DSP16._Lobbying_Certification_Form.pdf

Appendix C – Designated Special Provision 16 (DSP16) 408/2026

C16 - 1 Initial Edition

APPENDIX C

DESIGNATED SPECIAL PROVISION 16 (DSP16)

Lobbying Certification Form (applies only if Agreement is Federally Funded)

[Exhibit needs to be printed, completed offline, and then scanned and attached]

Certification for Contracts, Grants, Loans, and Cooperative Agreements

The undersigned certifies, to the best of his or her knowledge and belief, that:

(1) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement.

(2) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, Disclosure of Lobbying Activities, in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed under Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for such failure.

SIGNATURE:

TITLE:

DATE:

Enclosure 1 to Management Directive 305.16 Amended Page 1 of 1

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 specification limit (U) and dividing the result by “s.”

s

)Xu(Qu

3.a.6 The Quality Index (QL) is found by subtracting the lower specification limit (L) from the average and dividing the result by “s.”

s

)LX(QL

3.a.7 The percentage of material that will fall within the upper limit (U) is estimated by entering Table A or Table B with QU, using the column appropriate to the total number of measurements (n). Use Table A if QU has a negative value, or use Table B if QU has a positive value.

3.a.8 The percentage of material that will fall within the lower limit (L) is estimated by entering Table A or Table B with QL, using the column appropriate to the total number of measurements (n). Use Table A if QL has a negative value, or use Table B if QL has a positive value.

3.a.9 In cases where both upper (U) and lower (L) limits are concerned, the percentage of material that will fall within limits is found by adding the percent (PU) within the upper limit (U) to the percent (PL) within the lower limit (L) and subtracting 100 from the sum.

106 – 6

Total percent within limits = (PU + PL ) - 100

3.a.10 When determining the percentage within limits when the calculated Quality Index (Q.I.)

value is between two tabular values in Table A or Table B, the following procedure is used:

• The difference between the tabular Q.I. values on either side of the calculated value Q.I.

value will be determined.

• The difference will be divided by 2 and the quotient added to the lower tabular Q.I. value, resulting in the interpolated Q.I. value.

• If the calculated Q.I. is equal to or greater than the interpolated value, the higher listed percent within limits will be used.

• If the calculated Q.I. is less than interpolated value, the lower listed percent within the limits will be used.

106 – 7

TABLE A

Estimating Percent of Lot Within Limits

(Standard Deviation Method) Negative Values of QU or QL

Percent Within Limits n=3 n=4 n=5 n=6 n=7

50 0.0000 0.0000 0.0000 0.0000 0.0000 49 0.0361 0.0300 0.0281 0.0272 0.0267 48 0.0722 0.0600 0.0562 0.0545 0.0535 47 0.1083 0.0900 0.0843 0.0818 0.0802 46 0.1444 0.1200 0.1124 0.1091 0.1070

45 0.1806 0.1500 0.1406 0.1364 0.1338 44 0.2158 0.1800 0.1689 0.1639 0.1608 43 0.2510 0.2100 0.1972 0.1914 0.1878 42 0.2863 0.2400 0.2256 0.2189 0.2148 41 0.3215 0.2700 0.2539 0.2464 0.2418

40 0.3568 0.3000 0.2823 0.2740 0.2689 39 0.3912 0.3300 0.3106 0.3018 0.2966 38 0.4252 0.3600 0.3392 0.3295 0.3238 37 0.4587 0.3900 0.3678 0.3577 0.3515 36 0.4917 0.4200 0.3968 0.3859 0.3791

35 0.5242 0.4500 0.4254 0.4140 0.4073 34 0.5564 0.4800 0.4544 0.4426 0.4354 33 0.5878 0.5101 0.4837 0.4712 0.4639 32 0.6187 0.5401 0.5131 0.5002 0.4925 31 0.6490 0.5701 0.5424 0.5292 0.5211

30 0.6788 0.6001 0.5717 0.5586 0.5506 29 0.7076 0.6301 0.6018 0.5880 0.5846 28 0.7360 0.6601 0.6315 0.6178 0.6095

