DSP19._The_United_States_Department_of_Transportation_(USDOT)_Standard_Title_VI_Non-Discrimination_Assurances.pdf

Appendix C – Designated Special Provision 19 (DSP19) 408/2026

C19 - 1 Initial Edition

APPENDIX C

DESIGNATED SPECIAL PROVISION 19 (DSP19)

The United States Department of Transportation (USDOT) Standard Title VI/Non-Discrimination

Assurances DOT Order No. 1050.2A

The Subrecipient (herein referred to as the “Recipient”), hereby agrees that, as a condition to receiving any Federal financial assistance from the U.S. Department of Transportation (DOT), through its various operating administrations and bureaus, which include but are not limited to, the Federal Highway Administration (FHWA), Federal Transit Administration (FTA), Federal Aviation Administration (FAA), Office of the Secretary, National Highway Traffic Safety Administration, and Federal Motor Carrier Safety Administration (FMCSA), is subject to and will comply with the following:

Statutory/Regulatory Authorities

• Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq., 78 stat. 252), (prohibits discrimination on the basis of race, color, national origin);

• 49 C.F.R. Part 21 (entitled Non-discrimination In Federally-Assisted Programs Of The Department Of Transportation-Effectuation Of Title VI Of The Civil Rights Act Of 1964);

• 28 C.F.R. section 50.3 (U.S. Department of Justice Guidelines for Enforcement of Title VI of the Civil Rights Act of 1964); and

• 49 C.F.R. part 303 (FMCSA’s Title VI/Nondiscrimination Regulation).

The preceding statutory and regulatory cites hereinafter are referred to as the “Acts” and “Regulations,” respectively.

General Assurances

In accordance with the Acts, the Regulations, and other pertinent directives, circulars, policy, memoranda, and/or guidance, the Recipient hereby gives assurance that it will promptly take any measures necessary to ensure that:

"No person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity, "for which the Recipient receives Federal financial assistance from DOT, including, but not limited to, the FHWA, FTA, FAA, Office of the Secretary, National Highway Traffic and Safety Administration, and the FMCSA.

The Civil Rights Restoration Act of 1987 clarified the original intent of Congress, with respect to Title VI and other Non-discrimination requirements (The Age Discrimination Act of 1975, and Section 504 of the Rehabilitation Act of 1973), by restoring the broad, institutional-wide scope and coverage of these non• discrimination statutes and requirements to include all programs and activities of the Recipient, so long as any portion of the program is Federally assisted.

Specific Assurances

More specifically, and without limiting the above general Assurance, the Recipient agrees with and gives the following Assurances with respect to its Federally assisted program that is the subject of this Agreement.

1. The Recipient agrees that each “activity,” “facility,” or “program,” as defined in §§ 21.23(b) and

21.23(e) of 49 C.F.R. § 21 will be (with regard to an “activity”) facilitated, or will be (with regard

C19 - 2 Initial Edition to a “facility”) operated, or will be (with regard to a “program”) conducted in compliance with all requirements imposed by, or pursuant to the Acts and the Regulations.

2. The Recipient will insert the following notification in all solicitations for bids, Requests for

Proposals for work, or material subject to the Acts and the Regulations made in connection with the federally-assisted transportation program and, in adapted form, in all proposals for negotiated agreements regardless of funding source:

“The Recipient, in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 U.S.C. §§ 2000d to 2000d-4) and the Regulations, hereby notifies all bidders that it will affirmatively ensure that any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full and fair opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for an award.”

3. The Recipient will insert the clauses of Appendix A and E of this Assurance in every contract or agreement subject to the Acts and the Regulations.

4. The Recipient will insert the clauses of Appendix B of this Assurance, as a covenant running with the land, in any deed from the United States effecting or recording a transfer of real property, structures, use, or improvements thereon or interest therein to a Recipient.

5. That where the Recipient receives Federal financial assistance to construct a facility, or part of a facility, the Assurance will extend to the entire facility and facilities operated in connection therewith.

6. That where the Recipient receives Federal financial assistance in the form, or for the acquisition of real property or an interest in real property, the Assurance will extend to rights to space on, over, or under such property.

7. That the Recipient will include the clauses set forth in Appendix C and Appendix D of this

Assurance, as a covenant running with the land, in any future deeds, leases, licenses, permits, or similar instruments entered into by the Recipient with other parties:

a. for the subsequent transfer of real property acquired or improved under the applicable activity, project, or program; and

b. for the construction or use of, or access to, space on, over, or under real property acquired or improved under the applicable activity, project, or program.

8. That this Assurance obligates the Recipient for the period during which Federal financial assistance is extended to the program, except where the Federal financial assistance is to provide, or is in the form of, personal property, or real property, or interest therein, or structures or improvements thereon, in which case the Assurance obligates the Recipient, or any transferee for the longer of the following periods:

a. the period during which the property is used for a purpose for which the Federal financial assistance is extended, or for another purpose involving the provision of similar services or benefits; or

b. the period during which the Recipient retains ownership or possession of the property.

