MnDOT Railroad Crossing Signal Agreement MnDOT Agreement No. 1049555
STATE OF MINNESOTA
RAILROAD CROSSING SIGNAL
USDOT Number: 393283J Total Obligation: $ 326,891.04
State Project Number (SP): 10-00126 Anticipated Federal Aid: $ 294,201.94
Federal Project Number: RRS 1023(168) Total Local Agency Obligation: $ 32,689.10
CFDA: 20.205
Railroad: Twin Cities & Western Railroad Company
Location: MSAS 119 (Great Plains Blvd), Chanhassen, Carver County, MN
Local Agency: City of Chanhassen
This agreement (Agreement) made and entered into by and between State of Minnesota through its Commissioner of
Transportation, (State), and the Twin Cities & Western Railroad Company, (Company) and the City of Chanhassen, (Local
Agency).
RECITALS
1 MSAS 119 (Great Plains Blvd), as now established, crosses the track of the Company at grade in Chanhassen, MN, the
location of the crossing and railway track shown on the attached print, marked Exhibit A.
2 The State, Local Agency and the Company desire that this grade crossing be provided with new railroad flashing light
signals, gates, cantilevers, constant warning circuitry, LED lenses, and a side light in the SE quadrant (Project), and the
Company is willing to install, maintain and operate such signals upon the terms and conditions set forth in this
Agreement.
3 The State, pursuant to Minnesota Statute Section 161.36, is authorized to cooperate with the United States
Government in contracting for the construction, improvement and maintenance of transportation in the state of
Minnesota, financed in whole or in part by federal monies.
4 The Federal Highway Administration (FHWA), when acting in cooperation with the State of Minnesota, is authorized
by Section 130 of Title 23 of the United States Code to make Federal Aid available for the purpose of eliminating
hazards at railroad grade crossings within the State of Minnesota.
5 The State, pursuant to Minn. Stat. §219.26, has reviewed the proposed selection of warning devices for the railroad
grade crossing and has determined that the proposed selection is appropriate for the crossing.
AGREEMENT TERMS
1. Term of Agreement, Survival of Terms and Incorporation of Exhibits
1.1. Effective Date: This Agreement will be effective on the date State obtains all required signatures under
Minn. Stat. §16C.05, subdivision 2. Company shall not begin work under this Agreement
until this Agreement is fully executed and Company has been notified in writing by
State’s Project Manager to begin the work.
1.2. Expiration Date: This Agreement will expire four years after this Agreement is fully executed, or when all
obligations have been satisfactorily fulfilled, whichever occurs first. The State or Local
Agency will not pay for work after the expiration of the Agreement. The Company
agrees to complete such work at its own expense.
1.3. Survival of Terms: All clauses which impose obligations continuing in their nature and which must survive
in order to give effect to their meaning will survive the expiration or termination of this
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Agreement, including, but not limited to the following clauses: 3. Future Responsibility;
6.3 State Audits; 6.5 Data Disclosure; 6.6 Government Data Practices; and 6.11
Governing Law, Jurisdiction and Venue.
1.4. Exhibits: Exhibits A, B, C, D and E are attached and incorporated into this Agreement. Exhibit A
Location Print; Exhibit B Detailed Cost Estimate; and Exhibit C Title VI Non-
Discrimination Provisions, Exhibit D Local Agency Resolution, and Exhibit E Buy America.
2. Scope of Work
2.1. Work Performance
2.1.1. The Company shall furnish all material for and install a complete railroad crossing signal system
with flashing light signals, gates, cantilevers, constant warning circuitry, LED lenses, and a sidelight
in the SE quadrant on MSAS 119 (Great Plains Blvd), at the location indicated on Exhibit A. The
Company shall place the signals in accordance with Part 8 of the Minnesota Manual on Uniform
Traffic Control Devices (MN MUTCD).
2.1.2. The Company shall submit detailed plans and specifications for the work to be done to the State
for approval, prior to starting work.