27 0.7635 0.6901 0.6619 0.6480 0.6395 26 0.7905 0.7201 0.6919 0.6782 0.6703

25 0.8164 0.7501 0.7227 0.7093 0.7011 24 0.8416 0.7801 0.7535 0.7403 0.7320 23 0.8661 0.8101 0.7846 0.7717 0.7642 22 0.8896 0.8401 0.8161 0.8040 0.7964 21 0.9122 0.8701 0.8479 0.8363 0.8290

20 0.9342 0.9001 0.8798 0.8693 0.8626 19 0.9555 0.9301 0.9123 0.9028 0.8966 18 0.9748 0.9601 0.9453 0.9367 0.9315 17 0.9940 0.9901 0.9782 0.9718 0.9673 16 1.0118 1.0201 1.0125 1.0073 1.0032

106 – 8

TABLE A (continued)

Negative Values of QU or QL

15 1.0286 1.0501 1.0469 1.0437 1.0413 14 1.0446 1.0801 1.0819 1.0813 1.0798 13 1.0597 1.1101 1.1174 1.1196 1.1202 12 1.0732 1.1401 1.1538 1.1592 1.1615 11 1.0864 1.1701 1.1911 1.2001 1.2045

10 1.0977 1.2001 1.2293 1.2421 1.2494 9 1.1087 1.2301 1.2683 1.2866 1.2966 8 1.1170 1.2601 1.3091 1.3328 1.3465 7 1.1263 1.2901 1.3510 1.3813 1.3990 6 1.1330 1.3201 1.3946 1.4332 1.4562

5 1.1367 1.3501 1.4408 1.4892 1.5184 4 1.1402 1.3801 1.4898 1.5500 1.5868 3 1.1439 1.4101 1.5428 1.6190 1.6662 2 1.1476 1.4401 1.6018 1.6990 1.7615 1 1.1510 1.4701 1.6719 1.8016 1.8893

106 – 9

TABLE B

Positive Values of QU or QL

99 1.1510 1.4701 1.6719 1.8016 1.8893 98 1.1476 1.4401 1.6018 1.6990 1.7615 97 1.1439 1.4101 1.5428 1.6190 1.6662 96 1.1402 1.3801 1.4898 1.5500 1.5868 95 1.1367 1.3501 1.4408 1.4892 1.5184

94 1.1330 1.3201 1.3946 1.4332 1.4562 93 1.1263 1.2901 1.3510 1.3813 1.3990 92 1.1170 1.2601 1.3091 1.3328 1.3465 91 1.1087 1.2301 1.2683 1.2866 1.2966 90 1.0977 1.2001 1.2293 1.2421 1.2494

89 1.0864 1.1701 1.1911 1.2001 1.2045 88 1.0732 1.1401 1.1538 1.1592 1.1615 87 1.0596 1.1101 1.1174 1.1196 1.1202 86 1.0446 1.0801 1.0819 1.0813 1.0798 85 1.0286 1.0501 1.0469 1.0437 1.0413

84 1.0118 1.0201 1.0125 1.0073 1.0032 83 0.9940 0.9901 0.9782 0.9718 0.9673 82 0.9748 0.9601 0.9453 0.9367 0.9315 81 0.9550 0.9301 0.9123 0.9028 0.8966 80 0.9342 0.9001 0.8798 0.8693 0.8626

79 0.9122 0.8701 0.8479 0.8363 0.8290 78 0.8896 0.8401 0.8161 0.8040 0.7964 77 0.8661 0.8101 0.7846 0.7717 0.7642 76 0.8416 0.7801 0.7535 0.7403 0.7320 75 0.8164 0.7501 0.7227 0.7093 0.7011

74 0.7905 0.7201 0.6919 0.6782 0.6703 73 0.7635 0.6901 0.6619 0.6480 0.6395 72 0.7360 0.6601 0.6315 0.6178 0.6095 71 0.7076 0.6301 0.6018 0.5880 0.5846 70 0.6788 0.6001 0.5717 0.5586 0.5506

