratios and Analysis
7) Miscellaneous Pertinent Information
8) Sample Sketch
9) Sample TakeOff and Pricing
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Brian P. Stumph is a senior
estimator with W.G. Yates & Sons
Construction, an ENR Top 50
general contractor serving primarily
the southeastern United States.
Brian holds a B.S. in Construction
Engineering Technology from the
University of Southern Mississippi.
He has worked in the construction
industry for over fteen years as
an estimator, project manager
and owner of Earth Specialties
Construction, LLC. His primary
area of estimating expertise is
heavy/civil construction.
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ESTIMATE THE COST OF: Undercutting and Backflling Unstable Subgrade Soils
INTRODUCTION
Whether required by the project specifcations,
or needed due to unforeseen site conditions,
the undercutting and backflling of unstable
soils is a common sitework activity. This
paper will show an estimator how to quantify
volumes of undercut / backfll excavation and
how to estimate the cost of labor, materials,
and equipment needed to perform the work.
A. Main CSI Division:
Construction Specifcations Institute 2004
Master Format
Division 31 Earthwork
B. CSI Subdivision:
Construction Specifcation Institute 2004
Master Format
31 23 13 Subgrade Preparation
31 23 16 Excavation
31 23 23 Fill
C. Description:
What is undercutting and backflling of
unstable soils?
Unstable soils are soils encountered on a site
that do not provide a suitable base to properly
support new structures or pavement. Un-
dercutting is the removal of existing soils.
Backflling is the replacing of the soil removed
during undercutting process. Undercutting and
backflling are usually performed in conjunc-
tion with each other. The work is performed
with heavy equipment such as hydraulic exca-
vators, bulldozers and dump trucks.
The need to undercut can occur for various
reasons. Some of the more common reasons
that precipitate the need for undercutting and
backflling are:
1. The in situ soils may have high moisture
content; therefore, the soil will not provide a
stable foundation for construction.
2. The in situ soil may be composed of
highly expansive clays that are unstable due
to the potential for volume change.
3. The designing engineer may want to
replace low bearing capacity soils underneath
foundations with soils that will have higher
bearing capacity.
4. Otherwise stable soils become weak and
unstable due to poor drainage and damage
caused by construction equipment; a result of
poor site management.
5. Prolonged wet conditions may cause soils
to become unstable, thus causing a need to
replace the wet soil with stable material.
Above items one, two, and three, are condi-
tions that will usually be addressed in a proj-
ects plans, specifcations, and geotechnical
reports. The designing engineer will some-
times specify areas and depth of undercut and
replacement that needs to occur. The engineer
may require a certain strata of soil be removed
to a certain depth and have the contractor rely
on the geotechnical report information to make
the determination to what extent the undercut
and backfll should occur. Items four and fve,
above, are situations that occur during con-
struction and usually are estimated as a change
condition. The need to remove and replace
unstable soils on a construction project is a
typical activity regardless of project size.
TYPES AND METHODS
OF MEASURMENTS
Undercutting and backflling volumes are
measured in cubic yards. The estimator should
be very specifc in stating the manner by which
the cubic yard cost was estimated when ex-
pressing a cubic yard volume of earthwork. A
cubic yard measurement in earthwork can have
several different meanings. Unlike concrete
estimating where a cubic yard is simply length
x width x depth divided by twenty seven,
earthwork expands on the simple cubic yard-
age equation. The earthwork estimator must
understand the difference between loose cubic
yardage and compacted cubic yardage.
Quantity surveys are done in compacted cubic
yardage. Quantities can be derived by using
the average end area method of computation.
To estimate quantities using the average end
area method, the estimator should divide the
area to be undercut into a grid. The smaller the
grid, the more accurate the estimate. Once the
grid area is determined, the existing eleva-
tions and the proposed elevations should be
compared to determine the depth of excavation
at each corner of the grid. The resulting depths
should then be averaged. The average depth
is then multiplied by the area of the grid and
divided by twenty seven to determine the cubic
yard volume. When undercutting is specifed
to be done in a prescribed area, the grid area
may be substituted with the footprint of the
area to be undercut. (See example takeoff
sheets).