2.1.3. The Company may contract any or all of the work included under the Agreement provided a market
based competitive procurement process is used.
(a) If the contracted work costs less than $10,000, the Company shall provide a detailed invoice
of work performed by the contractors
(b) If the contracted work costs $10,000 or more, the Company shall:
i. Have prior approval of the State;
ii. Enter into a written contract with the contractor; an existing continuing contract under
which the Company has the same kind of work regularly performed at the Company’s
cost may be considered to conform to the requirements of this section if the State
determines that the costs are reasonable; and
iii. Provide a copy of the continuing contract or individual contract used for work under
the Agreement.
2.1.4. The Company takes ownership of the materials and electrical equipment required to be removed
and disposes of the materials and equipment in accordance with all applicable laws and
regulations. If the Company determines that some or all of the removed materials and electrical
equipment are satisfactory for reuse, the Company may salvage and reinstall at another location
in the State of Minnesota or stockpile selected components for future purposes. The State may at
its discretion ask the Company to salvage components of the existing signal. Items designated for
salvage shall be carefully removed and placed at the crossing so that the State or its designee can
transport salvaged materials.
2.1.5. The Company will comply with Buy America, the requirements of which are detailed in Exhibit E
which is attached and incorporated into this agreement.
2.2. Inspection, Standard of Performance
2.2.1. Applicable standards for railroad grade crossing construction consist of standards and regulations
in AASHTO, AREMA, FHWA, MN MUTCD, Minn. Stat. §219 and Minn. Rules §8830. Should a conflict
be identified in any of these standards and regulations, the Minnesota statutes and rules are
deemed controlling.
2.2.2. The Company shall have the signals placed in service within 18 months after the date the Company
is authorized to begin work. If the Company determines it is not possible to place signals in service
within 18 months, the Company shall notify the State of a time extension and indicate the reason
for such extension.
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2.2.3. The Company and Local Agency shall permit the State to inspect and approve the work performed
under this Agreement during the regular working hours of the Company with prior notice.
2.2.4. The Company shall notify the State and Local Agency in writing of the date when signals are in
service. When signals are in service, representatives of the State and the Company shall conduct a
joint inspection of the work.
2.2.5. The State may refuse to approve any and all work performed under this Agreement for failure to
comply with applicable standards for work of that type. If the State fails to approve the work
performed under this Agreement, the State may refuse to make any further payments under this
Agreement until the work at issue is performed in accordance with acceptable standards for work
of this type and the work is approved by the State.
2.2.6. The company shall notify the State in writing of the date when all work is completed.
2.3. Traffic Control
2.3.1. The Company shall be responsible for all traffic control and schedule coordination with the Local
Agency as may be required to install the signal system covered under this Agreement. Where work
on or near the traveled roadway is necessary, proper traffic signs, channelizing devices, warning
lights, and barricades will be erected to protect traffic, employees, and pedestrians. All traffic
control devices and methods will conform to the Minnesota Field Manual on Temporary Traffic
Control Zone Layouts, Minnesota Manual on Uniform Traffic Control Devices (MN MUTCD),
Minnesota Standard Sign Manual, and the provisions and requirements of the State or Local
Agency.
2.3.2. The Company shall provide 48 hours of notice to the Local Agency before placing any traffic control
on the roadway.
2.3.3. The Company shall coordinate with the Local Agency if there is a need for a road detour in
connection with the installation of the signal system prior to the starting dates.
2.3.4. The actual costs incurred by the Company for traffic control are eligible for reimbursement under
the terms of this Agreement.
3. Future Responsibility
3.1. Maintenance
3.1.1. The Company shall maintain and operate, at the expense of the Company, the signal system upon
completion of installation, provided, however that the Company’s agreement herein to operate
and maintain the signal system will not prejudice the Company from having the benefit and
advantage of Federal, State, or other public funds that may become available to pay or contribute
to the cost of operation and maintenance of signal systems at highway-railroad grade crossings.
