Aggregate Materials Testing Laboratory

California Department of Transportation
Aggregate Materials Testing Laboratory

5900 Folsom Blvd.
Sacramento, CA 95819
Quality Manual System

July 20, 2020
APPROVED FOR USE BY AMTL

QUALITY MANAGER
AGGREGATES MATERIALS QUALITY MANUAL
TESTING LABORATORY SYSTEM
Concrete Materials Testing Branch REVISION 6
Office of Structural Materials Revision Date: 20 July 2020
Quality Manager Approval ___ ______ ___________________
Table of Contents
1. Introduction and Scope 9
1.1. Introduction ............................................................................................................ 9

1.2. Purpose ................................................................................................................. 9
1.3. Objective ............................................................................................................... 9
1.4. Location ................................................................................................................. 9
1.5. Scope .................................................................................................................. 10
1.6. General Provisions .............................................................................................. 10
1.7. Organization of the QMS ..................................................................................... 10
1.8. Customers ........................................................................................................... 11
2. References 12
2.1. ASTM C 1077 Cross References ........................................................................ 12

2.2. AASHTO Cross References ................................................................................ 13
2.3. ISO/IEC 17025 Cross References....................................................................... 15
2.4. General References ............................................................................................ 18
2.5. Technical References .......................................................................................... 18
2.5.1. ASTM References 18
2.5.2. California Tests References 20
3. Acronyms, Abbreviations, and Terms 21
4. Management Requirements 25
4.1. Organization ........................................................................................................ 25

4.1.1. Legal Responsibilities 25
4.1.2. AASHTO Certification and Scope 25
4.1.3. Location of Work 25
4.1.4. Organization Chart 25
4.1.5. Aggregates Materials Testing Laboratory Policies 26
4.1.6. Top Management Communication 28
Page 1 of 114
4.2. Quality System .................................................................................................... 28

4.2.1. Objectives 28
4.2.2. Purpose 28
4.2.3. Development and Implementation 28
4.2.4. Customer Requirements 28
4.2.5. Attachments 29
4.2.6. Responsibilities of the Quality Manager 29
4.2.7. Integrity of the Quality System 29
4.3. Document Control ............................................................................................... 29
4.3.1. General 29
4.3.2. Document Changes 30
4.4. Review of Requests, Tenders and Contracts ...................................................... 31
4.4.1. Contract Review and Agreements 31
4.4.2. Maintenance of Contract Records 31
4.4.3. Subcontractor Review 32
4.4.4. Deviations from Requests 32
4.4.5. Amendments to Existing Requests 32
4.5. Purchasing Services and Supplies ...................................................................... 32
4.5.1. Definition and Policy 32
4.5.2. Purchasing Documents 33
4.6. Service to the Customer ...................................................................................... 34
4.6.1. Clarification of Customer Requests 34
4.7. Complaints .......................................................................................................... 34
4.8. Control of Nonconformances ............................................................................... 34
4.9. Improvement ....................................................................................................... 35
4.10. Preventive Action ................................................................................................ 35
4.11. Corrective Action ................................................................................................. 35
4.12. Control of Records .............................................................................................. 35
4.13. Internal Audits ..................................................................................................... 36
4.13.1. Scheduling and Organization 36
4.13.2. Corrective Action 36
Page 2 of 114
4.13.3. Documentation of Auditing Activity 36

4.13.4. Follow-Up Audit Activity 37
4.14. Management Review ........................................................................................... 37
4.14.1. General 37
4.14.2. Actions Resulting from Review Cycle 37
Attachment 4.1.4(a): Caltrans Organization Chart ...................................................................... 38
Attachment 4.1.5(b): Protection of Customer’s Information ........................................................ 40
Attachment 4.1.5(c): Record of Completion for Ethics Orientation ............................................. 42
Attachment 4.4.1(a): Sample Identification Card (FORM TL-0101) ............................................ 43
Attachment 4.7(a): Procedure for Handling Complaints ............................................................. 44
Attachment 4.7(b): Complaint Form ............................................................................................ 45
Attachment 4.8(a): Policy and Procedures for Nonconformances .............................................. 46
Attachment 4.8(b): Nonconformance Report .............................................................................. 47
Attachment 4.10(a): Preventive Action Procedure ...................................................................... 48
Attachment 4.10(b): Preventive Action Form .............................................................................. 50
Attachment 4.11(a): Corrective Action Procedure ...................................................................... 51
Attachment 4.11(b): Corrective Action Form ............................................................................... 52
Attachment 4.12(a): Procedures for Controlling Quality Records ............................................... 53
5. Technical Requirements 54
5.1. General ................................................................................................................ 54

5.1.1. Contributing Factors 54
5.1.2. Implementation of Factors 54
5.2. Personnel ............................................................................................................ 54
5.2.1. Qualifications 54
5.2.2. Training 55
5.2.3. Resources 56
5.2.4. Job Descriptions 56
5.2.5. Authorization of Aggregates Laboratory Activities 57
5.3. Accommodation and Environmental Conditions .................................................. 57
5.3.1. Environmental Requirements 57
Page 3 of 114
5.3.2. Environmental Conditions that May Impact Results 58

5.3.3. Preventive Measures 58
5.3.4. Controlled Access 58
5.3.5. Lab Maintenance 58
5.4. Test Methods, Calibration Methods and Validation ............................................. 58
5.4.1. Method Types 58
5.4.2. Selection of Test Methods 59
5.4.3. Non-Standard Test Methods 60
5.4.4. Validation of Test Procedures 60
5.4.5. Estimation of Uncertainty of Measurement 61
5.4.6. Control of Data 61
5.5. Equipment ........................................................................................................... 62
5.5.1. Furnishings 62
5.5.2. Equipment Calibration Program 62
5.5.3. Equipment Operations 63
5.5.4. Equipment Item Identification 63
5.5.5. Equipment Item Records 63
5.5.6. Equipment Maintenance and Handling Techniques 64
5.5.7. Out-of-Service Provisions 64
5.5.8. Calibration Status of Equipment Under the Aggregates Laboratory’s Control 64
5.5.9. Intermediate Equipment Calibration Checks 64
5.5.10. Correction Factors 64
5.5.11. Hardware and Software Protection 64
5.6. Measurement Traceability ................................................................................... 65
5.6.1. Equipment Calibration Procedures 65
5.6.2. Calibration 65
5.6.3. Reference Standards and Reference Materials 66
5.7. Sampling ............................................................................................................. 66
5.7.1. Sampling Plans 66
5.7.2. Deviations from the OSMPP’s Sampling Procedures 66
5.7.3. Sampling Procedures 67
5.7.4. Sampling Procedures for a Retest 67
Page 4 of 114
5.8. Handling of Test Items ........................................................................................ 67

5.8.1. Procedures 67
5.8.2. Item Identification 68
5.8.3. Abnormalities and Departures 68
5.8.4. Test Sample Protection 68
5.9. Assuring the Quality of Test Results ................................................................... 68
5.10. Reporting the Results .......................................................................................... 69
5.10.1. General 69
5.10.2. Test Reports and Calibration Certificates 69
5.10.3. Test Reports 69
5.10.4. Opinions and Interpretations 70
5.10.5. Testing Results Obtained from Subcontractors 71
5.10.6. Electronic Transmission of Results 71
5.10.7. Format of Test Reports 71
5.10.8. Amendments to Test Reports 71
Attachment 5.2.1(a): Senior Transportation Engineer Minimum Qualifications .......................... 72
Attachment 5.2.1(b): Transportation Engineer (Civil) Minimum Qualifications ........................... 73
Attachment 5.2.1(c): Materials and Research Engineering Associates (MREA) Minimum
Qualifications .............................................................................................................................. 75
Attachment 5.2.1(d): Transportation Engineering Technician (TET) Minimum Qualifications ... 76
Attachment 5.2.2(a): In-House Training Programs for the Aggregates Laboratory Personnel ... 78
Attachment 5.2.4(a): Duty Statement for Senior Transportation Engineer ................................. 82
Attachment 5.2.4(b): Duty Statement for Transportation Engineer (Civil) ................................... 85
Attachment 5.2.4(c): Duty Statement for MREA ......................................................................... 87
Attachment 5.2.4(d): Duty Statement for TET ............................................................................. 90
Attachment 5.3.5(a): Monthly Inspection Check List ................................................................... 93
Page 5 of 114
..................... 93
Attachment 5.3.5(b): Monthly Inspection Check List ................................................................... 94
Page 6 of 114
...................... 94
Attachment 5.4.6.2(a): Computer Processed Data Backup Procedure ...................................... 95
Page 7 of 114
Attachment 5.5.2.1(a): Accreditation Verification Procedure ...................................................... 96

Attachment 5.9(a): Proficiency Testing Program ........................................................................ 97
Attachment 5.10.2(a): Test Reports ............................................................................................ 98
Coarse Aggregate Electronic Test Report .................................................................................. 98
Proficiency Testing.................................................................................................................... 110
Page 8 of 114
1. Introduction and Scope
1.1. Introduction
The California Department of Transportation (“Caltrans”) has an Aggregates Materials Testing Laboratory.
The Caltrans Aggregates Materials Testing Laboratory is referred to as “Aggregates Laboratory” within this
Quality Manual System. The Aggregates Laboratory is part of the Structural Materials Testing Branch, a
branch within the Office of Structural Materials (“OSM”). OSM is an office within the Materials Engineering
Testing Services (“METS”), which is a subdivision of the Division of Engineering Services.
The Aggregates Laboratory is currently accredited by AASHTO. See Section 4.1.2 for details.
1.2. Purpose
This Quality Manual System (“QMS”) describes the organization, operation, policies, and procedures that
comprise the Aggregates Laboratory’s quality system. See Section 4 for details.
1.3. Objective
The QMS provides the methodology for the Aggregates Materials Testing Laboratory’s quality manual
system. This quality manual system complies with the relevant clauses of ASTM Designation: C 1077,
‘Standard Practice for Agencies Testing Concrete and Concrete Aggregates for Use in Construction and
Criteria for Testing Agency Evaluation.’ See Section 4 for details.
1.4. Location
The Aggregates Laboratory is located within the Caltrans Transportation Laboratory at 5900 Folsom
Boulevard, Sacramento, California, 95819. It comprises the following locations:
1. Main Building
a. Quality manager’s office, room 139
b. Main laboratory, room 245
c. Laboratory technical manager, room 245-A
d. Laboratory manager’s office, room 267-A
e. Laboratory technical personnel, room 267-A
Page 9 of 114
1.5. Scope
The requirements of this manual are applicable to testing performed at the Aggregates Laboratory.
Aggregates-related materials testing conducted by other State Aggregates Laboratories (District
Laboratories) are not part of the scope of the Aggregates Laboratory’s Quality Manual System.
1.6. General Provisions

The Aggregates Laboratory’s QMS does not address compliance with governing safety, civil service
classification, and environmental regulations. Rather, it describes the Aggregates Laboratory’s quality
manual system for complying with the relevant clauses of ASTM Designation: C 1077, ‘Standard Practice
for Agencies Testing Concrete and Concrete Aggregates for Use in Construction and Criteria for Testing
Agency Evaluation.’
The Aggregates Laboratory’s QMS references the governing regulations when necessary to provide the
context within which Aggregates Laboratory’s quality system operates.
1.7. Organization of the QMS

The QMS is organized as follows:
• Section 1.0: Introduction and Scope
• Section 2.0: References
• Section 3.0: Acronyms, Abbreviations and Terms
• Section 4.0: Management Requirements
• Section 5.0: Technical Requirements
• Appendix A: Test Procedures
• Appendix B: Test Forms
• Appendix C: Proficiency Tests
• Appendix D: Equipment Calibration Records
• Appendix E: Equipment Maintenance Records
Page 10 of 114
1.8. Customers
The Aggregates Laboratory has the following Customers:
• Division of Structure Construction
i. Resident Engineer
ii. Structures Representative
iii. District Aggregates Laboratories
• Division of Engineering Services
• Division of Maintenance
• Other entities on behalf of the Customers above.
Page 11 of 114
2. References
2.1. ASTM C 1077 Cross References

Table 2.1(a) references the Aggregates Laboratory’s Quality Manual System sections related to the
ASTM C 1077 section requirements to expedite the requirement compliance verification.
TABLE 2.1(a) ASTM C 1077 Cross Reference
ASTM C 1077 Aggregates Laboratory
Section Requirement Section Reference
Section 5, Sections 1.2, 1.3, 1.4, 4.1, 4.4
Organization Attachments 4.1.4(a),

4..1.4(b)
Section 6, Section 5.2
Personnel Qualifications
Section 7, Sections 4.4, 5.4, 5.7, 5.8
Test Methods and Procedures
Section 8, Sections 5.3, 5.4, 5.5, 5.6, 5.7,

5.8
Facilities, Equipment, and Supplemental
Procedures
Section 9, Sections 4.3, 4.6, 4.11, 5.2,

5.6, 5.7, 5.10
Testing Agency Testing Records and Reports
Section 10, Sections 4.2. 4.3, 4.5, 4.6, 4.8,

4.9, 4.10, 4.12, 4.13, 5.6
Quality Systems
Section 11, Sections 4.12, 5.6, 5.9
Testing Agency Evaluations
Page 12 of 114
2.2. AASHTO Cross References

AASHTO R 18 section requirements to expedite the requirement compliance verification.
TABLE 2.2(a) AASHTO R 18 Cross Reference
ASSHTO R 18 Aggregates Laboratory
Section 5. Management Requirements Sections 1.2, 1.3, 1.5, 1.6,

1.7, 4.2,
5.1, Quality Management System
Section 5. Management Requirements Sections 4.3, 5.4
5.2, Document Control
Section 5, Management Requirements Sections 1.4, 4.1
5.3, Organization Attachments 4.1.4(a), 4.1.4(b)
5.4, Staff Attachments 4.1.4(a),

4.1.4(b), 5.2.1(a), 5.2.1(b),
5.2.1(c), 5.2.1(d), 5.2.4(a),
5.2.4(b), 5.2.4(c), 5.2.4(d)
Section 5, Management Requirements Section 5.2
5.5, Technician Training and Evaluation Attachments 5.2.2(a), 5.2.2(b)
5.6, Internal Audits
5.7, Corrective Actions Attachments 4.10(a), 4.10(b)
Page 13 of 114
Section 5, Management Requirements Sections 4.11, 5.4, 5.5, 5.10
5.8, Records Retention
Section 6, Technical Requirements Sections 5.4, 5.5, 5.6
6.1, Equipment Appendix A, D
Section 6, Technical Requirements Sections 5.7, 5.8,
6.2, Sample Management Appendix B
Section 6, Technical Requirements Sections 4.4, 5.4, 5.9, 5.10
6.3, Test Records and Reports Attachments 4.11(a),

5.10.2(b)
Appendix B
Section 6, Technical Requirements Section 4.4
6.4, Subcontracting
6.5, Assuring the Quality of Results Attachment 5.9(a)
Appendix C
Page 14 of 114
2.3. ISO/IEC 17025 Cross References

ISO/IEC 17025 section requirements to expedite the requirement compliance verification.
TABLE 2.3(a) ISO/IEC 17025 Cross Reference
ISO/IEC 17025 Aggregates Laboratory
Section 4. Management Requirements Sections. 1.4, 4.1
4.1, Organization Attachments 4.1.4(a), 4.1.4(b)
Section 4. Management Requirements Sections 1.5, 4.2
4.2, Management System
4.3, Document Control
4.4, Review of Requests, Tenders and

