SECTION 401 - PLANT PRODUCTION (Last Revised January, 2023)
401-1 DESCRIPTION. The Contractor is responsible for Quality Control (QC). QC is defined as all
activities required to produce asphalt mixtures that meets all specification requirements. The Contractor shall incorporate a Quality Control system for all plant production of asphalt mixtures and assume responsibilities for all QC activities at the production facilities. The Contractor shall produce the asphalt mixtures according to the specifications herein and provide production documentation. The Department is responsible for Quality Assurance (QA). QA is defined as all activities performed by the Department to assure that asphalt mixture production meets the specification requirements. The Department will determine quality assurance for performance engineered, volumetric, and non-volumetric mixes in accordance with Materials Procedure (MP) 401, Quality Control and Quality Assurance Procedures for Asphalt Mixture Production. The contractor is responsible for Quality Control (QC). QC is defined as all activities required to produce asphalt mixture that meets all specification requirements. The contractor shall incorporate a Quality Control system for all plant production of asphalt mixture and assume responsibilities for all QC activities at the production facilities. The contractor shall produce the asphalt mixture according to the specifications herein and provide production documentation. Quality Adjustment Factors (QAFs) will be used to assess asphalt mixture production quality and these factors will be applied to calculate a quality payment adjustment. The Department is responsible for Quality Assurance (QA). QA is defined as all activities performed by the Department to assure that asphalt mixture production meets the specification requirements. The Department will determine quality payment adjustments for each day’s production using a daily QAF obtained from the calculations of the average absolute values for volumetric and non-volumetric mixes in accordance with Materials Procedure (MP) 401, Quality Control and Quality Assurance Procedures for Quality Control Asphalt Mixture Production. The daily QAFs measure production variation from the mean of the specification limits.
401-2 MATERIALS. The provisions of §404-4, Materials, apply and are as modified herein. Produce
asphalt mixture in accordance with the requirements outlined in this specification, including all applicable Test Methods and Materials Procedures. Asphalt mixture designs must be accepted by the Department prior to any asphalt production. The Department reserves the right to suspend any mixture design when the mixture produces unacceptable paving results or exhibits properties that will affect the anticipated pavement performance.
401-2.01 Asphalt Mixture Designs. Formulate and submit an asphalt mixture design to the Regional
Materials Engineer (RME) that satisfies all design criteria outlined in MM 5.16, Asphalt Mixture Design and Mixture Verification Procedures. When the submitted asphalt mixture design is assigned verification status, the design must be verified during production. Notify the RME at least 24 hours prior to the start of verification status production. When producing under verification status, make necessary adjustments
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NEW YORK STATE DEPARTMENT OF TRANSPORTATION Sections 200 - 599 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 2 to control the process. Apply daily QAFs to both verification and production status mix designs. Mixtures produced under verification status are allowed for use on State projects. For any asphalt permeable base and shim mixtures required by the contract documents, formulate and submit to the RME a job mix formula that satisfies the General Limits imposed by Table 401-1, Composition of Asphalt Mixtures.
401-2.02 Aggregates. Aggregate must be from a source approved by the Department. Use fine aggregate
that consists of materials conforming to the requirements of §703-01, Fine Aggregate. In addition, fine aggregate may consist of screenings, free from deleterious materials and manufactured from sources of stone, gravel, or slag meeting the requirements of §703-02, Coarse Aggregate. Use coarse aggregate that consists either of crushed stone, crushed gravel, or crushed slag conforming to the requirements of §703-02, Coarse Aggregate and MM 5.16. Use slag aggregate on State projects only when an alternate pay item which takes the mix yield differential into account is included on the plans or in the itemized proposal. When coarse aggregates for the mixture are from more than one source or of more than one type of material, proportion and blend them to provide a uniform mixture. TABLE 401-1 COMPOSITION1 COMPOSITION OF ASPHALT MIXTURES Mixture Requirements Permeable Base Shim Type 2 Type 5 Screen Sizes General Limits % Passing1 Job Mix Tolerance % General Limits % Passing1 Job Mix Tolerance % 2 in 100 --- --- --- 1½ in 75 – 100 ±7 --- --- 1 in 55 – 80 ±8 --- --- ½ in 23 – 42 ±7 --- --- ¼ in 5 – 20 ±6 100 --- 1/8 in 2 – 15 ±4 80 – 100 ±6 No. 20 --- --- 32 – 72 ±7 No. 40 --- --- 18 – 52 ±7 No. 80 --- --- 7 – 26 ±4 No. 200 --- --- 2 – 12 ±2 Asphalt Content, %2,3 2.5 – 4.5 NA 7.0 – 9.5 NA Mixing and Compaction Temperature Range ºF 225 – 300 250 – 325 NOTES: 1.All aggregate percentages are based on the total weight of the aggregates. 2.The asphalt content is based on the total weight of the mix. When using slag aggregates in the mix, the asphalt content shall be increased accordingly, a minimum of 25 percent for an all slag mix. 3.Use the PG binder listed in the proposal or as designated by the Regional Materials Engineer following the guidance specified in the Comprehensive Pavement Design Manual, Chapter 6, Section 6.2.5 – Performance Graded Binder Selection.
