Section 609 of the NCDOT Standard Specifications and all applicable Project or Standard Special Provisions provide for Quality Control and Quality Assurance of asphalt pavements by use of a Quality Management System (QMS).  The basic concept of this process is that the Contractor perform adequate testing and inspection to insure a quality asphalt pavement and the Department perform adequate testing and inspection to insure that the Contractor’s results are accurate.  This system requires both the Department and the Contractor to have technicians that are competent in production, construction, testing, and inspection of asphalt pavements.  The general idea is for the Contractor to perform the necessary tests and inspection to insure the likelihood that all mix meets the Specifications instead of “after-the-fact” testing to see if it does meet the Specifications.  This approach gives the Contractor much more control over his total operations.  He is responsible for his product from the design of the mix to the final acceptance of the pavement.  The Department simply monitors his process to be sure that what he is doing is adequate and accurate.

The Contractor’s responsibility under the QMS process is referred to as Quality Control (QC).  The Department’s responsibility under the QMS process is referred to as Quality Assurance (QA).  The Contractor is responsible to provide competent personnel to perform his quality control and the Department is responsible to provide competent personnel to perform it’s quality assurance.  The requirements and details of certification for these personnel to perform the QC/QA work is given in Section 1.3.6 and 1.3.7 of this manual.

The requirements for the Contractor’s QC sampling and testing are contained in Section 609 of the Specifications and Section 7 of this Manual. The frequency of these activities may vary with the process and the materials.  When test results vary from the design and/or specifications, changes to the process shall be made.  The frequency of the appropriate QC activities shall be increased until the proper conditions have been restored.  The Department’s minimum frequency requirement for QA sampling and testing is specified in Section 609-6 of the Standard Specifications and is covered in detail later in this manual.

The Contractor may utilize innovative equipment or techniques not addressed by the specifications or these provisions to produce or monitor the production of the mix, subject to approval by the Department's Pavement Construction Engineer.

QMS is a total process that encompasses the Contractor’s mix design, the QC testing and inspection, and the Department’s quality assurance and acceptance of the Contractor’s process and procedures.  Each of these aspects of the total process will be addressed in detail later in this manual.  While all of these are very important, the real success of this program is that the Contractor and the Department carry out every aspect of the process such that a quality asphalt pavement is the final product
.

1.2 CONTRACTOR'S QUALITY CONTROL PLAN

The Contractor will not be required to submit a written quality control plan to the Department; however, the Contractor, at a minimum, shall perform all quality control activities required by the specifications as well as accepted asphalt industry quality control practices and procedures.

1.3  ASPHALT QMS TECHNICIAN QUALIFICATIONS AND CERTIFICATIONS

1.3.1 General

The technician's role is extremely vital in every road construction project, especially in asphalt construction.  He has the job of ensuring that the pavement design as described in the plans and specifications produces a strong, durable, and reliable pavement on the roadway.  The technician's job is one that demands knowledge, awareness, keen observa¬tional skills, and diplomacy.  It is among the toughest jobs in the construction industry.

Most road and highway construction in North Carolina is performed under contract.  One party (the Contractor) agrees to perform certain work that meets specified standards.  In return for this work, the Contractor is paid by the other contractual party (the owner) who is often a local, state or federal government agency.  The contract between Contractor and owner includes plans and specifications that must be followed during pavement construction and be met by the finished product.  Whether or not these requirements are fulfilled determines the quality level of the finished pavement and how well the pavement will serve the public.

Because asphalt pavement construction is often complex, plans and specifications are often detailed and lengthy.  Ensuring that they are followed precisely demands that the owner and the Contractor have an agent acting as their eyes and ears - an agent who is on-hand throughout the construction process.  That agent is the asphalt technician.  It is the technician's duty to see that construction operations produce the results called for by the plans and specifications.  In this capacity, both the DOT's technician and the Contractor's technician have certain areas of responsibility to identify deviations from project specifications and to see that they are corrected immediately.  In any case, neither technician has the authority to change or modify the specifications.

Knowledge is the path every technician must follow to improve his performance and capability.  Whether a technician is new to the job or an old hand, his learning never stops.  New developments that affect his job are constantly appearing.  Additionally, every technician needs to refresh his knowledge periodically and to brush up on procedures that are used infrequently.  This manual is a good source of refresher information, as well as a basic text for training the new asphalt technician.