69 0.6490 0.5701 0.5424 0.5292 0.5211 68 0.6187 0.5401 0.5131 0.5002 0.4925 67 0.5878 0.5101 0.4837 0.4712 0.4639 66 0.5564 0.4800 0.4544 0.4426 0.4354 65 0.5242 0.4500 0.4254 0.4140 0.4073

106.03(a) 106.03(b)

106 – 10

TABLE B (continued)

Positive Values of QU or QL

64 0.4917 0.4200 0.3968 0.3859 0.3791 63 0.4587 0.3900 0.3678 0.3577 0.3515 62 0.4252 0.3600 0.3392 0.3295 0.3238 61 0.3912 0.3300 0.3106 0.3018 0.2966 60 0.3568 0.3000 0.2823 0.2740 0.2689

59 0.3215 0.2700 0.2539 0.2464 0.2418 58 0.2863 0.2400 0.2256 0.2189 0.2148 57 0.2510 0.2100 0.1972 0.1914 0.1878 56 0.2158 0.1800 0.1689 0.1639 0.1608 55 0.1806 0.1500 0.1406 0.1364 0.1338

54 0.1444 0.1200 0.1124 0.1091 0.1070 53 0.1083 0.0900 0.0843 0.0818 0.0802 52 0.0722 0.0600 0.0562 0.0545 0.0535 51 0.0361 0.0300 0.0281 0.0272 0.0267 50 0.0000 0.0000 0.0000 0.0000 0.0000

3.b Resampling of Lot. It is the intent of these specifications that lots will meet specification requirements at the time of submission. If permitted, nonconforming lots that can be corrected may be reworked and sampled.

3.c General Basis of Adjusted Payment. The related adjusted percentage of contract price will be determined by the method designated in the appropriate specification section.

(b) Specifications, Other than Restricted Performance.

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.

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.

Do not incorporate any material into the work that is determined to be outside the specification limits.

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.

106.03(b) 106.03(b)

106 – 11

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

2. QC. Section 106.03(a)2. and as follows:

Provide a plan of the QC system to be used for all construction work requiring acceptance testing by the Department, including QC test frequencies and action points to initiate corrective measures. Submit a copy of the QC Plan to the Project Engineer, to be maintained at the Department’s project field office, before the start of work. A QC Plan is not required for items specified in Section 901.

3. Compliance Certification of Bulletin Materials. The Contractor is responsible for the control and quality of all materials, both Bulletin and non-Bulletin materials, arriving at the project. Each Bulletin material must be certified to be from a Bulletin source and to be in compliance with the specification requirements for the material. A properly completed and submitted Form CS-4171(DS), Certificate of Compliance, is the means for certification of Bulletin materials. Bulletin materials are defined in Section 106.02(a)1. The Department will review properly completed and submitted Certificates of Compliance and supplemental or alternate certification as specified in 106.03(b)3.c within 3 workdays of submission in ECMS.

Prime contractors must use the automated Materials Certification process in ECMS to submit certifications electronically using DocuSign PDF certification forms only. Contact Department resource account via email at RA-PDECONSTRUCT@pa.gov regarding questions about the DocuSign PDF certification forms.

Contractors to contact and ensure manufacturers, producers, suppliers and subcontractors providing materials or working on this project have been informed of this requirement.

The Department reserves the right to sample and test any material for verification that specification requirements are met. Materials of questionable quality delivered to the project will be sampled, tested, and approved by LTS before incorporation in any work. Materials on a reduced certification level may be required to be sampled, tested, and approved by LTS before incorporation in any work. Random field verification samples of the material may be taken by the Representative at the material source, from delivered project material, or at the place of the last manufacturer, fabricator, or producer before delivery. Random QA samples may also be taken by the Representative from delivered project material, at the place of supply, or at the place of the last manufacturer, fabricator, or producer before delivery. The random samples will be sent to the LTS for testing.

