Allen Hughes
State Materials Office
352.955.6651
allen.hughes@dot.state.fl.us
State Materials Office
Florida Department of Transportation
January 2015
Goals in this Session
To understand:
 Why we certify
 The Sampling & Testing process
 The Project Certification process
 The EAR/DDM process
 The Project Administrator’s Statement
 What an Exception is, and
 The Certification process & tools available
Florida Department of Transportation
Why Certify?
Florida Department of Transportation
23 CFR 637B
Federal Aid Policy Guide
 Sampling & Testing Program
 Material Certification (MM 5.4)
•
and MM 5.2 for LAP projects
 Sampling, Testing & Reporting Guide
Florida Department of Transportation
Field S & T: An Overview
Remove &
Replace
Does it meet No
Specs?
EAR
QC Testing
Yes
Do they
Compare?
Verification
Testing
Yes
Florida Department of Transportation
No
Resolution
Material
Accepted
Project Material
Certification
Florida Department of Transportation
Components
Materials Engineer’s
Certification
PA’s Materials
Statement
Contractor’s Final
Certification
Contractor’s Monthly
Certification
Reported Test Results
Passing & Verified
QC results
Florida Department of Transportation
Approved EAR
For failing Material
Monthly Checklist Items
 Verify the area represented contained acceptable
material
 Verify all material issues are resolved
 Verify Exceptions are complete and accurate
 Verify the Exceptions match w/ Pay penalties
 Verify all supporting certifications for materials
accepted by certification are received and meet
specifications
Florida Department of Transportation
Engineering
Analysis
Report
Florida Department of Transportation
What is an EAR?
 A report prepared by an approved licensed
engineer providing analysis of failing material left
in place
 Evaluation of affected material, e.g., Analysis of
additional samples, Life Cycle Cost Analysis, etc
 Reporting structural adequacy with reference to
the design criteria
 “Disposition of Defective Material” form
Florida Department of Transportation
EAR Processing
Non-standard
material
left is
in place
Contractor
requests PA
use Of EAR
Disposition
implemented
SCE makes final
decision
DCE approves
disposition
Yes
Concur ?
PA sends EAR &
disposition to DCE
DCE forwards
package to SCE
No
DCE prepares
recommendation
DME reviews EAR
and proposes
disposition to PA
Florida Department of Transportation
Use EAR ?
No
Yes
PA & DME
set up parameters
PA. authorizes
use Of EAR
Contractor
submits EAR w/
recommendation
to PA
PA forwards
a copy of EAR
to DME
Project
Administrator’s
Materials Statement
Florida Department of Transportation
PA Statement
•Financial Project #:
•Federal Project #:
•Contract #:
•County:
•All materials incorporated into the referenced project(s) were accepted in
accordance with the STRG or pertinent contract documents and met all applicable
requirements.
•Earthwork density test locations and results are in substantial compliance with the
pertinent specification requirements of this project. A spot-check of the project
density records indicate substantial compliance with the governing specifications,
sampling and testing guides, and procedures.
•All Contractor Quality Control (QC) material test results have been verified in
accordance with contract requirements. The final disposition of all material
represented by QC results has been accurately documented.
•All required certifications and/or certified test reports have been received in
accordance with contract requirements.
Florida Department of Transportation
PA Statement – Details
• Earthwork density test locations and results
are in substantial compliance with the
pertinent specification requirements of this
project. A spot-check of the project density
records indicate substantial compliance with
the governing specifications, sampling and
testing guides, and procedures.
Florida Department of Transportation
PA Statement – Details
• All Contractor Quality Control (QC) material
test results have been verified in accordance
with contract requirements. The final
disposition of all material represented by QC
results has been accurately documented.
• All required certifications and/ or certified
test reports have been received in
accordance with contract requirements.
Florida Department of Transportation
Exceptions
Florida Department of Transportation
What are Exceptions? (to the Certification)
Material Not Meeting Standards
For CQC Testing:
 Asphalt does not meet standards if C.P.F. for a Lot
is less than 90%
• Additionally, we are noting failing tests, at the
request of the Bituminous technical unit
 Concrete does not meet standards if “payment
tests” do not pass
 Earthwork does not meet standards if either QC or
VT tests do not pass (and are unresolved)
Florida Department of Transportation
Exceptions (cont.)
Material Not Meeting Standards (cont.)