3.2. Advance Signing and Pavement Markings
3.2.1. Subsequent to the installation of the signal system, the State agrees to contact the Local Agency
to install or have installed, as may be needed, appropriate advance warning signs, other
supplemental signs and pavement markings and remove signs that are no longer needed, in
accordance with the Minnesota Manual on Uniform Traffic Control Devices (MN MUTCD).
3.3. Future Modifications or Removal
3.3.1. The signal system provided for in this Agreement is the property of the State and will not be
removed unless there has been a determination by the State that the signal system is no longer
required at this location. If the State determines that the signal system is to be removed, the
Company shall notify the State of the removal date.
3.3.2. The Company shall bear the entire cost of the modification without contribution from the State or
Local Agency if railway improvements necessitate a rearrangement of the signal system at this
crossing.
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3.3.3. The Company shall negotiate a separate agreement with the Local Agency whereby the Local
Agency shall pay the cost if roadway improvements necessitate a modification of the signal system
at this crossing.
4. Billing and Payment
4.1. Cost Estimate. The State, Local Agency and Company have agreed upon an estimated cost for the installation
of the signal system to be installed by the Company or its contractor.
Estimated Signal Cost
90% State Funds (reimbursable with Federal Funds) $294,201.94
10% Local Agency Funds $32,689.10
Total Estimated Cost $326,891.04
4.2. Work Changes. In the event it is determined that a change from the statement of work to be performed by
the Company, as outlined in paragraph 2.1, is required, it will be authorized only by an amendment to this
Agreement executed prior to the performance of the work involved in the change.
4.3. Cost Sharing: Each party will receive a bill setting forth its proportional share of the costs whenever a project
billing is submitted.
4.4. Reimbursement
4.4.1. The State shall pay the Company only for such items of work and expense as are proper and eligible
for payment, as provided in 23 Code of Federal Regulations including, but not limited to, Parts 1,
140 , 172 and 646 (hereinafter called, “23 CFR”). Only materials actually incorporated into the
project will be eligible for reimbursement. Actual costs include taxes, such as applicable sales and
use taxes, gross receipts taxes, business and occupation taxes, and similar taxes. Payments will be
made in accordance with the following:
(a) State shall make payments in accordance with Minnesota Statutes §16A.124.
(b) Invoices for labor and materials ("partial invoices") may be submitted on a periodic basis
during the term of the project, but not more frequently than once per month. These valid
partial invoices will be paid 30 days from the date they are received by the Office of Freight
and Commercial Vehicle Operations.
(c) Partial invoices that are not approved due to disputed items will be returned to the Company
with a request for an explanation for any disputed items. If the dispute is resolved, the State
shall pay the Company within 30 days of receiving a corrected invoice. The State may pay the
non-disputed portion of any disputed invoice.
(d) Partial invoices must be based on actual (not estimated) costs incurred. Partial invoices need
not be itemized, but State must be able to substantiate costs by checking the Company's
records.
(e) Final invoices must be submitted within 120 days of the completion of the reimbursable
railroad work. Invoices submitted after this date, and less than one (1) year after the last
activity on the project will not be paid, unless good cause is shown for the delay in the
submission of the invoice. In accordance with federal regulations, 23 CFR 140.922, any final
invoice received more than one (1) year after the last reimbursable railroad work will not be
paid.
(f) The final invoice will be a detailed, itemized statement of all items of work performed by the
Company, as shown in the appropriate exhibit or exhibits attached to this Agreement, and
should be marked "Final Invoice".
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(g) The State shall inspect and approve the work prior to payment of the final invoice.
Subsequently, the final invoice will be forwarded for audit by the State, in accordance with
the requirements of state and federal laws and regulation. The Company shall keep account
of its work in such a way that accounts may be readily audited. In the event that any amount
previously paid to the company is in excess of the actual cost determined by audit, the
Company, upon notice from the State, shall within 30 days pay to the State the difference.