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NEW YORK STATE DEPARTMENT OF TRANSPORTATION Sections 200 - 599 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 2
A.Coarse Aggregate Type F1 Conditions. Use one of the following types of coarse aggregate.
1.Sandstone, granite, chert, traprock, ore tailings, slag or other similar noncarbonated materials.
2.Gravel, or a natural or manufactured blend of the following types of materials: limestone, dolomite, gravel, sandstone, granite, chert, traprock, ore tailings, slag or other similar materials, meeting the following requirements:
a.12.5 Nominal Maximum Size Aggregate Mixes. Noncarbonate plus 1/8 inch particles must comprise a minimum of 30.0% of the total aggregate (by weight with adjustments to equivalent volumes for materials of different specific gravities). A minimum of 90.0% of plus 3/8 inch particles must be non-carbonate.
b.9.5 Nominal Maximum Size Aggregate Mixes. Noncarbonate plus 1/8 inch particles must comprise a minimum of 30.0% of the total aggregate (by weight with adjustments to equivalent volumes for materials of different specific gravities). A minimum of 90.0% of plus No. 4 particles must be non-carbonate.
c.6.3 Nominal Maximum Size Aggregate Mixes. Noncarbonate plus No. 8 particles must comprise a minimum of 30.0% of the total aggregate (by weight with adjustments to equivalent volumes for materials of different specific gravities). A minimum of 90.0% of plus No. 4 particles must be non-carbonate.
B.Coarse Aggregate Type F2 Conditions. Use one of the following types of coarse aggregate.
1.Limestone, dolomite, or a blend of the two having an acid-insoluble residue content of not less than 20.0%.
2.Sandstone, granite, chert, traprock, ore tailings, slag or other similar noncarbonate materials.
3.Gravel, or a natural or manufactured blend of the following types of materials: limestone, dolomite, gravel, sandstone, granite, chert, traprock, ore tailings, slag or other similar materials, meeting the following requirements:
a.12.5 Nominal Maximum Size Aggregate Mixes. Noncarbonate plus 1/8 inch particles must comprise a minimum of 10.0% of the total aggregate (by weight with adjustments to equivalent volumes for materials of different specific gravities). A minimum of 20.0% of plus 3/8 inch particles must be noncarbonate.
b.9.5 Nominal Maximum Size Aggregate Mixes. Noncarbonate plus 1/8 inch particles must comprise a minimum of 10.0% of the total aggregate (by weight with adjustments to equivalent volumes for materials of different specific gravities). A minimum of 20.0% of plus No. 4 particles must be noncarbonate.
c.6.3 Nominal Maximum Size Aggregate Mixes. Noncarbonate plus No. 8 particles must comprise a minimum of 10.0% of the total aggregate (by weight with adjustments to equivalent volumes for materials of different specific gravities). A minimum of 20.0% of plus No. 4 particles must be non-carbonate.
C.Coarse Aggregate Type F3 Conditions. Use one of the following types of coarse aggregate.
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1.Limestone or a blend of limestone and dolomite having an acid-insoluble residue content of not less than 20.0%.
2.Dolomite.
3.Sandstone, granite, chert, traprock, ore tailings, slag or other similar noncarbonate materials.
