Aggregate Lab
Internal Audit Practice Aid
Program Description
Aggregates are the foundation for almost everything State Transportation Agencies (STA) build.
Fine and coarse aggregates make up the bulk of concrete or hot-mix asphalt mixtures. Recycled
aggregates are increasingly used as partial replacements of natural aggregates, while a number of
by-product materials, including air-cooled blast furnace slag and bottom ash are also permitted.
The Aggregate Lab receives samples from the various STA outlying offices (DISTRICTS). of
aggregate product from Producers to determine through laboratory testing if the aggregate would
be acceptable for use in state contracts. The Aggregate Lab attempts to simulate conditions
experienced by travelers on roadways. STA’s must give consideration to environmental factors
that have a detrimental effect on pavements. In some states, it is extreme heat or extreme cold or
freeze-thaw potential depending on the STA’s location in the United States.
The Aggregate Lab is tasked with the responsibility to ensure aggregate received for construction
can be relied on to provide a solid basis for construction. The STA maintains a listing of Existing
Aggregate Producers who have previously been qualified to provide aggregate to the STA for
construction. Potential Aggregate Producers may submit to the STA aggregate samples for
testing to determine if the Potential Aggregate Producer may provide aggregate to the STA for
construction after a satisfactory analysis of the aggregate.
Part of that analysis of aggregate is determined through Quality Series testing for Soundness,
Abrasion and Deleterious Count. The Aggregate Lab work may be conducted by STA staff,
outsourced to an outside lab on contract with the STA or a combination. Aggregate Labs are
responsible for the following four processes:
1. Quality Series (Soundness, Abrasion, Deleterious Count, Other Miscellaneous Tests)
2. Specific Gravity
3. Freeze-Thaw (Not applicable to all STAs)
4. Alkali-Silica Reactivity (ASR)
Soundness: Aggregates must be resistant to breakdown and weathering in order to be relied
upon in construction. The Soundness test determines an aggregate’s resistance to disintegration
by weathering as well as freeze-thaw testing. Aggregates that are durable are less likely to
degrade in the field and cause premature HMA pavement distress and/or failure. The soundness
test repeatedly submerges the aggregate sample in a sodium sulfate solution. This process causes
salt crystals to form in the aggregate water permeable pores. The formation of these crystals
creates internal forces that apply pressure on the aggregate pores and tend to break the aggregate.
After the soaking/rinsing process is completed 5 times the aggregate is sieved to determine the
percent of loss.
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Abrasion: A common method of testing abrasion and impact resistance is through the use of a
Los Angeles Machine: Abrasion testing is a measure of degradation of mineral aggregates of
standard grading resulting from a combination of actions including abrasion or attrition, impact,
and grinding in a rotating steel drum containing a specified number of steel spheres, the number
depending upon the grading test sample. As the drum rotates, a shelf picks up the sample and the
steel spheres, carrying them around until they are dropped to the opposite side of the drum,
creating an impact-crushing effect. The contents then roll within the drum with an abrading and
grinding action until the shelf plate picks up the sample and the steel spheres, and the cycle is
repeated. After the prescribed number of revolutions (500), the contents are removed from the
drum and the aggregate portion is sieved to measure the degradation as percent loss.”
Deleterious Count (Coarse Aggregate) (ITP 203): Aggregates must be relatively clean when
used in HMA or PCC. Soft particles, clay lumps, excess dust and vegetable matter are not
desirable because they generally affect performance by quickly degrading, which causes a loss of
structural support and/or prevents binder-aggregate bonding. Deleterious substances like clay
lumps and friable particles, materials finer than 75 µm (#200 sieve), Lignite and coal, soft
particles and lightweight chert, present in aggregates influence concrete properties and could
result in impaired wear resistance, reduced durability and may result in pop-outs, which are
instances where the concrete freezes and the aggregate inside expands causing pop-outs.
Specific Gravity: According to STA Procedure, “Specific gravity is the ratio of the mass (or
weight in air) of a unit volume of a material to the mass of the same volume of gas-free distilled
water at stated temperatures. Values are dimensionless. Bulk specific gravity is the characteristic
generally used for calculation of the volume occupied by the aggregate in various mixtures
containing aggregate including portland cement concrete, bituminous concrete, and other
mixtures that are proportioned or analyzed on an absolute volume basis. Bulk specific gravity is
also used in the computation of voids in aggregate in STA Procedure. Bulk specific gravity
determined on the saturated surface-dry basis is used if the aggregate is wet, that is, if its
absorption has been satisfied. Conversely, the bulk specific gravity determined on the oven-dry
basis is used for computations when the aggregate is dry or assumed to be dry.”
