DSP12._Executive_Order_11246.pdf

Appendix C – Designated Special Provision 12 (DSP12) 408/2026

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APPENDIX C

DESIGNATED SPECIAL PROVISION 12 (DSP12)

EXECUTIVE ORDER 11246

(WITH APPENDIX A AND B)

NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL EMPLOYMENT

OPPORTUNITY

(a) The Offeror's or Bidder's attention is called to the "Equal Opportunity Clause" and the "Standard

Federal Equal Employment Opportunity Construction Contract Specifications" set forth herein.

(b) The goals and timetables for minority and female participation, expressed in percentage terms for the Contractor's aggregate workforce in each trade on all construction work in the covered area, are as follows:

Timetables *Goals for minority participation in each trade

*Goals for female participation in each trade

SEE ATTACHED

APPENDIX B

SEE ATTACHED

APPENDIX A

* The hours of minority and female employment is to be reported monthly, by the Contractor, on Standard Form 257 (to be supplied by PENNDOT) and expressed in percentage terms of the Contractor's aggregate workhours for each trade (craft).

These goals are applicable to all the Contractor's construction work (whether or not it is

Federal or federally assisted) performed in the covered area. If the Contractor performs construction work in a geographical area located outside of the covered area, it shall apply the goals established for such geographical area where the work is actually performed. With regard to this second area, the Contractor also is subject to the goals for both its federally involved and non-federally involved construction.

The Contractor's compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 60-4.3(a), and its efforts to meet the goals. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the Contractor shall make a good faith effort to employ minorities and women evenly on each of its projects. The transfer of minority or female employees or trainees from contractor to contractor or from project to project for the sole purpose of meeting the Contractor's goals shall be a violation of the contract, the Executive Order and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed.

(c) The Contractor shall provide written notification to PENNDOT within 10 working days of award of any construction subcontract in excess of $10,000 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the name, address, and telephone number of the subcontractor; employer identification number of the subcontractor; estimated dollar amount of the subcontract; estimated starting and completion dates of the subcontract; and the geographical area in which the subcontract is to be performed.

(d) As used in this Notice, and in the contract resulting from this solicitation, the "covered area" is indicated in the special provision entitled "E.E.O. Covered Area". Goals for females are listed in Appendix A, and for minorities includes the areas listed in Appendix B.

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STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT

SPECIFICATIONS (EXECUTIVE ORDER 11246)

(a) As used in these Specifications:

1. "Covered area" means the geographical area described in the solicitation from which this contract resulted;

2. "Director" means Director, Office of Federal Contract Compliance Programs, U.S. Department of Labor (DOL), or any person to whom the Director delegates authority;

3. "Employer identification number" means the Federal Social Security number used on the

Employer's Quarterly Federal Tax Return, U.S. Treasury Department Form 941; and

4. "Minority" includes:

• Black (all persons having origins in any of the Black African racial groups not of Hispanic origin);

• Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish Culture or origin, regardless of race);

• Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); and

• American Indian or Alaskan Native (all persons having origins in any of the original peoples of North America and maintaining identifiable tribal affiliations through membership and participation or community identification).

(b) Whenever the Contractor, or any subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in excess of $10,000 the provisions of these Specifications and the Notice which contains the applicable goals for minority and female participation and which is set forth in the solicitation from which this contract resulted.

(c) If the Contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown Plan approved by the U.S. DOL in the covered area either individually or through an association, its affirmative action obligations on all work in the Plan area (including goals and timetables) shall be according to that Plan for those trades which have unions participating in the Plan. Contractors must be able to demonstrate their participation in and compliance with the provisions of any such Hometown Plan. Each contractor or subcontractor participating in an approved Plan is individually required to comply with its obligations under the EEO clause, and to make a good faith effort to achieve each goal under the Plan in each trade in which it has employees. The overall good faith performance by other contractors or subcontractors toward a goal in an approved Plan does not excuse any covered contractor's or subcontractor's failure to take good faith efforts to achieve the Plan goals and timetables.

(d) The Contractor shall implement the specific affirmative action standards provided in paragraphs

(g)1 through (g)16 of these Specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the Contractor should reasonably be able to achieve in each construction trade in which it has employees in the covered area. Covered construction contractors performing construction work in geographical areas where they do not have a Federal or Federally assisted construction contract shall apply the minority and female goals established for the geographical area where the work is being performed. Goals are published periodically in the Federal Register in notice form, and such notices may be obtained from any Office of Federal Contract Compliance Programs office or from Federal procurement contracting officers. The

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Contractor is expected to make substantially uniform progress toward its goals in each craft during the period specified.

(e) Neither the provisions of any collective bargaining agreement, nor the failures by a union with whom the Contractor has a collective bargaining agreement, to refer either minorities or women shall excuse the Constructor's obligations under these Specifications, Executive Order 11246, or the regulations promulgated pursuant thereto.

(f) In order for the nonworking training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees must be employed by the Contractor during the training period, and the Contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U.S. DOL.