Contracts
4.5, Subcontracting of Tests and Calibrations
4.6, Purchasing Services and Supplies
Page 15 of 114
4.7, Service to the Customer
Section 4, Management Requirements Sections 4.7
4.8, Complaints Attachments 4.7(a), 4.7(b)
4.9, Control of Nonconforming Testing and/or Attachments 4.8(a), 4.8(b)

Calibration Work
4.10, Improvement
4.11, Corrective Action Attachments 4.11(a), 4.11(b)
4.12, Preventive Action
4.13, Control of Records Attachment 4.12(a)
4.14, Internal Audits
4.15, Management Reviews
5.1, General
5.2, Personnel
Page 16 of 114
5.3, Accommodation and Environmental

Conditions
Section 5, Technical Requirements Sections 5.4
5.4, Test and Calibration Methods and Method Appendix A

Validation
5.5, Equipment Appendix D
5.6, Measurement Traceability
5.7, Sampling
5.8, Handling of Test and Calibration Items
5.9, Assuring the Quality of Test and Calibration

Results
5.10, Test Reports
Page 17 of 114
2.4. General References

This Aggregates Laboratory references several publications:
• State of California, Office of Structural Materials Practices and Procedures Manual (“OSMPP”).
The OSMPP describes the practices and procedures of the Office of Structural Materials, many of
which are relevant to the QMS.
• State of California, Caltrans Construction Manual.
• State of California, Caltrans Standard Specifications.
2.5. Technical References

The Aggregates Laboratory also references many technical references. These are available in the
Laboratory Manager’s office (Main Building, room 267-A) or the Quality Manager’s office (Main Building,
room 139). These technical references include documents from:
1. American Society for Testing of Materials (“ASTM”)

2. California Department of Transportation, Caltrans (California Test Methods)
2.5.1. ASTM References
TABLE 2.3.1(a) ASTM Standards Related to Aggregates Testing
ASTM Description
Standard
C 40 Organic Impurities in Sand
C 88 Sulfate Soundness of Aggregates
C 117 Material Finer than 0.075mm (No. 200) Sieve
C 127 Coarse Aggregates Specific Gravity and Absorption
C 128 Fine Aggregates Specific Gravity and Absorption
C 130 Sieve Analysis of Aggregates
Page 18 of 114
C 131 Abrasion of Coarse Aggregates
C 136 Sieve Analysis of Fine and Coarse Aggregates
C 566 Moisture Content of Aggregates by Oven Drying
C 702 Reducing Samples of Aggregate to Test Size
C 1252 Uncompacted Void Content of Fine Aggregates
D 2419 Sand Equivalent Test
D 3744 Aggregates Durability Index
D 4791 Flat, Elongated, or Flat and Elongated Particles
D 5821 Fractured Particles in Coarse Aggregate
D 421 Dry Preparation of Samples
C 1077 Standard Practice for Laboratories Testing Concrete and Concrete Aggregates for Use
in Construction and Criteria for Laboratory Evaluation
E4 Standard Practice for Force Verification of Testing Machines
Page 19 of 114
2.5.2. California Tests References

TABLE 2.3.2(a) California Tests Related to Aggregates Testing
California Title
Test
CT 105 Calculations Pertaining to Gradings and Specific Gravities
CT 106 Definitions of Terms Relating to Specific Gravity
CT 201 Method of Test for Soil and Aggregate Sample Preparation
CT 202 Method of Test for Sieve Analysis of Fine and Coarse Aggregates
CT 205 Method of Test for Determining Percentage of Crushed Particles
CT 206 Method of Test for Specific Gravity and Absorption of Coarse Aggregate
CT 207 Method of Test for Specific Gravity and Absorption of Fine Aggregate
CT 208 Method of Test for Apparent Specific Gravity of Fine Aggregates
CT 211 Abrasion of Coarse Aggregate by Use of the Los Angeles Abrasion Testing Machine
CT 213 Method of Test for Organic Impurities in Concrete Sand
CT 214 Method of Test for Soundness of Aggregates by Use of Sodium Sulfate
CT 217 Method of Test for Sand Equivalent
CT 226 Method of Test for Determination of Moisture Content of Soils and Aggregates by Oven
Drying
CT 227 Method of Test for Evaluating Cleanness of Coarse Aggregate
CT 229 Method of Test for Durability Index
CT 301 Method of Test for Determining the Resistance "R" Value of Treated and Untreated
Bases, Subbases and Basement Soils by the Stabilometer
Page 20 of 114
3. Acronyms, Abbreviations, and Terms

Table 3.1 presents acronyms, abbreviations and defined terms that the QMS frequently uses. Unless the
context of the text clearly provides otherwise, the definitions given in Table 3.1 govern.
TABLE 3.1(a) Acronyms, Abbreviations, and Terms
Acronym/ Definition
Abbreviation/
Term
AASHTO American Association of State Highway Transportation Officials.
ASTM American Society for Testing of Materials.
Attachments Attachments are additional information that is incorporated into the QMS by
reference. Attachments are numbered according to the section number from
which they derive. Attachments are sub-lettered “a”, “b”, “c”, etcetera.
Branch Chief The Chief of the Structural Materials Testing Branch. The Branch Chief
supervises the Aggregates Laboratory and its staff, and is the designated Quality
Manager for the Aggregates Laboratory.
Calibration Determination of the values of the significant parameters by comparison with

values indicated by the reference instrument according to a set of reference
standards.
Caltrans The California Department of Transportation.
Customers Caltrans’ divisions (internal) and outside contractors and vendors (external) who
require the services of the Aggregates Laboratory for testing. Section 1.8 lists
internal and external Customers.
Customers’ Any confidential or proprietary information from a Customer. This may be in the
Information form of printed material, drawings, or electronic data that is supplied to the
Aggregates Laboratory with the expectation that the information is guarded and
not disseminated to the general industry. Test results from the Aggregates
Laboratory are confidential to the extent allowed by the California Public Records
Act (California Government Code Sections 6250 to 6265).
Construction Caltrans’ Division of Structure Construction.

CT California Test. These are test methods that Caltrans authors.
Page 21 of 114
CTM California Test Method, the former name for California Tests.
Aggregates Any Aggregates Laboratory-generated policy or procedure used in the operation

Laboratory of the Laboratory.
Documents
Aggregates Consists of the Quality Manager.
Laboratory
Management
Day Any day, except Saturdays, Sundays and legal holidays.
Division Chief The Chief of the Division of Engineering Services. The Division Chief manages
engineering services and support to Caltrans projects.
Industry Standard A readily available standard that is developed by consensus. ASTM, ISO,
AASHTO, or ASME standards are examples.
ISO International Organization for Standardization
Lab Same as the Aggregates Laboratory.
Measurand Particular quantities subject to measurement (e.g., length or force).
Measurement Set of operations having the object of determining a value of a quantity.
MREA Materials and Research Engineering Associate.
METS Materials Engineering and Testing Services, a subdivision of the Division of

Engineering Services.
NCR Nonconformance Report. This is issued per Section 4.8.
NIST National Institute of Standards and Technology.
Office Chief The supervising bridge engineer who manages OSM.
OSM Office of Structural Materials.
OSMPP Office of Structural Materials Practices and Procedures Manual.
Page 22 of 114
Policy A statement of governing rules, either general or specific, for the operation of the
Aggregates Laboratory as found in the QMS. A policy usually is implemented
through procedures.
Procedure Defined steps to accomplish a task required by the QMS in order to meet a
specific Aggregates Laboratory policy.
QM Quality Manager.
QMS Quality Manual System.
Quality Manual The Aggregates Laboratory’s relevant policies, systems, programs, procedures,
System and instructions necessary to assure the quality of the materials tests results.
Reference Materials Test materials that are used by external calibration agencies when the testing
equipment owned and operated by the Aggregates Laboratory is being
calibrated.
Reference A piece of equipment (load cell, gage block, etc.) that is used by external
Standards calibration agencies to calibrate the Aggregates Laboratory test equipment. Such
equipment items are traceable to other ISO standards.
Repeatability Closeness of the agreement between the results of successive measurements of

the same measurand carried out under the same conditions of measurement.
Reproducibility Closeness of the agreement between the results of measurements of the same
measurand carried out under changed conditions of measurement.
Sampling Process of selecting materials for testing as a part of the Test Standard being
performed.
Services and Those services and supplies that affect the quality of tests or Lab output.
Supplies
Staff Management and employees of the Aggregates Laboratory. Also referred to as
“the Lab’s staff” where necessary to avoid ambiguity.
Standard Method Industry-standard procedure for testing different types of materials or conducting
specific types of material tests.
Standard Caltrans Standard Specifications, May 2006 version, including subsequent

Specifications amendments.
Page 23 of 114
Test Laboratory activity that uses calibrated equipment for evaluating performance of
aggregates-related materials by mechanical means and then documenting
results based on the methods used.
Test Equipment Calibrated equipment that is used to perform Test Standards. See Section 5.5,
“Equipment.”
Test Procedure The entire set of procedures for testing a type of material. The procedures in each
Test Procedure include sampling, handling, transport, storage, and preparation
of items to be tested. Test Procedures are written for different types of materials,
so each one generally comprises several Standard Methods.
Traceability The property of the result of a measurement value of a standard whereby it can
be related to stated references, usually national or international standards,
through an unbroken chain of comparisons all having stated uncertainties.
Uncertainty A parameter, associated with the result of a measurement that characterizes the
(of measurement) dispersion of the values that could reasonably be attributed to the measurand.
Validation The confirmation by examination and the provision of objective evidence that the
particular requirements for a specific intended use are fulfilled.
Page 24 of 114
4. Management Requirements
4.1. Organization
4.1.1. Legal Responsibilities

The Aggregates Laboratory is a testing laboratory which is part of the larger Caltrans organization and
provides an internal service solely within Caltrans. Caltrans is legally responsible for the testing that the
Aggregates Laboratory performs.
4.1.2. AASHTO Certification and Scope

The Aggregates Laboratory is certified by AASHTO under compliance of the AMRL’s Laboratory
Inspection Program.
4.1.3. Location of Work

This Aggregates Laboratory and the AASHTO accreditation is limited to work carried out within the
Aggregates Laboratory.
4.1.4. Organization Chart

The Caltrans Organization Chart in Attachment 4.1.4(a) shows the Aggregates Laboratory’s location within
the Caltrans organization.
The key personnel in Caltrans that are involved or have influence on the testing activities of the Aggregates
Laboratory are:
• Director, Caltrans: The Director is responsible for all functions of Caltrans, including project
delivery, planning and programs, maintenance and operations, information technology, finance,
administration, external affairs, legal, security, civil rights, and audits.
• Deputy Director, Project Delivery: The Deputy Director is responsible for managing Caltrans
construction projects, including the engineering, design, construction, environmental, and
management aspects.
• Chief, Division of Engineering Services (“Division Chief”): The Division Chief is responsible for
managing engineering services and support to Caltrans’ projects.
Page 25 of 114
• Deputy Division Chief, Materials Engineering and Testing Services (“Deputy Division Chief”): The
Deputy Division Chief oversees materials engineering and testing services provided to Caltrans’
projects.
• Chief, Office of Structural Materials (“Office Chief”): The Office Chief provides engineering expertise
in structural materials, including inspection and testing.
• Chief, Concrete Materials Testing Branch (“Branch Chief”): The Branch Chief supervises the testing
of materials used in Caltrans’ projects. The Branch Chief is the supervisor of the Aggregates
Laboratory, and is the QMS’s Quality Manager (“QM”).
• Transportation Engineer (Civil): A Transportation Engineer (“TE”) assists the QM in technical

matters. He/she is the QMS’s Technical Manager.
• Materials and Research Engineering Associate (“MREA”): The MREA manages the Lab. He/she is
the QMS’s Lab Manager.
• Transportation Engineering Technicians (“TETs”): TETs are the technicians who work in the Lab.
They are the QMS’s Lab Technicians.
The management and lines of authority of the Aggregates Laboratory are defined on the Aggregates
Laboratory Staff Organization Chart, Attachment 4.1.4(b).
4.1.5. Aggregates Materials Testing Laboratory Policies

The Aggregates Laboratory:
a) has the managerial and technical personnel who, irrespective of other responsibilities, have
the authority and resources needed to carry out their duties, including the implementation,
maintenance and improvement of the quality system, and to identify the occurrence of
departures from the quality system or from the procedures for performing materials testing, and
to initiate actions to prevent or minimize such departures. See also Section 5.2, “Personnel”
and Attachment 4.1.4(b). The managerial staff is the QM, who is a registered civil engineer in
California. The QM has the engineering and spending authority to implement the duties and
tasks required by the quality manual system. The QM is assisted by technical personnel, which
comprise a Technical Manager, a Lab Manager, and several Lab Technicians. The QM and
the technical personnel are collectively referred to as “staff” or “the Aggregates Lab’s staff.”
b) has a zero tolerance for any undue internal and external commercial, financial, and other
pressures and influences that may adversely affect the quality of the final work.
i. Internal influences. Caltrans recognizes the potential for conflicts of interest
between the Aggregates Laboratory’s functions (testing materials that Caltrans
Structure Construction uses) and Construction. In recognition of this, these internal
groups are located in two separate Divisions within Engineering Services.
Page 26 of 114
ii. External influences. In recognition of this, and in compliance with California

Government Code Sections 81000-91014, the QM in his/her capacity as Branch
Chief files an annual conflict of interest statement [see Statement of Economic
Interests, Form 700, Attachment 4.1.5(a)]. This completed form is on file with the
Caltrans Division of Engineering's Conflict of Interest Coordinator.
c) has a policy that ensures the protection of its Customers' confidential submittal information and
related proprietary rights within the limits of State and Federal law. The policy for protecting the
Customers’ information is in Attachment 4.1.5(b).
d) has a policy to avoid staff involvement in any activities that would diminish confidence in its
competence, impartiality, judgment or operational integrity. To ensure this, staff members are
taught this policy through the Caltrans ethics program: Course Code 100096, Ethics for Capital
Projects. The QM’s record of completion for this training is in Attachment 4.1.5(c).
e) has an organization and management structure as defined by the Caltrans Organization Chart,
Attachment 4.1.4(a). This organization chart shows the location of Aggregates Materials
Testing Laboratory, OSM and METS within the Caltrans Division of Engineering Services.
Attachment 4.1.4(b) shows the organization and management structure of Aggregates
Materials Testing Laboratory.
f) specifies the responsibility, authority, and interrelationships of all staff that manage, perform,
or verify work affecting the quality of the materials tests, as follows:
i. QM: The Aggregates Materials Testing Laboratory’s QM has the engineering and
spending authority to manage work affecting the quality of materials tests. The QM
makes the final engineering decisions, has supervisory authority over staff, and
manages the Aggregates Laboratory’s budget.
ii. Technical Manager: Performs work affecting the quality of materials tests.
iii. Lab Manager and Lab Technicians: Perform and verify work affecting the quality
of materials tests.
g) provides adequate supervision of testing staff, including trainees, by the QM, Technical
Manager, and Lab Manager, each of whom is familiar with methods and procedures, the
purpose of each test and with the assessment of the test results.
h) has technical management (the QM and the Technical Manager), which has the overall
responsibility for the technical operations and the provisions of the resources needed to ensure
the required quality of Aggregates Laboratory operations.
i) appoints the Branch Chief as the QM, who has access to the Office Chief, the highest
management level at which decisions are made on the Aggregates Laboratory policy or
resources, and has responsibility and authority as defined in Section 4.1.5(f) for ensuring that
the quality system is implemented and followed at all times.
j) appoints deputies for key managerial personnel. The key managerial personnel consist of the
QM, the Technical Manager, and the Lab Manager.
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k) ensures that its personnel are aware of the relevance and importance of their activities and how
they contribute to the achievement of the objectives of the quality system. This is achieved in
the form of monthly staff meetings, and one-on-one meetings when necessary.
4.1.6. Top Management Communication