A manual alone, however, is not enough.  It must be used in conjunc¬tion with other learning tools.  The most effective learning tool is on-the-job training.  The job-site is where things are happening that a technician must know.  It is the ideal place to observe, to ask questions, to get answers.  On the job, the new technician develops inspection skills first-hand and discovers what occurs during hot-mix asphalt construction and why certain methods achieve certain results.  Combined with this course of instruction, on-the-job training provides the technician with the necessary tools to carry out his duties and responsibilities.

1.3.2 Purpose of Inspection and Testing

The purpose of inspecting and testing asphalt construction is to ensure the quality of the work meets project requirements and specifications.  To accomplish this, the asphalt technician must be familiar with the parts of the con-struction contract that apply to his job.

The contract is the agreement between the owner or contracting agency and the Contractor.  It states the obligations of both parties, including labor, materials, performance and payment.  While there are many documents that make up the construction contract, the technician is concerned prima-rily with the plans and specifications.  Together, plans and specifications explain requirements that the Contractor must fulfill to build a satisfac-tory pavement and get paid in full for his work.

Plans are the contract documents that show the location, physical aspects, details and dimensions of the work.  The plans include layouts, profiles, cross-sections and other details.

Specifications are the written technical directions and requirements for the work; also, the standard specifications and the special provisions complement the plans by providing instructions that are not specifically indicated on the drawings.  Specifications are the means of communication among the designer, the Contractor, and the technician.  Specifications include Standard Special Provisions and Project Special Provisions, which simply are revisions to the specifications.

1.3.3   DOT Technician's Authority

The Division Engineer or project Resident Engineer assigns the DOT’s technicians, and their authority is stated in the Standard Specifications under Duties and Authority of the Inspector (Article 105-10).  The Technician assists the Engineer in determining that the work done and the materials used meet contract requirements.  The Technician has the authority to reject defective materi-als and to advise the Contractor that payment will be withheld for work that is being done improperly.  The Engineer may delegate additional authority to him; however, the Technician is not authorized to make any final acceptance of the work.

1.3.4   DOT Technician's Relationship with Contractor

It is required by the Specifications that a preconstruction conference be held between the inspection and engineering personnel of the owner and the Contractor's supervisory personnel.  At such a meeting the plans and specifications are reviewed, material deliveries and construction techniques discussed, traffic control procedures agreed upon, specific project responsibilities and lines of authority defined, and any other necessary items that may have a bearing on the project are discussed.

One of the most important aspects of the technician's job is his relationship with the Contractor.  This relationship affects the management of the project.  A good personal rapport assists the Technician in resolving problems that might arise.  When dealing with the Contractor and his personnel, the Technician should be friendly, but he must be firm and impartial in making decisions.  If the Technician experiences difficulties with the Contractor, he should immediately inform the Engineer.

The Technician will assist himself, as well as the Contractor, by trying to understand the project from the Contractor's point of view.  The Technician is primarily interested in quality (how good the pavement is); the Contractor is primarily interested in quantity (how much pavement is placed in a given time).  Under no condition should the Technician permit a reduction in quality in the interests of quantity.  However, as long as pavement quality is maintained, the Technician should assist the Contractor's efforts to place hot-mix as efficiently as practical and within specifications.

The Technician has the obligation to influence the construction process so that the best possible roadway is constructed.  He cannot simply take a passive role when observing a problem.  He must be willing to help solve it.  For example, after observing a particular situation, the Technician may be able to suggest a change in procedures that could improve the quality of the work while increasing the efficiency of the operation.  Such a suggestion benefits both the Contractor and the Department of Transportation.

When offering assistance in solving problems, however, the Technician must be careful to avoid involving himself in the supervision of construction.  He should avoid giving the impression that he wants to control the work, and he must never issue an order to the Contractor's workers.  Assuming supervision of the work puts the Technician in the undesirable position of judging the quality of work by means that he dictated.

1.3.5   Qualifications of QC and QA Technicians

The personal attributes required of a technician go beyond those expected of an ordinary workman.  The technician must be honest.  He must conduct himself in a fair and straightforward manner.  While under stress, he must be able to maintain his composure and make good decisions.  He must have keen common sense for making competent decisions.  He must be frank and sincere in his relationships with people and must be a skilled diplo-mat, able to handle tough situations without arousing hostility.  Above all, he must be observant and be capable of keeping good records.

