SECTION 106 - CONTROL OF MATERIAL (Last Revised January, 2025)
106-01 Sources of Supply.
Within seven (7) days of contract award, the Contractor shall notify the Deputy Chief Engineer, Structures (DCES), with a copy to the Engineer, of the name and address of the fabricator of materials provided under contract pay items contained in the following sections: Section 551 Piles and Pile Driving Equipment Deep Foundation Installation and Testing, Section 562 Reinforced Concrete Three-Sided Structures, Section 563 Prestressed Concrete Units (Structural), Section 564 Structural Steel, Section 565 Bridge Bearings, Section 566 Modular Expansion Joint Systems, Section 567 Bridge Joint Systems, Section 568 Bridge Railing, Section 576 Bridge Drainage System, Section 587 Bridge Railing Reconstruction, Section 594 Timber and Lumber,
106-02 Quality Requirements.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 Section 596 Open Steel Floor, Section 597 Timber Bridge Railing and Transitions, Section 644 Overhead Sign Structures, and Section 656 Miscellaneous Metals. The above list is those that commonly require source of supply notification to the DCES. The list may not be all inclusive, and does not supersede requirements found elsewhere in the Standard Specifications, Steel Construction Manual, or Prestressed Concrete Construction Manual. The source of supply notification shall list the shop or shops in which the materials will be manufactured and/or fabricated. The Contractor shall notify the DCES a minimum of 7 calendar days prior to any changes in the scheduled start of fabrication or changes in shop location in order to ensure that appropriate staff are available and present to perform shop inspections. At the Preconstruction Meeting, the Contractor shall furnish the sources of supply, types and associated contract pay item(s) of all other materials that require testing or other prior approval which it proposes to use in the work, to the Engineer in writing. The Contractor shall notify the Engineer a minimum of 7 calendar days prior to any changes in sources of supply in order to ensure that the materials are obtained from approved sources or that required inspection or approval will be completed in a timely manner.
106-02 Quality Requirements.
All materials permanently incorporated into the work shall meet the quality requirements described in Section 700 Materials and Manufacturing, unless the requirements are altered by a contract pay item specification or the contract documents. Materials will be inspected, sampled, and tested by the Department, or its designated representative, as described in Section 700 Materials and Manufacturing, as indicated in the contract documents, or by procedural directives issued by the Department. Safety Data Sheets, catalog cuts, manufacturer’s directions and other documents prepared for general use may use U.S. Customary (USC) or International System of Units (SI) measurement units, or units from both systems. In drawings and documents containing dual units, the USC units shall be the primary units, and the USC units will be reviewed. The Contractor shall be responsible for all annotations on the source documents, conversions between the measurement systems and all errors resulting therefrom. Measurements, dimensions, and all other numerical data included in contract specific documents such as Material Acceptance Records, shop drawings, computations, and Material Details shall be presented in USC units, but they may also include SI units within parenthesis. The USC units shall be listed first, will take precedence and reviews will be based on these units. Documents that fail to adhere to this convention will be rejected. When a reference is made to a specification or test designation of the AASHTO, ASTM, Federal Specifications, or any other recognized nonproprietary national organization, it shall mean the specification or test method (including Provisional AASHTO and Tentative ASTM) which is current on the date of advertisement for bids. The Contractor shall provide to the Engineer a Safety Data Sheet (SDS) in accordance with 29 CFR 1926 Subpart D, for materials to be incorporated into the work and products that are used at the contract site, before the material or product is first used. The instructions for the use of all materials and products, as well as all identifying information required by the specifications (i.e. labels, tags, certifications, etc.) shall be in the English language. Samples for testing shall be selected in the presence of the Department representative, prepared for testing, and shipped as directed by the Department. The cost of all samples; shipment of samples; and any other expenses incurred in making materials or products ready for inspection, sampling and/or testing; shall be included in the unit prices bid for the various items in the contract. Where testing methods used by the Department are not described in the specifications, details of test methods may be obtained by application to the Department.