Top management shall ensure that appropriate communication processes are established within the
Aggregates Laboratory and that communication takes place regarding the effectiveness of the quality
system. This is accomplished by reporting management system-related activities to the office chief and
other seniors in a monthly seniors meeting.
4.2. Quality System
4.2.1. Objectives
Through this QMS, the Aggregates Laboratory establishes and maintains a quality system appropriate to
the scope of its activities. This QMS documents all relevant policies, systems, programs, procedures, and
instructions to the extent necessary to assure the quality of the materials test results. The QMS's
documentation is communicated to, understood by, available to, and implemented by the appropriate
personnel.
4.2.2. Purpose
This QMS defines the Aggregates Laboratory’s quality system policies and objectives. It is a means of
communication within the Aggregates Laboratory so that all staff knows their responsibilities and the
procedures to be followed.
4.2.3. Development and Implementation

Top management is committed to the development and implementation of this quality system and to
continually improving its effectiveness.
4.2.4. Customer Requirements

Top management communicates to the organization the importance of meeting customer requirements as
well as statutory and regulatory requirements. The Aggregates Laboratory does not perform materials
testing for profit, and is not available for commercial service. Rather, the Aggregates Laboratory performs
quality assurance testing for materials used in Caltrans’ construction projects. California law (California
Government Code sections 14100 et seq.) and federal regulations (23 Code of Federal Regulations Section
637.205) require this quality assurance testing.
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4.2.5. Attachments
The QMS includes supporting policies and procedures, including technical and administrative procedures,
in the form of attachments. These attachments are incorporated by reference, and controlled and revised
to the same extent as the sections of the QMS.
4.2.6. Responsibilities of the Quality Manager

The QM is responsible for ensuring and maintaining the Lab’s AASHTO accreditation. Specific
responsibilities of the QM are documented throughout this QMS and listed in Table 5.2.1(a).
4.2.7. Integrity of the Quality System

Top management ensures that the integrity of the quality system is maintained when changes are planned
and implemented.
4.3. Document Control
4.3.1. General
This section establishes the procedures to control all documents that form part of the quality system,
whether internally or externally generated. These documents include Test Procedures (see Section 5.4),
regulations, standards, drawings, software, specifications, instructions and manuals.
4.3.1.1. Procedures for Controlled Documents

The following procedures control the Aggregates Laboratory’s documents:
1. An authorized edition of appropriate documents is available at all locations where operations
essential to the effective functioning of the Aggregates Laboratory are performed.
Typically, this means that appropriate documents are available in the Aggregates Laboratory’s
Manager Office (Main Building, room 267-A) and the Lab Technicians’ work area (Main Building,
room 245).
2. The Lab Manager periodically reviews documents, and, where necessary, revises them (or
procures updated editions) to ensure continuing suitability and compliance with applicable
requirements. Standard Methods from the ASTM are updated annually as needed.
3. Unneeded, invalid or obsolete documents are promptly removed from all points of issue or use.
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4.3.1.2. Unique Identification of Controlled Documents

Quality system documents generated by the Aggregates Laboratory are uniquely identified with the revision
date, numbered pages, total number of pages, and issuing authority.
4.3.2. Document Changes
4.3.2.1. Reviews and Approvals

Changes to documents are reviewed and approved by the same function that performed the original review
unless specifically designated otherwise by the Quality Manager or the Technical Manager. The designated
personnel have access to pertinent background information upon which to base their review and approval.
Changes to this document are made only after confirming that such changes will not impair the Aggregates
Laboratory’s AASHTO accreditation.
4.3.2.2. Revisions
All altered or new text is identified in an electronic version of the document by underlining the new text and
using a strikethrough the deleted text in red font. This document is saved on a server (denoted as M:// on
staff computers) for historical purposes. An updated version of the document without underlining and
strikethrough is published for personnel use with the corresponding updated date.
4.3.2.3. Hand-Written Amendments

Generally, amending controlled documents by hand is not permitted. However, if the Quality Manager
determines that it is necessary to amend a controlled document by hand, to prevent nonconformance with
the quality system, he or she will make the correction by hand, and initial and date it. Then the revised
document will be formally re-issued as soon as practicable.
4.3.2.4. Change Control

This section describes how changes in documents maintained in computer systems are made and
controlled. All the Aggregates Laboratory’s internally-generated controlled documents are maintained on a
server (denoted as M:// on staff’s computers).
Only the Quality Manager and/or the Technical Manager are allowed to make changes to documents
maintained in computer systems. He or she opens the document to be changed, ensures that the ”track
changes” tool is activated, makes the appropriate changes, and accepts any changes from the previous
update. The file is saved as a new file, noting the change date. Note that the ”track changes” tool may not
be used for editorial (rather than substantive) changes.
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4.4. Review of Requests, Tenders and Contracts
4.4.1. Contract Review and Agreements

This section defines the Aggregates Laboratory’s procedures for reviewing requests, tenders, and
contracts.
The Aggregates Laboratory does not perform materials testing for profit, and is not available for commercial
service. Rather, the Aggregates Laboratory performs quality assurance testing for materials used in
Caltrans’ construction projects. California law (California Government Code Sections 14100 et seq.) and
federal regulations (23 Code of Federal Regulations Section 637.205) require this quality assurance testing.
These requirements are incorporated into Caltrans’ construction contracts, which provide that “materials to
be used in the work will be subject to inspection and tests by the Engineer or the Engineer’s designated
representative [METS].”
The Aggregates Laboratory receives requests for work (“requests”) in three ways:
1. Construction, or a representative of Construction, requests work on a Sample Identification Card,

Form TL-0101 (“TL-0101”). See Attachment 4.4.1(a).
2. At the direction of Construction, a contractor requests work either on a TL-0101 or in writing,
providing information substantially equivalent to that required on a TL-0101.
3. Another division of Caltrans, or another State Agency, requests work either on a TL-0101 or in
writing, providing information substantially equivalent to that required on a TL-0101.
When the Lab receives a request, the Lab Manager, or the Lab Technician he or she designates, reviews
the request and ensures that:
1. it is clear what testing is being requested;

2. the Aggregates Laboratory has the capability and resources to meet the request;
3. sufficient material has been provided to perform the requested testing;
4. the Lab uses the correct Test Procedure/Method and
5. any differences between the request and the standard procedure is resolved before any work
commences
4.4.2. Maintenance of Contract Records

Any change to the request, based on the Lab Manager or Lab Technician’s review, is documented on the
TL-0101 (or substantially equivalent documentation) or other appropriate location on the Test Report. This
includes pertinent discussions with the Customer relating to the Customer’s requirements, amount of
materials provided for testing, or the results of the testing.
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4.4.3. Subcontractor Review

For any subcontracted work, the subcontractor reviews the requests (as discussed in Section 4.4.1).
Additionally, the QM reviews the requests when he/she reviews the periodic progress reports from the
subcontractor.
4.4.4. Deviations from Requests

If the Aggregates Laboratory deviates from the requirements of the request, and the deviation was not
previously documented as required by Section 4.4.2, the Customer is notified. Such deviations are subject
to the nonconformance reporting requirements in Section 4.8, “Control of Nonconformances.”
4.4.5. Amendments to Existing Requests

If a request needs to be amended after work has begun, the review process in Section 4.4.1 is repeated,
and the Lab Manager communicates the amendments to all affected personnel.
4.5. Purchasing Services and Supplies
4.5.1. Definition and Policy

For this QMS, “services and supplies” are defined as those services and supplies that affect the quality of
tests or the Aggregates Laboratory’s output. These are listed in Table 4.5.1.
The Aggregates Laboratory’s policy for purchasing services and supplies is to ensure that they meet the
requirements specified in applicable Standard Methods. The supplies that affect the quality of tests on the
Aggregates Laboratory’s output do not require special storage. They are stored in open-shelf and cabinets
at the Aggregates Laboratory.
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TABLE 4.5.1 Services & Supplies
Service/Supply Purpose Provider/Supplies
ASTM standards Provide standard methods IHS Global Engineering

15 Inverness Way East
Englewood, CO 80112
Chemistry analysis Determine chemical METS Translab Chemistry Dept.

composition of material 5900 Folsom Blvd., MS-5
Weigh scales Equipment calibration Mettler Toledo

1900 Polaris Parkway
Columbus, OH 43240
Thermometers Equipment calibration Independent Assurance Group

5900 Folsom Blvd., MS-5
Universal testing machines, Compression and cyclic Instron Corporation

calibration and repair tests 100 Royall Street
Canton, MA 02021
4.5.2. Purchasing Documents

Purchasing documents for services and supplies contain data describing the services and supplies ordered.
These purchasing documents are reviewed and approved for technical content prior to release by the
person responsible listed in Table 4.5.2.
The Aggregates Laboratory primarily uses three different purchasing documents, as described in Table
4.5.2. The Lab Manager files copies of completed purchasing documents in his/her office.
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TABLE 4.5.2 Purchasing Documents
Purchasing Service or Supply Ordered Form Person Responsible for

Document by Purchasing Document Number Reviewing Content Prior to
Release
Receiving Calibration services, and FA-1226A Quality Manager, Technical

Record supplies needed for (Rev 8/2010) Manager, or Lab Manager
hydraulic-powered tensile
machines.
Purchase Other services or supplies not ADM-1415 Quality Manager, Technical

Request ordered by forms FA-1226A Manager, or Lab Manager
or TL-652 over $5K.
Purchasing Other services or supplies not STD-65 Quality Manager, Technical

Authority ordered by forms FA-1226A (Rev 6/2010) Manager, or Lab Manager
Purchase Order or TL-652 under $5K.
4.6. Service to the Customer
4.6.1. Clarification of Customer Requests

The Aggregates Laboratory cooperates with Customers to clarify requests and to monitor the Aggregates
Laboratory’s performance in relation to the work performed, conditioned upon maintaining confidentiality to
other Customers.
4.7. Complaints
The Aggregates Laboratory’s policy is to resolve Customer or others complaints in a timely manner. The
procedure for this includes keeping records of complaints and of the corresponding investigations and
corrective actions taken, if appropriate. Attachment 4.7(a) documents this procedure. The complaint form
is shown in Attachment 4.7(b).
4.8. Control of Nonconformances

The Aggregates Laboratory has a policy and procedures that it implements when there is a
nonconformance. A nonconformance is any aspect of testing, or the results of the testing, that do not
conform to the Aggregates Laboratory’s quality system. Note that a Customer’s material, which has been
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tested in accordance with the quality system, but does not meet contractual specifications, is not a
nonconformance for the purposes of this QMS.
The Aggregates Laboratory’s policy and procedures for control of nonconformances are in Attachment
4.8(a). The nonconformance form is shown in Attachment 4.8(b).
4.9. Improvement
The Aggregates Laboratory continually improves the effectiveness of its management system through the
use of a quality policy, quality objectives, audit results, analysis of data, corrective actions, and
management reviews.
4.10. Preventive Action

Staff proactively suggests preventive actions to address needed improvements and potential sources of
nonconformances, either technical or concerning the quality system.
If a preventive action is required, action plans are developed, implemented and monitored to reduce the
likelihood of the occurrence of such nonconformances and to take advantage of the opportunities for
improvement.
Attachment 4.10(a) provides the procedure for performing preventive actions. The preventive action form
is shown in Attachment 4.10(b).
4.11. Corrective Action

Where nonconforming work or departures from the quality system occur, the Aggregates Laboratory’s policy
is to institute a corrective action.
Attachment 4.11(a) provides the procedure for performing corrective actions. This procedure includes
determining the root cause of the problem, selecting the corrective action, and monitoring and auditing of
the corrective action, and any other actions to prevent recurrence and to ensure the problem has been
solved. The corrective action form is shown in Attachment 4.11(b).
4.12. Control of Records

The Aggregates Laboratory has procedures for identifying, collecting, indexing, accessing, filing, storing,
and maintaining, and disposing of quality and technical records.
“Quality records” include reports from complaints, (Section 4.7), nonconformance reports (Section 4.8),
corrective actions (Section 4.11), and other documentation (except technical records) the QMS requires.
The Aggregates Laboratory’s procedures for controlling quality records are in Attachment 4.12(a).
“Technical records” include Test Reports and backup data (Section 5.10), equipment calibration records
(Section 5.4), and staff records (Section 5.2). Note the following about Technical Records:
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1. Test Reports (or their backup data) include original observations, derived data, and sufficient
information to establish an audit trail. They contain sufficient information to facilitate, if possible,
identification of factors affecting the uncertainty and to enable the test to be repeated under
conditions as close as possible to the original.
2. Test Reports (or their backup data) include the identity of the personnel or organization responsible
for the sampling, performance of each test, and checking of results.
3. Observations, data and calculations are recorded at the time they are made and are identifiable to
the specific task. When mistakes occur in records, each mistake is crossed out, not erased, made
illegible or deleted, and the correct value entered alongside. The person making the correction
signs or initials the correction.
4.13. Internal Audits
4.13.1. Scheduling and Organization

Beginning in 2012, every year the Aggregates Laboratory will conduct an internal audit of its activities to
verify that its operations continue to comply with the requirements of the quality system and with ASTM
Designation: C 1077, ‘Standard Practice for Agencies Testing Concrete and Concrete Aggregates for Use
in Construction and Criteria for Testing Agency Evaluation.’
The Aggregates Laboratory’s internal audit program addresses all elements of its quality system, including
the testing activities.
It is the responsibility of the Lab Manager to plan and organize audits as required by the schedule and
requested by the Quality Manager.
Such audits are carried out by trained and qualified personnel who are, wherever resources permit,
independent of the activity to be audited. The internal audit for 2012 is due prior to the end of the calendar
year.
4.13.2. Corrective Action

When audit findings cast doubt on the effectiveness of the operations or on the validity of the Aggregates
Laboratory's test results, the Aggregates Laboratory has 30 days to take corrective action, and to notify
Customers in writing if investigations show that the Aggregates Laboratory’s test results may have been
affected.
4.13.3. Documentation of Auditing Activity

The area of activity audited, audit findings, and corrective actions that arise from them are recorded in a
report.
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4.13.4. Follow-Up Audit Activity

Follow-up audit activities verify and record the implementation and effectiveness of the corrective action
taken.
4.14. Management Review
4.14.1. General
The Office Chief conducts a review of the Aggregates Laboratory's quality system and testing activities
each year to ensure their continuing suitability and effectiveness, and to introduce necessary changes or
improvements. The review takes account of:
1. the suitability of policies and procedures;

