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PROJECT APPENDIX A - 1

STATE AGENCIES AND DEPARTMENTS AND

SPECIAL "AUTHORITIES" ("ABRFA", "AMHFA", and

"ACIFA"are SPECIAL "AUTHORITIES") SUMMARY OF

ABC REQUIREMENTS AND PROCEDURES FOR

BUILDING CONSTRUCTION & IMPROVEMENT PROJECTS

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  • THESE PROJECTS REQUIRE FULL PLAN AND SPECIFICATION REVIEW IN ACCORDANCE WITH CHAPTER 3.

  • THESE PROJECTS ARE ADMINISTERED BY THE ABC; THEREFORE, ABC UNIFORM DOCUMENTS AND STANDARD FORMS ARE TO BE UTILIZED AND THE REQUIREMENTS AND PROCEDURES OF CHAPTERS 4, 5, 6, 7, AND 8 APPLY.

  • CONTACT THE ABC FOR SPECIAL REQUIREMENTS OR PROCEDURES THAT MAY APPLY TO SPECIAL "AUTHORITIES".

  • THE BC PROJECT NUMBER MUST BE USED WHEN MAKING INQUIRIES OR DOCUMENT SUBMITTALS IN ORDER TO PROPERLY IDENTIFY THE PROJECT.

  • WITH THE EXCEPTION OF PLANS AND SPECIFICATIONS, THE FOLLOWING IS REQUIRED OF DOCUMENTS SUBMITTED TO THE ABC:

                1. Submit original documents - no carbon copies.

                2. Do not highlight text. Highlighted text does not produce a good

                    scanned image.

                3. Preferably, submit only letter size (82 X 11) documents.

                4. Preferably, send only one-sided documents.

I. ABC UNIFORM DOCUMENTS AND STANDARD FORMS

TO BE USED BY THE DESIGN PROFESSIONAL (APPENDIX B)

ABC Form B-1: TRANSMITTAL OF PLANS AND/OR SPECIFICATIONS

                       See Chapter 3, Page 3 - 2

ABC Form B-2: AGREEMENT BETWEEN OWNER AND ARCHITECT

                        Prepared by the design professional (using ABC Form B-3,

                        "CHECKLIST";  submission of draft to AGENCY/DEPT.     

                         and ABC before finalizing is recommended.

                        See Chapter 4

ABC Form B-3: CHECKLIST FOR PREPARATION OF AGREEMENT 

                       BETWEEN OWNER AND  ARCHITECT

                       Submitted with O/A Agreement. See Chapter 4, Page 4 - 8

ABC Form B-4: AMENDMENT TO AGREEMENT BETWEEN OWNER AND

                        ARCHITECT

                        Signing parties are the same as for the O/A Agreement

ABC Form B-5: SAMPLE ARCHITECT'S STATEMENT FOR SERVICES

                        May be typed or input for computer generation, but do not alter

                        the information, sequence, and format of the sample form.

                        See Chapter 4, Page 4 - 9

ABC Form B-6: CERTIFIED TABULATION OF BIDS (Sample)

                      "Sample" defines general information required, but should be

                        modified to facilitate project-specific bid requirements.

                        Submitted with Contract and Bonds.

                       See Chapter 6, Page 6 - 4

ABC Form B-7: CHECKLIST FOR PREPARATION/APPROVAL OF CONTRACT

                        AND BONDS

                       Submitted with Contract and Bonds. See Chapter 7, Page 7 - 4

ABC Form B-8: PRE-CONSTRUCTION CONFERENCE CHECKLIST

                        See Chapter 8, Page 8 - 3

ABC Form B-9: PROJECT DATA FORM

                       PREPARED BY THE DESIGN PROFESSIONAL See Chapter 7,

                       Page 7-5

ABC Form B-10: STATEMENT OF FIELD OBSERVATIONS

                         See Chapter 8, Page 8 - 3

ABC Form B-11: CHANGE ORDER JUSTIFICATION

                         See Chapter 7, Page 7 - 11

ABC Form B-12: CHANGE ORDER CHECKLIST

                         See Chapter 7, Page 7 - 11

ABC Form B-13: FINAL PAYMENT CHECKLIST & TRANSMITTAL

                         See Chapter 7, Page 7 - 10

II. ABC UNIFORM DOCUMENTS and STANDARD FORMS to be INCLUDED in the PROJECT MANUAL ( APPENDIX C):

ABC Form C-1: SAMPLE ADVERTISEMENT FOR BIDS

                       PREPARED BY THE DESIGN PROFESSIONAL. Should be

                       retyped and otherwise modified to present additional

                        project-specific information necessary to legally

                       describe the solicitation; however, the language and format of the

                       standard  document is to be closely followed.