(g) The Contractor shall take specific affirmative actions to ensure equal employment opportunity.

The evaluation of the Contractor's compliance with these Specifications shall be based upon its efforts to achieve maximum results from its actions. The Contractor shall document these efforts fully, and shall implement affirmative action steps at least as extensive as the following:

1. Ensure and maintain a working environment free of harassment, intimidation, and coercion of all sites, and in all facilities at which the Contractor's employees are assigned to work. The Contractor, where possible, will assign two or more women to each construction project. The Contractor shall specifically ensure that all foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the Contractor's obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities.

2. Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the Contractor or its unions have employment opportunities available and maintain a record of the organizations' responses.

3. Maintain a current file of the names, addresses, and telephone numbers of each minority and female off-the-street applicant and minority or female referral from a union, a recruitment source or community organization and of what action was taken with respect to each such individual. If such individual was sent to the union hiring hall for referral and was not referred back to the Contractor by the union or, if referred, not employed by the Contractor, this shall be documented in the file with the reason therefore, along with whatever additional actions the Contractor may have taken.

4. Provide immediate written notification to PENNDOT when the union or unions with which the

Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or woman sent by the Contractor, or when the Contractor has other information that the union referral process has impeded the Contractor's efforts to meet its obligations.

5. Develop on-the-job training opportunities and/or participate in training programs for the area which expressly include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the Contractor's employment needs, especially those programs funded or approved by the DOL. The Contractor shall provide notice of these programs to the sources compiled under (g)2 above.

6. Disseminate the Contractor's EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the Contractor in meeting its EEO obligations; by including it in any policy manual and collective bargaining agreement;

by publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with all management personnel and with all minority and female employees at least

C12 - 4 Initial Edition once a year; and by posting the company EEO policy on bulletin boards accessible to all employees at each location where construction work is performed.

7. Review, at least annually, the company's EEO policy and affirmative action obligations under these Specifications with all employees having any responsibility for hiring, assignment, layoff, termination or other employment decisions including specific review of these items with on-site supervisory personnel such as superintendents, general foreman, etc., before the initiation of construction work at any job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed, and disposition of the subject matter.

8. Disseminate the Contractor's EEO policy externally by including it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discussing the Contractor's EEO policy with other contractors and subcontractors with whom the Contractor does or anticipates doing business.

9. Direct its recruitment efforts, both oral and written, to minority, female and community organizations, to schools with minority and female students and to minority and female recruitment and training organizations serving the Contractor's recruitment area and employment needs. Not later than 1 month before the date for the acceptance of applications for apprenticeship or other training by any recruitment source, the Contractor shall send written notification to organizations such as the above, describing the openings, screening procedures, and tests to be used in the selection process.

10. Encourage present minority and female employees to recruit other minority persons and women and, where reasonable, provide after school, summer, and vacation employment to minority and female youth both on the site and in other areas of the Contractor's workforce.

11. Validate all tests and other selection requirements where there is an obligation to do so under

41 CFR Part 60-3.

12. Conduct, at least annually, an inventory and evaluation at least of all minority and female personnel for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc.; such opportunities.

13. Ensure that seniority practices, job classifications, work assignments, and other personnel practices, do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that the EEO policy and the Contractor's obligations under these Specifications are being carried out.

14. Ensure that all facilities and company activities are nonsegregated except that separate or single-user toilet and necessary changing facilities shall be provided to ensure privacy between the sexes.

15. Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations.

16. Conduct a review, at least annually of all supervisors' adherence to and performance under the Contractor's EEO policies and affirmative action obligations.

(h) Contractors are encouraged to participate in voluntary associations that assist in fulfilling one or more of their affirmative action obligations ((g)1 through (g)16). The efforts of a contractor association, joint contractor-union, contractor-community, or other similar group of which the Contractor is a member and participant, may be asserted as fulfilling any one or more of its obligations under (g)1 through (g)16 or these Specifications provided that the Contractor actively participates in the group, makes every effort to ensure that the group has a positive impact on the

C12 - 5 Initial Edition employment of minorities and women in the Industry, ensures that the concrete benefits of the program are reflected in the Contractor's minority and female workforce and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the Contractor. The obligation to comply, however, is the Contractor's and failure of such a group to fulfill an obligation shall not be a defense for the Contractor's noncompliance.

(i) A single goal for minorities and a separate single goal for women have been established. The

Contractor, however, is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male and female, and all women, both minority and non-minority. Consequently, the Contractor may be in violation of the Executive Order if a particular group is employed in a substantially disparate manner (for example, even though the Contractor has achieved its goals for women generally, the Contractor may be in violation of the Executive Order if a specific minority group of women is underutilized).

(j) The Contractor shall not use the goals and timetables or affirmative action standards to discriminate against any person because of race, color, religion, sex, or national origin.

(k) The Contractor shall not enter into any subcontract with any person or firm debarred from Government contracts pursuant to Executive Order 11246.