Conversely, in the event that any amount previously paid to the Company is less than the
actual costs determined by audit, the State shall pay the actual costs due within 30 days of
the determination of the actual costs of the work.
(h) All invoices will be addressed as follows:
MnDOT Office of Freight and Commercial Vehicle Operations
M.S. 470, 395 John Ireland Boulevard
St. Paul, MN 55155-1899
4.5. Overrun of estimated costs with no work changes. If it appears to the Company, at any time subsequent to
the date of this Agreement and prior to the final completion of such work, that the actual cost of the project
will exceed the estimated cost, the Company shall send written request for approval to the State. The
request will explain the reasons for the additional costs and the amount of the costs.
4.5.1. If the Overrun will be less than 20% of the estimated cost and State approves such request, State
will encumber additional funds and then issue a notice to proceed.
4.5.2. If the overrun is equal to or greater than 20% of the estimated cost, an amendment to the
Agreement is required prior to proceeding with the work. If State approves such request, State will
encumber additional funds and then issue a notice to proceed. Any additional expenses incurred
by the Company prior to receiving notice to proceed may not be reimbursed by State.
5. Project Contacts
5.1. State’s Project Manager:
Name: Chris Rice
Telephone: 651-366-3673
E-Mail: chris.rice@state.mn.us
5.2. Company’s Project Representative:
Name: Greg Graham
Telephone: 320-864-7214
E-Mail: GGraham@tcwr.net
5.3. Local Agency’s (or State’s) Project Representative:
Name: Charles Howley
Telephone: 952-227-1169
E-Mail: chowley@chanhassenmn.gov
6. General Terms
6.1. Assignment of Receivables. Any party to this Agreement may assign any receivables due them under this
Agreement, provided, however, such assignments will not relieve the assignor of any of its rights or
obligations under this Agreement.
6.2. Amendments, Waiver, Merger and Counterparts. Any amendments to this Agreement must be in writing
and executed by the same parties who executed the original Agreement, or their successors in office. Failure
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of a party to enforce any provision of this Agreement will not constitute or be construed as, a waiver of such
provision or of the right to enforce such provision. This Agreement contains all prior negotiations and
agreements between the Company and the State. No other understandings, whether written or oral,
regarding the subject matter of this Agreement will be deemed to exist or to bind either or both of the
parties. This Agreement may be executed in one or more counterparts, each of which will be deemed to be
an original, but all of which together will constitute one and the same Agreement.
6.3. State Audits. Under Minn. Stat.§16C.05, subd. 5, the Company's books, records, documents, and accounting
procedures and practices relevant to this Agreement are subject to examination by the State and/or the
State Auditor or Legislative Auditor, as appropriate, for a minimum of six years after an appropriate State
official certifies the Company's completion of the construction required under this Agreement.
6.4. Liability. Each of the parties is responsible for its own acts and omissions. State’s liability is governed by
Minn. Stat. §3.736. Local Agency’s liability is governed by Minnesota Statutes Chapter 466.
6.5. Data Disclosure. Under Minnesota Statutes Section 270C.65, and other applicable law, the Company
consents to disclosure of its social security number, federal employer tax identification number, and/or
Minnesota tax identification number, already provided to the State, to federal and state tax agencies and
state personnel involved in the payment of state obligations. These identification numbers may be used in
the enforcement of federal and state tax laws which could result in action requiring the Company to file
state tax returns and pay delinquent state tax liabilities, if any.
6.6. Government Data Practices. Government Data Practices. This Agreement is subject to the provisions of the
Minnesota Government Data Practices Act, Minnesota Statutes Chapter 13.