4.Gravel, or a natural or manufactured blend of the following types of materials: limestone, dolomite, gravel, sandstone, granite, chert, traprock, ore tailings, slag or other similar materials, meeting the following requirements:
a.12.5 Nominal Maximum Size Aggregate Mixes. Noncarbonate plus 1/8 inch particles must comprise a minimum of 10.0% of the total aggregate (by weight with adjustments to equivalent volumes for materials of different specific gravities). A minimum of 20.0% of plus 3/8 inch particles must be noncarbonate.
b.9.5 Nominal Maximum Size Aggregate Mixes. Noncarbonate plus 1/8 inch particles must comprise a minimum of 10.0% of the total aggregate (by weight with adjustments to equivalent volumes for materials of different specific gravities). A minimum of 20.0% of plus No. 4 particles must be noncarbonate.
c.6.3 Nominal Maximum Size Aggregate Mixes. Noncarbonate plus No. 8 particles must comprise a minimum of 10.0% of the total aggregate (by weight with adjustments to equivalent volumes for materials of different specific gravities). A minimum of 20.0% of plus No. 4 particles must be non-carbonate.
D.Coarse Aggregate Type F9 Conditions. Use coarse aggregate meeting the requirements of §703- 02, Coarse Aggregate.
401-2.03 Mineral Filler. Use mineral filler conforming to the requirements of §703-08, Mineral Filler.
401-2.04 Performance-Graded Binder. Use the Performance-Graded Binder (PG Binder) in the
production of these mixtures that meets Section 702 – Bituminous Materials. Initial acceptance of the PG Binder is based on the primary source appearing on the Department’s Approved List for Bituminous Material Primary Sources, A. Performance-Graded Binders for Asphalt Mixture Paving. Acceptance of the PG Binder is contingent upon satisfactory test results from samples taken, as required by the Department’s procedural directives, at the location where the material is incorporated into the work. A primary source is defined as a firm that samples, tests, and certifies by Production Lot that the PG Binder is in conformance with the specifications. The procedural directives for sampling, testing, and certifying the PG Binder, and for achieving and maintaining approved list status, are available from the Materials Bureau. The temperature of PG Binder delivered to the Asphalt Mixture Production Facility shall not exceed 350°F, unless the PG Binder supplier recommends it.
401-2.05 Reclaimed Asphalt Pavement. Reclaimed Asphalt Pavement (RAP) shall meet the
requirements of MM 5.16.
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NEW YORK STATE DEPARTMENT OF TRANSPORTATION Sections 200 - 599 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 2
401-3 Construction Details.
401-3.01 Quality Control. Perform all sampling and testing in accordance with Materials Procedure
401. Document all QC test results and records in an electronic format and provide them to the RME at the end of each production day using the Department provided QC/QA Daily Form. Asphalt Mixtures produced without the required sampling, testing and documentation may be rejected. Perform all sampling and testing in accordance with Materials Procedure 401. Document all QC test results and records in a legible manner and provide them to the State at the end of each production season or when requested by the RME. Asphalt Mixture produced without the required sampling, testing and documentation may be rejected.
401-3.02 Production Facility Laboratory. Maintain an approved production facility site laboratory to
perform all required asphalt mixture sampling and testing according to MP 401.
401-3.03 Plant Lots and Sublots. Determine plant lots and sublots on a daily basis in accordance with
MP 401.
401-3.04 Quality Control Sampling and Testing. Obtain and test QC samples as outlined in MP 401.
401-3.05 Production Control. Produce asphalt mixture according to MP 401. Make necessary process
control adjustments during production according to MP 401.
401-3.06 Production Quantities. Whenever production is made for the Department, notify the Regional
Materials office by 3:00 p.m. the business day before the day of production. Maintain a record of each day’s production quantity for each mix design supplied to each project site using the Department provided QC/QA Daily Form. Retain a copy of these records at the production facility. These records must be available to the Department’s representative for review. Ship all production quantities as outlined in §401-3.07 Documentation. Whenever production is made for the Department, notify the Regional Materials office by 3:00 p.m. the business day before the day of production. Maintain a record of each day’s production quantity for each mix design supplied to the project site daily. Retain these records at the production facility. These records must be available to the Department’s representative for review. Ship all production quantities as outlined in §401-3.07 Documentation.