The resulting cubic yardage is compacted or
in place cubic yardage. The estimator should
review project bid documents to determine if
compacted or loose measure is the appropri-
ate pricing approach. Often unit prices for
the undercut are requested by the truck load
or loose vehicle measure. To determine loose
quantities, the compacted quantity is adjusted
by a swell factor. The amount of volume
change between compacted and loose will
vary depending on material type. Granular
soils, such as sand, will swell less when
excavated than clay soils. The estimator
should consult the project geotechnical
report or consult a geotechnical engineer to
help determine the appropriate swell factor.
Historical cost data is also a good source for
help in determining swell factors.
The estimator should determine if the cost
estimate should be based on compacted
quantities or loose quantities. A companys
cost tracking system, historical cost data,
how disposal fees are paid, how the backfll
material is purchased, as well as an owners
pricing requirements will help the estima-
tor make this determination. Under most
circumstances, it is recommended that the
estimator stay consistent with his estimating
approach once the decision to estimate the
item as compacted measure or loose mea-
sure has been established. Often undercut-
ting and backflling unit prices are required
to be submitted with a project bid or as a
change order for unforeseen site condi-
tions. Care should be taken to make sure the
basis of the cost estimate is the same as the
owners request.
FACTORS AFFECTING
TAKEOFF AND PRICING
A. Small Quantities vs.
Large Quantities
Typically large quantities will have a lower
unit cost than small quantity projects. Large
quantities allow the contractor to utilize la-
bor and equipment at optimum productivity.
Indirect costs become less of a percentage of
total cost on large quantity projects than on
small quantity projects.
B. Geographic Location
The need to remove and replace unstable
soils is not unique to any one region. The
distance from the project site to the undercut
soil disposal area as well as the distance
from the replacement soil site to the under-
cut site are important factors when deter-
mining cost. The cost of hauling material is
determined by the distance from the project
site and the time needed to haul the material.
Generally, the shorter the distance, the lower
the haul cost. The estimator should also
consider the travel time when determining
haul cost. In some cases, a slightly longer
haul distance may have a lower cost than
a shorter haul distance due to the travel time.

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C. Seasonal Effect on Work
Weather will have an effect on the under-
cutting and backflling operation. Since
undercutting and backflling go together,
seasonal weather patterns infuence each
part of the operation equally. Undercutting
will be affected if there is no way to access
disposal areas or the material becomes too
wet to haul. The backflling will be even
more affected. During wet periods, the areas
where the backfll material is obtained will
become wet and saturated causing the soil to
have a high moisture content. Wet soils will
not reach required compaction and produce
a suitable fll. Conversely, during dry sea-
sons, backfll soils may become to dry and
will need to be hydrated in order to meet
compaction requirements. Temperature will
also affect the effort required to properly
compact the backfll. Undercutting may be
limited during the winter months because
specifcations do not allow the material to
be placed while the ground is frozen. It is
helpful for the estimator to review histori-
cal weather data in order to understand the
weather may potentially impact the project.
OVERVIEW OF LABOR,
MATERIAL, EQUIPMENT,
AND INDIRECT COSTS
A. Overview of Labor
The labor needed for undercutting and back-
flling is largely determined by the number
of pieces of equipment needed to perform
the task. Each piece of equipment will re-
quire an operator. In addition to number of
equipment operators required, the estimator
should consider the following :
1. Will the task require additional personnel
for traffc control on roads or streets?
2. Will labor be needed to check grade or
cross section the area?
3. How much labor is needed for cleanup?
4. Will labor be needed to document load
counts or receive load tickets?
5. Will labor be needed to route haul ve-
hicles around the site?