2. reports from managerial and supervisory personnel;
3. the outcome of recent internal audits;
4. corrective actions;
5. assessments by external agencies;
6. the results of proficiency tests;
7. changes in the volume and type of the work;
8. complaints; and
9. other relevant factors, such as quality control activities, resources, and staff training.
4.14.2. Actions Resulting from Review Cycle

Findings from management reviews and the actions that arise from them are recorded.
The Office Chief ensures that these actions are carried out within a period of three months, or on an
appropriate and agreed timescale.
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Attachment 4.1.4(a): Caltrans Organization Chart
Caltrans Director
Project Delivery
Deputy Director
Division Chief Division Chief Division Chief Division Chief

Design Engineering Project Construction
Deputy Division Chief

Materials and Geotechnical Services
Office Chief
Office of Structural Materials
Branch Chief
Concrete Materials Testing Branch
Quality Manager
Materials & Research Transportation Engineer, Civil

Engineering Associate (MREA) ‘Technical Manager’
‘Lab Manager’
Transportation Engineering
Technicians
‘Lab Technicians’
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Attachment 4.1.4(b): Aggregates Laboratory Staff Organization Chart
Quality Manager
James Sagar, Senior TE
Concrete Materials Branch Chief
Francisco Romero, Deputy
Lab Manager Technical Manager

Thomas Stinnett, Acting MREA Francisco Romero, TE
Kevin Odekirk , Deputy Thomas Stinnett, Deputy
Lab Technicians
Kevin Odekirk, TET
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Attachment 4.1.5(a): Conflict of Interest Statement
Attachment 4.1.5(b): Protection of Customer’s Information
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1. Policy for Protection of Customers’ Information.
• Records in the Aggregates Laboratory are stored to protect their privacy and yet allow their
access by Caltrans Staff.
• There is no unauthorized release of Customers’ information.
• The Aggregates Laboratory Staff do not provide Customers’ information to outside agencies or
personnel unless the Quality Manager approves otherwise.
• This protection is subject to the requirements of California's freedom of information law, the
California Public Records Act, Government Code sections 6250 et seq.
2. Procedure for Protection of Customers’ Information.
• The method of storage is in common file cabinets that are not locked, in a secure building.
Electronic test reports are stored in the common network drive using the STATS program.
• The file cabinets are located in the Lab Manager’s office, room 267-A in the Main Building.
• Long-term storage of records is located in the Lab Manager’s office, room 267-A in the Main
Building. Authorized access to the files is limited to Caltrans Staff.
• If there is any doubt or question regarding the release of information the Quality Manager is
notified for further direction.
3. Procedure for Handling Electronic Data
• Electronic versions of Customers’ Information are handled with the same care as that of physical
information.
• Access to the Aggregates Laboratory’s computers is protected by passwords.
• Electronic data is backed up weekly by Caltrans’ information technology personnel.
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Attachment 4.1.5(c): Record of Completion for Ethics Orientation
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Attachment 4.4.1(a): Sample Identification Card (FORM TL-0101)
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Attachment 4.7(a): Procedure for Handling Complaints
1. When the Aggregates Laboratory is contacted with a complaint, the person receiving the complaint
(“Complaint Recipient”) records it on the Complaint Form 4.7, Attachment 4.7(b).
2. Fill out the Complaint Form as follows:
a. Under “Complaint Number,” assign a number to the complaint. This is a tracking number, in
the format YYYYMMDD-X, where “YYYY” is the year, “MM” is the month, “DD” is the day, and
“X” is the number of the complaint on a given day. For example, the third complaint received
on January 27, 2009 would be given the following Complaint Number: 20090127-3
b. If applicable, note the contract/project number; otherwise, note any other information that helps
identify the problem (i.e., type of material, specification, etc.).
c. Describe the complaint as completely as possible.
d. Continue to fill out the Complaint Form, including whether the Complaint Recipient was able to
resolve it immediately, or whether the complaint had to be forwarded to another Staff member
(the “Complaint Reviewer”). If the Complaint Recipient has to forward the complaint to a
Complaint Reviewer, he or she asks the QM to identify the appropriate person.
3. If the complaint is forwarded to a Complaint Reviewer, he or she does the following:
a. Works with the QM, Technical Manager, and Lab Manager to collect relevant information.
b. Discusses the relevant information with the QM, and resolves the complaint. Any
correspondence between Aggregates Laboratory and the Complainant must reference the
Complaint Number.
c. Adequately documents the resolution on the Complaint Form, attaching any necessary
documentation.
d. Performs any follow-up to the complaint, and adds any additional documentation to the
Complaint Form, including any applicable nonconformance documentation.
e. Signs the Complaint Form, has the QM sign it, and files it in the Lab Manager’s office.
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Attachment 4.7(b): Complaint Form
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Attachment 4.8(a): Policy and Procedures for Nonconformances
POLICY
Nonconformances are handled promptly, with the goal of minimizing customer service and adhering to the
principles of the QMS.
Nonconformances are subject to the corrective action policy and procedures in Section 4.10 and
Attachment 4.10(b).
PROCEDURES
1. The Quality Manager is responsible for controlling nonconformances.
2. When a nonconformance is identified, the QM has two responsibilities: (1) controlling the materials
affected by the nonconformance, and (2) ensuring the nonconformance does not happen again
a. Controlling the nonconformance. The QM does the following to control the nonconformance:
i. quarantine the affected material, if applicable (sometimes documentation- or

recording-type nonconformances do not require material to be quarantined; if no
quarantine is required, go to step 2.iv below)
ii. if the material is quarantined, determine the disposition of the affected material; options
are
1. testing results for the material are found acceptable, and results can be
released (or previously-reported results are not recalled)
2. testing results for the material are found unacceptable, and results cannot be
released (or previously-reported results must be recalled); however, material
can be retested and no further samples are required
3. testing results for the material are found unacceptable, and results cannot be
released (or previously-reported results must be recalled); however, existing
material cannot be retested and further samples from the Customer are
required
iii. follow one of the three options above, removing material from quarantine as
appropriate
iv. document the control of the nonconformance in a Nonconformance Report (“NCR”),

Attachment 4.8(b), in the form of a memo. The tracking number assigned to the NCR
is in the format YYYYMMDD-X, where “YYYY” is the year, “MM” is the month, “DD” is
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the day, and “X” is the number of the nonconformance on a given day. For example,
the third nonconformance on January 27, 2009 would be given the following NCR
tracking number: 20090127-3
v. This NCR is either filed in the Aggregates Laboratory Manager Office, or attached to
the corrective action documentation discussed in step b. below.
b. Ensuring the nonconformance does not occur again. This is done by following the corrective
action policy and procedures in Section 4.10 and Attachment 4.10(a). Appropriate
documentation from controlling the nonconformance will be included with the Correction Action
Form 4.10(b).
Attachment 4.8(b): Nonconformance Report
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Attachment 4.10(a): Preventive Action Procedure
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1. When a preventive action is suggested, the person suggesting it fills out the first two rows of the
Preventive Action Form 4.10, Attachment 4.10(b). This person assigns the suggestion a
“Preventive Action Number,” which is a tracking number with the format YYYYMMDD-X, where
“YYYY” is the year, “MM” is the month, “DD” is the day, and “X” is the number of the preventive
action on a given day. For example, the third corrective action on January 27, 2009 would be
given the following Corrective Action Number: 20090127-3
2. The person suggesting the preventive action then gives the form to the QM or Technical
Manager, who appoints an Investigator. The Investigator studies the suggested preventive action
and discusses it with the QM, who decides whether it merits further study.
3. If so, the Investigator has three tasks: developing, implementing, and monitoring the preventive
action, all of which are documented on the Preventive Action Form.
a. Development. The Investigator determines how the preventive action will be implemented.
b. Implementation. The Investigator works with the appropriate Lab Staff to implement the
preventive action.
c. Monitoring. The Investigator studies the results of the preventive action and determines if it
is likely to reduce nonconformances or otherwise improve the quality system. Based on this,
the Investigator recommends whether the preventive action be incorporated in the QMS.
4. The QM reviews the Investigator’s recommendation and determines whether the preventive
action will be incorporated into the QMS. If it is to be incorporated in the QMS, then the QM
ensures that the QMS is amended in accordance with section 4.3.2. The QM then files the
completed Preventive Action Form in the Aggregates Laboratory Manager’s office.
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Attachment 4.10(b): Preventive Action Form
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Attachment 4.11(a): Corrective Action Procedure
1. When a need for corrective action is reported, the reporting person fills out the first two rows of
the Corrective Action Form 4.10(b). Under “Corrective Action Number,” the reporting person
assigns a tracking number to the report, in the format YYYYMMDD-X, where “YYYY” is the year,
“MM” is the month, “DD” is the day, and “X” is the number of the correction action on a given
day. For example, the third corrective action on January 27, 2009 would be given the following
Corrective Action Number: 20090127-3
2. The reporting person then gives the form to the QM or Technical Manager, who assigns a person
to investigate the root cause of the problem requiring corrective action. This assigned person is
the Investigator.
3. The Investigator fills out the Corrective Action Form as follows:
d. Record the appropriate identifying information, such as project number.
e. Determine the root cause of the problem. Once this is identified, determine possible
corrective actions and discuss them with the QM or Technical Manager.
f. After receiving concurrence of the QM or Technical Manager for the appropriate steps,
record these. Include the actions to be taken, the monitoring plan for ensuring effectiveness
of the actions (i.e., no recurrence), and any additional auditing.
g. As these steps are completed, document and indicate so. Attach appropriate documentation
as needed, including any applicable nonconformance report.
h. Once the actions have been taken, and applicable monitoring and/or auditing have been
done, sign the form, and have the QM sign it.
5. File the completed Corrective Action Form in the Aggregates Laboratory Manager’s office.
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Attachment 4.11(b): Corrective Action Form
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Attachment 4.12(a): Procedures for Controlling Quality Records
1. Identification. Each quality record has sufficient information for identification, typically including
title and some form of number. For example, each Complaint, Nonconformance Report, and
Corrective Action has a unique identifying number (see sections 5.7 to 5.10).
2. Collection. Records are collected for filing. Who collects and files the records depends on the
specific record. For example, the Quality Manager is responsible for collecting and filing
Corrective Action Forms [see Attachment 4.11(a)], while the Complaint Reviewer files Complaint
Forms [see Attachment 4.7(a)].
3. Indexing, Accessing, and Filing. Files are indexed and filed so that access is easy. Most quality
records indexed and filed in the Aggregates Laboratory Manager’s office, which means that they
are filed in a filing cabinet under the QMS section that requires them. For example, Authorizations
of Lab Activities, as required by section 5.2.5, are filed under the index tab “5.2.5.” Similarly,
Complaint Forms, as required by section 4.8, are filed under the index tab “4.8.”
4. Storage and Maintenance. All records are legible, stored and retained for ease of access, at the
Aggregates Laboratory Manager’s office, room 267-A in the Main Building.
5. Disposal. Quality records are maintained for a minimum of five years.
6. Electronic Storage. Electronic records are backed up, on a remote server, weekly. Access to
electronic records is restricted by passwords.
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5. Technical Requirements
5.1. General
5.1.1. Contributing Factors

Many factors determine the correctness and reliability of the tests the Aggregates Laboratory performs.
These factors include contributions from human factors (Section 5.2), accommodation and environmental
conditions (Section 5.3), Test Procedures and validation of Test Methods (Section 5.4), equipment (Section
5.5), measurement traceability (Section 5.6), sampling (Section 5.7), and handling of test items (Section
5.8).
5.1.2. Implementation of Factors

The extent to which the above factors contribute to the total uncertainty of measurement varies considerably
among the Aggregates Laboratory’s different Test Procedures.
5.2. Personnel
5.2.1. Qualifications
The QM ensures the competence of the Technical Manager and the Lab Manager. The Lab Manager
ensures the competence of the Lab Technicians who operate specific equipment and perform tests. The
Office Chief ensures the competence of the QM, who evaluates test results, signs Test Reports, and
accepts calibration certificates.
When using staff that is undergoing training, the QM, Technical Manager or Lab Manager (as appropriate)
provides necessary supervision.
Staff performing specific duties and tasks is qualified on the basis of appropriate education, training,
certification, experience, and demonstrated skills.
Table 5.2.1(a) lists the duties and tasks of each staff member, and the education, training, and skills
required to perform those duties and tasks.
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TABLE 5.2.1(a) Duties & Tasks of the Aggregates Laboratory Staff
QMS Position California State Civil Duties and Tasks Education, Training,
Service Classification Experience and
Demonstrated Skills
Requirements
Quality Manager Senior Transportation As provided in Sections Attachments 5.2.1(a)

Engineer 4.1.4, 4.1.5, 4.1.6, 4.2.4, and 5.2.4(a).
4.2.6, 4.2.7, 4.3.2, 4.4.2,
4.4.3, 4.4.4, 4.5.1, 4.5.2, 4.6
4.7, 4.8, 4.9, 4.10, 4.11,
4.12, 4.13, 5.2.1, 5.2.2,
5.2.3, 5.2.5, 5.3.4, 5.3.5,
5.4.1, 5.4.6, 5.5.2, 5.5.10,
5.6.1, 5.6.2.
Technical Transportation As provided in Sections Attachments 5.2.1(b)
Manager Engineer (Civil) 4.1.4, 4.1.5, 4.5.2, 4.7, 4.8, and 5.2.4(b).
4.9, 4.10, 4.11, 4.12, 5.2.1,
5.2.5, 5.4.6, 5.6.3, 5.10.
Lab Manager Materials and As provided in Sections 2.2, Attachments 5.2.1(c)
Research Engineering 4.1.4, 4.1.5, 4.3.1, 4.3.2, and 5.2.4(c).
Associate 4.4.1, 4.4.2, 4.4.4, 4.4.5,
4.5.2, 4.6, 4.7, 4.8, 4.9,
4.10, 4.11, 4.12, 4.13, 5.2.1,
5.2.3, 5.2.5, 5.3.4, 5.4.6,
5.3.5, 5.5.2, 5.5.3, 5.5.5,
5.5.6, 5.6.1, 5.6.2, 5.6.3,
5.7, 5.8, 5.10.
Lab Technicians Transportation As provided in Sections Attachments 5.2.1(d)
Engineering 4.1.4, 4.1.5, 4.4.1, 4.4.2, and 5.2.4(d).
Technicians 4.6, 4.7, 4.8, 4.9, 4.10, 4.11,
4.12, 4.13, 5.2.5, 5.4.6,
5.5.2, 5.5.3, 5.5.6, 5.7, 5.8,
5.10.
5.2.2. Training
The QM formulates the goals for the education, training, and skills of the staff.
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These goals are discussed in 5.2.2(a), which details the in-house job related training. The training program
is relevant to the present and anticipated tasks of the Aggregates Laboratory. Records of training are filed
in the Aggregates Laboratory Manager’s office. It includes certifications related to the job to be performed
at the Aggregates Laboratory.
5.2.3. Resources
The Aggregates Laboratory uses personnel who are employed by, or under contract to, the Lab. When
contracted and additional technical and key support personnel are used, the QM ensures that only
competent contract personnel are used, and the Lab Manager supervises them to ensure they work in
accordance with Aggregates Laboratory’s quality system. Currently, the Aggregates Laboratory does not
use contract employees.
5.2.4. Job Descriptions