401-3.07 Documentation. Record all QC test data for each plant on the Department provided QC/QA
Daily Form according to MP 401. A copy of the plant automation printout shall be kept at the plant facility for each mix type produced and made available to the Department for review at all times. Provide a delivery ticket indicating the total quantity in tons being delivered with each delivery vehicle supplying asphalt mixtures. The method of determining the delivered quantity is subject to the approval of the RME. Make one legible copy of the delivery ticket available to the Department’s paving inspector prior to the placement of the mixture showing the following minimum information:
A.Ticket number
B.Plant identification
C.Contract number
D.Delivery Mix Code (as outlined in MP 401)
E.Job Mix Formula (JMF) (as outlined in MP 401)
F.Quantity of material in vehicle
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NEW YORK STATE DEPARTMENT OF TRANSPORTATION Sections 200 - 599 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 2
G.Date and Time The quality assurance technician (QAT) will determine acceptance for each day’s production in accordance with MP 401. Record all QC test data for each plant on the appropriate forms provided by the Department according to MP 401. Also, keep a copy of the plant automation printout at the plant facility for each mix type produced and make them available for review at all times. Transmit a summary of all test data weekly to the RME. Provide a delivery ticket indicating the total quantity in tons being delivered with each delivery vehicle supplying asphalt mixture. The method of determining the delivered quantity is subject to the approval of the RME. Make one legible copy of the delivery ticket available to the Department’s paving inspector prior to the placement of the mixture showing the following minimum information:
A.Ticket number
B.Plant identification
C.Contract number
D.Site Manager Mix ID (as outlined in MP 401)
E.Mix Code (as outlined in MP 401)
F.Quantity of material in vehicle
G.Date and Time The quality assurance technician (QAT) will determine the quality adjustment factor (QAF) for each day’s production in accordance with MP 401. The Engineer will use the Daily QAF to calculate the payment adjustment for each day’s production according to §404-4 Method of Measurement.
401-3.08 Asphalt08 Asphalt Mixing Plant. Asphalt mixing plants must meet the requirements in MP
401.
401-3.09 Asphalt Mixture Holding Bins. Asphalt mixtures may be held in holding bins which meet the
requirements in MP 401.
401-3.10 Evaluation of Lots Outside of Production Status. When any material placed has test results
that are outside the limit of Production Status as stated in MP 401, the Engineer will evaluate the subject material to determine if it will be left in place in accordance with Section 404-3.14, A. Plant Production. If it is determined the subject material will not be left in-place, the Contractor shall remove and replace the material at no additional cost to the State. Evaluation of Lots Represented by 0.85 QAF. When any material results in a QAF of 0.85, the Engineer will evaluate the subject material to determine if it will be left in place. The Engineer may require the Contractor to core the pavement to determine if the in-place density is acceptable at no additional cost to the State. When cores are required, the Engineer will divide the pavement area being evaluated into 4 sublots in accordance with the requirements of §404-3.08, Pavement Density Samples. The material will be left in-place when either of the following sets of conditions is met.
A.The calculated plant air voids used for payment are greater than 5.5% and less than or equal to
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NEW YORK STATE DEPARTMENT OF TRANSPORTATION Sections 200 - 599 STANDARD SPECIFICATIONS (USC) January 1, 2026 Volume 2 7.0%, the asphalt content, based on automation, is within 0.2% of the production target, the Contractor achieved field density of 93% minimum and there are no defects such as, but not limited to, cracking, raveling, rutting, shoving, or bleeding.
B.The calculated plant air voids used for payment are greater than or equal to 1% and less than 1.5%, the validated QC and QA plant air void test results, according to MP 401, average 1.5% to 5.5%, the asphalt content, based on automation, is within 0.2% of the production target, the contractor achieved field density of 93% minimum, and there are no defects such as, but not limited to, cracking, raveling, rutting, shoving, or bleeding.
C.If the material does not meet the above conditions or it is unknown, such as for mixes accepted based on gradation or if QA testing was not required, the Engineer will determine if the material in question may remain in-place considering, but not limited to, the following:
1.Type of material produced
2.The layer in which the material was placed
3.The location and traffic volume
4.Laboratory test results
5.Field test results, such as density If the subject material is left in-place, it will be assigned a QAF of 0.85. If determined the subject material will not be left in-place, the Contractor shall remove and replace the material at no additional cost to the State.
401-4 METHOD OF MEASUREMENT. The quantity will be the number of tons delivered as
determined from the automated proportioning system, the delivery vehicle weigh system, or the asphalt mixture holding bin weigh system. The measurement or calculation will be the quantity based on the measured amount and reported to the nearest 0.01 of a ton. SECTION 402 - VACANT SECTION 403 - VACANT
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Source: Standard Specifications (US Customary Units), 2026 (Jan) Edition. Pages 339–345 of 1,489. View official source ↗