The productivity of equipment and the rate
at which backfll material can be delivered
to the site will determine production rates
of labor. The estimator should determine
appropriate base wage rates for each labor
classifcation once the labor requirements
are determined. Wages paid to current
employees, historical cost data and local
wage rate surveys are a source of wage rate
information. As a rule of thumb, excavator
and bulldozer operators are paid higher wages
than compactor, tractor and truck operators.
Common laborers will be the lowest paid
workers. The estimate should also include the
cost of federal taxes, state taxes, workers com-
pensation insurance, general liability insurance
and any fringe benefts. The estimator should
review the specifcations, and understand the
Davis Bacon wage requirements when estimat-
ing for federal projects.
B. Overview of Material
The estimator should evaluate both the mate-
rial taken from the undercut, and the material
needed for backflling to determine the cost
for either disposing of the existing material (in
the case of an undercut) or purchasing suitable
material (in the case of a backfll). Material
produced from the undercut should be evalu-
ated to determine if it will be acceptable for
use elsewhere onsite. If the material will not
meet the specifcation for use elsewhere on the
site, or if there is not suffcient area available
for onsite disposal, it must be removed to an
offsite location. Usually, the contractor must
pay a disposal fee to deposit the excess mate-
rial to an offsite location. The cost of dispos-
ing of the undercut material should be included
in the cost estimate. The disposal fee will be
based on either a cross-section measure or
loose vehicle measure. The estimator should
understand the method of measurement that
will be used to determine disposal fees. The
estimator should include the cost of the labor
and equipment needed in his estimate if the
contractor is required to spread or stockpile the
undercut material in lieu of paying a disposal
fee. If the material from undercut is to remain
onsite, the cost of labor and equipment needed
to spread the material onsite should be ac-
counted for in the estimate.
Required backfll material may come from
either onsite or offsite sources. Project
specifcations will dictate the type of material
required for backfll. The supplier of the mate-
rial will normally set the basis for determining
how quantities for payment will be measured.
Material for backfll will either be sold by
truck load (loose vehicle measure), weight,
or by cross-section measure. The material
supplier will either deliver the material to the
site or will require the contractor to arrange for
delivery.
To estimate a delivery rate, the estimator needs
to know the volume capacity of the truck haul-
ing the material, the trucks hourly equipment
rate (including operators labor rate), and the
distance/travel time to and from the site. The
cost per yard can be determined by multiply-
ing the hourly equipment rate times the travel
time. Divide this total by the volume capacity
of the truck. For example: the hourly rate of
a truck is sixty dollars ($60.00), travel time is
thirty minutes (.5 hrs.) and the trucks volume
capacity is twenty cubic yards (loose vehicle
measure =20 CY LVM). The cubic yard haul
cost would be as follows:
$60.00 x .5 hrs
20 CY LVM
= $1.50 per CY LVM

The haul rate per load will be: 20 CY LVM x
$1.50 per CY LVM = $30.00 per load.
C. Overview of Equipment
The basic equipment needed to perform
undercutting and backflling is an excava-
tor, bulldozer, hauling unit (scraper, off-road
truck, or highway truck) and compactors. The
estimator should also consider if equipment
will be needed to maintain haul routes onsite
or sweep and clean public roadways. Often a
tractor and disk will be needed to help dry and
condition the backfll material.
The number and size of the equipment will
be determined by the desired production rate.
Historical cost data and manufacturers data
for a machines productivity is a good source
of information for estimating the productivity
of a piece of equipment. Invaluable sources
for information on equipment productivity are
feld supervisors and operators. Since feld
personnel are using the machines daily, they
will usually have a good perspective regarding
what equipment is best suited for a particular
project.
The estimator should consider the produc-
tion capacity of the equipment and pair/group
the equipment to maximize productivity. For
example, the cost of a bulldozer capable of
spreading 40 loads of dirt per hour should not
be paired with an excavator capable of making
only 5 loads per hour. This lack of effciency
will result in a skewed estimate unit cost that
may not accurately refect the actual cost to
perform the work.
Equipment cost used in an estimate will typi-
cally come from a companys equipment rate
sheet. If rental equipment is to be used the
vendor can help the estimator establish an
hourly rate that can be used in the estimate.