Freeze/Thaw and D-Cracking: Two areas of concern when working with aggregate and
concrete is the issue of Freeze/Thaw and D-Cracking. In an attempt to simulate winter weather
conditions (in affected states), concrete beams are poured into molds and are placed in
freeze/thaw chamber for 350 cycles of freeze/thaw over a 9.5 week period. After each 50 cycles
(approx. 1 week) the beams are removed from the freeze/thaw chamber and measured to
determine any change in the size of the beam as a result of the freeze/thaw conditions.
D-cracking refers to cracks in a concrete pavement caused by freeze/thaw deterioration of
aggregates in the concrete. As water accumulates naturally in the base and subbase of pavements,
the aggregate eventually can become saturated. Then, through a number of freezing and thawing
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cycles, the concrete begins cracking near the saturated aggregate at the bottom of the slab, and
the cracking continues upward until it reaches the wearing surface. There are a few steps you can
take to reduce the likelihood of D-cracking. One is to select aggregates that are known to
perform well in freeze/thaw cycles, as determined either by previous field experience or by
laboratory freeze/thaw testing of concrete samples according to ASTM C-666 “Standard Test
Method for Resistance of Concrete to Rapid Freezing and Thawing.” If marginal aggregates
must be used, reducing the maximum aggregate particle size can help reduce the problem.
Providing an effective drainage system to move free water out from under the pavement also
may be helpful. Current practices in aggregate utilize recycled concrete as aggregate as well as
reclaimed asphalt pavement, slag aggregate and demolition waste.
Alkali-Silica Reaction (ASR): MECHANISM OF ASR: According to Concrete Technology’s
Diagnosis and Control of Alkali-Aggregate Reactions in Concrete, Concrete consists of
aggregates—stone or gravel and sand, in a matrix of cement paste. The cement paste contains
interconnected microscopic pores through which water or ions in solution can migrate. The pore
water in concrete is an alkaline solution; the measure of alkalinity is pH. The alkali-silica
reaction forms a gel that swells as it draws water from the surrounding cement paste. Reaction
products from ASR have a great affinity for moisture. In absorbing water, these gels can induce
pressure, expansion, and cracking of the aggregate and surrounding paste. The reaction can be
visualized as a two-step process:
1. Alkali + reactive silica = alkali-silica gel
2. Alkali-silica gel + moisture = expansion
The presence of gel does not necessarily indicate destructive ASR. Some gels expand very little
or not at all. If a gel is low swelling, it will not create problems. High-swelling gel may cause
pressures exceeding the tensile strength of concrete, which results in cracking of the concrete.
Rate of migration of pore fluids to the reaction site and temperature also influence swelling
pressures (Diamond, Barneyback, and Struble 1981). Consequently, the presence of gel must be
linked to destructive cracking for a positive identification of harmfully expansive ASR.
Statutes and Regulations
23 Code of Federal Regulations, Part 637: Construction Inspection and Approval
AASHTO Designation R 18-17: Establishing and Implementing a Quality Management System for
Construction Materials Testing Laboratories
State specific Statutes, Regulations and Procedures
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Catalogue of Federal Domestic Assistance (CFDA#)
There is no specific CFDA# for this program as it is not a direct assistance program.
Scope and Objectives
The scope of this engagement includes a review to determine the adequacy of the controls over
the Aggregate Lab processes. The specific objectives are as follows:
Objective A: Determine the Adequacy of Controls Over the Approval of Aggregate Producers
for Potential Producers
Objective B: Determine the Adequacy of Controls Over Soundness Testing for Potential
Producers
Objective C: Determine the Adequacy of Controls Over Deleterious Count Testing for Potential
Producers
Objective D: Determine the Adequacy of Controls Over Abrasion Testing for Potential
Producers
Objective E: Determine the Adequacy of Controls Over the Specific Gravity Testing for
Potential Producers
Objective F: Determine the Adequacy of Controls Over the Approval of Aggregate Producers
for Existing Producers
Objective G: Determine the Adequacy of Controls Over Soundness Testing for Existing
Producers
Objective H: Determine the Adequacy of Controls Over Deleterious Count Testing for Existing
Producers
Objective I: Determine the Adequacy of Controls Over Abrasion Testing for Existing Producers
Objective J: Determine the Adequacy of Controls Over the Specific Gravity Testing for
Existing Producers
Objective K: Determine the Adequacy of the Controls Over Tests Resulting in FAILS
Objective L: Determine the Adequacy of Controls Over Aggregate Lab Personnel and
Equipment
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Audit Program
Objective A: Determine the Adequacy of Controls over the Approval of Aggregate
Producers for Potential Producers
Step 1: Determine if potential aggregate producers submitted required paperwork to the STA for
approval.