(l) The Contractor shall carry out such sanctions and penalties for violation of these Specifications and of the Equal Opportunity Clause, including suspension, termination, and cancellation of existing subcontracts as may be imposed or ordered pursuant to Executive Order 11246, as amended, and its implementing regulations, by the Office of Federal Contract Compliance Programs. Any contractor who fails to carry out such sanctions and penalties shall be in violation of these Specifications and Executive Order 11246, as amended.

(m) The Contractor, in fulfilling its obligations under these Specifications, shall implement specific affirmative action steps, at least as extensive as those standards prescribed in paragraph (g) of these Specifications, so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the Contractor fails to comply with the requirements of the Executive Order, regulations, or these Specifications, PENNDOT shall proceed according to 41 CFR 60-4.8.

(n) The Contractor shall designate a responsible official to monitor all employment related activity to ensure that the company EEO policy is being carried out to submit reports relating to the provisions hereof as may be required by the Government and to keep records. Records shall at least include for each employee the name, address, telephone numbers, construction trade, union affiliation if any, employee identification number when assigned, social security number, race, sex, status (e.g., mechanic, apprentice, trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in an easily understandable and retrievable form;

however, to the degree that existing records satisfy this requirement, contractors shall not be required to maintain separate records.

(o) Nothing herein provided shall be construed as a limitation upon the application of other laws which establish different standards of compliance or upon the application of requirements for the hiring of local or other area resident (e.g., those under the Public Works Employment Act of 1977 and the Community Development Block Grant Program).

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APPENDIX A

The following goals and timetables for female utilization shall be included in all Federal and federally assisted construction contracts and subcontracts in excess of $10,000. The goals are applicable to the Contractor's aggregate on-site construction workforce (public and private) whether or not part of that work-force is performing work on a Federal or federally assisted construction contract or subcontract.

AREA COVERED: See special provision entitled "E.E.O. Covered Area".

Goals and Timetables

Timetable

Goals (Percent)

From April 1, 1980, until further notice

6.9

Goals are applicable in each construction craft employed by the Contractor in the covered area.

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APPENDIX B

Until further notice, the following goals for minority utilization in each construction craft shall be included in Federal or federally assisted construction contracts and subcontracts in excess of $10,000 to be performed in the respective covered areas in the State. The goals are applicable to the Contractor's aggregate on-site construction workforce regardless of whether that workforce is performing work on a Federal, federally assisted, or non-federally related construction contract or subcontract. This Appendix B shall be used jointly with Appendix A.

Economic Areas

Area Goal

Scranton – Wilkes Barre, PA

SMSA Counties:

Northeast Pennsylvania…………... 0.6 PA Lackawanna;

PA Luzerne; PA Monroe Non-SMSA Counties…………………...0.5 PA Columbia; PA Wayne;

PA Wyoming

Williamsport, PA

SMSA Counties:

Williamsport, PA………………….1.0 PA Lycoming Non-SMSA Counties……………………0.7 PA Cameron; PA Centre;

PA Clearfield; PA Clinton;

PA Elk; PA Jefferson;

PA Montour; PA Northumberland;

PA Snyder; PA Sullivan;

PA Union

Erie, PA

SMSA Counties:

Erie, PA……………………………2.8 PA Erie Non-SMSA Counties……………………1.8 PA Clarion; PA Crawford;

PA Forest; PA Venango;

PA Warren

Pittsburgh, PA

SMSA Counties Altoona, PA……………………….1.0 PA Blair Johnstown, PA…………………….1.3 PA Cambria; PA Somerset Pittsburgh, PA……………………..6.3 PA Beaver; PA Washington;

PA Westmoreland;

PA Allegheny Non-SMSA Counties……………………4.8 PA Armstrong; PA Bedford PA Butler; PA Fayette; PA Greene;

PA Indiana; MD Allegheny;

MD Garrett; WV Mineral

Harrisburg – York – Lancaster, PA

SMSA Counties:

Harrisburg, PA……………………6.2 PA Cumberland;

PA Dauphin; PA Perry Lancaster, PA……………………..2.0 PA Lancaster York, PA…………………………. 2.2 PA Adams; PA York Non-SMSA Counties…………………...3.1 PA Franklin; PA Fulton;

PA Huntingdon; PA Juniata;

PA Lebanon; PA Mifflin

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Economic Areas

Area

Philadelphia, PA

SMSA Counties:

Allentown-Bethlehem- Easton, PA-NJ………………….….1.6 PA Carbon; PA Lehigh;

PA Northampton; NJ Warren Philadelphia, PA-NJ………………17.3 PA Bucks; PA Chester;

PA Delaware;

PA Montgomery;

PA Philadelphia;

NJ Burlington; NJ Camden;

NJ Gloucester Reading, PA……………………….2.5 PA Berks Non-SMSA Counties…………………..14.5 PA Schuylkill; DE Kent;

DE Sussex; NJ Cape May

Buffalo, NY

Non-SMSA Counties……………………6.3 PA McKean; PA Potter;

NY Allegany; NY Cattaraugus;

NY Chautauqua; NY Wyoming

Binghamton-Elmira, NY

SMSA Counties:

