CHAPTER 1

Introduction

Long-lasting roads and bridges require quality materials and workmanship. Quality workmanship is verified through inspection; the materials and the final product must be tested to verify quality.

The 1938 version of Title 23 of the Code of Federal Regulations (CFR) under the Federal Highway Act, 23 CFR Section 1.9(b), Construction, states, “Unless otherwise stipulated in writing by the Secretary or his authorized representative, materials for the construction of any project shall be tested, prior to use, for conformity with the specifications, according to methods prescribed or approved by the Bureau of Public Roads” (National Archives and Records Administration 1938). As this shows, testing has long been recognized as an important part of infrastructure construction in the United States.

Adjustments to the regulations in 1995—in particular 23 CFR 637B: Quality Assurance Procedures for Construction—provided further instruction, defining terms, policy, and requirements relating to testing and quality assurance (QA). Section 637.205 required each DOT to develop a QA program “to assure that the materials and workmanship . . . are in conformity with the requirements of the approved plans and specifications” (National Archives and Records Administration 1995).

Sections 637.207 and 637.209 of the current regulations cover the six core elements of a QA program:

• Agency acceptance program [23 CFR 637.207(a)(1)(i)]
• Dispute resolution system [23 CFR 637.207(a)(1)(iii)]
• Qualified sampling and testing personnel [23 CFR 637.209(b)]
• Qualified/accredited laboratories [23 CFR 637.209(a)]
• Independent assurance (IA) program [23 CFR 637.207(a)(2)]
• Contractor quality control processes [23 CFR 637.207(a)(1)(ii)] (United States Government Publishing Office 2024)

The focus of this synthesis is related to the core elements pertaining to qualified sampling and testing personnel.

Although earlier syntheses have been performed related to overall QA programs (Smith 1998; Hughes 2005), this is the first to focus on the qualified personnel requirement of a QA program and specifically on DOT certification programs.

Certification programs used by DOTs vary in how they are managed, how and who provides the training, and in the focus of the different certifications required. Some of the programs focus on basic knowledge of practices and test methods for quality sampling and testing, and some of the programs expect technicians to have had experience in performing sampling and testing.

The CFR uses the terms qualified or qualification to indicate that a DOT has recognized a technician that can reliably perform sampling, testing, or both. Both qualification and certification are terms used by DOTs; at different DOTs these terms may or may not have the same meaning. Literature from the late 1990s noted that the 23 CFR 637B requirements had “generally been interpreted to mean that . . . technicians must be certified . . .” (Christensen et al. 1999).

Background

Certification of testing personnel by DOTs precede the CFR requirements. As far back as 1965, West Virginia DOT developed a certification program for bituminous concrete technicians (Steele and Higgins 1981). All DOTs now have or use some type of certification program for their testing technicians. Some DOTs have coordinated this effort, and regional cooperative groups exist in different parts of the country. FHWA has also issued memorandums and technical advisories to address questions and add clarification on the requirements of 23 CFR 637B. No matter how it is accomplished, DOT programs for materials sampling and testing personnel are the backbone of the personnel qualification or certification element of QA.

Objective and Scope

The objective of this synthesis is to document practices used by DOTs for implementing qualification and certification programs for materials sampling and testing personnel according to 23 CFR 637B.

Information for this synthesis was obtained from a survey of DOTs and review of DOT certification program websites and related documents. Information on multiple aspects of a DOT’s certification program was collected, including program administration, means of determining qualifications of sampling and testing personnel, and programs and certifications used that are outside the DOT.

In addition, the Transport Research International Documentation database and the Repository & Open Science Access Portal of the U.S. DOT National Transportation Library (rosap.ntl.bts.gov) were searched for terms related to certification, including testing technician, certification, qualification, certification programs, materials testing, and combinations of these and similar terms. Non-DOT certification program websites and cooperative or regional certification program websites were also reviewed for documentation related to certification programs.

Organization of the Synthesis

This synthesis contains seven chapters.

Chapter 1—Introduction provides an overview and outlines the organization of the synthesis.

Chapter 2—Literature Review covers a brief history of the requirements in the CFR for DOT sampling and testing technicians and a discussion of the current guidelines and standards for technician certification. Cooperative efforts found to be related to DOT and external certification programs are introduced in this chapter, along with national efforts related to training and QA.

Chapter 3—Survey Results provides the results of a survey that was sent electronically to the voting members of the AASHTO Committee on Materials and Pavements (COMP) at all 50 state DOTs, as well as the DOTs of Puerto Rico and the District of Columbia. All 52 DOTs responded to the survey. Appendices A and B contain the complete survey questions and the complete DOT responses, respectively.

Chapter 4—Case Examples provides a focused look at 10 DOT certification programs and the programs of two regional cooperatives. The information was gathered by performing interviews focused on the following two components of DOT certification programs:

• Program management
• Technology use

Chapter 5—DOT Certification Program Findings consists of findings from the technician certification information on the websites of DOTs and external certification programs. Information was also gathered from the websites of existing cooperative efforts.

Chapter 6—Standards and Certifications focuses on the standards (sampling and testing methods) used in the certification programs, arranged by the most common material types (soil and aggregate, asphalt mixtures, and concrete). As part of this section, the list of practices and test methods compiled from DOTs and included in Appendix F was mined to identify the most common standards that are used by the DOTs. It also includes information on related certifications that are not as common but are found in some DOT programs, such as asphalt mixture designer or inspector certifications.

Chapter 7—Summary of Findings captures aspects of the literature review, the DOT survey, the case examples, the certification programs, and standards and certification findings. It further provides a summary of the gaps and research needs identified in the previous chapters.

The synthesis also includes five Appendices, which are described as follows:

• Appendix A and B provide the complete survey questions and survey responses, respectively.
• Appendix C lists the case example interview questions.
• Appendix D includes copies of the FHWA regulations and guidelines related to personnel qualifications.
• Appendix E describes 11 different external (non-DOT) certification programs related to construction materials sampling and testing.
• Appendix F provides a listing of individual DOT certifications and associated sampling and test methods found on DOT websites.