In California State Service, job descriptions comprise two documents: the minimum qualifications for the
civil service position, and a duty statement that details the specific duties and tasks of an employee, or of
a class of employees, in that civil service position. The Aggregates Laboratory maintains the current
minimum qualifications and duty statements for staff in Attachments 5.2.1(a) to 5.2.1 (d), and 5.2.4 to
5.2.4(d), respectively.
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5.2.5. Authorization of Aggregates Laboratory Activities

Staff members are authorized to perform the Aggregates Laboratory activities shown in Table 5.2.5(a):
TABLE 5.2.5(a) Authorization of Aggregates Laboratory Activities
Authorizing Authorized Staff Duties/Tasks Location of

Individual Member(s) Authorization
Office Chief Senior Transportation Provide engineering opinions Aggregates

Engineer and interpretations, and Laboratory Manager
manage the quality system per Office
this QMS.
Quality Manager Technical Manager As listed in Table 5.2.1. Aggregates
(Branch Chief) (Transportation Laboratory Manager
Engineer) Office
Quality Manager Lab Manager (MREA) As listed in Table 5.2.1. Aggregates

(Branch Chief) Laboratory Manager
Office
Quality Manager Lab Technician (TET) Perform Test Procedures listed Aggregates
(Branch Chief) in Appendix A, using equipment Laboratory Manager
listed in Appendix D, and as Office
listed in Table 5.2.1.
The QM reviews the records of relevant authorizations for each staff member, as well as competence,
educational and professional qualifications, training, skills, and experience. Records of this information are
filed in the Aggregates Laboratory Manager Office.
5.3. Accommodation and Environmental Conditions
5.3.1. Environmental Requirements

Energy sources, lighting, and environmental conditions (collectively referred to as “environmental
conditions”) facilitate the Aggregates Laboratory’s correct performance of the Test Procedures.
The Aggregates Laboratory ensures that the environmental conditions do not invalidate results or adversely
affect the required quality of any measurement. This is done by following, in the Test Procedures (Appendix
A), any appropriate technical requirements for accommodation and environmental conditions that may
affect the results of the test for each sample.
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5.3.2. Environmental Conditions that May Impact Results

The Aggregates Laboratory monitors, controls, and records environmental conditions as required by the
relevant Test Procedures (Appendix A) for each sample, or when environmental conditions may influence
the quality of the results. Due attention is paid to those environmental conditions documented in the Test
Procedures.
Tests are stopped when the environmental conditions jeopardize the results of testing.
5.3.3. Preventive Measures

There is effective separation between neighboring areas in which incompatible activities exist. Measures
are taken to prevent cross-contamination.
5.3.4. Controlled Access

Access to and use of areas affecting the quality of the tests are properly controlled. The QM or Lab Manager
determines the extent of access based on the circumstances.
5.3.5. Lab Maintenance

Measures are taken to ensure good housekeeping in the Aggregates Laboratory to ensure the safety of
both staff and the Aggregates Laboratory's equipment, including, but not limited to, a silica exposure control
plan. See Attachment 5.3.5(a) for plan details. Special procedures are prepared when necessary at the
discretion of the QM or Lab Manager. A monthly inspection check list is filled out to monitor the lab
maintenance and environmental safety. See Attachment 5.3.5(b) for a copy of the Monthly Inspection Check
List.
5.4. Test Methods, Calibration Methods and Validation
5.4.1. Method Types

This QMS uses the following terminology:
Test Procedure: The entire set of procedures for testing a type of material. The procedures in each Test
Procedure include sampling, handling, transportation, storage, and preparation of materials to be tested.
Test procedures are used for different types of materials, so each test procedure generally comprises
several standard methods.
Standard Method: Industry-standard procedures for testing different types of materials or conducting
specific types of material tests. Test procedures typically comprise several standard methods.
Organizations that produce standard methods include:
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1. American Society for Testing Materials (“ASTM”)

2. Caltrans California Test Methods
Non-Standard Test Procedures: Test procedures that do not entirely follow a standard method.
At the present time, the Aggregates Laboratory performs materials testing based on standard methods
only.
Table 5.4.1(a), lists the aggregates-related materials tested by the Aggregates Laboratory, and the
individual standard methods used in each test procedure.
Aggregates-Related Material Type Standard Methods/Caltrans Tests Used
Fine Aggregates C 136, C 289, D 1260, D 1293, CT 201, CT 202, CT

205, CT 207, CT 208, CT 213, CT 214, CT 217, CT
229, CT 515
Coarse Aggregates C 136, C 289, D 1260, D 1293, CT 201, CT 202, CT
205, CT 206, CT 211, CT 214, CT 227, CT 229
Soil Materials CT 201, CT 202, CT 206, CT 217, CT 226, CT 301,

CT 203, CT 204, CT 209, CT 216, CT 643, CT 417,
CT 422
Cement Material C 188
5.4.1.1. Availability
Test procedures, standard methods, and other technical reference materials relevant to Aggregates
Laboratory’s work are kept up to date and are readily available to staff, in accordance with Section 4.3,
“Document Control.”
5.4.1.2. Deviations from Test Procedures

Deviation from test procedures are allowed only if the deviation has been documented, it is technically or
contractually justified, authorized by the QM, and accepted by the Customer. Where the Customer is
Construction, acceptance by OSM staff (other than the Aggregates Laboratory’s staff) is adequate.
5.4.2. Selection of Test Methods

The Aggregates Laboratory uses standard methods referenced in each of the Aggregates Laboratory’s
Aggregates-related materials. These standard methods are generally national or regional standards.
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The Aggregates Laboratory refers to the latest valid versions of the standard methods, and other technical
reference materials, unless the Customer requires older versions.
5.4.3. Non-Standard Test Methods

When it is necessary to use non-standard test methods, they are subject to agreement with the Customer.
This agreement includes a clear specification of the Customer’s requirements and the purpose of the non-
standard test method used by the Aggregates Laboratory. Non-standard test methods are validated per
Section 5.4.4.
5.4.4. Validation of Test Procedures
5.4.4.1. Definition
Validation is the confirmation by testing and the provision of objective evidence that the particular
requirements of a test method for a specific intended use are fulfilled.
5.4.4.2. Applicability
Laboratory-developed test methods, non-standard test methods, test methods used outside their intended
scope, and amplifications and modifications of test methods require validation.
The validation is as extensive as is necessary to meet the needs of the given application or field of
application. The Lab records the results obtained and the procedures used for the validation, and states
whether the method is fit for its intended use.
5.4.4.3. Range and Accuracy

The range and accuracy of the values obtainable from validated test methods (e.g., the uncertainty of the
results, detection limit, method selection, linearity, limit of repeatability or reproducibility, robustness against
external influences, or cross-sensitivity against interference from the matrix of the sample/test object), as
assessed for the intended use, are relevant to the Customers’ needs.
5.4.4.4. Validated Test Methods

The Lab has no laboratory-developed test methods, non-standard test methods, test methods used outside
their intended scope, or amplifications and modifications of test methods that require validation.
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5.4.5. Estimation of Uncertainty of Measurement
5.4.5.1. Testing
5.4.5.1.1. Policy and Procedures

In those cases where a well-recognized Standard Method specifies the limits to the values of the
major sources of uncertainty of measurement and specifies the form of presentation of calculated
results, no independent estimation of uncertainty of measurement is performed. The Aggregates
Laboratory uses Standard Methods that meet these requirements.
5.4.6. Control of Data
5.4.6.1. Calculations
Calculations and data transfers are subject to appropriate checks as described in Section 5.4.6.2.
5.4.6.2. Computer-Processed Data

Computers and automated equipment are used for the acquisition, processing, recording, reporting,
storage, and retrieval of test data. Hard copies of test data and calculations are filed as “Back Up Data,”
described in Section 5.10.2. Electronic copies of test data and calculations are stored on local servers and
databases for access by authorized personnel. See Attachment 5.4.6.2.
When using computers, the Aggregates Laboratory ensures that:
1. computer software developed by staff is documented in sufficient detail and is suitably validated as
being adequate for use;
2. procedures are established and implemented for protecting the data; such procedures include, but
are not limited to: integrity and confidentiality of data entry or collection, data storage, data
transmission, and data processing; and
3. computers and automated equipment are maintained to ensure proper functioning and are provided
with the environmental conditions necessary to maintain the integrity of test data.
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5.5. Equipment
5.5.1. Furnishings
The Aggregates Laboratory has the test equipment required for the correct performance of the tests
(including sampling, preparation of test items, computer processing, and analysis of test data). Appendix
C lists equipment that the Aggregates Laboratory uses for testing aggregates-related materials.
5.5.2. Equipment Calibration Program

The Aggregates Laboratory’s equipment and its software are capable of achieving the accuracy required
and comply with the test requirements.
5.5.2.1. Calibration Program

1. Calibration is performed by external calibration agencies for key quantities or values of the test
equipment where these properties have a significant effect on the results.
2. Calibration of test equipment is performed annually.
3. Calibrations are performed by calibration agencies accredited to ISO 17025 by a mutually
recognized accreditation body. These calibration agencies meet the requirements established by
NIST. See Attachment 5.5.2.1
4. Before being placed into service, new test equipment is either calibrated or checked to establish
that it meets the Aggregates Laboratory’s specification requirements and complies with the relevant
specifications.
5. The Lab Manager maintains calibration records in his/her office.
5.5.2.2. Calibration Program Funding

The calibration program is primarily funded through a service contract. The Lab Manager maintains these
service contracts in his/her office.
5.5.2.3. Procedures for Implementing Calibration Program

The Technical Manager and Lab Manager are responsible for successfully implementing the calibration
program.
Each month, the Lab Manager or the Technical Manager reviews the list of equipment in Appendix D to
determine whether any equipment is due to be calibrated within the next three months. If so, he/she
schedule calibration by a calibration agency accredited to ISO 17025 by a mutually recognized accreditation
body.
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Upon completion of calibration, the Lab Manager verifies that every piece of equipment identified has
actually been calibrated and a calibration certificate has been provided.
The Lab Manager keeps the calibration records in his/her office. The Technical Manager obtains copies of
the calibration certificates, which he/she uses to update the list of equipment in Appendix D.
5.5.3. Equipment Operations

Up-to-date instructions and manuals on the use and maintenance of equipment (including any relevant
manuals provided by the manufacturer of the equipment) are readily available for use by Lab Technicians.
The Lab Manager maintains equipment instructions and manuals in his/her office, room 267-A, and on the
Technical Manager’s office, room 245-A in the Main Building.
Maintenance of the Lab’s equipment is performed and recorded according to the Equipment Maintenance
Plan, located in the Aggregates Laboratory Manager office, room 267-A in the Main Building.
5.5.4. Equipment Item Identification

To the extent practicable, each item of equipment and its software, if applicable, used for testing significant
to the result is uniquely identified. Appendix D lists this equipment, with appropriate identifying numbers.
5.5.5. Equipment Item Records

Records are maintained of each item of equipment and the software significant to the tests performed. The
records include the following:
1. the identity of the equipment item and its software, if applicable;

2. the equipment manufacturer’s name, type identification, and serial number or other unique
identification;
3. the status of the equipment’s calibration (see Section 5.5.2);
4. the current physical location, where appropriate;
5. the equipment manufacturer’s instructions, if available, or reference to their location;
6. dates, results, and copies of reports and certificates of all calibrations, adjustments, acceptance
criteria, and the due date of next calibration;
7. the equipment maintenance plan, where appropriate, and maintenance carried out to date; and
8. any damage, malfunction, modification, or repair to the equipment.
Equipment item records are filed in a series of binders located in the Lab Manager’s office.
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5.5.6. Equipment Maintenance and Handling Techniques

Instructions for safe handling, transport, storage, use, and planned maintenance to ensure proper
functioning and prevent contamination or deterioration are located in the Lab Manager’s office. Planned
maintenance of the Lab’s test equipment is performed and recorded according to the Lab’s Equipment
Maintenance Plan.
5.5.7. Out-of-Service Provisions

Equipment that has been damaged by overloading or mishandling, gives suspect results, or has been
shown to be defective or outside specified limits, is taken out of service. It is then isolated to prevent its use
or clearly labeled or marked as being out-of-service until it has been repaired and shown by calibration or
testing to perform correctly.
The Lab examines the effect of the defect or departure from specified limits on previous tests, and, if
appropriate, institutes the nonconformance procedures in Section 4.8.
5.5.8. Calibration Status of Equipment Under the Aggregates Laboratory’s Control

To the extent practicable, all equipment under the Lab’s control that requires calibration is labeled with a
sticker to indicate the status of calibration. The sticker includes the date when last calibrated and the date
when recalibration is due. Third agencies which calibrate the Aggregates Laboratory’s testing equipment
do this and the sticker applied to the calibrated equipment item reflects the calibration certificate associated
with that equipment item.
5.5.9. Intermediate Equipment Calibration Checks

Intermediate calibration checks using reference calibration materials are used to maintain confidence in the
calibration status of the equipment. Currently, the Aggregates Laboratory does not perform intermediate
calibration checks.
5.5.10. Correction Factors

When test results give rise to a set of correction factors, the Aggregates Laboratory writes procedures to
ensure that copies of the test results (e.g., in computer software format) are correctly updated.
Currently, the Aggregates Laboratory does not have test results that give rise to a set of correction factors.
5.5.11. Hardware and Software Protection

Test equipment, including both hardware and software are safeguarded from adjustments that would
invalidate test results. This is done by limiting access to only the Aggregates Laboratory staff or others
expressly authorized by the QM or Lab Manager.
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5.6. Measurement Traceability
5.6.1. Equipment Calibration Procedures

As discussed in Section 5.5.2 and Attachment 5.5.2.1(a), all equipment used for tests, including equipment
for subsidiary measurements (e.g., for environmental conditions), that have a significant impact on the
accuracy or validity of the result of the test, is calibrated by external calibration agencies before being put
into service.
5.6.2. Calibration
5.6.2.1. Calibration
5.6.2.1.1. Calibration
The Aggregates Laboratory is not a calibration laboratory.
The Aggregates Laboratory uses external calibration agencies for equipment calibration.
Traceability of measurement is assured by only using calibration laboratories that can demonstrate
competence, measurement capability, and traceability.
The calibration certificates issued by these calibration laboratories contain the measurement
results, including the measurement uncertainty and/or a statement of compliance with an identified
metrological specification.
5.6.2.1.2. Traceability to Measurement Standards

There are certain calibrations that currently cannot be strictly made in SI units. In these cases,
calibration of test equipment performed by calibration agencies, provide confidence in the
calibration measurements by establishing traceability to appropriate standards such as:
1. the use of certified reference materials provided by a competent supplier to give a reliable
physical or chemical characterization of a testing material.
2. the use of specified methods and/or consensus standards that are clearly described and
agreed by all parties concerned.
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5.6.2.2. Testing
5.6.2.2.1. Determination of Uncertainty

The requirements in Section 5.6.2.1 do not apply for the Aggregates Lab’s test equipment because
the associated contribution from the calibration generally contributes little to the total uncertainty of
the test result.
5.6.2.2.2. Traceability to SI Measurements

Where traceability of measurements to SI units is not possible and/or not relevant, the same
requirements for traceability to, for example, certified reference materials, or agreed methods
and/or consensus standards, are required as for calibration laboratories.
5.6.3. Reference Standards and Reference Materials
5.6.3.1. Reference Standards

This requirement is not applicable to the Aggregates Laboratory, which is not a calibration laboratory.
5.6.3.2. Reference Materials

This requirement is not applicable to the Aggregates Laboratory.
5.7. Sampling
5.7.1. Sampling Plans

The Aggregates Laboratory’s staff does not perform sampling. Sampling is done by source inspectors from
OSM’s Quality Assurance, Source Inspection Branches, and Construction Personnel. The sampling of
materials for subsequent testing is conducted in accordance with the sampling procedures provided in the
OSMPP.
5.7.2. Deviations from the OSMPP’s Sampling Procedures

Sometimes the Customer requires deviations, additions, or exclusions from the OSMPP’s sampling
procedures. When this happens, the OSM’s Quality Assurance, Source Inspection source inspectors, and
Construction Personnel record on the TL-0101, the deviations, additions, or exclusions in detail with the
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appropriate sampling data. By including this information on the TL-0101, the Aggregates Laboratory is
notified, and the information becomes part of the test results.
5.7.3. Sampling Procedures

The OSMPP provides instructions for recording relevant data and operations related to sampling that forms
part of the testing that is undertaken.
The relevant data and operations are recorded on the TL-0101, which includes the following information:
1. the sampling procedure used (normally from the OSMPP, Standard Methods, or Standard
Specifications);
2. identification of the sampler (the OSMPP refers to the sampler as the “source inspector”);
3. whether or not the samples are for retesting;
4. if relevant, environmental conditions; and
5. if necessary, diagrams or other equivalent means to identify the sampling location, and if
appropriate, the statistics the sampling procedures are based upon (normally this information is
incorporated into the referenced Standard Method or Standard Specifications section).
5.7.4. Sampling Procedures for a Retest

If the sampling is for a retest, as the Standard Specifications or Standard Methods generally allow, the
samples are properly marked as retest samples.
5.8. Handling of Test Items
5.8.1. Procedures
The Aggregates Laboratory has procedures for the transportation, receipt, handling, protection, storage,
retention, or disposal of test items, including all provisions necessary to protect the integrity of the test item,
and to protect the interests of the Aggregates Laboratory and the Customer. The following are the
Aggregates Laboratory’s procedures for admission, retention and disposal of test items.
1. Admission. Check service level of contract before proceeding any further.