Binghamton, NY-PA………………1.1 PA Susquehanna; NY Broome;

NY Tioga Non-SMSA Counties……………………1.2 PA Bradford; PA Tioga;

NY Chenango; NY Delaware;

NY Otsego; NY Schuyler;

NY Tompkins

New York, NY

Non-SMSA Counties……………………17.0 PA Pike; NJ Hunterdon; NJ Ocean;

NJ Sussex; NY Orange;

NY Sullivan; NY Ulster

Ohio

Non-SMSA Counties…………………..6.7 PA Lawrence; PA Mercer;

OH Columbiana; OH Cleveland

OS-299 (10-22)

www.penndot.pa.gov

TRANSMITTAL LETTER

PUBLICATION:

Publication 408, 2026 Edition

DATE:

6/05/2026

SUBJECT:

PennDOT Publication 408/2026 Change No. 1 Specifications

INFORMATION AND SPECIAL INSTRUCTIONS:

Applicability: This Transmittal Letter and its attachment constitute Change No. 1 of PennDOT Specifications, Publication 408/2026. Change No. 1 of Pub 408/2026 is hereby referred to as Pub 408/2026-1. It is new and complete in its entirety and is effective on projects let after October 9, 2026.

Change Format: All subsequent changes to Pub 408/2026 will be made using a "new page" format. To relate conditions that are in effect, each bid proposal will contain a SSP named either: "APPLICABLE DESIGNATED SPECIAL PROVISIONS (FEDERAL)” or "APPLICABLE DESIGNATED SPECIAL PROVISIONS (STATE)” and, if applicable, “APPLICABLE DESIGNATED SPECIAL PROVISIONS (STATE) - DSP 13. BUY AMERICA”. These SSPs exist in ECMS format. They will specify the Designated Special Provisions that apply to the particular project.

CANCEL AND DESTROY THE FOLLOWING: ADDITIONAL COPIES ARE AVAILABLE FROM:

☒ PennDOT website - www.penndot.pa.gov Click on Forms, Publications & Maps

APPROVED FOR ISSUANCE BY:

Michael B. Carroll, Secretary Department of Transportation by:

Kelly M. Barber, P.E., Chief Engineer of Highway Administration Department of Transportation http://www.penndot.pa.gov/ http://www.penndot.pa.gov/

Index of Changes to Publication 408/2026 408/2026

Change No. 1

INDEX OF CHANGES

TO

PUBLICATION 408/2026

General: The Index of Changes has been created to assist Publication 408/2026 users in determining specifics of semiannual changes made since the release of the Initial Edition. This Index contains specifics of all Changes, which includes where and why revisions have been made.

The Change Process: Changes to Publication 408/2026 are issued biannually. Numbered Changes consist of a Transmittal Letter with instructions for posting of revisions, an updated version of this Index, and “new pages” containing the revisions. All Numbered Changes are filed electronically in sequential order on the PennDOT Website. Numbered Changes will be incorporated into Publication 408/2026 and filed under the Change Letters and Indices portion of the Publication.

Researching Revisions. It is critical for many users of Publication 408 to be able to determine the point in time revisions were made and what the specific changes were. This is important from a contractual perspective when researching specifications applicable to projects previously awarded. To assist in this process, refer to this Change Index. If revisions have been made, users can then refer to specifics found in the Initial Edition or subsequent Numbered Change.

CHANGE INDEX OF REVISIONS

THROUGH CHANGE NO. 1

Section and Portion Changed Revised w/ Effective Dates Explanation Section Part or Paragraph Change No. From Nature and Rationale for Change

Preface

TOC

501, 530, 698, 641, 676, DSP1, DSP2,

DSP3, DSP10,

DSP11, DSP14,

DSP18, DSP20

1 October 9, 2026 To revise number of pages for Sections 501, 530, 698; to revise title of Sections 641 and 676; to remove DSP1, DSP2, DSP3, DSP10, DSP11, DSP14, DSP18;

to add DSP20.

106 106.03(b)3, 106.11(a)2, 106.11(a)2.f, 106.11(a)3.d

1 October 9, 2026 To clarify Final Assembly for manufactured products; to revise De Minimis values; to make minor language changes; to include language for electronic submission of material certifications through

ECMS.

107 107.28 1 October 9, 2026 To require completion of Form CS- 102 and to update information reflecting DEP ‘NOT’ Form.

110 110.04, 110.06(a), 110.10(b), 110.10(c)2, 110.10(e), 1 October 9, 2026 To remove requirement that stored material payments cannot exceed 25% of current contract amount; to enhance quality of concrete pavement.

220 220.2(i) 1 October 9, 2026 To correct a typographical error.