For Non-CQC Testing:
 Material does not meet standards if ‘V’ test does not
pass
Testing Frequency
 Material not tested, or tested at a frequency, not in
conformance with the Specifications and left in-place,
regardless of payment
Florida Department of Transportation
Exceptions (cont.)
Qualifications
 Sampling and testing performed by unqualified
technicians (when specified in the Contract
documents)
 Testing performed at unqualified laboratories or at
qualified laboratories during a time that they were
removed from the list of Qualified Laboratories
 Materials produced when the production facility was
not on the accepted list, and left in-place
Florida Department of Transportation
How do you report an Exception?
 Description
 Location
 Quantity
 Resolution (and at what pay)
 Concurrence…obtained?
Florida Department of Transportation
Example of Format
• Concrete, Class IV
• The following Quality Control and Verification samples did
not compare within the required tolerance. Resolution
was not performed therefore these areas are not verified.
• Sample
• CC4006V
• CC4006Q
Station
Result (psi) Quantity (cy)
806+77 to 807+97
------------------------
7983
9330
22.25
-------
• Project personnel recommended leaving the material inplace at full pay based on the QC results. The District
Materials and District Construction Engineers concurred.
Florida Department of Transportation
Our Review
(the process & tools)
Florida Department of Transportation
Method of Acceptance
What we look at: for all materials that have a paid qty,
make sure have proper method of acceptance
(examples: sampling and testing or certification)
USE: Final pay estimate for Reg. Pay Item Projects
*For Design Build and Lump Sum we use the final Job
Guide Schedule
Florida Department of Transportation
Open Samples
These are samples that have not completed processing
(e.g. Approval Status)
Use: Sample Status Progress Report and Samples Not
Tested Report
The samples on these reports need follow up. They
may need to be processed through LIMS (from receipt
to approval)
Florida Department of Transportation
Sample Status
Florida Department of Transportation
LIMS Status Report
Florida Department of Transportation
LIMS Status Screen
Florida Department of Transportation
LIMS View Test Screen
Florida Department of Transportation
Failing Material
USE: Samples with Disposition other than Full Pay per
Spec (FS) Report
For material not meeting standards.
Do we have a DDM documenting resolution and
concurrences?
Florida Department of Transportation
LIMS Disposition Report
Florida Department of Transportation
Unqualified Personnel and Labs
When contracts specify to have qualified technicians and
labs
Requirements will be under spec book Section 105 for
both personnel and labs.
Need justification and how accepting material tested by
unqualified personnel or labs
Florida Department of Transportation
Material Certifications
USE: Required Certification Tracking Report to
determine certifications that need to be sent to
Gainesville
Make sure only those certifications that come to
Gainesville are logged in LIMS
Others (sampled by PP tested by PP) are scanned into
Hummingbird with the project files
• Random Sampling Program
For more information, see section in the Materials
Manual 5.10
Florida Department of Transportation
LIMS Certification Report
Florida Department of Transportation
Individual Material Review
For example: Earthwork, Concrete, Asphalt,
Reinforcing Steel and all other materials
Make sure sampling and testing frequency is met per
specifications
Since, at times the data entry in LIMS is less than
adequate (garbage in, garbage out), we need
additional information
Florida Department of Transportation
Data for Base LOTS
Frequency: One QC test per 8 LOTS
One VT test per 16 LOTS (every 2 QC)
Florida Department of Transportation
Data for Structural Concrete LOTS
Frequency: One QC test per 50 cy or day’s production
One VT test per 4 LOTS (same mix design)
Florida Department of Transportation
LIMS Lot Index Report
Florida Department of Transportation
LIMS Missing Sample Report
Florida Department of Transportation
Steel Samples
• Please submit the steel sample as soon as it is
received at the project, do not wait until final
acceptance
• The SMO Lab will store an unidentified sample for 2
weeks before it is discarded
• If your sample is discarded deliver one of the “hold”
samples with the appropriate paperwork
• Copy of LIMS C22, tag and mill analysis
• Do not login a separate LIMS entry for the “hold” sample
• The LIMS ID for the original sample will be used for the
“hold” sample
• LIMS life cycle must be completed
Florida Department of Transportation
Wrap-up
We discussed:
 Why we certify
 The Sampling & Testing process
 The Project Certification process
 The EAR process
 The Project Administrator’s Statement
 What an Exception is
 The certification review, and
 Tools to use
Florida Department of Transportation
•Questions
•Comments