CHAPTER 7

Summary of Findings

Focus of Synthesis

This synthesis focused on DOT sampling and testing programs in use for technician qualification/certification in order to meet 23 CFR 637B requirements. Technician certification programs are one of the core elements of a DOT’s overall QA program. Although the synthesis was further centered on the certifications associated with the main materials areas (soils, aggregate, asphalt mixture, and concrete), other types of certifications found were also identified. The synthesis documents practices in use by DOTs related to these certification programs, including program management, training, examination practices and policies, and overall management of technician certifications.

Findings

In general, the literature review found the following:

• Flexibility in regulations and guidelines allowed DOT programs to be varied.
• AASHTO R 25, Standard Practice for Technician Training and Certification Programs, is a standard specifically directed to DOT certification programs.
• Other entities that are requiring certification in the transportation industry (such as the FAA and ASTM International) may be increasing the demand for certification programs.
• Existing cooperative efforts (M-TRAC, MARTCP, NETTCP, WAQTC) provide examples of the different ways that DOT cooperation can be accomplished.
• At least 10 different external certification programs are used by DOTs.
• National level training exists (NHI and AASHTO Technical Training Solutions) that provides some key training related to certification of sampling and testing technicians.

This summary of the findings from the survey, case examples, and DOT program review is organized by the certification program categories outlined in the following subsections.

Program Management

The flexibility of 23 CFR 637B and related guidelines and standards was evident in the DOT programs. DOTs were found to manage their certification programs either in-house or by using a variety of external resources such as cooperatives, external certification programs, technical colleges or universities, or private consultants. Previous syntheses conducted over two decades ago recognized that QA programs are varied. This is still true today, as is evident in the elements of QA that are considered in this synthesis. Survey results did identify the following similarities:

• Certifications are valid for 5 years in 35 DOTs (67 percent of the 52 DOTs surveyed).
• Certification processes are the same for DOT personnel and for technicians outside of the DOT in 48 DOTs (92 percent of the 52 DOTs surveyed).
• Of 51 DOTs responding to the survey question, 47 (92 percent) indicated that they were able to meet the demands for testing the personnel that require certification.
• Most of the DOTs (42, or 81 percent), have a decertification program that includes an appeal process.
• The term certified is used by 28 (54 percent) of the DOTs to describe their personnel; 11 DOTs (21 percent) used both the term certified and the term qualified; six DOTs (12 percent) used the term qualified. The term used in the regulations is qualified personnel but the term certified is more commonly used to describe technicians.

NETTCP, WAQTC, and the M-TRAC groups are different models of the ways that DOTs can cooperate. Seventeen DOTs (33 percent) are working cooperatively as part of a formal regional group (either NETTCP or WAQTC) to address their certification needs. Thirteen DOTs (25 percent), some of which are also members of a formal group, are part of a cooperative effort (M-TRAC) that shares information on certification programs. NETTCP consolidates the training and certification effort, while WAQTC consolidates the training materials and allows the DOT members to tailor their certifications. M-TRAC is not a certification program, but it involves a yearly exchange of ideas and experiences related to technician certification programs.

Training and Certification Policies

DOTs have developed in-house expertise, found local resources (typically community colleges), partnered with industry (typically aggregate or asphalt pavement associations), or use external certification programs (such as ACI) to assist in fulfilling their training and certification needs. Most programs include a combination of these aspects. Seven of the DOTs surveyed (13 percent) did not identify involvement from others in their management or training. Training and certification policies were found to vary, particularly around prerequisites and reciprocity. Prerequisites are requirements that must be met before a technician can register for a certification. Reciprocity in this context refers to recognizing another entity’s certification.

Prerequisites

Training programs can be designed for new technicians with little experience and can cover the test methods in detail, or they can be designed for more experienced technicians in order to ensure that they continue to perform the tests properly.

• Experience requirements were found in 20 DOT certification programs, based on information from their websites.
  • Experience requirements included specific timeframes (e.g., 500 hours or 6 months).
  • One DOT was found to allow a reduction in the experience requirements if a concentrated training program was successfully completed.
• Two certification programs specifically noted in information from their websites that they focused on teaching the basics of proper sampling and testing and did not require experience.
• NETTCP has experience prerequisites, and WAQTC focuses on covering the performance of sampling and test methods.

Reciprocity

• Of 46 DOTs responding, 28 (61 percent) identified that they did not formally recognize another DOT’s program for reciprocity.
• Of 50 DOTs responding, 29 (58 percent) indicated that they include DOT specifications in their certification exams, which can affect reciprocity considerations.

• The M-TRAC State Certifications Book was one method found for sharing information on certifications and associated standards (practices and test methods), which can assist in reciprocity.

One area that was consistent was the use of the basic ACI CF certification.

• The ACI Concrete Field Testing certification (ACI-CFT Grade 1) was recognized (accepted or required) by 49 DOTs (94 percent).
• More than three times as many DOTs were identified as using ACI than were identified in a 2005 synthesis.
• Three DOTs are approved to administer the ACI-CFT Grade 1 certification exam.