A technician should have a high school education.  Some technical study, and construction experience are helpful.  As a minimum, however, the technician must be able to perform accurate mathematical calculations and should be familiar with the fundamentals of engineering equations.  It is essential that he knows how to read and understand plans, specifications and other contract documents in order to understand requirements of the work.

Although not responsible for the design of roadways, the technician should understand the basic engineering principles involved.  He should be familiar with the characteristics of materials and know the principles of material testing, including the interpretation of test results.

The technician must have specialized knowledge pertaining to his particular job.  For example, a plant technician must have a thorough working knowledge of asphalt plants, but he must also have a broad general knowledge of asphalt materials, production, and construction procedures.  Practical experience with asphalt mix production, roadway construction, and asphalt laboratory testing is a valuable asset.

If all the qualifications of a technician could be reduced to four, they would be: (1) knowledge, (2) common sense, (3) observational skills, and (4) courtesy.  The basic summary of each is presented below.

(1)  Knowledge--The technician must know about the work that he is inspecting.  He should be familiar with materials, equipment and asphalt hot-mix pavement construction procedures.  The more knowledgeable a technician is, the better prepared he is to perform his duties.

(2)  Common Sense--A good technician must have abundant common sense.  While common sense is no substitute for knowledge, it is the means of interpreting the specifications to properly enforce their intent.  Common sense grows out of knowledge, but it cannot be learned out of a book.

(3)  Observational Skills--A technician can act only on what he observes.  What is not seen is missed.  Thus, it is important not only for a technician to look carefully at everything going on around him, but also to see what he looks at.  "Seeing" in this context means thinking carefully about what the eyes observe.  Without seeing, a technician can observe an incorrect condition and not realize it.

(4) Courtesy--A major part of the technician's job is to inform others when unsatisfactory conditions exist or when the specifications are not being met.  Both parties expect valid criticism and objections from the other, yet the manner of presenting comments can often become the source of poor relations between Contractor and technician.  Experience shows that it is not what is said, so much as the way it is said that is important.  Gruff, bossy and sarcastic comments are unacceptable from any technician, even if given in answer to aggravating remarks from others.

Once Contractor-DOT relations deteriorate, the work suffers.  Since the technician's primary concern is to preserve the quality of the work, he should show common courtesy at all times, even when tempted not to do so.

Although desired qualities for prospective technicians can be listed, the bottom line is this:  To do a professional job, the technician must want to do a good job, know how to do it, and go about it in a manner that contributes favorably to the project.

1.3.6   QMS Technician Requirements

On Quality Management System projects, all asphalt plant mix testing technicians (both Contractor & DOT) are required to be certified through the Department's current Asphalt Technician Certification Program.  On projects let under the Superpave Design procedure, all plant technicians (both Contractor and DOT) must be certified as Superpave plant technicians, and on projects let under the Marshall design procedure these technicians must be certified as Marshall plant technicians. Certified QMS Level I Plant Technicians are testing personnel and are required to be at the plant site at all times during production of material for the project. A plant operator who is a certified Asphalt Plant Technician Level I may be utilized to meet this requirement when daily production for each mix design is less than 100 tons (100 metric tons) provided the randomly scheduled increment sample as defined in Sub-article 609-5(C)2 is not within that tonnage. When performing in this capacity, the plant operator will be responsible for all quality control activities which are necessary and required. Absences of the Level I Technician, other than those for normal breaks and emergencies must be pre-approved in writing by the appropriate QA Supervisor or his designated representative(s). Any extended absence of the Technician that has not been approved will result in immediate suspension of production by the Engineer.  All mix produced during an unexcused absence of the Level I technician will be accepted in accordance with Article 105-3 of the Specifications.  The Contractor is also required to have readily available (on-call) a QMS Level II Plant Technician responsible for making process control adjustments and solving mix problems.  He must be located such as to be able to respond to all plant mix problems in a timely manner.  The Department will have at least one certified QMS Level II Plant Technician on its' Quality Assurance (QA) team as well as several Level I Technicians.  Either a QC or QA Level II Technician may also function as a Level I Technician, in which case he/she would fulfill the requirements for both the Level I and II technicians.