                      See Chapter 5, Page 5 - 2, and Chapter 6, Page 6 - 2.

ABC Form C-2: INSTRUCTIONS TO BIDDERS

                        May be supplemented with project-specific instructions.

                        See Chapter 5, Page 5 - 3

ABC Form C-3: PROPOSAL FORM

                       May be modified to facilitate project-specific proposal

                       requirements. All information which would be common to all

                       bidders should be  inserted  in the appropriate spaces. See

                       Chapter 5, Page 5 - 3

ABC Form C-4: FORM OF BID BOND

                       See Chapter 5, Page 5 - 3; also see Chapter 6, Page 6 - 5

                       (Return of Bid Security)

ABC Form C-5: CONSTRUCTION CONTRACT

                       PREPARED BY THE DESIGN PROFESSIONAL; submission of

                       draft to ABC and AGENCY/DEPT. before finalizing is

                       recommended.

                       See Chapter 5, Page 5 - 3, and Chapter 7, Page 7 - 4

ABC Form C-6: PERFORMANCE BOND

                       See Chapter 5, Page 5 - 3

ABC Form C-7: PAYMENT BOND

                       See Chapter 5, Page 5 - 3

ABC Form C-8: GENERAL CONDITIONS OF THE CONTRACT

                       May be supplemented with project-specific provisions.

                       See Chapter 5, Page 5 - 4

ABC Form C-9: GENERAL CONTRACTOR'S ROOFING GUARANTEE

                       Note: This is a 5-year guarantee signed by the General

                       Contractor.

                       See Chapter 5, Pages 5 - 4 and 5 - 7

ABC Form C-10: APPLICATION AND CERTIFICATE FOR PAYMENT

                        May be retyped or input for computer generation as long as the

                        information,  sequence, and format of the standard form is not

                        altered. Optional ABC Forms C-10(SHORT) & C-10(LONG) may

                        used  as appropriate. See Chapter 5, Page 5 - 4 and Chapter 7,

                        Page 7 - 6 and 7 - 8.

ABC Form C-11: PROGRESS SCHEDULE AND REPORT

                       Standard form is minimum bar chart information to be reported

                       monthly with Application for Payment for projects with duration

                       exceeding 60 days; large, complex projects may warrant CPM

                      or other scheduling and reporting methods.

                      See Chapter 5, Page 5 - 4 and Chapter 7, Page 7 - 7

ABC Form C-12: CONTRACT CHANGE ORDER

                         PREPARED BY THE DESIGN PROFESSIONAL. Signing

                         parties are the same as for the Contract, PLUS CONSENT OF

                         SURETY IS REQUIRED.

                         See Chapter 5, Page 5 - 4, and Chapter 7, Page 7 - 10.

ABC Form C-13: CERTIFICATE OF SUBSTANTIAL COMPLETION

                          PREPARED BY THE DESIGN PROFESSIONAL.

                          See Chapter 5, Page 5 - 4, Chapter 7, Page 7 - 14, and

                          Chapter 8, Page 8 - 6

ABC Form C-14: FORM OF ADVERTISEMENT OF COMPLETION

                         PREPARED BY THE CONTRACTOR

                         See Chapter 5, Page 5 - 5, and Chapter 7, Page 7 - 14

ABC Form C-15: DETAIL OF PROJECT SIGN

                         Supplements the "Project Sign" provision of the General

                         Conditions of the Contract. The requirement for a Project Sign

                         may be waived for projects of less than $100,000. Only the

                         ABC may waive this requirement under other conditions. See

                         Chapter 5, Page 5 - 5

III. TYPICAL DOCUMENT PROCESSING FOR STATE AGENCY AND DEPARTMENT PROJECTS

Authorities are similar, but may vary according to Authority

A. PROJECT DEVELOPMENT TO EXECUTION OF OWNER-ARCHITECT AGREEMENT

1. STATE AGENCY OR DEPARTMENT

a. DEFINES SCOPE & BUDGET OF PROJECT AND OBTAINS FUNDING

b. OPTIONAL - FURNISH PROJECT INFORMATION TO ABC FOR ADVERTISEMENT FOR THE SERVICES OF A DESIGN PROFESSIONAL.