a) Producer submitted the Certification Latter
b) Producer completed Aggregate Shipping Tickets Form
c) Determine the Aggregate Producer was Assigned a Producer Number
d) Determine the producer request was entered into database
Objective B: Determine the Adequacy of Controls Over Soundness Testing for Potential
Aggregate Producers
Step 1: Determine if evidence of testing documentation supports Soundness test results
Step 2: Determine of Soundness test results were within acceptable limits as determined by the
STA
Step 3: Determine the Soundness test results were entered into the STA database and traces to
supporting documentation
Objective C: Determine the Adequacy of Controls Over Deleterious Count Testing for
Potential Aggregate Producers
Step 1: Determine if evidence of testing documentation supports Deleterious Count test results
Step 2: Determine if Deleterious Count test results were within acceptable limits as determined
by the STA
Step 3: Determine the Deleterious Count test results were entered into the STA database and
traces to supporting documentation
Objective D: Determine the Adequacy of Controls Over Abrasion Testing for Potential
Aggregate Producers
Step 1: Determine if evidence of testing documentation supports Abrasion test results
Step 2: Determine if Abrasion test results were within acceptable limits as determined by the
STA
Step 3: Determine the Abrasion test results were entered into the STA database and traces to
supporting documentation
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Objective E: Determine the Adequacy of Controls Over the Specific Gravity Testing for
Potential Aggregate Producers
Step 1: Determine if evidence of testing documentation supports Specific Gravity test results
Step 2: Determine the Specific Gravity test results were entered into the STA database and traces
to supporting documentation
Objective F: Determine the Adequacy of Controls Over the Approval of Aggregate
Producers for Existing Producers
Step 1: Determine if existing aggregate producers submitted required paperwork to STA for
approval.
a) Determine the Sample Identification Form was included with the sample from
the Aggregate Producer
b) Determine the Aggregate Producer request was entered into database and traces
to supporting documentation
Objective G: Determine the Adequacy of Controls Over Soundness Testing for Existing
Aggregate Producers
Step 1: Determine if evidence of testing documentation supports Soundness test results
Step 2: Determine if Soundness test results were within acceptable limits as determined by the
STA
Step 3: Determine the Soundness test results were entered into the STA database and traces to
supporting documentation
Objective H: Determine the Adequacy of Controls Over Deleterious Count Testing for
Existing Aggregate Producers
Step 1: Determine if evidence of testing documentation supports Deleterious Count test results
Step 2: Determine if Deleterious Count test results were within acceptable limits as determined
by the STA
Step 3: Determine the Deleterious Count test results were entered into the STA database and
traces to supporting documentation.
Objective I: Determine the Adequacy of Controls Over Abrasion Testing for Existing
Aggregate Producers
Step 1: Determine if evidence of testing documentation supports Abrasion test results
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Step 2: Determine if Abrasion test results were within acceptable limits as determined by the
STA
Step 3: Determine if Abrasion test results were entered into the STA database and traces to
supporting documentation.
Objective J: Determine the Adequacy of Controls Over the Specific Gravity Testing for
Existing Aggregate Producers
Step 1: Determine if evidence of testing documentation supports Specific Gravity test results
Step 2: Determine the Specific Gravity test results were entered into the STA database and traces
to supporting documentation.
Objective K: Determine the Adequacy of Controls Over Tests Resulting in FAILS
Step 1: Determine if documentation of test results warranted a FAIL designation as determined
by the STA.
Step 2: Determine if sample was retested with correct number of samples.
Step 3: Determine if retest results were documented in the STA database and traces to supporting
documentation.
Objective L: Determine the Adequacy of Controls Over Aggregate Lab Personnel and
Equipment
Step 1: Determine all Aggregate Lab technicians have received STA required training to perform
all testing required in the Aggregate Lab as required by STA or AASHTO R18-17.
Step 2: Determine if all Aggregate Lab testing equipment has been calibrated according to STA
requirements or AASHTO R18-17.
a) Description
b) Model and Serial Number
c) Name of person who performed calibration
d) Calibration equipment used (e.g., standard weights, proving rings, thermometers)
e) Last date calibrated and next due date
f) Reference procedure used
g) Results of calibration/verification
h) Calibration records maintained
i) Met Requirements