All Roadway Technicians are required to be certified through the Department’s current certification program. The Contractor is required to have at least one certified roadway technician on the project at all times during normal laydown operations. This person is resposible for monitoring all roadway paving operations and all quality control processes and activities, to include stopping production or implementing corrective measures when warranted.  The Contractor’s technician(s) must meet the same requirements as DOT personnel and will be certified by the same certification program.  A certified DOT Roadway Technician will also be on-site at all times during production.

The Department's Certification Program for QMS plant and roadway technicians is managed by the Construction Unit's Pavement Construction Section.  This section will maintain a listing of all plant and roadway QMS personnel certified by NCDOT.  This listing will be maintained in an internal computer database (HiCams).

The Pavement Construction Section may be contacted at 919-733-3579 for further instructions on how to access this information.  This listing may be used to verify certification of personnel working on QMS Superpave projects.

It is required that both DOT and Contractor Nuclear Density Gauge Operators be certified through the Department’s current QMS Nuclear Density Technician’s Program.  The Contractor’s nuclear gauge operator is required to be on the project at all times when nuclear density testing is required.  The DOT gauge operator will only be on the project as necessary to perform quality assurance testing.

The Department’s Certification Program for QMS Nuclear Gauge Technicians is managed by the Soils Engineer of the DOT M&T Unit.  The Soils Engineer will maintain a listing of all certified QMS Nuclear Density Technicians and may be contacted at 919-329-4150 for verification of these.  This listing will also be maintained in a computer database.

 The QMS Specification requires that the Contractor design his own asphalt mixes.  He may do so by use of his own personnel or by hiring an approved agency to do it for him.  Whichever the case, any technician performing mix designs for use on QMS specification projects must be certified through the Department’s current mix design certification program.  This certification program is managed by the Asphalt Design Engineer of the DOT M&T Unit.  The Asphalt Design Engineer may be contacted at 919-329-4060 for verification of a technician’s mix design certification.

An organizational chart, including names, telephone numbers, and current certification numbers of all the Contractor's personnel responsible for the quality control program shall be posted in the Contractor's laboratory while the asphalt paving work is in progress.

1.3.7    NCDOT Asphalt Technician Certification Program

1.    General

The certification of asphalt technicians is a program by which it can be reasonably assured that both the DOT's quality assurance personnel and the Contractor's quality control personnel are knowledgeable and qualified to perform the required sampling, testing and inspection of asphalt mixtures and pavements.  Certification will also include a general knowledge of the techniques and equipment used in the construction of asphalt pavements, including asphalt plant operations, placement operations and compaction operations.  Under the NCDOT program, a technician may be certified in either mix design techniques, plant operations, roadway operations, nuclear density gauge operations, or all of these.  Certification in either area will include some overlap into the other area.  For example, a certification in plant operations will include a basic knowledge and understanding of roadway procedures, etc.  This is required since it can be readily seen that proficiency in one area requires some general knowledge of the overall operation.

The certification program will be operated on a continuing basis.  There will be classes and examinations scheduled throughout each year. In addition, there will be a continuous “on-the-job” training program for Level I plant & roadway technicians.  The Pavement Construction Engineer will provide applications for and maintain a master training schedule of all related classes.

Both the applications and schedule may be downloaded from the Pavement Construction Section's web site located at the following web address:

Enrollment procedures for these training classes are contained at the end of this Section.  All certifications will generally be effective for four years beginning from the date of passing the certification test and then must be renewed.  Details for renewal of certifications are covered later in this section.

2.   Types of Certifications

Listed next are the different types of certifications related to asphalt pavements and a basic job description for each.  As mentioned previously, a technician may be certified as any one or more of these, or possibly all of these. As noted in the prerequisites listed later, some certifications require a lower level certification before advancement to the next level of certification.

A. QMS Superpave Certification

1.QMS Level I Superpave Plant Technician - A Technician trained and competent in testing and inspection of Superpave asphalt mix at the plant.

2.QMS Level II Superpave Plant Technician - A Technician trained and competent in making Superpave mix adjustments and solving Superpave asphalt mix problems.

3.QMS Mix Sampling Technician -   A Technician trained and competent in sampling of Superpave asphalt mix problems.

4.QMS Roadway Technician -   A Technician trained and competent in roadway laydown, compaction, and density procedures.