6.6.1. Only to the extent that Company's duties and obligations under this Agreement require the
performance of State's governmental functions will all data created, collected, received, stored,
used, maintained or disseminated by Company under this Agreement be subject to the provisions
of Minn. Stat.§13.05, subdivision 11. In such case, the remedies of Minn. Stat. §13.08 will apply to
the release by Company of the data governed by the Minnesota Government Data Practices Act.
6.6.2. If the Company receives a request to release the data governed by this section, Company shall
immediately notify State. State shall give Company instructions concerning the release of the data
to the requesting party before the data is released.
6.7. Workers Compensation. The Company certifies that it is in compliance with workers compensation
insurance coverage required by Minnesota Law, or Federal Law if the Company is subject to Federal Law
which preempts the Minnesota Law. The Company shall require its contractors to present proof of coverage
under the Minnesota Workers Compensation Act. The Company's employees and agents will not be
considered State employees. Any claims arising under workers compensation laws and any claims made by
a third party as a consequence of the acts or omissions of the Company, its agents, employees or contractors
are in no way the responsibility of the State.
6.8. Cancellation
6.8.1. The State may immediately terminate this Agreement if it does not obtain funding from the
Minnesota Legislature, or other funding source; or if funding cannot be continued at a level
sufficient to allow for the payment of the services covered here. Termination must be by written
or fax notice to the Company. The State or Local Agency are not obligated to pay for any services
that are provided after notice and effective date of termination.
6.8.2. However, the Company will be entitled to payment, determined on a pro rata basis for services
satisfactorily performed to the extent that funds are available. The State or Local Agency will not
be assessed any penalty if the Agreement is terminated under section 6.8.1. The State shall provide
the Company notice of the lack of funding within a reasonable time of the State's receiving that
notice.
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6.9. Non Discrimination. If the Company enters into an agreement with a contractor, to perform all or any
portion of the Company's work set forth in this Agreement, the Company for itself, its assigns and successors
in interest, agrees that it will not discriminate in its choice of contractors and will include all of the
nondiscrimination provisions in this Agreement and as set forth in Exhibit C.
6.10. Disadvantaged Business Enterprise. The disadvantaged business enterprise requirements of 49 CFR 26,
apply to this Agreement. The Company shall insure that disadvantaged business enterprises as defined in
49 CFR 26, have the maximum opportunity to participate in the performance of contracts, financed in whole
or in part with federal funds. In this regard, the Company shall take all necessary and reasonable steps in
accordance with 49 CFR 26, to insure that disadvantaged business enterprises have the maximum
opportunity to compete for and perform any contracts awarded under this Agreement. The Company shall
not discriminate on the basis of race, color, national origin, or sex in the award and performance of contracts
under this Agreement. Failure to carry out the above requirements constitutes breach of this Agreement,
and may result in termination of the Agreement by the State, and possible debarment from performing
other contractual services with the Federal Department of Transportation.
6.11. Governing Law, Jurisdiction and Venue. Minnesota law, without regard to its choice-of-law provisions,
governs this Agreement. Venue for all legal proceedings arising out of this Agreement, or its breach, will be
in the appropriate state or federal court with competent jurisdiction in Ramsey County, Minnesota.
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COMPANY
Company certifies that the appropriate person(s) have
executed the contract on behalf of Company as required
by applicable articles, bylaws or resolutions.
Signed:
Title:
Date:
LOCAL AGENCY
Local Agency certifies that the appropriate person(s)
have executed the contract on behalf of Local Agency as
required by applicable articles, bylaws or resolutions.