3.a Form CS-4171 Completion. Form CS-4171(DS) is completed electronically by the manufacturer, fabricator, or producer (Producer) of Bulletin material provided to the project. The Producer submits the original Form CS-4171(DS) electronically to the Contractor and provides a paper copy of Form CS-4171 or Form CS-4171(DS) with each direct shipment to the project. The Contractor then uploads CS-4171(DS) into ECMS.

When a Producer sells a Bulletin 15 material to a distributor/supplier/private label company (shipper), the Producer provides a copy of Form CS-4171 or Form CS-4171(DS) with each delivery to the shipper.

When a shipper provides Bulletin 15 material directly to the project, the shipper completes and signs a new Form CS-4171(DS) and includes a copy of the Producer’s Form CS-4171 or Form CS-4171(DS), to be submitted electronically to the Contractor and provides a paper copy of the shipper’s Form CS-4171 or Form CS-4171(DS) with each direct shipment to the project. The Contractor then uploads the CS-4171(DS) into ECMS. The shipper will maintain the copy of the Producer’s Form CS-4171 or CS-4171(DS) that they have received.

Form CS-4171 and Form CS-4171(DS) must be properly signed by a legally responsible company official.

3.b Form CS-4171 Submission for Project Shipments. Ensure that Form CS-4171(DS) is received for each project shipment of Bulletin material. Electronically submit a properly completed and signed copy of Form CS-4171(DS) for each project shipment. Do not incorporate any Bulletin material in the work until certification arrives on the project, unless otherwise approved by the Representative. Payment for material will be withheld until proper certification documentation is received.

Submit Form CS-4171(DS) to the Department electronically.

3.c Supplemental or Alternate Certification. Certain Bulletin materials require the submission of supplemental CS-4171 certification in addition to Form CS-4171(DS), to provide traceability of materials in multi-step manufacturing processes. Form CS-4171F(DS) and Form CS-4171LA(DS) must be submitted electronically within ECMS.

mailto:RA-PDECONSTRUCT@pa.gov

106 – 12

• Epoxy coated or galvanized reinforcement steel requires the submission of supplemental certification Form CS-4171C (Epoxy Coating or Galvanizing Facility) and/or Form CS-4171F(DS) (Fabrication Facility).

• Structural steel, aluminum, or precast/prestressed concrete products, produced in a Bulletin 15 approved facility with an on-site Inspector or a Representative, must be stamped with an approved inspection stamp at the plant and certified with a Form CS-4171(DS).

• Steel products containing foreign steel require the submission of supplemental Form CS-4171S.

Certain Bulletin materials require a form of certification other than the Form CS-4171, as identified in the particular material specification.

• Section 701 and Section 702 materials require a properly completed vendor bill of lading.

• Certification of daily bituminous mixtures by submission of Form CS-4171B.

• Certification of locally approved non-Bulletin materials by submission of Form CS-4171LA(DS).

Organize and submit only Forms CS-4171(DS) and supplemental or alternate certifications for material supplied to the project. Submissions containing irrelevant forms or documentation for materials not incorporated into the project will not be accepted.

3.d CS-4171 Record Retention. Retain Form CS-4171 or Form CS-4171(DS) supplemental and alternate certifications as defined in Section 106.03(b)3.c, for a period of not less than 3 years from the date of the last project shipment. Make files available for inspection and verification by the Department.

Notify shippers that a certification file must be maintained for purchased Bulletin materials to provide an audit trail to the Producer. Certifications for purchased Bulletin materials must be maintained at their place of business for a period of not less than 3 years from the date of the last shipment to the project and must be available for inspection by the Department.

Notify Producers that all component certifications for purchased Bulletin materials must be maintained at their place of business for a period of not less than 3 years from the date of the last shipment to the project and must be available for inspection by the Department.

3.e Levels of Certification for Bulletin 15 Producers. The BOPD determines the Level of Certification for each Producer based on the Producer’s ability to comply with the material specifications. The Levels of Certification are defined in Table C. Bulletin 15 will indicate if a Producer is at a certification level other than Level 1.