2. Retention. Test items that do not meet the Customer’s requirements, and the material from which
the test items were sampled, if applicable, are generally retained for a minimum of 30 days. At the
discretion of the Lab Manager, and if space allows, test items may be retained longer.
3. Disposal. Test items that meet the Customer’s requirements, and the material from which the test
items were sampled, if applicable, are generally disposed of within five days of testing.
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Refer Appendix E for “Service Level Verification Flowchart”
5.8.2. Item Identification

The Aggregates Laboratory identifies test items, either by physically marking them or attaching identifying
tags to them. The identification is retained throughout the life of the item, and ensures that items cannot be
confused physically, or when referred to in records or other documents.
5.8.3. Abnormalities and Departures

Upon receipt of the test item, abnormalities or departures from normal or specified conditions, as described
in the Standard Method, Standard Specifications, or OSMPP section referenced therein, are recorded on
the TL-0101.
When there is doubt as to the suitability of an item for use in materials testing, or when a test item does not
conform to the description provided, or the testing required is not specified in sufficient detail, the
Aggregates Laboratory Staff consults with the Customer for further instructions before proceeding and
documents the discussion.
5.8.4. Test Sample Protection

The Aggregates Laboratory has procedures and appropriate facilities for avoiding deterioration, loss, or
damage to the test sample during storage, handling, and preparation. Handling instructions provided with
the sample are followed.
When test samples have to be stored or conditioned under specified environmental conditions, these
conditions are maintained, monitored, and recorded as required by the appropriate standard specification.
When a test item or a portion of an item is to be held secure, the Aggregates Laboratory arranges for
storage and security that protect the condition and integrity of the secured items or portions concerned.
5.9. Assuring the Quality of Test Results

The Aggregates Laboratory has quality control procedures for monitoring the validity of tests undertaken.
The resulting test data is recorded in such a way that trends are detectable and, when practicable, statistical
techniques are applied when reviewing the results.
Proficiency testing programs are monitored and reviewed to assure the quality of the test results produced
by the Aggregates Laboratory. See Attachment 5.9(a).
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5.10. Reporting the Results
5.10.1. General
The results of each test or series of tests carried out by the Aggregates Laboratory are reported accurately,
clearly, unambiguously, and objectively, and in accordance with the appropriate Test Specification and
Customer requirements.
5.10.2. Test Reports and Calibration Certificates

The primary purpose of the Aggregates Materials testing activities is to inform Construction whether or not
the tested material (which is to be used for construction projects) meets contractual requirements.
The Aggregates Laboratory reports the test results in three documents:
1. Aggregates Materials Testing Results using DIME: Test results are sent electronically to the
Customer (usually Construction), via electronic mail, stating whether the materials meet the
Customer’s requirements. These documents are stored electronically. See Attachments 5.10.2(a),
(b), and (c) for some examples. Note: If there is a failing test result, additional parties are to be
informed: Supplier and DMEs.
2. Test Report: The Test Report, in hard copy format, is the Lab’s official test report. See Attachments
5.10.2(a), (b), and (c) for some examples of the final test report with the appropriate test results.
3. Back Up Data: This includes the actual testing results, the TL-0101, forms filled out by Lab
Technicians, printouts from testing equipment, and any other information gathered during the
sampling and testing procedures. Back Up Data are attached to the associated Test Report.
These three documents together comprise Aggregates Laboratory’s record of its test results for a submitted
sample.
5.10.3. Test Reports
5.10.3.1. Interpretation of Results
In addition to the requirements listed in Section 5.10.2, Test Reports, when necessary for the interpretation
of test results, include the following:
1. deviations from, additions to, or exclusions from the Test Method, and information on specific test
conditions, such as environmental conditions;
2. a statement of compliance/non-compliance with the reference specifications;
3. when appropriate and needed, opinions and interpretations; see Section 5.10.5; and
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4. additional information, which may be required by specific Test Specifications, Customers, or groups
of Customers.
5.10.3.2. Details Needed for Test Reports
In addition to the requirements listed in Sections 5.10.2 and 5.10.3.1, Test Reports containing the results
of sampling include the following, when necessary for the interpretation of test results:
1. the date of sampling;

2. unambiguous identification of the material sampled (including the name of the manufacturer, the
model or type of designation (Lot No.), and serial numbers (Sample No.) as appropriate;
3. the location of sampling, including any diagrams, sketches, or photographs; this is reported on the
TL-0101;
4. whether the testing conducted was a retest (as discussed in Section 5.7.4);
5. a reference to the sampling plans and procedures used; this is reported on the TL-0101;
6. details of any environmental conditions during sampling that may affect the interpretation of the test
results; and
7. any standard or other specification for the sampling method referenced within the particular Test
Specification used, and deviations, additions to, or exclusions from the specification concerned.
5.10.4. Opinions and Interpretations
When opinions and interpretations are included in a Test Report, the Lab documents the basis upon which
the opinions and interpretations have been made. Opinions and interpretations are clearly marked as such
in the appropriate place in a Test Report.
Opinions and interpretations included in a Test Report may comprise, but are not limited to, the following:
1. an opinion on the statement of compliance/non-compliance of the results with the requirements;

2. fulfillment of contractual requirements;
3. recommendations on how to use the results; and
4. guidance to be used for improvements.
Alternatively, opinions and interpretations may be communicated to the Customer by letter, memo,
electronic mail or telephone, rather than through a Test Report.
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5.10.5. Testing Results Obtained from Subcontractors

When the Test Report contains results of tests performed by subcontractors, these results are clearly
identified. The subcontractor reports the results in writing or electronically.
5.10.6. Electronic Transmission of Results

In the case of transmission of test results by telephone, telex, facsimile (fax), electronic mail, or other
electromagnetic means, the requirements regarding Control of Data, are met. See Section 5.4.7.2.
5.10.7. Format of Test Reports

The format is designed to accommodate each type of test carried out by the Aggregates Laboratory and
to minimize the possibility of misunderstanding or misuse.
5.10.8. Amendments to Test Reports

Material amendments to a Test Report after issue are made only in the form of a further document, or data
transfer, which includes the statement:
“Supplement to Test Report number ________” or an equivalent form of wording.
When it is necessary to issue a new Test Report, it is uniquely identified and contains a reference to the
original Test Report that it replaces.
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Attachment 5.2.1(a): Senior Transportation Engineer Minimum Qualifications
DEFINITION
Under general direction, (1) as a first line supervisor to have charge of varied and difficult transportation
engineering work in the field or office involving the supervision of engineers and others engaged in
transportation development activities; or (2) in a specialist capacity, to perform other difficult and complex
engineering work relating to specialized transportation projects, research studies, planning and operations
of transportation systems; or (3) provide technical oversight of consultants or local agency staff performing
engineering work related to the development of State transportation projects; and to do other related work.
TYPICAL TASKS
In a district, plans, assigns, and checks work, gives instructions and assistance, maintains discipline, makes
decisions and handles difficult technical and administrative problems in connection with directing the work
of engineers and others; provides technical oversight of consultants performing engineering work under
contract with the Department; manages engineering contracts between the Department and private
engineering firms; provides technical oversight of consultants or local agency staff performing engineering
work related to the development of State transportation projects funded by local agencies or private entities;
supervises the preparation of designs, plans, quantities, specifications and construction drawings for
transportation projects; as a project manager, ensures that assigned projects are completed within scope,
cost, schedule, budgeted resources, and departmental standards and practices; makes original
investigations in connection with the preparation of unusual or complicated designs; acts as a resident
engineer on large, complex or equivalent multiple construction projects; supervises the preparation of
planning and traffic studies and investigations, including transportation surveys, road inventories, and traffic
accident investigations; supervises the preparation of progress and final estimates; supervises the
preparation of investigations and economic studies of alternative transportation facility routing; supervises
transportation operational or maintenance engineering units; supervises the preparation of environmental
reports, assessment reports of surveys and investigations, investigation of hazardous materials and
appropriate mitigation and other comprehensive reports and investigations; supervises the preparation of
transportation and encroachment permits; develops personnel requirements and monitors use of personnel
in meeting engineering project and operations schedules; presents information to the public on
transportation engineering matters; represents the Department of Transportation at meetings; prepares
correspondence and reports.
In headquarters, assigns work, gives instructions, and handles difficult problems in connection with the
direction of the work of engineers and others; as a representative of headquarters, confers with engineers
in districts and others relative to the details of work planned or performed in a district; makes special reports
and investigations; develops and recommends changes in policies, programs, standards and concepts.
May act in a specialist capacity and perform difficult and complex work on specialized engineering projects
or research studies.
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MINIMUM QUALIFICATIONS
Possession of a valid certificate of registration as a civil engineer issued by the California State Board of
Registration for Professional Engineers.
And Either I
One year of transportation engineering experience in the California state service performing duties
comparable to those of an associate level engineer or Transportation Engineer (Civil), Range D.
Or II
Broad and extensive (more than five years) transportation engineering experience, two years of which are
equivalent in responsibility to that of an associate level engineer or Transportation Engineer (Civil), Range
D, in the California state service.
KNOWLEDGE AND ABILITIES
Knowledge of: Various phases of transportation engineering, including planning processes and methods,
systems planning, evaluation of alternatives, and facility locations and design, construction, operation and
maintenance; transportation economics and financing; project management concepts; factors which
influence the impact of transportation facilities on the environment, the community and the economy;
principles and techniques of personnel management and supervision; Department's Affirmative Action
Program objectives; a supervisor's role in affirmative action, health and safety and labor relations programs
and the processes available to meet their objectives.
Ability to: Plan and direct the work of others; analyze situations accurately and adopt an effective course
of action; make effective presentations; prepare correspondence and reports; communicate effectively;
effectively contribute to the Department's affirmative action objectives.
Attachment 5.2.1(b): Transportation Engineer (Civil) Minimum Qualifications
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DEFINITION
This is the entry, first working, and journey level of professional engineering work in Caltrans. At the journey
level and with registration may be in a responsible charge capacity. Under the direction of a registered
engineer, incumbents perform a wide variety of professional engineering work in either an office or field
setting; as incumbents progress in experience they will be assigned more difficult work and may function
as a lead person over the activities of various engineering and technical personnel; and do other related
work.
TYPICAL TASKS
A Transportation Engineer (Civil) performs engineering work involving plans, designs, details and
maintenance of transportation systems, in whole or in part, that may include land, rail, freeways, roads,
airports, ramps, hydraulics, sanitary facilities, bridges, nonstandard major structures or transportation-
related buildings and other structures; makes layouts, assembles specifications; reviews or assists in
reviewing project proposals, plans, and specifications prepared by others; acts as resident engineer on
small- to medium-sized construction projects; works up special provisions and contract estimates; keeps or
assists in keeping the necessary records pertaining to construction progress, job expenditures, budget
programs, and work order balances; confers with contractors regarding compliance with plans and quality
of work and construction activity; selects and/or uses computer-based processes to compile engineering
data, horizontal and vertical alignments and curve computations; develops or assists in the development or
maintenance of transportation-related state-of-the-art computer programs and procedures; makes or
revises maps, charts and diagrams; uses project management systems to budget personnel and set
milestones for transportation projects; makes field investigations of and for laboratory analysis of materials
being used in construction transportation and public works research projects; makes controlled tests and
checks performance of construction materials, soils, aggregates, cement, asphalt, concrete, and other
materials; on construction projects, analyzes and approves or assists in analyzing and approving materials
incorporated in bridges, nonstandard major structures or transportation-related buildings; evaluates or
assists in evaluating damage for all types of transportation facilities including bridges and other nonstandard
major structures; makes in-plant investigations and recommendations about materials, plant design and
operations; may use underwater diving equipment to make underwater quality control and structure
investigations; performs transportation operational, traffic operations, planning or maintenance engineering
tasks; prepares and presents information to the public about all types of transportation engineering matters;
tests for and prepares environmental reports, assessment reports of transportation surveys, investigations
and analysis statements, and air and water quality reports; assists a registered engineer in performing
professional engineering work; may lead other engineering and technical personnel.
Either I
Graduation from a four-year curriculum in civil engineering accredited by the Accreditation Board for
Engineering Technology (ABET). (Registration as a senior in such a curriculum will admit an applicant to
the competition, but she/he must produce evidence of graduation before she/he will be considered eligible
for appointment.) (Possession of a valid certificate as an Engineer-in-Training issued by the California
State Board of Registration for Professional Engineers and Land Surveyors, or issued by another
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jurisdiction and accepted by the California Board in lieu of the first division of the examination as an engineer
may be substituted for the required education.)
Or II
Possession of equivalent qualifications may be demonstrated by graduation from an engineering
curriculum, which includes the basic engineering courses normally covered in a standard four-year
engineering curriculum, and by qualifying in a written examination covering basic engineering. (Registration
as a senior in such a curriculum will admit an applicant to the qualifying examination, but she/he must
produce evidence of graduation before she/he will be considered eligible for appointment.)
Or III
A master's or doctorate degree in a civil engineering curriculum from a college or university that has a
baccalaureate degree program in a civil engineering curriculum which is accredited by the Accreditation
Board of Engineering Technology (ABET). (Registration as a candidate in such a curriculum will admit an
applicant to the competition but she/he must produce evidence of graduation before she/he will be
considered eligible for appointment.)
Knowledge of: Basic principles of physics, chemistry, and mathematics as applied to civil engineering;
engineering surveying; hydrology and hydraulics; stress analysis; mechanics; strength of materials;
properties and uses of engineering construction materials; methods and equipment of engineering
construction; engineering economics.
Ability to: Do simple mapping and drafting and make neat and accurate computations and engineering
notes; prepare reports; establish and maintain friendly and cooperative relations with those contacted in
the course of the work; communicate effectively.
Attachment 5.2.1(c): Materials and Research Engineering Associates (MREA)