106-03 Plant Inspected Materials.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 Material shall be used only so long as the quality remains equal to that of an acceptable sample. Initial acceptance of a material will in no way preclude further examination and testing of a material at any time it appears that the material quality is no longer represented by an accepted sample. The acceptance at any time of any material will not bar its future rejection if it is subsequently found to be defective in quality, uniformity or ability to meet the material specification. Documents relevant to the production and acceptance of Hot Mix Asphalt (HMA) and Portland Cement Concrete (PCC) mixtures, including mix design forms, Quality Control (QC) forms, batching tickets, delivery tickets, and other documents shall be submitted in USC units. All materials requiring gradation tests shall be evaluated using U.S. Standard Screen Sieves meeting the requirements of ASTM E11. The cost of all required inspection, sampling and testing performed in the 48 contiguous states of the United States and the provinces of Canada shall be paid for by the Department unless specifically excluded elsewhere in the contract documents or procedural directives.
106-03 Plant Inspected Materials.
The manufacture, production and/or fabrication of some materials and products may require acceptance on a recurring basis of a facility, its capability, and qualifications to produce acceptable materials, including but not limited to: a mill, plant, shop or other location prior to the production and inspection of materials produced. Materials inspected at manufacturing or fabrication plants shall be marked with the contract number and the contract pay item number prior to shipment to the contract site. Any material which has been plant inspected and accepted by this Department for any Department contract, shall not be shipped to other work unless authorized by the Department. Where plant inspection is not provided, the method and procedure for sampling, inspecting and reporting shall be in accordance with the procedural directives of the Department, issued by the Materials Bureau.
106-04 Material Acceptance Records.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 fabrication, at the option of the Department, inspection, sampling, and/or testing may be performed at a different covered location designated by the Contractor and approved by the Department.
106-04 Material Acceptance Records.
Whenever any specification provides for Approved List, Material Certification or Manufacturer’s Certifications as a Basis of Acceptance, the Department reserves the right to sample and/or test any material prior to incorporation in the work. Approved List shall mean the list which is current on the date of incorporation of material into the work. The Contractor may request reimbursement from the Department for additional costs for materials that were purchased after contract award and prior to the product being removed from the Approved list, but are removed from the Approved list after contract award. Some specifications reference a Manufacturer’s Certification or a Material Certification as evidence of acceptability of specific materials or products. A Manufacturer’s Certification can only be properly executed by the Manufacturer or Producer of the material or product. When manufactured products are subsequently modified by another party such as a Fabricator or provided by a Material Supplier other than the Manufacturer, an additional Material Certification from each party that modifies or takes ownership of the product prior to the installation of the material shall be provided in addition to all of the previous certifications.
106-05 Recycled Materials.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 domestic origin. Acceptable statements are: “Conforms (or Does not conform) to the requirements of NYSDOT Standard Specifications §106-11 Buy America” (acceptable for steel/iron, manufactured products and construction materials), “Conforms (or Does not conform) to the requirements of 23 CFR 635.410 Buy America Requirements (acceptable for steel/iron and manufactured products only) or “Conforms (or Does not conform) to the requirements of the Build America, Buy America Act” (acceptable for construction materials only)”. If the product supplied has been altered subsequent to the certification by the manufacturer, the Material Certification shall definitively state that the material or product contained in the shipment meets the requirements of an identified contract specification
106-05 Recycled Materials.
To promote sustainable management practices that protect our natural resources and reduce energy and resource consumption, the Contractor should provide reused or recycled materials to the maximum extent practicable. Recycled materials currently approved by the Department include glass, recycled asphalt pavement (RAP), recycled portland cement concrete aggregate (RCA), blast furnace slag, fly ash, microsilica, waste stream plastics and tires. In order to be considered for use by the Department, recycled or waste material must exhibit the desired engineering characteristics, consistently satisfy specification requirements, provide an acceptable level of performance, be economically competitive with available materials, and not be harmful to the environment. If waste materials are proposed to be used, the Contractor may need to obtain a beneficial use determination (BUD) from the NYSDEC prior to its use as specified in 6 NYCRR 360.12. The beneficial use determination, testing, evaluation and approval for some unapproved waste materials can be a long-term process, and should not be presumed to be completed for any given contract.
106-06 Storage and Handling of Materials.
Materials shall be so stored as to ensure the preservation of their quality and fitness for the work. Stored materials, even though accepted before storage, shall be inspected prior to their use in the work and shall meet the contract requirements at the time of their use. Railroad cars, barges and other containers used for the transportation of materials shall be clean when any materials are deposited therein.
106-07 Basis for Measurement.
Weight shall be used in all cases for percentage determination unless otherwise specified.
106-08 Rejected Materials.