Signed:
Title:
Date:
Signed:
Title:
Date:
STATE ENCUMBRANCE VERIFICATION
Individual certifies that funds have been encumbered as
required by Minnesota Statutes §16A.15 and §16C.05
Signed:
Date:
SWIFT PO:
DEPARTMENT OF TRANSPORTATION
(with delegated authority)
Signed:
Title: Manager, Rail safety and Coordination Section
Date:
COMMISSIONER OF ADMINISTRATION
Signed:
Date:
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City Manager
3/1/2023
3/1/2023
Mayor
MnDOT Agreement No. 1049555
EXHIBIT A
LOCATION PRINT
SP 10-00126
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EXHIBIT B
DETAILED COST ESTIMATE
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EXHIBIT C
Non-Discrimination Provisions of Title VI of the Civil Rights Act of 1964
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 will comply with Regulations of the Department of Transportation
relative to nondiscrimination in federally-assisted programs of the Federal Highway Administration (Title 49, Code of
Federal Regulation, Part 21, hereinafter referred to as the Regulations), which are herein incorporated by reference
and made a part of this contract.
2. Nondiscrimination: The contractor, with regard to the work performed by it after award and prior to completion of
the contract work, will not discriminate on the ground 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
either directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations, including employment
practices when the contract covers a program set forth in Appendix “A”, “B” and “C”.
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 equipment, each potential subcontractor or supplier shall be notified by the contractor
of the contractor’s obligation under this contract and the Regulations relative to discrimination on the ground of race,
color or national origin.
4. Information and Reports: The contractor will provide all information and reports required by the Regulations, or orders
and instructions 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 Department of Transportation or the Federal Highway
Administration to be pertinent to ascertain compliance with such Regulations, orders and instructions. Where any
information required of a contractor is in the exclusive possession of another who fails or refuses to furnish this
information, the contractor shall so certify the Department of Transportation, or the Federal Highway Administration
as appropriate, and shall set forth what efforts it has made to obtain the information.
5. Sanctions for noncompliance: In the event of contractor’s noncompliance with the nondiscrimination provisions of
this contract, the Department of Transportation shall impose such contract sanctions as it or the Federal Highway
Administration may determine to be appropriate, including but not limited to,
a. Withholding of payments to the contractor under the contract until the contractor complies, and/or
b. Cancellation, termination or suspension of the contract, in whole or in part.
6. Incorporation of Provisions: The contractor will include the provisions of paragraph (1) through (5) in every
subcontract, including procurements of materials and leases of equipment, unless exempt by the Regulations, order,
or instructions issued pursuant thereto. The contractor will take such action with respect to any subcontract or
procurement as the Department of Transportation or the Federal Highway Administration may direct as a means of
enforcing such provisions including sanctions for noncompliance: Provided, however, that, in the event a contractor
becomes involved in, or is threatened with, litigation with a subcontractor or supplier as a result of such direction, the
contractor may request the State to enter into such litigation to protect the interests of the State, and in addition, the
contractor may request the United States to enter into such litigation to protect the interests of the United States.
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EXHIBIT D
LOCAL AGENCY RESOLUTION
BE IT RESOLVED, that the CITY OF CHANHASSEN (LOCAL AGENCY) enter into an agreement with the TWIN CITIES &
WESTERN RAILROAD COMPANY (COMPANY) and the Commissioner of Transportation for REPLACEMENT OF THE GRADE
CROSSING SIGNALS AT MSAS 119 (GREAT PLAINS BLVD), the installation and maintenance of railroad crossing signals at
the intersection of MSAS 119 (GREAT PLAINS BLVD) with the tracks of the COMPANY, and appointing the Commissioner
of Transportation agent for the LOCAL AGENCY to supervise said project and administer available Federal Funds in
accordance with Minnesota Statute, Section 161.36. The LOCAL AGENCY's share of the cost shall be 10 % of the total signal
cost.
BE IT FURTHER RESOLVED, that the and
(Title) (Title)
be and they are hereby authorized to execute said agreement and any amendments thereto for and on behalf of the
LOCAL AGENCY.
Dated this day of , 202 .
STATE OF MINNESOTA
C E R T I F I C A T I O N
CITY OF CHANHASSEN
I hereby certify that the foregoing Resolution is a true and correct copy of a Resolution presented to and adopted by the
COUNCIL of the CITY OF CHANHASSEN at a duly authorized meeting thereof held in the CITY HALL at 7700 MARKET BLVD,
CHANHASSEN, MN 55317 Minnesota, on the day of , 202 , as disclosed by the records of said COUNCIL in
my possession.