Minimum Qualifications
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DEFINITION
Under general direction of a registered engineer, to perform difficult and complex materials testing work; to
make field inspections and investigations; and to do other related work.
TYPICAL TASKS
Engages in technical testing of a wide variety of construction and other materials purchased by the State,
including metals, woods, soils, aggregates, asphaltic oils, asphaltic cement, portland cement, concrete, and
other construction materials; makes field investigations and reports upon construction materials and
methods; checks designs and the fabrication of construction or other materials for compliance with
specifications; makes soil and foundation investigations in the field and related laboratory tests and
investigations; inspects, tests, and accepts or rejects all types of materials; evaluates physical
environmental impact assessments and mitigations; performs research work; dictates correspondence and
prepares reports.
Either I
Three years' experience in the California state service as a Transportation Engineering Technician, Range
B.
Or II
Four years of materials and research engineering work in the field or laboratory, comparable in level to the
Transportation Engineering Technician, Range B, in the California state service.
Knowledge of: Methods, materials, tools, and equipment used in inspecting and testing a wide variety of
construction and other materials; physical environmental impact assessment evaluations and mitigation
processes; physical properties and uses of engineering construction materials; fabrication of construction
materials.
Ability to: Communicate effectively at a level required for successful job performance; test the quality and
suitability of engineering construction and other materials; do research work on engineering construction
and other materials; evaluate physical environmental impact assessments and mitigations; analyze
situations accurately and take effective action; prepare reports and dictate correspondence.
ADDITIONAL DESIRABLE QUALIFICATION
Education equivalent to completion of the 12th grade.
Attachment 5.2.1(d): Transportation Engineering Technician (TET)

Minimum Qualifications
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DEFINITION
Under supervision, in a first and full journey working level capacity, to do complex nonprofessional highway,
bridge, and materials testing engineering office or field work; and to do other related work.
TYPICAL TASKS
Acts as instrument person on highway or bridge location or construction stakeout surveys; sets up,
operates, and adjusts all types of precision surveying instruments; keeps survey and construction notes;
makes inspections in enforcing compliance with plans and specifications on all phases of highway or bridge
construction projects such as earthwork operations, placing of base materials, paving with asphalt or
concrete materials, materials control at asphalt or concrete batch plants, culvert construction, pile driving,
placing or fabrication of structural steel, and erection of falsework and forms and concrete pours; performs
field of laboratory physical tests of highway construction and other materials; assists with research or
investigation work on road or bridge materials or methods of construction; calculates traverses or earthwork
quantities or prepares them for machine processing; uses engineering and computer-oriented processes
to compile data for the design, construction, alteration, maintenance, and operation of a wide variety of
transportation engineering projects; analyzes engineering data; gathers field traffic data; performs traffic
operational activities including surveillance and incident response; may assist in the preparation of designs,
plans, estimates, reports, and specifications for all types of highway and bridge projects; prepares working
plans and detailed drawings; plots boundary lines, and calculates land areas; may act as a lead person in
construction, materials testing, or in other work; and prepares reports and correspondence.
Either I
Experience: One year in the California state service performing duties comparable to those of a Junior
Engineering Technician, Range B.
Or II
Education: Two years of education equivalent to completion of a curriculum beyond the 12th grade in either
(1) engineering which includes courses in trigonometry and algebra or higher, drafting, computer science,
and physics, chemistry, or a comparable physical science; or (2) surveying which includes courses in
trigonometry and algebra or higher, drafting, surveying, and computer science.
Or III
Experience: Three years of nonprofessional civil engineering experience. (In the California state service,
the Junior Engineering Technician meets this qualification.)
and
Education: Equivalent to completion of the 12th grade.
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Knowledge of: Using and adjusting precision surveying instruments; methods, materials, tools, and
equipment used in highway and bridge construction and maintenance work; methods of proportioning and
handling portland cement concrete; proportioning and handling bituminous surfacing materials and the
handling of asphaltic oils and emulsions; physical characteristics and properties of highway and bridge
construction materials and the approved methods and equipment used in making physical tests of
construction materials; highway grading, construction, and maintenance; traffic operations, methods, and
procedures; conventional and state-of-the-art computer applications to transportation engineering work.
Ability to: Communicate effectively at a level required for successful job performance; use and adjust
precision surveying instruments; assist in highway and bridge design work; make accurate engineering
calculations; inspect construction work and enforce compliance with plans and specifications; analyze
situations accurately and take effective action; prepare reports.
Attachment 5.2.2(a): In-House Training Programs for the Aggregates Laboratory

Personnel
SCOPE
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The scope of training in this procedure is limited to in-house job related training to qualify staff of the
Aggregates Laboratory in the performance of aggregates-related materials testing, and conducting and
supervising Quality Assurance activities.
The education, training, knowledge, abilities and analytical requirements needed for employment with the
Aggregates Laboratory are described in the California State Personnel Board Specifications and the
California Department of Transportation Duty Statement for the employee classification [Attachments
5.2.1(a) and 5.2.4(a)].
The Aggregates Laboratory managerial staff is the Quality Manager who is a Senior Transportation
Engineer and a registered Civil Engineer in California. The Quality Manager is assisted by technical
personnel, which comprises a Technical Manager, a Lab Manager, and several Lab Technicians. The
Technical Manager is a Transportation Engineer (Civil), and the Lab Manger is a Materials Research
Engineering Associate (MREA). The technical staff is made up of Transportation Engineering Technicians
(TETs).
TRAINING OBJECTIVE
The Quality Manager is responsible for supervising and conducting Quality Assurance testing and
supervising the Aggregates Laboratory operations. In addition, he is responsible for consulting, conferring
with, and assisting Offices, District Personnel, other public agencies, manufacturers, contractors, and
private individuals in the area of aggregates materials and related products. The Technical Manger and
Lab Manager are responsible for similar activities except for supervisory responsibilities.
The Transportation Engineering Technicians (TETs) are responsible for performing a wide variety of tests
under the direction of a Senior Transportation Engineer (Quality Manager) and/or a Materials Research
Engineering Associate (Lab Manager).
Training of the Quality Manager, Technical Manager, and the Lab Manager is required to ensure knowledge
and understanding of the Lab’s Quality Management System, and requirements for maintaining the
Aggregates Laboratory’s AASHTO accreditation.
Training of the TETs is required to ensure competence in the performance of aggregates-related materials
testing. The Lab Manager ensures the competence of the TET by ensuring that the TET can perform testing
in accordance with a specific Test Standard using specific equipment. The Lab Manger is responsible for
training the TET on the use of the testing equipment, measuring instruments, and test procedures. This
training is done in-house and as needed. The Lab Manager may designate a trained Lab Technician to
assist in the training of new personnel.
The TET is responsible for performing tests of aggregates-related materials to determine conformance with
contract plans and specifications. This work includes visual inspection of as-received samples, verification
of documentation (test reports, certificates of compliance, etc.), compliance with specification based on
certificates, preparation of test specimens, assisting and/or setting up test equipment, performing the actual
test, record keeping, making mathematical calculations, verification of compliance with specifications, and
report writing.
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TRAINING PROGRAM
A. Quality Manager, Technical Manager and Lab Manager
The Quality Manager will in-house train the Technical Manager, and Lab Manager on the requirements of
the Aggregates Laboratory’s Quality Manual System, and maintaining the Aggregates Laboratory’s
AASHTO accreditation.
The training program involves two steps. First, the trainee is assigned to read specific section of the
Aggregates Laboratory’s Quality Manual System and then he/she meets with the trainer to have an open
discussion on the item covered in the sections under study. The process will be continued until the
documents are fully covered. This program shall be completed within the first month of employment.
B. Transportation Engineering Technicians
In general all new personnel or existing personnel will be in-house trained to be able to perform specific
tests using the current Aggregates Laboratory’s Test Standards. The technician will be required to be
proficient in as many as these methods as needed to perform specific tests that are his/her responsibility.
The training program consists of three steps. In Step 1, the TET is required to become familiar with the
Aggregates Laboratory’s Standard Tests as shown in the attached Table 5.4.1. In Step 2, the Lab Manager
and or the designated trainer will demonstrate the test method as many times as needed until the TET in
training is able to perform the test by himself/herself. In the last step, Step 3, the TET in training will perform
the test under supervision until it is determined by the Lab Manager that he/she is qualified to perform the
test without supervision.
TRAINING DOCUMENTATION
Training documentation will be done by the Trainer (Quality or Lab Manager in most cases) using Form
5.2.2 (a).
Attachment 5.2.2(b): Training Qualification Form
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Attachment 5.2.4(a): Duty Statement for Senior Transportation Engineer
Page 82 of 114
Page 83 of 114
Page 84 of 114
Attachment 5.2.4(b): Duty Statement for Transportation Engineer (Civil)

CLASSIFICATION TITLE DISTRICT/DIVISION/OFFICE
Transportation Engineer, Civil HQ/Engineering Services/Structural Materials
WORKING TITLE POSITION NUMBER EFFECTIVE DATE
Transportation Engineer, Civil 559-318-____-____
As a valued member of the Caltrans team, you make it possible for the Department to improve the mobility
across California by being innovative and flexible; reporting to work as scheduled; working cooperatively
with team members and others; and treating others fairly, honestly and with respect. Your efforts are
important to each member of the team, as well as those we serve.
GENERAL STATEMENT:
UNDER DIRECTION OF A SENIOR TRANSPORTATION ENGINEER, THE EMPLOYEE SERVES AS

THE LEAD TECHNICAL PERSON IN CHARGE OF THE STRUCTURAL MATERIALS TESTING
BRANCH’S EFFORT TO EARN LABORATORY ACCREDITATION.
TYPICAL DUTIES:
Percentage; Job Description

Essential (E) /
Marginal (M)
40% (E) Writes laboratory testing procedures, and design laboratory’s quality assurance plan.
40% (E) Designs and implements laboratory’s quality assurance plan for compliance with
American Association of Accredited Laboratories’ (“A2LA”) accreditation.
10% (M) Works to obtain funding associated with A2LA accreditation.
10% (E) Participates in miscellaneous activities including participation in training programs, lab
tours, meetings, and assists supervisor with his/her duties as requested.
SUPERVISION EXERCISED OVER OTHERS
Does not supervise others.
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KNOWLEDGE, ABILITIES AND ANALYTICAL REQUIREMENTS
A well-rounded education and experience in the field of civil engineering is required. Proficiency with
computers and computer software is required. Technical writing skills are necessary.
CONSEQUENCE OF ERROR/RESPONSIBILITY FOR DECISIONS
Errors can lead to the delay of laboratory accreditation, and the corresponding acceptance and
incorporation of improper or inferior materials in Caltrans construction and maintenance projects, resulting
in decreased service life and effectiveness, or possible structural failure of a highway bridge, traffic barrier,
light pole, etc. This can result in the loss of substantial amounts of government funds and can have direct
effect on the lives and safety of the traveling public.
PUBLIC AND INTERNAL CONTACTS
In the course of carrying out his or her duties, employee will maintain close communication with other
personnel. He or she will routinely confer with other State representatives both within and outside Caltrans
to transmit or obtain relevant information.
PHYSICAL, MENTAL AND EMOTIONAL REQUIREMENTS
Employee may be required to sustain the mental activity needed for conducting tests and calculating results.
The employee will be required to use a computer at various times during the day. Problem solving, analysis
and reasoning may be required to respond appropriately to situations and to develop and maintain
cooperative working relationships.
WORK ENVIRONMENT
The majority of the time, the employee will work in a climate-controlled office. Occasionally, the employee
will work in the lab and may be exposed to dirty surfaces and equipment, odors, hot liquids, flames and hot
equipment.
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Attachment 5.2.4(c): Duty Statement for MREA

Materials & Research Engineer Associate HQ/Engineering Services/Structural Materials
WORKING TITLE POSITION NUMBER EFFECTIVE
Materials & Research Engineer Associate 559-318-____-____
GENERAL STATEMENT:
Under the direction of the Senior Transportation Engineer, the M&R Engineer Associate will perform the
typical duties within the Office of Structural Materials (OSM). The primary function of the Office of Structural
Materials (OSM) is to ensure the materials and products used in California Department of Transportation
(Caltrans) construction projects comply with contract requirements. The M&R Engineer Associate performs
mechanical testing in the Structural Materials Testing Lab (“lab”) on a variety of materials associated with
the construction of roadways and structures as part of the overall Caltrans transportation system. The M&R
Engineer Associate works closely with the Chief, Structural Materials Testing Branch to provide clear,
effective and timely technical information to OSM clients based on mechanical testing results. The M&R
Engineer Associate will prepare daily reports on quality assurance testing results for various source
materials and will be responsible for reporting these results to OSM source inspectors. The M&R Engineer
Associate will coordinate lab personnel to obtain test results on sampled materials in a timely fashion.
TYPICAL DUTIES:

Essential (E) /
Marginal (M)
50%(E) Perform quality assurance testing on various structural materials to be delivered to

construction projects. Coordinate lab work to ensure timely testing of structural
materials.
45%(E) Generate various OSM reports, including test reports, which are sent to OSM source
inspectors. Assists in making special studies and preparing technical reports;
assembles data and prepares tabulations on inspection and testing. Provide technical
assistance within expertise to other OSM personnel. Assists in obtaining ISO 17025
accreditation. Other duties as assigned by Branch Chief.
5%(M) Participate on OSM technical committees.
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When required by the Branch Chief, may act as the lead person of the lab. This responsibility is job-oriented
and does not include complete personnel supervision such as discipline and attendance.
Employee must have knowledge of Caltrans Construction projects including applicable standards and plans,
codes, national associations, etc. Employee must have knowledge of the materials used in these projects,
testing procedures, inspection procedures, sampling and reporting activities and knowledge of labor and
safety practices in the Caltrans projects. Employee must have the ability to interpret plans and
specifications, analyze and check all necessary test reports on materials incorporated in the work for
conformity to applicable specifications.
Employee must have the ability to communicate clearly and efficiently with supervisor, other members of
the Division of Engineering Services, and the public. Employee must also have command of basic
computer applications such as Lotus Notes®, Microsoft® Excel, FileMaker Pro®, Microsoft® Word, and
Caltrans custom-made applications.
Employee must have the ability to establish and maintain good and professional working relationships with
other Department units, the fabricating industry and the contractor on Department projects. Employee must
be familiar and able to follow the Department policies and procedures.
Is directly responsible for the acceptance or rejections of the materials tested, the results of the tests
performed, the calculations and reports prepared. Wrong decisions have the potential of jeopardizing the
integrity of structures, which in turn could affect the safety contract claims and delays to contracts.
In addition, release of confidential material could result in legal actions and loss of integrity of the office and
Department.
Maintain close communications with supervisor, and other inspection offices. Has daily and frequent contact
with fellow branch office and Headquarters Translab personnel regarding test results and inspection
reports. Maintains fair, impartial, effective, and professional relationship with suppliers, fabricators, and
manufacturing plants.
Employees may be required to sit for long periods of time (1) using a keyboard and video display terminal
and (2) reviewing and auditing data. Employee may be required to sustain the mental activity needed for
writing, auditing, problem solving, analysis and reasoning; may be required to develop and maintain
cooperative working relationship and respond appropriately to difficult situations. Employee may be
required to stand for long periods of time; pull, push and squat to examine materials and products; climb
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uneven terrain; maintain mental awareness and physical agility when working in the proximity of the
motoring public. Employee will be required to drive a motor vehicle. Employee may occasionally be
required to move equipment and test materials that require lifting up to 50 lbs.
WORK ENVIRONMENT
While at their base of operation, employee will work in a climate-controlled office under artificial lighting.
When in the office will be exposed to hazards associated with standard office equipment. When performing
inspection duties, employee may work around bulk quantities of building materials, heavy equipment, and
machinery. Employee will work outdoors and may be exposed to dirt, noise, uneven surfaces, and/or
extreme heat or cold.
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Attachment 5.2.4(d): Duty Statement for TET

Transportation Engineering Technician HQ/Engineering Services/Structural Materials
WORKING TITLE POSITION NUMBER EFFECTIVE
Transportation Engineering Technician 559—318—3175—_____
GENERAL STATEMENT:
UNDER DIRECTION OF A SENIOR TRANSPORTATION ENGINEER AND/OR MATERIALS AND

RESEARCH ENGINEERING ASSOCIATE, THE TRANSPORTATION ENGINEERING TECHNICIAN WILL
PERFORM A WIDE VARIETY OF TESTS ON STRUCTURAL MATERIALS FOR COMPLIANCE WITH
TEST METHODS AND CONTRACT SPECIFICATIONS.
TYPICAL DUTIES:
CONDUCTING TESTS AND REPORTING RESULTS ON STRUCTURAL MATERIALS.

