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THIS
APPENDIX APPLIES ONLY TO PROJECTS ORIGINATED AND BID AS PSCA PROJECTS.
REFER TO CHAPTER 9 FOR SUPPLEMENTAL FORMS AND PROCEDURES FOR ADJUSTING
SEVERABLE PAYMENTS, CONVERTING EXISTING PROJECTS TO PSCA PROJECTS, AND
PURCHASING MATERIALS AND EQUIPMENT WITH PSCA FUNDS.
PSCA
PROJECTS REQUIRE FULL PLAN AND SPECIFICATION REVIEW IN ACCORDANCE WITH
CHAPTER 3. PSCA FUNDED K-12 PUBLIC SCHOOL PROJECTS ALSO REQUIRE PLAN
REVIEW BY THE STATE SCHOOL ARCHITECT. CONTACT THAT OFFICE FOR
INSTRUCTIONS.
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PSCA
PROJECTS ARE ADMINISTERED BY THE ABC; THEREFORE, ABC UNIFORM DOCUMENTS
AND STANDARD FORMS ARE TO BE UTILIZED AND THE REQUIREMENTS AND
PROCEDURES OF CHAPTERS 5, 6, 7, AND 8 APPLY.
THE BC PROJECT
NUMBER MUST BE USED WHEN MAKING INQUIRIES OR DOCUMENT SUBMITTALS
IN ORDER TO PROPERLY IDENTIFY THE PROJECT. A PSCA PROJECT NUMBER
WILL BE ASSIGNED TO THE PROJECT WHEN FUNDING IS AUTHORIZED, THIS
NUMBER MUST ALSO BE SHOWN ON ALL PROJECT RELATED DOCUMENTS AND
CORRESPONDENCE.
1. Submit original documents - no carbon copies.
2. Do not highlight text. Highlighting obscures scanned images.
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 LEA 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 supplemented by forms
contained in Chapter 9)
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 9-A:
CONSTRUCTION CONTRACT
(PSCA Version)
Substitute ABC Form 9-A for ABC Form C-5 in Appendix C.
PREPARED BY THE DESIGN PROFESSIONAL; submission of
draft to ABC and the Local Education Authority before finalizing
is recommended. See Chapter 5, Page 5 - 3, Chapter 7, Page 7
- 4, and Chapter 9.
ABC Form 9-B: PERFORMANCE BOND (PSCA Version)
See Chapter 5, Page 5 - 3, and Chapter 9
ABC Form 9-C:
PAYMENT BOND
(PSCA Version)
See Chapter 5, Page 5 - 3, and Chapter 9
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, Chapter 7, Page 7 - 10, and
Chapter 9.
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. ADJUSTING PROJECT FUNDING (SEVERABLE PAYMENTS)
If adjustment of severable payments of the construction contract
becomes necessary during the course of the project, the following will be used:
ABC Form 9-D: MODIFICATION TO THE CONSTRUCTION CONTRACT,
ADJUSTMENT
OF SEVERABLE PAYMENTS
Generally prepared by the ABC. See Chapter 9.
IV. TYPICAL DOCUMENT PROCESSING FOR PSCA PROJECTS
A. PROJECT FUNDING TO EXECUTION OF
OWNER-ARCHITECT AGREEMENT
1. LOCAL EDUCATION AUTHORITY
a. DEFINES SCOPE & ESTIMATED COST OF PROJECT
b. SUBMITS FUNDING REQUEST TO:
PSCA c/o STATE DEPT. OF EDUCATION (FOR K - 12
PROJECTS)
or
FINANCE DEPT. - LEGAL DIV. (FOR ALL OTHER PROJECTS)
2. PUBLIC SCHOOL & COLLEGE AUTHORITY
a. LEA's FUNDING REQUEST CONSIDERED IN PSCA MEETING
b. PSCA APPROVAL OF PROJECT & ALLOCATION OF FUNDS
RECORDED AND REPORTED TO ABC AND LEA BY FINANCE LEGAL OR STATE SCHOOL
ARCHITECT
3. ALABAMA BUILDING COMMISSION
a. PROJECT FILE ESTABLISHED
b. ADVERTISES FOR SERVICES OF DESIGN PROFESSIONAL (LEA's
OPTION)
c. ADVERTISEMENT DIRECTS RESPONSES TO BE ADDRESSED TO
LEA