When using rented equipment, the estimator
should not overlook the cost of fuel and main-
tenance that will be required.

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ESTIMATE THE COST OF: Undercutting and Backflling Unstable Subgrade Soils
D. OVERVIEW OF
INDIRECT COST
In addition to the direct cost of labor, the
indirect cost of material and equipment should
be accounted for in the estimate. The primary
indirect cost incurred will be as follows:
1. Crew Forman. The cost of the
forman can either be part of the over
all project general conditions or as
part of the crew cost associated with
doing the work.
2. Mobilization Cost. The estimator
should determine how to allocate
mobilization cost. If the undercutting
and backflling is part of the mass
excavation on the project, and the
equipment used will be utilized for
other items of work, then mobilization
cost for the equipment may not
contribute signifcantly to the unit
price. However, if a small quantity of
undercutting and backflling is
required after equipment is
demobilized, the mobilization cost
to perform the work will become a
signifcant cost item. Accounting for
mobilization should be done at some
level of the estimate.
3. Surveying Cost. If the work is to be
cross-sectioned to determine quantities
for payment, then the cost of the feld
measurements and calculations should
be included.
Other indirect cost will be for items such as
small tools, safety supplies, and temporary
facilities. The estimator should keep in mind
that the indirect cost for the work can be very
signifcant for small quantity projects. On very
small quantity project the indirect cost could
be more than the direct cost.

SPECIAL RISK
CONSIDERATIONS
Any earthmoving operation will have an
impact on the environment; therefore, the
estimator should be certain to account for the
cost of environmental controls in the estimate.
Silt control will be the primary environmental
issue associated with undercutting and backfll-
ing. At the start of a project, silt fences and
other erosion control measures are usually
installed on the site. Usually the existing
erosion control measures are suffcient to ac-
commodate any undercutting and backflling
operation. The estimator must include the cost
for proper erosion control measures, if needed,
in the undercut material disposal area. These
areas should have erosion control measures
installed that meet all applicable local require-
ments. Another environmental concern is
the tracking of dirt and debris onto public
roadways when hauling dirt on and off the site.
Roadway cleanup cost should be included in
the estimate.
The estimator should always consider and
include the cost of safety measures in the es-
timate. The presence of underground utilities
is a safety and production concern. In areas
where there are utilities present, production
rates may need to be lowered to allow time for
underground utility location. In some cases,
it may be appropriate to increase/adjust the
number of workers in the estimate if the crew
is required to locate the utilities before excava-
tion. The cost of barricades and sloping the
sides of an excavation, if needed, should also
be included in the estimate.
RATIOS AND ANAYLSIS
A site visit by the estimator is invaluable when
determining the amount of undercutting and
backflling that is required, and the cost of
performing the work. Being physically present
on the site allows the estimator to correlate site
plans and geotechnical reports with the actual
conditions. This correlation will help the esti-
mator understand the terrain and how it affects
access to and movement around the project
site. The estimator should drive the proposed
haul routes before completing the estimate.
Driving the routes will enable the estimator to
verify haul time/distance.
The estimator should always check his esti-
mate for accuracy. When checking the accu-
racy of an estimate requiring undercutting and
backflling, the estimator should be mindful of
the following:
1. Usually the cost of undercutting will
be less than the cost of backflling.
2. The labor cost should be less than the
equipment cost.
3. Converting a compacted quantity esti-
mate to a loose measure quantity
estimate will increase the quantity
while decreasing the unit cost.
MISCELLANOUS
PERTINENT
INFORMATION
The estimator should always verify that
the backfll material source has appropriate
environmental permits. The contractor can face
penalties for purchasing materials from non-
permitted locations. Likewise, care should be
taken when choosing disposal areas for the un-
dercut material. Disposing of material on sites
that do not have appropriate permits can result
in fnes and penalties for the contractor(s).
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ESTIMATE THE COST OF: Undercutting and Backflling Unstable Subgrade Soils
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