Any material which is rejected because of failure to meet the required tests or that has been damaged so as to cause rejection, shall be immediately removed from the site of the work by the Contractor at no additional cost to the State unless otherwise directed by the Engineer. Material which has been rejected on the results of Department tests will not be resampled or retested unless otherwise directed by the Department. No rejected materials, the defects of which have been subsequently corrected, shall be used until written notification of the acceptance of the material has been received by the Engineer.
106-09 Equivalents.
The requirements for apparatus, articles, or materials shall be specified, if feasible, in generic terms which afford competition for equivalent products or items. When no generic specification can be found or devised, a minimum of at least three, if available, known acceptable trade names or proprietary products shall be provided for the Contractor's benefit and to afford the desired competition. The Department will determine whether a product proposed by a Contractor meets the requirements of the specifications.
106-10 Quality Assurance.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1
106-10 Quality Assurance.
The policies, procedures and guidelines required by the FHWA to assure the quality of materials and construction in Federal-Aid projects are defined in 23 CFR 637 Subpart B Quality Assurance Procedures for Construction. The Department has established a Quality Assurance (QA) Program in accordance with 23 CFR 637 to assure that the materials and workmanship incorporated into each Department project are in conformity with the contract documents. The Department’s QA Program includes both an Acceptance Program and an Independent Assurance Program. The Department’s QA Program applies to both Federal-Aid and non Federal-Aid contracts. Quality Assurance is defined as “all those planned and systematic actions necessary to provide confidence that a product or service will satisfy given requirements for quality.” Contractor/vendor operational techniques and activities that are performed or conducted to fulfill contract requirements are a core part of the QA Program. In accordance with §108-05 Subletting or Assigning the Contract, the Contractor is responsible for all work performed by Subcontractors, Trucking Firms, Manufacturers, Fabricators, Materials Suppliers and any other parties in the performance of the contract. The Contractor is responsible to assure that all materials used meet the appropriate requirements, all products produced from approved component materials meet established quality and performance requirements, and the final constructed product meets all requirements and is free from defects that affect the service life of the installed product. The Contractor is therefore responsible for all quality assurance activities necessary, performed by itself or other parties, to assure that the materials and workmanship meet established Department requirements. The Department’s Acceptance Program activities shall not be incorporated as part of, or as a replacement for, the Contractor’s quality assurance activities.
106-11 Buy America.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 tester obtaining samples and performing the tests. IAST personnel will also take split samples to the Regional Laboratory for testing.
106-11 Buy America.
In accordance with 23 USC 313, 23 CFR 635.410, the Build America Buy America (BABA) Act in Title IX of the Bipartisan Infrastructure Law’s (BIL), and Section 146 of the State Finance Law, permanently incorporated predominantly steel and/or iron materials, manufactured products, and construction materials shall be domestically produced.
106-11 Buy America.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1
106-11 Buy America.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 contract cost or $2,500, whichever is greater. The combined cost of foreign steel and/or iron materials will be the value of the materials as they are delivered to the contract, documented by invoice or bill of sale to the Contractor. For Federal-Aid Contracts, USDOT’s Waiver of Buy America Requirements for De Minimis Costs and Small Grants allows the Contractor to permanently incorporate in the construction of a contract (under a single financial assistance award) a minimal amount of foreign manufactured products and construction materials, if the total value of the non-compliant products/materials is no more than the lesser of $1,000,000 or 5% of total applicable costs for the project. This does not apply to iron and steel subject to the requirements of 23 U.S.C. 313 on financial assistance administered by FHWA. The de minimis threshold in 23 CFR 635.410(b)(4), and stated above, continues to apply for steel and iron. The “total applicable costs for the project” are defined as the cost of materials (i.e., steel/iron, manufactured products, and construction materials) used in the project that are subject to Buy America, including materials that are within the scope of an existing waiver. Based on USDOT’s waiver, if the total amount of federal financial assistance applied to the project, through awards or subawards, is below $500,000, then Buy America does not apply.
107-01 Laws, Rules, Regulations and Permits.
NEW YORK STATE DEPARTMENT OF TRANSPORTATION Section 100 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 1 produced or made in the Unites States in sufficient and reasonably available quantities and of satisfactory quality. The Contractor shall submit a waiver request to the Engineer which includes copies of all documentation verifying the unavailability of the material or product, and/or justification. Waiver requests will be reviewed by the affected Department program areas and approved by the Deputy Chief Engineer, Construction (DCEC).
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