404 404.1(a), 404.1(b), 404.3(a), 404.3(b)1, 404.3(b)2, 404.3(c)1, 404.3(d), 404.3(f), 404.4

1 October 9, 2026 To modify payment structure for Ride Quality Incentive Pavement Schedules.

419 414.3(i)2.b.1.a, 419.3(k)1.b.1.a, 419.3(p), 419.4(a)

1 October 9, 2026 To revise the order of operations for Independent Assurance on non-comparison follow-up procedures.

466 466.2(a), 466.2(b), 466.2(c), 466.3(f)1, 466.3(f)2, 466.3(f)3, 466.3(g)1, 466.3(g)3

466.3(i)

1 October 9, 2026 To change AASHTO reference from “M 288” to “M 355M/M 355”;

to change the word ‘percent’ to the symbol ‘%’; to add unit of measure;

to change measurement from decimal to fraction

501 501.2(g), 501.3(f), 501.3(g)4, 501.3(i), 501.3(k)4.b, 501.3(l), 501.3(n), 501.3(p)

1 October 9, 2026 To enhance quality of concrete pavement.

506 506.3, 506.4(a)1, 506.4(a)3, 506.4(c) pavement. Section 506.3 modifies Sections 501.3 (s), 501.3(t)1, and 501.3(u)1.

507 507.1(a), 507.1(b), 507.3(a), 507.3(b)1, 507.3(b)2, 507.3(f), 507.4

1 October 9, 2026 To modify payment structure for Ride Quality Incentive Pavement Schedules; to make minor grammar changes

530 530.2, 530.3, 530.4(a)3, 530.4(a)4, 530.4(c) pavement. Section 530.2 modifies Section 501.2. Section 530.3 modifies Sections 501.3(a), 501.3(k)4, 501.3(t)1, 501.3(u)1, and 501.3(v).

608 608.4(b)3, 608.4(c) 1 October 9, 2026 To require completion of Form CS- 102 and to update information reflecting DEP ‘NOT’ Form; to change the word ‘percent’ to the symbol ‘%’.

633 633.4(a), 633.4(c) 1 October 9, 2026 To update content for curbs, gutters, and joints primarily associated with roundabouts; to delete 633.4(c).

641 Section title, 641.1, 641.3, 641.4

1 October 9, 2026 To revise Section title; to update content for curbs, gutters, and joints primarily associated with roundabouts.

676 Section title, 676.1, 676.3(l), 676.4(a), 676.4(f)

1 October 9, 2026 To revise Section title; to update content for curbs, gutters, and joints primarily associated with roundabouts; to add subbase as incidental; to add subsections 676.3(l) and 676.4(f).

703 703.2(c)3 1 October 9, 2026 To enhance quality of concrete

704 704.1(b), 704.1(c)3, 704.1(c)4, 704.1(d)3, 704.1(d)4.a, 704.1(d)4.b, 704.1(d)5, 704.1(d)7, 704.2(a)

1 October 9, 2026 To eliminate certain testing requirements and to enhance quality of concrete pavement; to enhance quality of concrete

App C Appendix C Whole Document 1 October 9, 2026 To remove DSP18 and add

DSP20.

DSP18 Whole Document 1 October 9, 2026 To remove.

DSP20 Whole Document 1 October 9, 2026 To comply with Federal regulations regarding unmanned aircraft systems (UAS).

SPECIFICATIONS

2026 Edition

Change No. 1, Effective October 9, 2026 www.pa.gov/penndot

PUB 408 (5-26)

Change Packets

Preface 408/2026 i Initial Edition

Commonwealth of Pennsylvania

DEPARTMENT OF TRANSPORTATION

Publication 408/2026

SPECIFICATIONS

PREFACE

Contents:

Publication 408/2026 contains current Construction Specifications for PennDOT projects. Publication 408/2026 is located on the PennDOT website at www.penndot.pa.gov, select “Forms and Publications”.

Updated semiannually, each new Change will contain all previous Edition/Change(s) in their entirety, with changed pages integrated. The changed pages for each new Change are also located on the PennDOT website.

Standard Special Provisions (SSPs) and Master Construction Items that apply to Publication 408/2026:

SSPs and Master Items are maintained in PennDOT’s Engineering and Construction Management System (ECMS) and accessible on the PennDOT website to both PennDOT Business Partners and Public Users.

This is the only access provided to these documents and lists to all users. Public Users should go to the ECMS website, login as a Guest, and then navigate to “Construction Projects” > “Resources”. “Resources” provides access to both Master Items and SSPs. Business Partners can login before selecting “Construction Projects” > “Resources” if they want access to other more complete ECMS data and information applying to PennDOT projects and schedules.

Use of Dimension Values:

Publication 408/2026 is a single set of Construction Specifications that contains measurements in English values. Metric values may be shown for informational purposes and/or generally accepted industry use.

Dual values will not be indicated on design drawings, renderings, or in details and instructions that are project specific. Similarly, there will not be a mixing of values in formulating calculations or in presentation.

Changes and their Effective Dates:

Publication 408/2026 will be available only as an online document. Hardcopy versions will not be made available. Each semiannual change will be updated with new pages incorporated into the document and a separate Change Packet and Transmittal Letter will indicate the most recent changes and will contain a list of the current changes and an Index of Changes listing all changes to date. The full specifics of each Change can be found within the Section to this Publication entitled: Change Letters and Indices to Publication 408/2026. Effective date(s) are:

• Pub 408/2026, Initial Edition (Pub 408/2026-IE) – projects let after April 10, 2026.