5.QMS Nuclear Gauge Operator -   A Technician trained and competent in the use of a nuclear density gauge in accordance with the QMS specification.

6.Superpave Mix Design Technician -  A Technician trained and competent in the area of Superpave asphalt mix design procedures.

B.  QMS Superpave Certification Requirements
The basic requirements for these five types of certifications are listed as follows:

1. QMS Level I Plant Technician

    1. Prerequisite(s):  Introduction to Asphalt Pavements Course w / Passing Exam.
    2.  Training:
                   Step 1 :Level I Plant Technician OJT Program (See Section 11 of this manual for the QMS-3 checklist with instructions)
                   Step 2: Level I Plant Technician Class w/ Passing Exam
    3. Experience Requirement: Minimum 20 working days per OJT Program

2. QMS Level II Plant Technician

        A.  CURRENT LEVEL I PLANT TECHNICIAN
              1.  Prerequisite(s): Minimum of 1 year ‘s Experience as Level I Plant Technician
              2.  Training: Step 1:  Approved Superpave Mix Design Course w/ Passing Exam
                                   Step 2:  Level II Plant Technician Class w/ Passing Exam
              3.  Experience Requirement: One (1) year as Level I Technician or Equivalent
                                                          Experience as Determined by Pavement Const.Engineer.

3. QMS Mix Sampling Technician

              1. Prerequisite(s):  None.
              2.  Training:    Step 1: Attend 1 day training class
                                    Step 2: Pass written exam and complete hands-on Training

4. QMS Roadway Technician

              1. Prerequisite(s):  Introduction to Asphalt Pavements Course w / Passing Exam.
              2.  Training:    Step 1: Roadway Technician OJT Program (See Section 11 of this manual for the QMS-5 checklist with instructions)
                                    Step 2: Roadway Technician Class w/ Passing Exam
              3.  Experience Requirement:  Minimum 20 working days per OJT Program

5. QMS Nuclear Gauge Operator

     A. NCDOT TECHNICIANS
          1. Prerequisite(s): a) NCDOT Nuclear Safety Training Course
                                b) NCDOT "field certified" nuclear gauge operator prior to class attendance.
          2. Training:  QMS Nuclear Density Technician Course with Passing Exam.
          3. Experience Requirement: "Hands-on" QMS training after completion of class.
     B.   NON - NCDOT TECHNICIANS
          1. Prerequisite(s): Nuclear Safety Training Course
          2. Training:  QMS Nuclear Density Technician Course with Passing Exam.
          3. Experience Requirement: "Hands-on" training after completion of class.

6. Superpave Mix Design Technician

          1. Prerequisite(s):  (1) QMS Level I or II Superpave Technician OR
                                       (2) Completion of the Level I Superpave OJT Program and Enrollment in a Level I Superpave Class OR
                                       (3) Equivalent Experience as Determined by the NCDOT Asphalt Design Engineer.
          2. Training:     Step 1:  Approved Superpave Mix Design Course with passing exam
                                Step 2:  Checkoff on Aggregate Concensus Property Tests
                                            (Contact Local QA Supervisor for Details)
                                Step 3:  NCDOT Mix Design Certification Class including Passing Exam.

A certificate will be issued for each type certification.  Initial certification will generally be effective for four (4) years beginning from the date of passing the appropriate written exam, except that a Mix Sampling Technician Certification has no expiration date.  Failure of an exam will require the person to re-attend the regular class and pass the exam to become certified / re-certified.  Upon two consecutive failures of the exam, the person will be required to perform the OJT (On-the-Job-Training) prior to re-attending the full class and taking the exam, unless otherwise approved by the Pavement Construction Engineer. Upon satisfactory completion of all requirements, the technician will be issued a certificate.

It should be noted that there is no certification for the Introduction to Asphalt Pavements Course.  This is a very basic asphalt course designed to provide general knowledge of both plant and roadway operations to personnel with little or no experience.  It is a prerequisite for several other certifications; therefore, a “completion” certificate will be issued to verify satisfactory completion.  A written exam will be given at the end of the course and will be used to judge satisfactory completion.

3. Renewal Certification

A technician is required to renew his certification prior to the expiration of the current certificate.  If a Techician’s certificaton expires, he will not be permitted to perform the duties of this expired QMS Superpave Certification until renewal occurs.  He will also be required to complete all initial requirements as outlined above.  Requirements for renewal of certifications are as follows.