By:
Title:
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MnDOT Agreement No. 1049555
EXHIBIT E
Buy America
1. Buy America. The provisions of the Build America, Buy America (BABA) Act, Public Law No.117-58 §§ 70901-70952,
the Buy America law, 23 U.S.C. § 313 and 23 CFR § 635.410 are applicable to this Agreement. The Company must
furnish iron and steel materials (including miscellaneous items such as fasteners, nuts, bolts, and washers) and
construction materials which will be permanently incorporated on projects, funded at least partly with federal funds
to be produced in the United States.
2. Iron and Steel. In the case of iron and steel materials, produced in the United States means that all manufactured
processes from the initial melting stage through the application of coatings, occur in the United States. Foreign source
materials are any domestic products taken out of the United States for any process (e.g., change of chemical content,
permanent shape or size, or final finish of product).
2.1. Prior to performing work, the Company shall submit to the Engineer a certification stating that all iron and
steel materials supplied are produced in the United States.
2.2. Raw materials such as iron ore, pig iron, processed, pelletized, and reduced iron ore, waste products (including
scrap, iron or steel no longer useful in its present form from old automobiles, machinery, pipe, railroad rail,
and steel trimmings from mills or product manufacturing) and other raw materials used in the production of
iron or steel products may be imported from outside of the Unites States. Extracting, handling, or crushing
the raw materials which are inherent to the transporting of these Materials for later use in the manufacturing
process are exempt from the BABA Act.
3. Construction Materials. In the case of construction materials, produced in the United States means that the final two
manufacturing processes for the construction materials occurred in the United States.
3.1. Construction materials include any article, material, or supply that is or consists primarily of: Non-ferrous
metals, Plastic and polymer-based products (including polyvinylchloride, composite building materials, and
polymers used in fiber optic cables), Glass (including fiber optic glass), Lumber; or Drywall.
3.2. Should any of the listed construction materials be combined through a manufacturing process with a second
listed material or with a non-listed item, then BABA Act does not apply to those items unless the construction
material is combined with iron or steel. If the construction material is combined with iron or steel, the iron
and steel material provisions apply.
3.3. The BABA Act does not apply to: cement, cementitious materials, aggregates such as stone, sand, or gravel,
aggregate binding agents or additives, or asphalt.
4. Certificate of Compliance. The Company is required to submit a Certificate of Compliance prior to incorporating any
materials into the Project containing iron or steel, or construction materials. This shall be accomplished by the
Company submitting the appropriate Certificate of Compliance to the State when the materials are delivered to the
project site. The Certifications of Compliance for iron and steel will certify the materials are considered produced in
the United States. The Certifications of Compliance for construction materials will certify that the final two
manufacturing processes for the construction materials occurred in the United States. The certificate must be signed
and dated by the Company’s authorized representative, include a BABA Act submittal number, and a statement: The
materials herein referenced are produced in the United States and comply with the requirements of 23 CFR § 635.410,
and Public Law No.117-58 §§ 70901-70952, and 23 U.S.C. § 31.
5. Documentation. Supporting documentation to demonstrate compliance with BABA Act provisions (such as mill test
reports, manufacturer/supplier certifications, etc.) shall be organized and maintained by the Company from the date
of delivery until six years after substantial completion of the Project.
5.1. The State may review the Company’s supporting documentation to verify compliance with the BABA Act
provisions at any time upon request. The burden of proof to meet the BABA Act provisions rest with the
Company. If the supporting documentation does not demonstrate to the State that the iron or steel and
construction materials identified in the Certificates of Compliance were produced in the United States, then
the iron, steel, or construction materials will be considered unauthorized work and must be removed and
replaced.
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