• Pub 408/2026, Change No. 1 (Pub 408/2026-1) – projects let after October 9, 2026.

• Pub 408/2026, Change No. 2 (Pub 408/2026-2) – projects let after April 9, 2027.

• Pub 408/2026, Change No. 3 (Pub 408/2026-3) – projects let after October 8, 2027.

• Pub 408/2026, Change No. 4 (Pub 408/2026-4) – projects let after April 14, 2028.

• Pub 408/2026, Change No. 5 (Pub 408/2026-5) – projects let after October 13, 2028.

• Pub 408/2026, Change No. 6 (Pub 408/2026-6) – projects let after April 13, 2029.

• Pub 408/2026, Change No. 7 (Pub 408/2026-7) – projects let after October 12, 2029.

• Pub 408/2026, Change No. 8 (Pub 408/2026-8) – projects let after April 12, 2030.

106.01 106.01

106 – 1

SECTION 106—CONTROL OF MATERIAL

106.01 GENERAL—Use material complying with the requirements of these specifications. At the pre-construction conference, submit a list of material to be sampled and tested by the Contractor and a list of material to be sampled and tested by the Department.

Comply with the provisions of the Pennsylvania Trade Practices Act, 71 P.S. Section 773.101, et seq., concerning the purchase of aluminum and steel products produced in a foreign country. On Federal-Aid projects, also comply with the provisions specified in Section 106.10.

Comply with the provisions of the Steel Products Procurement Act, 73 P.S. Section 1881, et seq. in the performance of the contract or any subcontract.

Following contract execution, furnish to the Department a complete statement of the project construction material’s origin, composition, and manufacture.

For Fabricated Structural Steel materials, as identified in Section 1105.01(a) and inspected in accordance with Section 1105.01(e), and any other fabricated aluminum, precast or prestressed concrete products inspected during manufacturing, stamped, and approved for shipment by the Department’s Representative, furnish Form CS-4171 to the Inspector-in-Charge. Certified mill test reports for any steel included will be reviewed by the Department’s Inspector and retained by the fabricator.

For all other steel products or products containing steel that will be permanently incorporated in the project, provide the Inspector-in-Charge the following when the product is delivered to the project site:

• For any “identifiable” steel products, certification that Section 4 of the Steel Products Procurement Act, 73 P.S. Section 1884, has been complied with. Identifiable steel products are steel products which contain permanent markings which indicate the material was both melted and manufactured in the United States.

• For all other “unidentifiable” steel products, documentation such as invoices, bills of lading, and mill certification that positively identify that the steel was melted and manufactured in the United States.

The provisions of the Steel Products Procurement Act will not be waived unless the Secretary has determined, under authority granted in Section 4(b) of the act, that a certain steel product or products is not produced in the United States in sufficient quantities to meet contract requirements. Such a determination will be set forth in a proposal for the Department’s review and response. Include with the proposal a comprehensive list of sources, including names and contact information, for verification. The Secretary does not have the authority to waive the provisions specified in Section 106.10.

Steel products are defined as products rolled, formed, shaped, drawn, extruded, forged, cast, fabricated, otherwise similarly processed, or processed by a combination of two or more of these operations from steel made in the United States by the open hearth, basic oxygen, electric furnace, Bessemer, or any other steel-producing process. Included are cast iron products and machinery and equipment as listed in United States Department of Commerce Standard Industrial Classification 25, 35, and 37 and made of, fabricated from, or containing steel components. If a product, as delivered to the project, contains both foreign and United States steel, such product is considered to be a United States steel product only if at least 75% of the cost of the articles, materials, and supplies have been mined, produced, or manufactured, as the case may be, in the United States. On Federal-Aid projects, comply with the provisions specified in Section 106.10.

No payment will be made on the contract if unidentified steel products are supplied, until the hereinbefore requirements are met.

Any payments made that should not have been made may be recoverable from a manufacturer or supplier as well as from a contractor or subcontractor.

Any person who willfully violates the Steel Products Procurement Act will be prohibited from submitting bids for any contract for a period of 5 years from the date of determination that a violation has occurred. If a subcontractor, manufacturer, or supplier, violates the Steel Products Procurement Act, such person will be prohibited from performing any work or supplying any materials to the Department for a period of 5 years from the date of determination that a violation has occurred.

If steel products are used as a construction tool or appurtenance and will not serve a permanent functional use in the project, compliance with the Steel Products Procurement Act is not required.

When standard manufactured items are specified and these items are identified by unit mass (unit weight), section dimensions, or similar characteristics, their identification will be considered to be nominal masses (weights) or dimensions. Unless more stringently controlled by specified tolerances, industry established

106.01 106.02(a)

106 – 2 manufacturing tolerances will be accepted.