Material provided by Producers listed in Bulletin 15 is approved for use only in its intended application(s).

TABLE C

Levels of Certification for Bulletin 15 Producers

Producer Material Shipment Procedure

Producer Additional

Requirements

Level 1 Standard Certification Ship on Certification with Form CS-4171(DS)* None

Level 2 Standard Certification - Reduced

Ship on Certification with Form CS-4171(DS)* See Section 106.03(b)3.e.2

Level 3 Lot Approval Certification

Ship only after Material Lot Approval using Modified Certification, with Form CS-4171(DS)*

See Section 106.03(b)3.e.3

Suspension or Removal

According to the State’s Contractor Responsibility Program:

• Producer may be suspended or removed from Bulletin 15 for any of the reasons stated in the Bulletin 15 Preface, regardless of Producer certification level.

• Failure of Producer to advance above Certification Level 3 will result in PennDOT’s initiating action for suspension or removal from Bulletin 15.

106 – 13

* Certain Bulletin materials require supplemental or alternate forms of certification, as specified in Section 106.03(b)3.c. All Form CS-4171(DS), Form CS-4171F(DS), and Form CS-4171LA(DS) must be submitted electronically within ECMS

3.e.1 LEVEL 1 (Standard Certification).

• Initial Level of Certification typically issued to Bulletin 15 listed Producers.

• Material is produced and tested in accordance with the Producer’s approved QC Plan.

• No known material performance or quality issues exist that warrant a reduced level of certification.

• Material is shipped on certification using Form CS-4171 or Form CS-4171(DS).

3.e.2 LEVEL 2 (Standard Certification - Reduced).

• Reduced Level of Certification issued to Bulletin 15 listed Producers who have exhibited minor/moderate material performance or quality issues.

• Producer is required to work with PennDOT on submission of an improvement plan that may include, but is not limited to, any or all of the following items: a revised QC Plan, a failure analysis/action plan to assess why failures are occurring and how to prevent these failures from occurring in the future, correlation testing between in-house and independent lab testing to assist with validating results.

• Material is produced and tested in accordance with the improvement plan approved by PennDOT.

• Material is shipped on certification using Form CS-4171 or Form CS-4171(DS).

3.e.3 LEVEL 3 (Lot Approval Certification).

• This Level of Certification is issued to Bulletin 15 listed Producers who have exhibited major material performance or quality issues.

• Producer is required to work with PennDOT on an improvement plan as defined in Level 2.

• Material cannot be shipped to projects using the standard CS-4171 certification process.

• Producer must arrange for independent, in-plant acceptance testing (IPAT) that will be conducted side-by-side with “in-house” Producer testing at the designated frequencies in the revised QC plan. IPAT will be at the Producer’s expense. PennDOT’s LTS must approve the Producer’s proposed IPAT provider before it begins.

• Any material lot to be used on a project must be tested and approved by the IPAT as meeting the required PennDOT specification before shipment to the project.

• Each material lot meeting the specification may be shipped to a project using a modified certification process as follows: submit, to both the Project Representative and LTS, Form CS- 4171 or Form CS-4171(DS) along with a signed letter from the IPAT (on their official letterhead) indicating that the material lot meets testing and specification requirements.

• Correlate results from parallel “in-house” Producer testing and IPAT testing and submit to the

LTS on a monthly basis.

106.04 106.05(d)

106 – 14

106.04 USE OF MATERIALS FROM WITHIN THE PROJECT—With written permission, material found in the excavation areas and meeting the Department’s specifications may be used in the project construction.

Material used will be paid for, as specified in Section 110.01. However, replace any portion removed with suitable material, if required to complete the embankments. The replaced quantity will be 110% of the volume of stone or gravel removed and 100% of the volume of sand and other material removed. Do not use reserved material, as specified in Section 104.06, or as indicated in the proposal.

106.05 STORAGE OF MATERIAL—

(a) General. Store material to assure preservation of specified quality and fitness for the work.

Stored material, even though…