Essential (E) /
Marginal (M)
50% (E) Testing of structural materials for conformance with contract plans and specifications. This
work includes data collection and reduction, making mathematical calculations, record
keeping, test preparation, and the set-up and operation of the test equipment.
15% (E) Conducts physical tests including preparation of test specimens, test facilities, test
fixtures, and equipment for specialized tests and studies. Assembles, analyzes, and
verifies pertinent data and makes recommendations related thereto; and makes the
necessary field investigations (including witnessing of tests) concerning structural
materials.
5% (M) Performs testing and calibration of prestressing equipment in the field and laboratory.
20% (E) Miscellaneous activities including participation in training programs, lab accreditation
work, lab tours, meetings, conferences, technical readings, assists supervisor with his/her
duties as requested; and performs other technical and engineering duties as required.
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10% (E) Technical writing related to the evaluation of materials including the preparation of
correspondence related to structural materials testing. Prepares, reviews, or recommends
changes to specifications and test methods
Does not supervise others.
The ability to test materials, maintain records, perform simple stress analysis on structural elements,
develop and analyze engineering data using sound judgment, and prepare technical reports and
correspondence is required. The ability to manually manipulate heavy load cells and/or jaws outside the
range of hoists is also required. The ability to move and transport objects up to 100 lbs is required.
Must be able to perform physical tests of materials, analyze situations and test results accurately, and take
effective action.
Employee is responsible to see that testing is performed in an exacting and professional manner in
accordance with existing specifications, plans, methods, procedures, rules, regulations, and other
established guidelines. Employee is responsible for the thoroughness and accuracy in the results of all
tests performed under his control.
Inaccurate and incomplete testing can lead to the acceptance and incorporation of improper or inferior
structural materials in Caltrans construction and maintenance projects, resulting in decreased service life
and effectiveness, or possible structural failure of a highway bridge, traffic barrier, light pole, etc. This can
result in the loss of substantial amounts of government funds and can have direct effect on the lives and
safety of the traveling public.
In the course of carrying out his/her duties, employee will maintain close communication with other
personnel. He/she will routinely confer with other State representatives both within and outside Caltrans to
transmit or obtain relevant information.
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The employee may be required to stand for long periods of time (1) using various testing equipment, (2)
reading and recording test results, (3) reviewing and calculating data. May be required to sustain the mental
activity needed for conducting tests and calculating results. Problem solving, analysis and reasoning may
be required to respond appropriately to situations and to develop and maintain cooperative working
relationships. The employee may occasionally be required to move equipment and test materials that
require lifting up to 100 lbs.
WORK ENVIRONMENT
For the majority of each day, the employee will work in a testing laboratory and may be exposed to dirty
surfaces and equipment, odors, hot liquids, flames and hot equipment. For some part of each day, the
employee will work in a climate-controlled office next to the testing laboratory. Both environments are
under artificial lighting. The employee may occasionally be required to travel and work outdoors, and may
be exposed to dirt, noise, uneven surfaces, and/or extreme heat or cold.
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Attachment 5.3.5(a): Monthly Inspection Check List
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Attachment 5.3.5(b): Monthly Inspection Check List
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Attachment 5.4.6.2(a): Computer Processed Data Backup Procedure
Section 5.4.6.2 of the QMS require that electronic copies of test data and calculations be stored on local
servers and databases accessed by authorized personnel only. The raw electronic information collected
pertains to the universal testing machines only. Each universal testing machine includes a stand-alone
computer that contains the operating software and data acquisition library in the form of an “AccessTM”
database file (.mdb). This procedures ensure that the data collected from each universal testing machine
computer is properly collected and stored in a local server accessed by authorized personnel only.
Final test reports are stored under the Sample, Testing, and Tracking System (STATS) on the local network.
This information is backed up automatically on a daily basis as part of the backup and protection system at
the Laboratory.
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Attachment 5.5.2.1(a): Accreditation Verification Procedure
1. Section 5.5.2.1 of the QMS, require that that all calibrations of measuring and test equipment be
conducted by calibration laboratories accredited to ISO 17025 by a mutually recognized
accreditation agency. This procedure ensures that the calibration laboratories used by Aggregates
Materials Testing Laboratory comply with this requirement.
2. The following are mutually recognized accreditation agencies:

a. commonly encountered in the United States:
ii. American Association for Laboratory Accreditation – A2LA

iii. National Voluntary Laboratory Accreditation Program – NVLAP
iv. International Accreditation Service, Inc.– IAS
3. To verify that this requirement is met, the calibration laboratory must:

a. be accredited to ISO 17025 (for the type of calibration the Aggregates Laboratory is
requesting) by one of the accreditation bodies above
b. provide calibration certificates with a logo from one of the recognized accreditation
agencies
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Attachment 5.9(a): Proficiency Testing Program
Introduction
The Aggregates Laboratory participates in relevant and available proficiency testing provided by AASHTO’s
AMRL that administer acceptable proficiency testing programs. Acceptable proficiency testing programs
are those (a) operated by AMRL.
Schedule and Frequency for the Proficiency Testing Program
The frequency of the Aggregates Laboratory’s Proficiency Testing Program is determined by the type of
materials to be proficiency tested:
1. For aggregates materials, the Aggregates Laboratory receives every quarter (3 months) proficiency
samples consisting of sand and gravel. Specific instructions for the preparation of the aggregates
is provided by AMRL, the Aggregates Lab personnel performs the sample preparation and testing.
Different test procedures are performed throughout the process and the information is recorded in
specific forms provided by AMRL. Test results and related test procedure information is submitted
to AMRL for review and approval.
Results of the Proficiency Testing Program
Results from the proficiency testing are kept in binders in the Lab Library. AMRL does not require corrective
actions for low proficiency test results to be submitted anymore.
If the results are not acceptable, a corrective action is initiated in accordance with section 4.10 of the QMS.
The Lab Manager is responsible for initiating this corrective action.
Hard copies of the Corrective actions are filed in the Lab Manager’s office.
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Attachment 5.10.2(a): Test Reports
Coarse Aggregate Electronic Test Report
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Fine Aggregates Electronic Test Report
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Rapid Set Cement Test Report
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APPENDIX A: TEST METHODS
ASTM Specifications
ASTM Description
Standard
C 40 Organic Impurities in Sand
C 88 Sulfate Soundness of Aggregates
C 117 Material Finer than 0.075mm (No. 200) Sieve
C 127 Coarse Aggregates Specific Gravity and Absorption
C 128 Fine Aggregates Specific Gravity and Absorption
C 130 Sieve Analysis of Aggregates
C 131 Abrasion of Coarse Aggregates
C 136 Sieve Analysis of Fine and Coarse Aggregates
C 566 Moisture Content of Aggregates by Oven Drying
C 702 Reducing Samples of Aggregate to Test Size
C 1252 Uncompacted Void Content of Fine Aggregates
D 2419 Sand Equivalent Test
D 3744 Aggregates Durability Index
D 4791 Flat, Elongated, or Flat and Elongated Particles
D 5821 Fractured Particles in Coarse Aggregate
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D 421 Dry Preparation of Samples
C 1077 Standard Practice for Laboratories Testing Concrete and Concrete Aggregates for Use
in Construction and Criteria for Laboratory Evaluation
E4 Standard Practice for Force Verification of Testing Machines
California Tests
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California Title
Test
CT 105 Calculations Pertaining to Gradings and Specific Gravities
CT 106 Definitions of Terms Relating to Specific Gravity
CT 201 Method of Test for Soil and Aggregate Sample Preparation
CT 202 Method of Test for Sieve Analysis of Fine and Coarse Aggregates
CT 205 Method of Test for Determining Percentage of Crushed Particles
CT 206 Method of Test for Specific Gravity and Absorption of Coarse Aggregate
CT 207 Method of Test for Specific Gravity and Absorption of Fine Aggregate
CT 208 Method of Test for Apparent Specific Gravity of Fine Aggregates
CT 211 Abrasion of Coarse Aggregate by Use of the Los Angeles Abrasion Testing Machine
CT 213 Method of Test for Organic Impurities in Concrete Sand
CT 214 Method of Test for Soundness of Aggregates by Use of Sodium Sulfate
CT 217 Method of Test for Sand Equivalent
CT 226 Method of Test for Determination of Moisture Content of Soils and Aggregates by Oven
Drying
CT 227 Method of Test for Evaluating Cleanness of Coarse Aggregate
CT 229 Method of Test for Durability Index
CT 301 Method of Test for Determining the Resistance "R" Value of Treated and Untreated
Bases, Subbases and Basement Soils by the Stabilometer
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APPENDIX B: TEST FORMS
Aggregates Materials Test Form, Front Side
Aggregates Materials Test Form, Back Side

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Coarse Aggregates Soundness Test Form
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Fine Aggregates Soundness Test Form
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Fine Aggregates Apparent Specific Gravity Test Form
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Sand Equivalent and Fines Durability Test Form
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Page 109 of 114

APPENDIX C
Proficiency Testing
1. Participation in the Proficiency Testing Program.
• The Aggregates Laboratory participates in the CCRL proficiency sample testing program to
demonstrate its ability to properly test concrete cylinders including the preparation, mixing, and
making of such concrete cylinders.
• Concrete materials samples are shipped to the Aggregates Laboratory every three (3) months.
• Aggregates materials samples include rock, sand, and cement.
• Specific instructions are shipped along with the aggregates materials samples to provide a
baseline under which the materials are to be prepared and tested.
• Concrete masonry units are shipped to the Aggregates Laboratory once a year for proficiency
testing by CCRL.
2. Reporting and Results of Proficiency Tests.
• Once the aggregates materials have been tested, the results are sent to CCRL in the forms
provided.
• The test results are published in the AMRL website (www.amrl.net) and a complete report
indicating the results compared to other participating Aggregates Testing Laboratories is available
for download and/or printing.
• Any test results that fall below the recommended score are analyzed and in necessary, a
Corrective Action is filled out. Additional testing may be necessary, and the findings are typically
included in the Corrective Action Report.
• If a Corrective Action Report is required, the Quality Manager will review the report before is
submitted to AMRL for proficiency testing compliance.
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Page 111 of 114

Page 112 of 114

APPENDIX D
Testing Equipment
Page 113 of 114

APPENDIX E
Lab Service Verification Flow Chart
Page 114 of 114

Aggregate Materials Testing Laboratory - MANUAL

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California Department of Transportation

Quality Manual System

APPROVED FOR USE BY AMTL

Quality Manager Approval ___ ______ ___________________

1.1. Introduction ............................................................................................................ 9

2.1. ASTM C 1077 Cross References ........................................................................ 12

4.1. Organization ........................................................................................................ 25

Quality Manager Approval ___ ______ ___________________

4.2. Quality System .................................................................................................... 28

Quality Manager Approval ___ ______ ___________________

4.13.3. Documentation of Auditing Activity 36

5.1. General ................................................................................................................ 54

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5.3.2. Environmental Conditions that May Impact Results 58

Quality Manager Approval ___ ______ ___________________

5.8. Handling of Test Items ........................................................................................ 67

Quality Manager Approval ___ ______ ___________________

Quality Manager Approval ___ ______ ___________________

Quality Manager Approval ___ ______ ___________________

Attachment 5.5.2.1(a): Accreditation Verification Procedure ...................................................... 96

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1. Introduction and Scope

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1.6. General Provisions

1.7. Organization of the QMS

• Section 1.0: Introduction and Scope

• Section 2.0: References

• Section 3.0: Acronyms, Abbreviations and Terms

• Section 4.0: Management Requirements

• Section 5.0: Technical Requirements

• Appendix A: Test Procedures

• Appendix B: Test Forms

• Appendix C: Proficiency Tests

• Appendix D: Equipment Calibration Records

• Appendix E: Equipment Maintenance Records

Quality Manager Approval ___ ______ ___________________

Quality Manager Approval ___ ______ ___________________

2.1. ASTM C 1077 Cross References

TABLE 2.1(a) ASTM C 1077 Cross Reference

ASTM C 1077 Aggregates Laboratory

Section Requirement Section Reference

Section 5, Sections 1.2, 1.3, 1.4, 4.1, 4.4

Organization Attachments 4.1.4(a),

Section 6, Section 5.2

Section 7, Sections 4.4, 5.4, 5.7, 5.8

Test Methods and Procedures

Section 8, Sections 5.3, 5.4, 5.5, 5.6, 5.7,

Section 9, Sections 4.3, 4.6, 4.11, 5.2,

Section 10, Sections 4.2. 4.3, 4.5, 4.6, 4.8,

Section 11, Sections 4.12, 5.6, 5.9

Testing Agency Evaluations

Quality Manager Approval ___ ______ ___________________

2.2. AASHTO Cross References

TABLE 2.2(a) AASHTO R 18 Cross Reference

ASSHTO R 18 Aggregates Laboratory

Section Requirement Section Reference

Section 5. Management Requirements Sections 1.2, 1.3, 1.5, 1.6,

Section 5. Management Requirements Sections 4.3, 5.4

5.2, Document Control

Section 5, Management Requirements Sections 1.4, 4.1

5.3, Organization Attachments 4.1.4(a), 4.1.4(b)

Section 5, Management Requirements Sections 4.1, 5.2

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