106.02 MATERIAL—

(a) Preliminary Acceptance and Approval. Have each material and material source of supply listed on Form CS-200 (Source of Supply – Materials) or Form CS-201 (Source of Supply – Traffic Control Devices) and approved before delivery to project. Department Bulletin listed material and material sources are available for use by the Contractor. If non-Bulletin material or material sources are proposed for use, the requirements specified in 106.02(a)2 must be met before these materials are delivered to the project.

The Department reserves the right to obtain samples of any material provided by the Contractor for laboratory testing to verify compliance with specifications.

1. Bulletin Material, Material Application, and Material Source. Defined as any of the following:

• Any material and material source listed in Bulletin 14 and used in the material application as specified in the Bulletin, Publication 408, or a Special Provision.

• Any material and material source listed in Bulletin 15 and used in the material application as specified in the Bulletin, Publication 408, or a Special Provision.

• Any asphalt material and material application specified in Publication 408 and produced at a source listed in Bulletin 41.

• Any cement concrete material and material application specified in Publication 408 and produced at a source listed in Bulletin 42.

Submit a CS-200 or CS-201 to the Representative with the following information: contract item number, item description, material description/type/class, product name, manufacturer/producer plant location, applicable Bulletin supplier code, Bulletin number, and Publication 408 or Bulletin Section.

If a previously submitted Bulletin material source no longer provides the specified material, submit a change in material to the Representative as outlined on Form CS-200 or CS-201. Once written acceptance is received, furnish material from another Bulletin material source listed in Bulletin 14, 15, 41, or 42.

2. Non-Bulletin Material, Material Application, or Material Source. Defined as any of the following:

• Any material, product, or material source not listed in Bulletin 14 or Bulletin 15

• Any material, product, or material source listed in Bulletin 14 or Bulletin 15 being used in an application not intended or specified in the Bulletin, Publication 408, or a Special Provision

• Any asphalt material or product not produced at a source listed in Bulletin 41

• Any asphalt material or product not specified in Publication 408 or a Special Provision

• Any ready-mixed, cement concrete material or product not produced at a source listed in Bulletin 42

• Any ready-mixed, cement concrete material or product not specified in Publication 408 or a Special

Provision

2.a. Construction-Aid Material. A necessary, temporary, or ancillary material that is not specified for use as part of a contract item or extra work item but used by the Contractor only to aid in the completion of the work. The material is typically not a permanent part of the specified work (example: wood and nails for temporary formwork). The material need not be listed on Form CS-200 and does not require any Department approval for delivery to or use on the project. The Representative reserves the right to determine whether a material is a construction-aid material. Note temporary traffic control items are not construction-aid materials and do need listed on Form CS-201 since these items must be from Bulletin 15 listed sources and are specified for use as part of contract items or extra work items.

2.b. Project-Specific, LTS Approved Material. Non-Bulletin material proposed for use on a particular project as part of a contract item or extra work item, which requires approval by the LTS. Use of material is not meant to circumvent the use of available material sources listed in Bulletin 14, 15, 41, or 42.

Have each material and material source listed on Form CS-200 or Form CS-201. The material is defined as any material, product, or material source that meets one or more of the following criteria:

106.02(a) 106.03(a)

106 – 3

• Meets specified requirements in Publication 408 or Special Provision, for the material and material application.

• Meets specified requirements in AASHTO or ASTM Standard for the material and material application.

• Meets specified requirements in project Special Provision for the material and material application.

Submit material to the LTS for evaluation and testing a minimum of 90 days before planned delivery to the project. Submit the following information to the LTS, with a copy to the Representative: source, description, specified use, QC Plan, independent lab test data showing material meets all specified requirements as determined on a single lot of material, and material samples of the kind and quality specified. Do not deliver material to the project until written acceptance is received from the Representative.

2.c. Project-Specific, Locally Approved Material. Non-Bulletin material proposed for use on a particular project as part of a contract item or extra work item, which does not require LTS approval because of the low risk to constructed Project performance but does require local approval by the Representative (i.e., at the District or project level). This category of material is not meant to circumvent the use of available material sources listed in the Bulletins, or the requirements of Project-Specific, LTS Approved Materials.

These materials must meet specification requirements and will be clearly identified in the specification as only needing local approval by the Representative. Have each material and material source listed on Form CS-200 or Form CS-201. Submit for local approval by the Representative all required information for the material, as indicated in the specification.

Examples of locally approved materials are project specific items, such as Section 860 (inlet filter bags), Section 867 (compost filter socks), and Section 868 (compost blanket and compost filter berms) where the specification indicates that these materials are to be locally approved. Bulletin 15 will reference specific Publication 408 Sections that apply to Locally Approved Materials. Bulletin 15 will not list actual materials or material sources for this category of materials as they will be accepted for use on a project-specific basis by local approval.

(b) Inspection. Inspect material delivered to the project and stockpile the material passing inspection for use. Do not incorporate questionable material, until material is tested by LTS and accepted in writing by the Representative. The Department reserves the right to reject questionable material delivered to the project when the LTS test results are not according to the specifications. Furnish assistance to the Inspector, as required to obtain samples.