2. ALABAMA BUILDING COMMISSION

a. PROJECT FILE ESTABLISHED

b. ADVERTISES FOR SERVICES OF DESIGN PROFESSIONAL

c. ADVERTISEMENT DIRECTS RESPONSES TO BE ADDRESSED TO STATE AGENCY or DEPT.

3. STATE AGENCY OR DEPARTMENT

a. SELECTS DESIGN PROFESSIONAL & NEGOTIATES TERMS OF AGREEMENT

b. AWARDS AGREEMENT FOR DESIGN PROFESSIONAL SERVICES

4. DESIGN PROFESSIONAL

a. USING "CHECKLIST" PREPARES & EXECUTES O/A AGREEMENT

b. DELIVERS SIX (6) COPIES OF O/A AGREEMENT TO STATE AGENCY/DEPT. FOR ACCEPTANCE AND FORWARDING TO ABC

5. STATE AGENCY OR DEPARTMENT

a. REVIEWS O/A AGREEMENT AND "CHECKLIST"

b. EXECUTES SIX (6) COPIES OF O/A AGREEMENT

c. SUBMITS O/A AGREEMENT TO LEGISLATIVE OVERSIGHT COMMITTEE FOR REVIEW AND APPROVAL

NOTE: If Review by the Legislative Oversight Committee is not required, six (6) executed copies of the O/A Agreement are forwarded to the ABC.

6. LEGISLATIVE OVERSIGHT COMMITTEE

AFTER REVIEW AND APPROVAL, FORWARDS O/A AGREEMENT TO GOVERNOR'S OFFICE OR FINANCE DIRECTOR AS DICTATED BY CURRENT POLICY

7. GOVERNOR AND FINANCE DIRECTOR

a. O/A AGREEMENT REVIEWED AND APPROVED BY LEGAL STAFF

b. GOVERNOR APPROVES O/A AGREEMENT WITH SIGNATURE

c. O/A AGREEMENT FORWARDED TO STATE AGENCY OR DEPARTMENT

8. STATE AGENCY OR DEPARTMENT

FORWARDS SIX (6) COPIES OF EXECUTED AND APPROVED O/A AGREEMENT TO ABC

9. ALABAMA BUILDING COMMISSION

a. REVIEWS O/A AGREEMENT FOR COMPLETENESS AND CORRECTNESS

b. APPROVES O/A AGREEMENT

c. DISTRIBUTES FULLY EXECUTED O/A AGREEMENT TO STATE AGENCY/DEPT., DESIGN PROFESSIONAL, AND FILE

B. DESIGN DOCUMENTS TO BID OF CONSTRUCTION CONTRACT

1. DESIGN PROFESSIONAL

a. PREPARES DESIGN-BID DOCUMENTS (SCHEMATIC) (PRELIMINARY) (FINAL)

b. REVIEWS EACH LEVEL OF DESIGN WITH STATE AGENCY/DEPT. FOR APPROVAL PER O/A AGREEMENT

c. SUBMITS EACH LEVEL OF DESIGN DOCUMENTS TO ABC FOR REVIEW AND APPROVAL

d. SUBMITS COPY OF FINAL DESIGN TO OTHER REVIEWING AUTHORITIES (HEALTH DEPT., etc.) CONCURRENTLY WITH SUBMISSION TO ABC

2. ALABAMA BUILDING COMMISSION

a. REVIEWS EACH LEVEL OF DESIGN-BID DOCUMENTS FOR COMPLIANCE WITH BUILDING CODES AND ABC REQUIREMENTS

b. CONFIRMS APPROVAL OR REJECTION OF SUBMITTAL WITH A "PROJECT COMMENT LETTER" TO THE DESIGN PROFESSIONAL AND STATE AGENCY/ DEPT.

c. RETAINS SCHEMATIC AND PRELIMINARY SUBMISSIONS UNTIL FINAL SUBMISSION IS APPROVED: RETAINS APPROVED FINAL SUBMISSION AS A PART OF THE PROJECT RECORD

3. DESIGN PROFESSIONAL

a. ADDRESSES ABC's REVIEW COMMENTS OF EACH SUBMISSION LEVEL, ADVANCING TO THE NEXT LEVEL OF DESIGN UNTIL APPROVAL OF FINAL SUBMISSION IS OBTAINED

b. UPON OBTAINING APPROVAL OF FINAL SUBMISSION, PUBLISHES "ADVERTISEMENT FOR BIDS"

c. AT ADVERTISED TIME, RECEIVES AND OPENS BIDS PUBLICLY WITH STATE AGENCY/DEPT.