Level I & II Plant Technicians :  Attend the regular Level I or Level II plant technician class including passing a written exam.

Roadway Technicians :    Attend the regular one day roadway technician class including passing a written exam .

Nuclear Gauge Operators :       Attend the regular nuclear density gauge operators class, including passing a written exam, and a "hands-on" checkoff.

Mix Design Technicians : Attend the regular mix design certification class including passing a written exam.

All certified technicians are subject to loss of their certification by suspension or revocation.  The primary reason for the loss of a certification by either means would be the falsifying of test results, records and/or reports.  Other reasons that might lead to loss of certification include insubordination, gross negligence and apparent incompetence on the part of the technician. All reported occurrences of violations, misuse or abuse of this certification will be documented by the appropriate person(s).

The NCDOT Pavement Construction Engineer may suspend or permanently revoke any certification.  Suspension or revocation of a certification will be sent by certified mail to the technician, the Quality Control Manager and the Corporate Head of the company that employs the technician.

A technician has the right to appeal any adverse action which results in suspension or permanent revocation of certification by responding, in writing, to the State Construction Engineer within 10 calendar days after receiving notice of the proposed adverse action.  Failure to appeal within 10 days will result in the proposed adverse action becoming effective on the date specified on the certified notice.  Failure to appeal within the time specified will result in a waiver of all future appeal rights regarding the adverse action taken.  The technician will not be allowed to perform duties associated with the certification during the appeal process.

The State Construction Engineer will hear the appeal and make a decision within 7 days of hearing the appeal.  Decision of the State Construction Engineer shall be final and shall be made in writing to the technician.

If a certification is temporarily suspended, the technician must pass any applicable written examination and any proficiency examination, at the conclusion of the specified suspension period, prior to having the certification reinstated.

1.3.8    NCDOT Asphalt Technician Certification - Enrollment Procedures

The Department requires all students to enroll in the appropriate class(es) prior to attendance of that class(es).  Below are the guidelines for class enrollment into the training classes.  It is extremely important that these guidelines be followed in order to ensure correct enrollment data.

 1. Students will only be enrolled by submission of application, applicable fee, and all
    other required documents.  Class space or slots will not be held or reserved.

 2. Only mailed applications are accepted for non NCDOT enrollees.  Mailed or HICAMS applications are acceptable for NCDOT personnel. No faxed applications accepted.

 3. Non NCDOT applications must be mailed to the address on the bottom of the application form.
     All NCDOT enrollments must be forwarded to and verified by the person in the division responsible for asphalt class enrollments.

 4. Required verification of prerequisites must be marked on and/or attached to the application form.  Applicants must meet all prerequisites at time of application submittal.

 5.  Non NCDOT agencies must attach a non-refundable check(s) to the application.  NCDOT Divisions/Units funds will be drafted to cover their fees.

 6.   When registering multiple students, one check per class.  One check per student preferred.

 7. Registration form & check (if applicable) must be received no more than 90 and no less than 7 calendar days prior to class start date.  Applications/check will be returned if not received within this time frame.

 8. Confirmation notice will be sent to all enrolled students.  NCDOT personnel registered thru HICAMS are not enrolled until approved by agency conducting the class.  Persons should not attend class without having received a confirmation notice.  If confirmation notice is not received within 5 business days of class start date, contact Pavement Const. Section at 919-733-3579.

 9. Substitution, deletion or transfer of registered students must occur no later than 3 business days prior to class start date. If substitution or transfer of a registered student(s) is allowed, a new confirmation notice will be furnished.

 10.  Absent students Will Not be transferred to another class.  If enrollment is desired for a later class, the enrollment process must be repeated for that student, including payment of the fee.

 11.  Applications received after a class is full will be returned.  Maximum class size depends on the classroom size, except for Level II Class which will be limited to approximately 30 students.

 12. Level I and II Classes are subject to cancellation if not more than 10 students are registered within 7 calendar days of class start date.

 13. Introduction & Roadway Classes are subject to cancellation if not more than 20 students are registered within 7 calendar days of class start date.

 14.  Students attending a class but failing to pass the exam must repeat the enrollment process and pay the class fee again.  These applicants should mark "Retest" on their application.