Allow designated Department representatives to inspect material being used, or intended to be used, at any time before, during, or after material preparation, while being used during the progress of the work, or after the work has been completed. Furnish or arrange with producers or manufacturers to provide necessary material, labor, tools, and equipment for such inspection.

Inspections and tests, if made at any point other than the point of incorporation in the work, will not guarantee acceptance of the material. Inspection and testing performed by the Department will not relieve the Contractor’s responsibility for QC.

106.03 TESTS AND ACCEPTANCE OF MATERIAL—

(a) Restricted Performance Specifications.

1. Responsibility. The Department will be responsible for determining the acceptability of the material and construction. Material will be reviewed for acceptance through the Department’s specified acceptance procedures. Sample locations for acceptance testing will be determined by the Department.

Perform sampling and testing for acceptance in the presence of the Inspector, unless otherwise specified. Lot size will be specified. If operational conditions cause work to be interrupted before the specified lot size has been achieved, the lot may be redefined by the Inspector. It is the intent of these specifications that

106.03(a) 106.03(a)

106 – 4 each lot be evaluated based on the same number of samples. Transport acceptance samples from sampling point to testing site or other designated location in the presence of the Inspector.

The Contractor is responsible for the control and quality of the material and construction.

Prepare a QC Plan as specified in Section 106.03(a)2.a and submit it to the Inspector-In-Charge for review at the start of the project. Include QC sampling and testing frequencies and action points to initiate corrective measures. Notify the Inspector before performing QC sampling and testing. Perform QC sampling and testing and report results to the Inspector.

Obtain and test samples according to the Department’s PTMs. If the required test method is not specified, use methods described in the AASHTO Standard Specifications for Transportation Materials and Methods of Sampling and Testing, and Supplements, Standards and/or Tentatives of ASTM, or other testing procedures adopted by the Department.

Verification sampling and testing will be performed by the District, unless otherwise specified.

QA sampling and testing will be performed or witnessed by the BOCM.

Independent Assurance sampling and testing will be administered by the CQAD.

2. QC.

2.a Maintain a QC system that provides reasonable assurance that materials, products, and completed construction, submitted for acceptance, conform to contract requirements whether self-manufactured, processed, or procured from subcontractors or vendors. When specified, submit for review, a plan of the QC system to be used. Have performed or perform the inspections and tests required to substantiate product conformance to contract requirements. Make the inspection and test results available for review throughout the contract life.

Procedures will be subject to the review of the Department before the work is started. Charts and records documenting QC inspections and tests are the property of the Department. Submit a QC Plan for use in compliance with the following guidelines, as a minimum:

2.a.1 Raw Materials. List the source of material along with methods of documentation and testing performed to assure the material quality.

2.a.2 Production Control. List lot size and samples required; include sample selection, labeling and test procedure; also include manufacturing phase.

2.a.3 Product Testing. List type and frequency of tests to be performed, along with method of documenting and reporting test results. List test equipment and calibration procedure (frequency) required.

List procedure for retesting or rejecting items failing the tests. List the disposal methods and location for test samples and rejected lots.

2.a.4 Personnel. List the personnel in charge of QC and define their areas of responsibility.

2.a.5 Packaging and Shipping. List method of identifying, storing, loading, transporting, and unloading to assure safe delivery of acceptable material and products.

2.a.6 Documentation. List the procedures used for documentation and certification.

The QC Plan and process are subject to periodic review and inspection by the Department.

2.b Promptly record conforming and non-conforming inspection and test results on acceptable forms or charts. Keep these records complete and keep them available for inspection at all times during the performance of the work.

2.c Promptly correct any errors, equipment malfunctions, process changes, or other assignable causes which have resulted or could result in the submission of material, products, and completed construction not conforming to specification requirements.

2.d When required, provide or have provided and maintain measuring and testing devices necessary to ensure that material and products conform to contract requirements. To ensure continued accuracy, calibrate these devices at established intervals against Department standards.

106 – 5

2.e When required, make the measuring and testing equipment available to the Representative for use in determining conformance of material, products, or completed construction with contract requirements.

In addition, make personnel available for the operation of such devices and for verification of the accuracy and condition of the devices. Have calibration results available at all times. The Department reserves the right to conduct periodic inspections of the measuring and testing devices to confirm both calibration and condition of operation.

2.f Failure to comply with the QC Plan may result in suspension of approval to provide material for Department use and/or removal from the approved list of material suppliers in the applicable bulletins.

3. Acceptance Plans.

3.a Percent Within Limits. The percentage of each lot within the specified limits will be determined by the following procedures:

3.a.1 The “n” sampling positions on the lot will be located by use of the table of random numbers found in PTM No. 1.

3.a.2 A measurement will be made at each location, or a test portion taken and the measurement made on the test portion.

3.a.3 The lot ( X ) measurements are averaged to find X .

n

1i

XX

3.a.4 The Standard Deviation, “s,” of the lot measurements will be determined as follows:

1i

1n )XX(s

3.a.5 The Quality Index (QU) is found by subtracting the average (X) of the measurements from the upper…