d. PREPARES AND CERTIFIES TABULATION OF BIDS, PROVIDING A COPY OF THE TABULATION TO THE STATE AGENCY/DEPT. AND THE ABC

C. AWARD OF CONTRACT, EXECUTION & APPROVAL OF CONTRACT, AND NOTICE TO PROCEED

1. STATE AGENCY OR DEPARTMENT

a. EVALUATES BIDS RELATIVE TO FUNDS AVAILABLE

b. DETERMINES LOWEST RESPONSIBLE AND RESPONSIVE BIDDER

c. ISSUES NOTICE OF AWARD TO LOWEST RESPONSIBLE AND RESPONSIVE BIDDER

2. DESIGN PROFESSIONAL

a. PREPARES CONTRACT USING "CHECKLIST" (SHOULD OBTAIN APPROVAL OF "DRAFT" FROM ABC & STATE AGENCY/DEPT. BEFORE FINALIZING)

b. DELIVERS SIX (6) COPIES OF CONTRACT TO CONTRACTOR

3. CONTRACTOR

a. OBTAINS BONDS AND EXECUTES CONTRACT

b. RETURNS SIX (6) COPIES OF EXECUTED CONTRACT WITH BONDS TO DESIGN PROFESSIONAL

4. DESIGN PROFESSIONAL

a. CHECKS CONTRACT & BONDS FOR COMPLETENESS

b. FORWARDS SIX (6) COPIES OF CONTRACT & BONDS TO STATE AGENCY/DEPT.

5. STATE AGENCY OR DEPARTMENT

a. REVIEWS AND EXECUTES CONTRACT

b. FORWARDS SIX (6) COPIES OF CONTRACT & BONDS TO ABC

6. ALABAMA BUILDING COMMISSION

a. VERIFIES COMPLETENESS AND CORRECTNESS OF CONTRACT & BONDS

b. APPROVES CONTRACT & BONDS

c. FORWARDS SIX (6) COPIES OF CONTRACT AND BONDS TO GOVERNOR'S OFFICE

7. GOVERNOR'S OFFICE

a. FINANCE LEGAL REVIEWS AND APPROVES CONTRACT & BONDS

b. GOVERNOR'S LEGAL OFFICE REVIEWS AND APPROVES CONTRACT & BONDS AND GOVERNOR APPROVES CONTRACT

c. FULLY EXECUTED CONTRACT & BONDS RETURNED TO ABC

8. ALABAMA BUILDING COMMISSION

a. DISTRIBUTES FULLY EXECUTED CONTRACT WITH BONDS TO CONTRACTOR, STATE AGENCY/DEPT., AND DESIGN PROFESSIONAL

b. ISSUES "NOTICE TO PROCEED" WITH CONTRACT & BONDS

c. WITH NTP FURNISHES CONTRACTOR WITH "CONTRACTOR'S CHECKLIST" PROVIDING INSTRUCTIONS AND STANDARD FORMS FOR SPECIFIC START-UP REQUIREMENTS

9. CONTRACTOR

a. SIGNS AND RETURNS COPY OF NTP TO ABC

b. BEGINS SUBMISSION OF START-UP DOCUMENTS TO DESIGN PROFESSIONAL

c. SUBMITS CERTIFICATE OF INSURANCE FOR REQUIRED COVERAGE TO DESIGN PROFESSIONAL

d. UPON APPROVAL OF CERTIFICATE OF INSURANCE, BEGINS WORK ON SITE

D.   AMENDMENTS TO THE O/A AGREEMENT AND CHANGE ORDERS TO THE CONSTRUCTION CONTRACT FOLLOW THE SAME ROUTING FOR REVIEW, APPROVAL, AND EXECUTION AS THE AGREEMENT OR CONTRACT

E. DESIGN PROFESSIONAL'S STATEMENTS FOR SERVICES AND CONTRACTOR'S APPLICATIONS FOR PAYMENT

1. DESIGN PROFESSIONAL - APPROVES & FORWARDS TO STATE AGENCY/DEPT.

2. STATE AGENCY/DEPT. - APPROVES & FORWARDS TO ABC

3. ALABAMA BUILDING COMMISSION - APPROVES & RETURNS TO STATE AGENCY/DEPT.

4. STATE AGENCY/DEPT. - PREPARES VOUCHER, ISSUES PAYMENT, AND DISTRIBUTES COPIES OF PAID STATEMENT OR APPLICATION TO DESIGN PROFESSIONAL AND/OR ABC