9. The Recipient will provide for such methods of administration for the program as are found by the Secretary of Transportation or the official to whom he/she delegates specific authority to give reasonable guarantee that it, other recipients, sub-recipients, sub-grantees, contractors, subcontractors, consultants, transferees, successors in interest, and other participants of Federal financial assistance under such program will comply with all requirements imposed or pursuant to

C19 - 3 Initial Edition the Acts, the Regulations, and this Assurance.

10. The Recipient agrees that the United States has a right to seek judicial enforcement with regard to any matter arising under the Acts, the Regulations, and this Assurance.

By signing this ASSURANCE, the Recipient also agrees to comply (and require any sub- recipients, sub-grantees, contractors, successors, transferees, and/or assignees to comply) with all applicable provisions governing the federal agencies’ access to records, accounts, documents, information, facilities, and staff.

You also recognize that you must comply with any program or compliance reviews, and/or complaint investigations conducted by the federal agencies. You must keep records, reports, and submit the material for review upon request to the federal agencies, or their designee in a timely, complete, and accurate way. Additionally, you must comply with all other reporting, data collection, and evaluation requirements, as prescribed by law or detailed in program guidance.

Recipient gives this ASSURANCE in consideration of and for obtaining any Federal grants, loans, contracts, agreements, property, and/or discounts, or other Federal-aid and Federal financial assistance extended after the date hereof to the recipients by the U.S. Department of Transportation under the Federally-assisted program. This ASSURANCE is binding on the Commonwealth of Pennsylvania, other recipients, sub-recipients, sub-grantees, contractors, subcontractors and their subcontractors’, transferees, successors in interest, and any other participants in the Federally-assisted program. The person(s) signing below is authorized to sign this ASSURANCE on behalf of the Recipient.

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APPENDIX A

During the performance of this contract, the contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the “contractor”) agrees as follows:

1. Compliance with Regulations: The contractor (hereinafter includes consultants) will comply with the Acts and the Regulations relative to Non-discrimination in Federally- assisted programs of the U.S. Department of Transportation (U.S. DOT), through its various operating administrations and bureaus, which include but are not limited to, the Federal Highway Administration (FHWA), Federal Transit Administration (FTA), Federal Aviation Administration (FAA), Office of the Secretary, National Highway Traffic Safety Administration, and Federal Motor Carrier Safety Administration (FMCSA), as they may be amended from time to time, which are herein incorporated by reference and made a part of this contract.

2. Non-discrimination: The contractor, with regard to the work performed by it during the contract, will not discriminate on the grounds of race, color, or national origin in the selection and retention of subcontractors, including procurements of materials and leases of equipment. The contractor will not participate directly or indirectly in the discrimination prohibited by the Acts and the Regulations, including employment practices when the contract covers any activity, project, or program set forth in Appendix B of 49 CFR Part 21.

3. Solicitations for Subcontracts, Including Procurements of Materials and Equipment: In all solicitations, either by competitive bidding, or negotiation made by the contractor for work to be performed under a subcontract, including procurements of materials, or leases of equipment, each potential subcontractor or supplier will be notified by the contractor of the contractor’s obligations under this contract and the Acts and the Regulations relative to Non-discrimination on the grounds of race, color, or national origin.

4. Information and Reports: The contractor will provide all information and reports required by the Acts, the Regulations, and directives issued pursuant thereto and will permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the Recipient or the U.S. DOT, through its various operating administrations and bureaus, which include but are not limited to, the FHWA, FTA, FAA, Office of the Secretary, National Highway Traffic Safety Administration, and FMCSA, to be pertinent to ascertain compliance with such Acts, Regulations, and instructions. Where any information required of a contractor is in the exclusive possession of another who fails or refuses to furnish the information, the contractor will so certify to the Recipient or the U.S. DOT, through its various operating administrations and bureaus, which include but are not limited to, the FHWA, FTA, FAA, Office of the Secretary, National Highway Traffic Safety Administration, and FMCSA, as appropriate, and will set forth what efforts it has made to obtain the information.

5. Sanctions for Noncompliance: In the event of a contractor’s noncompliance with the Non• discrimination provisions of this contract, the Recipient will impose such contract sanctions as it or the U.S. DOT, through its various operating administrations and bureaus, which include but are not limited to, the FHWA, FTA, FAA, Office of the Secretary, National Highway Traffic Safety Administration, and FMCSA may determine to be appropriate, including, but not limited to:

a. withholding payments to the contractor under the contract until the contractor complies; and/or

b. cancelling, terminating, or suspending a contract, in whole or in part.

6. Incorporation of Provisions: The contractor will include the provisions of paragraphs one through six in every subcontract, including procurements of materials and leases of equipment, unless exempt by the Acts, the Regulations and directives issued pursuant thereto. The contractor will take action with respect to any subcontract or procurement as the Recipient or the U.S. DOT, through its various operating administrations and bureaus, which include but are not

A - 2 Initial Edition limited to, the FHWA, FTA, FAA, Office of the Secretary, National Highway Traffic Safety Administration, and FMCSA may direct as a means of enforcing such provisions including sanctions for noncompliance. Provided, that if the contractor becomes involved in, or is threatened with litigation by a subcontractor, or supplier because of such direction, the contractor may request the Recipient to enter into any litigation to protect the interests of the Recipient. In addition, the contractor may request the United States to enter into the litigation to protect the interests of the United States.

