Final Scope

The Code of Federal Regulations (23 CFR Subpart B) requires that each state department of transportation (DOT) develop a quality assurance program for materials and workmanship that includes the use of qualified sampling and testing personnel. To that end, state DOTs and some groups of state DOTs have developed programs to qualify or certify the personnel performing the testing. The entities that administer the certification programs may be the state DOTs themselves or other entities that have been delegated the authority to administer the certification programs by the state DOTs themselves or other entities that have been recognized by the state DOTs as qualified to administer certification programs.

State DOTs must ensure that sampling and testing personnel possess a required understanding of and competency in the performance of their duties. This should lead to reliable test results that enable the states to make a valid acceptance decision and comply with the CFR. The purpose of certification is to indicate that testing personnel possess a thorough understanding of, and competency in, the performance of their duties. This should lead to reliable test results that enable the states to make a valid acceptance decision and comply with the CFR. The purpose is the same for all state DOTs, but the means to qualify testing personnel to perform specific tests, and applicable DOT regulations, varies between the agencies.

The objective of this synthesis is to document practices used by state DOTs for implementing qualification and/or certification programs for materials sampling and testing personnel in accordance with 23 CFR 637 Subpart B.

Information to be gathered includes (but is not limited to):
• Distinction between technician qualification and/or certification;
• Types of qualification and/or certifications (e.g., concrete, asphalt, soils, aggregate) and levels (e.g., Level I, Level II), to include sampling and testing procedures in each certification;
• Training;
• Certification methodology includes (but is not limited to):
• Certification components, such as written and/or performance exams;
• Test methods and practices included in each certification program;
• Types of exam questions;
• Technology used in administering the exams;
• Development and maintenance of questions included in the written exams; and
• Security of exams and question bank, independence of evaluation.
• Recertification process/continuing education requirements; and
• Decertification and appeal processes.
• Technician management program (e.g. length of certification period, database management and public accessibility of certified personnel and status);
• Use of external providers (e.g. program administration (including scheduling and fee collection), training, exam proctoring, and/or issuing certifications);
• Availability to meet demands for the number of testing personnel requiring certification;
• Reciprocity with other state DOTs;
• Technicians subject to the certification program (e.g. contractor, state, consultant, county); and  Program documentation, programs and processes for testing certifications.

Information will be gathered through a literature review, a survey of state DOTs, and follow-up interviews with selected DOTs for the development of case examples. Information gaps and suggestions for research to address those gaps will be identified.

Information Sources (Partial): 

• Code of Federal Regulations (23 CFR 637.207).
• AASHTO R 25: Standard Practice for Technician Training and Certification Programs.
• ASTM C1077: Standard Practice for Agencies Testing Concrete and Concrete Aggregates for Use in Construction and Criteria for Testing Agency Evaluation.
• ASTM C1093: Standard Practice for Accreditation of Testing Agencies for Masonry.
• ASTM D3666: Standard Specification for Minimum Requirements for Agencies Testing and Inspecting Road and Paving Materials.
• ASTM D3740: Standard Practice for Minimum Requirements for Agencies Engaged in Testing and/or Inspection of Soil and Rock as Used in Engineering Design and Construction
• ASTM E329: Standard Specification for Agencies Engaged in Construction Inspection, Testing, or Special Inspection.
• ISO/IEC 17024: Conformity assessment—General requirements for bodies operating certification of persons.
• Federal Aviation Administration’s Advisory Circular, AC 150/5370-10H: Standard Specifications for Construction of Airports.
• AASHTO Accreditation Program Policy on Certifications.

TRB Staff (consultant)
Sandra Larson 
Phone: 515-971-6329 
Email: slarson@nas.edu 

Meeting Dates
First Panel: September 26, 2023, Washington, DC 
Teleconference with Consultant: October 30, 2023, 4-5 pm Eastern
Second Panel: May 29, 2024,10 am - 4 pm Eastern in Washington, D.C., Keck Center

Panel Members

Patrick Allen, Georgia Department of Transportation

Rachel Brown, Minnesota Department of Transportation

Christopher Euler, New York State Department of Transportation

Amy Melton, Texas Department of Transportation

Brian Squier, Iowa Department of Transportation

Xiaoyan "Sue" Zheng, Florida Department of Transportation

Jeffrey Withee, Federal Highway Administration

Robert Shea, Transportation Research Board