Training

• DOTs saw value in in-person training and in training that included both the DOT and industry.
• Online training was mostly used for recertification or as a prerequisite to an in-person class.
• Where online training was found, in-person options were still provided.
• Some type of online training is offered by 20 DOTs (38 percent).
• Online training is available from DOTs or from AASHTO TTS for over 20 standard test methods used in certification programs.

Examination and Methods

• In-house paper and pen exams are in use in 33 of the 45 DOTs responding (73 percent); 19 (42 percent) of these also identified other options in use.
• DOTs were not found to use online performance exams.
• DOTs vary in using open- or closed-book exams.
• Written exams varied in the percentage considered to be a passing score (typically between 70 and 85 percent).

Certifications

The number of individual DOT certifications found was notable (over 500). Some DOTs had the basic soils, aggregate, asphalt mixture, and concrete certifications; others also included separate levels of these certifications. More than 20 other certifications for areas such as mix designer or traffic marking materials were identified. Some DOTs include inspection certifications as part of their technician programs; still others have inspector certifications but consider them to be separate from their QA certification programs. Some have certifications for test methods that are typically performed in the laboratory, and others consider the laboratory technicians separately under their laboratory quality management plans.

Certification programs potentially involve both recertification and decertification.

Recertification

• Recertification timeframes are relatively consistent for all materials (41 of 51 DOTs use a consistent timeframe).
• IA as part of recertification is used by 17 to 19 (depending on material area) DOTs.
• Training is used less often for recertifications (26 to 30 DOTs) than for initial certifications (36 to 41 DOTs).
• Online training was considered to be an option more frequently for recertifications than for initial certifications.
• NETTCP and some DOTs have shorter recertification classes for certain certifications.

Decertification

• 42 of 51 DOTs (82 percent) identified that they have a decertification policy.
• Decertification policies were found to use progressive discipline approaches, as recommended in AASHTO R 25.
• Decertification policies may be affected by individual state laws.

Observations

All DOTs responded to the survey, and all DOTs have members on the AASHTO COMP. COMP manages over 500 AASHTO Materials Standards that cover all aspects of materials and construction of materials for DOTs. AASHTO R 25 currently identifies 42 of the 49 standards found in different DOT certification programs.

AASHTO COMP Technical Subcommittee 5c (Quality Assurance and Environmental) is the subcommittee that manages standards related to QA. Task forces are used in COMP to address items of interest to the committee or subcommittee. AASHTO COMP Technical Subcommittee 5c does not currently have a task force related to QA or technician certification.

Future Potential Research

Some research needs that are beyond the scope of this project but were identified to be a logical extension of it include the following:

• Guide to QA. AASHTO R 25, Standard Practice for Technician Training and Certification Programs, provides a framework for technician certification programs. Chapter 2 identified the 23 CFR 637B requirements and two separate websites that offer guidelines from FHWA and other related AASHTO standards on QA programs. There are AAP guiding documents for laboratories, which also address laboratory technicians. There is no document that ties these elements together (e.g., a single document or reference that covers all aspects of a QA program). This effort could take the form of developing a guide or standard practice for QA for DOTs.
• Brochure on cooperative models. The two main cooperative programs, NETTCP and WAQTC, are very different models that exist on opposite sides of the United States. NETTCP combines the training and examinations in their certification program. Its member DOTs agreed early on about what the specific test methods and training needed to be, and the DOTs are involved on the board and on the individual certification committees. WAQTC is more focused on the training portion, relieving its member DOTs from the burden of maintaining training materials but also providing the flexibility to manage their own certification programs. Potential future research could develop a pamphlet that describes the different aspects of each program. This could be shared with the DOTs to allow them to identify models that fit their needs.
• Encourage Coordination. M-TRAC is not a certification program, but it is a model that could benefit from wider understanding and knowledge, especially given the turnover of personnel. M-TRAC members discuss ways to improve QA programs at the annual M-TRAC meeting. The M-TRAC book described in Chapter 2 is a valuable tool for reciprocity considerations for M-TRAC members. A cooperatively developed standard or guide could potentially include an outline or template of how to share certification program information in a common format like that of the M-TRAC book.
• Prerequisites. Over 20 DOTs require experience as a prerequisite to certification. A college in South Carolina developed a training program to reduce the time required to be considered experienced. Future research could identify the ways in which DOT certification

• programs are set up regarding experience requirements and prerequisites. This could include the following:
  • How DOTs develop such experience in practice
  • The effect that experience requirements have on attracting new technicians
• Recertifications. Both the use of the regular certification classes and separate, shorter recertification classes were found to be part of DOT recertification programs. IA was used in almost 20 recertification programs. Potential research could include the recertification aspect of certification programs and focus on the following:
  • The structure of recertification classes
  • Use of IA in the recertification
  • Benefits and challenges of different methods of recertification
• Quantifying benefits of training. With over 500 certification programs identified, there is a large amount of training being performed. Potential research could develop a framework for evaluating training and certification programs and determine the benefits of a nationwide evaluation process.