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APPENDIX B

CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY

The following clauses will be included in deeds effecting or recording the transfer of real property, structures, or improvements thereon, or granting interest therein from the United States pursuant to the provisions of Assurance 4:

NOW, THEREFORE, the U.S. Department of Transportation as authorized by law and upon the condition that the Commonwealth of Pennsylvania, Department of Transportation will accept title to the lands and maintain the project constructed thereon in accordance with the Legislative Authority applicable under this Agreement, the Regulations for the Administration of the federally-assisted program, and the policies and procedures prescribed by the U.S. Department of Transportation’s its various operating administrations and bureaus, which include but are not limited to, the FHWA, FTA, FAA, Office of the Secretary, National Highway Traffic Safety Administration, and FMCSA of the U.S. Department of Transportation in accordance and in compliance with all requirements imposed by Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in Federally-assisted programs of the U.S Department of Transportation pertaining to and effectuating the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252; 42 U.S.C. § 2000d to 2000d-4), does hereby remise, release, quitclaim and convey unto the Commonwealth of Pennsylvania, Department of Transportation, all the right, title and interest of the U.S.

Department of Transportation in and to said lands described in Exhibit A attached hereto and made a part hereof.

(HABENDUM CLAUSE)

TO HAVE AND TO HOLD said lands and interests therein unto the Commonwealth of Pennsylvania, Department of Transportation and its successors forever, subject, however, to the covenants, conditions, restrictions and reservations herein contained as follows, which will remain in effect for the period during which the real property or structures are used for a purpose for which Federal financial assistance is extended or for another purpose involving the provision of similar services or benefits and will be binding on the Commonwealth of Pennsylvania, Department of Transportation, its successors and assigns.

The Commonwealth of Pennsylvania, Department of Transportation, in consideration of the conveyance of said lands and interests in lands, does hereby covenant and agree as a covenant running with the land for itself, its successors and assigns, that (1) no person will on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination with regard to any facility located wholly or in part on, over, or under such lands hereby conveyed [,] [and]* (2) that the Commonwealth of Pennsylvania, Department of Transportation will use the lands and interests in lands and interests in lands so conveyed, in compliance with all requirements imposed by or pursuant to Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Nondiscrimination in Federally-assisted programs of the U.S.

Department of Transportation, Effectuation of Title VI of the Civil Rights Act of 1964, and as said Regulations and Acts may be amended [, and (3) that in the event of breach of any of the above-mentioned non-discrimination conditions, the Department will have a right to enter or re-enter said lands and facilities on said land, and that above described land and facilities will thereon revert to and vest in and become the absolute property of the U.S. Department of Transportation and its assigns as such interest existed prior to this instruction].*

(*Reverter clause and related language to be used only when it is determined that such a clause is necessary in order to make clear the purpose of Title VI.)

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APPENDIX C

CLAUSES FOR TRANSFER OF REAL PROPERTY ACQUIRED OR IMPROVED

UNDER THE ACTIVITY, FACILITY, OR PROGRAM

The following clauses will be included in deeds, licenses, leases, permits, or similar instruments entered into by the Commonwealth of Pennsylvania, Department of Transportation pursuant to the provisions of Assurance 7(a):

A. The (grantee, lessee, permittee, etc. as appropriate) for himself/herself, his/her heirs, personal representatives, successors in interest, and assigns, as a part of the consideration hereof, does hereby covenant and agree [in the case of deeds and leases add “as a covenant running with the land”] that:

1. In the event facilities are constructed, maintained, or otherwise operated on the property described in this (deed, license, lease, permit, etc.) for a purpose for which a U.S. Department of Transportation activity, facility, or program is extended or for another purpose involving the provision of similar services or benefits, the (grantee, licensee, lessee, permittee, etc.) will maintain and operate such facilities and services in compliance with all requirements imposed by the Acts and Regulations (as may be amended) such that no person on the grounds of race, color, or national origin, will be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities.

B. With respect to licenses, leases, permits, etc., in the event of breach of any of the above Non-discrimination covenants, the Commonwealth of Pennsylvania, Department of Transportation will have the right to terminate the (lease, license, permit, etc.) and to enter, re-enter, and repossess said lands and facilities thereon, and hold the same as if the (lease, license, permit, etc.) had never been made or issued.*

C. With respect to a deed, in the event of breach of any of the above Non-discrimination covenants, the

Commonwealth of Pennsylvania, Department of Transportation will have the right to enter or re-enter the lands and facilities thereon, and the above described lands and facilities will there upon revert to and vest in and become the absolute property of the Commonwealth of Pennsylvania, Department of Transportation and its assigns.*

(*Reverter clause and related language to be used only when it is determined that such a clause is necessary to make clear the purpose of Title VI.)

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

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…