4. LOCAL EDUCATION AUTHORITY
a. SELECTS DESIGN PROFESSIONAL & NEGOTIATES TERMS OF
AGREEMENT
b. AWARDS AGREEMENT FOR DESIGN PROFESSIONAL SERVICES
5. DESIGN PROFESSIONAL
a. USING "CHECKLIST" PREPARES & EXECUTES O/A
AGREEMENT
b. DELIVERS SIX (6) COPIES OF O/A AGREEMENT TO LEA
FOR LEA's ACCEPTANCE AND FORWARDING TO ABC
6. LOCAL EDUCATION AUTHORITY
a. REVIEWS O/A AGREEMENT AND "CHECKLIST"
b. EXECUTES AND FORWARDS SIX (6) COPIES OF O/A
AGREEMENT WITH "CHECKLIST" TO ABC
7. ALABAMA BUILDING COMMISSION
a. REVIEWS O/A AGREEMENT FOR COMPLETENESS AND
CORRECTNESS
b. APPROVES O/A AGREEMENT
c. FORWARDS APPROVED O/A AGREEMENT TO PSCA c/o
FINANCE LEGAL
8. PUBLIC SCHOOL & COLLEGE AUTHORITY
a. FINANCE LEGAL REVIEWS, APPROVES, AND FORWARDS TO
GOVERNOR
b. O/A AGREEMENT REVIEWED & APPROVED BY GOVERNOR'S
LEGAL OFFICE AND GOVERNOR EXECUTES AGREEMENT AS PRESIDENT OF PSCA
c. O/A AGREEMENT REVIEWED, APPROVED, AND EXECUTED BY
FINANCE DIRECTOR AS SECRETARY OF PSCA
d. FINANCE DIRECTOR RETURNS FULLY EXECUTED O/A
AGREEMENT TO ABC
9. ALABAMA BUILDING COMMISSION
DISTRIBUTES FULLY EXECUTED O/A AGREEMENT TO LEA,
DESIGN PROFESSIONAL, AND FILE
B. DESIGN DOCUMENTS TO BID OF
CONSTRUCTION CONTRACT
1. DESIGN PROFESSIONAL
a. PREPARES DESIGN DOCUMENTS (SCHEMATIC)
(PRELIMINARY) (FINAL)
b. REVIEWS EACH LEVEL OF DESIGN WITH LEA FOR APPROVAL
PER O/A AGREEMENT
c. SUBMITS EACH LEVEL OF DESIGN DOCUMENTS TO ABC (AND
SDE FOR K-12 PROJECTS) FOR REVIEW AND APPROVAL
d. SUBMITS "FINAL" DESIGN DOCUMENTS TO OTHER
REVIEWING AGENCIES ( DEPT. OF PUBLIC HEALTH, etc.) CONCURRENTLY WITH
SUBMISSION TO ABC & SDE
2. ALABAMA BUILDING COMMISSION
a. REVIEWS EACH LEVEL OF DESIGN DOCUMENTS FOR
COMPLIANCE WITH BUILDING CODES AND ABC REQUIREMENTS
b. CONFIRMS APPROVAL OR REJECTION OF THE DESIGN
DOCUMENTS BY ISSUANCE OF A "PROJECT COMMENT LETTER" TO THE DESIGN
PROFESSIONAL AND LEA
c. RETAINS SCHEMATIC & PRELIMINARY SUBMISSIONS UNTIL
FINAL SUBMISSION IS APPROVED: RETAINS APPROVED, FINAL SUBMISSION AS A
PART OF THE PROJECT RECORD
K-12 PROJECTS ONLY: STATE DEPARTMENT
OF EDUCATION (STATE SCHOOL ARCHITECT)
a. REVIEWS EACH LEVEL OF DESIGN DOCUMENTS FOR
COMPLIANCE WITH SDE REQUIREMENTS
b. NOTIFIES DESIGN PROFESSIONAL, LEA, AND ABC OF
REVIEW COMMENTS
3. DESIGN PROFESSIONAL
a. ADDRESSES REVIEW COMMENTS BY ABC & SDE, ADVANCING
TO THE NEXT LEVEL OF DESIGN DOCUMENTS UNTIL APPROVAL OF FINAL SUBMISSION
IS OBTAINED
b. UPON OBTAINING APPROVAL OF FINAL SUBMISSION,
PUBLISHES "ADVERTISEMENT FOR BIDS"
c. AT ADVERTISED TIME. RECEIVES & OPENS BIDS WITH LEA
d. PREPARES AND CERTIFIES TABULATION OF BIDS,
PROVIDING TABULATION TO ABC & LEA
C. AWARD OF CONTRACT, EXECUTION &
APPROVAL OF CONTRACT, AND NOTICE TO PROCEED
1. LOCAL EDUCATION AUTHORITY
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 & LEA 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 LEA
5. LOCAL EDUCATION AUTHORITY
a. REVIEWS AND EXECUTES CONTRACT AS CO-OWNER
b. FORWARDS SIX (6) COPIES OF CONTRACT & BONDS TO ABC
6. ALABAMA BUILDING COMMISSION
a. VERIFIES COMPLETENESS AND CORRECTNESS OF CONTRACT
& BONDS
b. PREPARES PROJECT WORKSHEET FOR DISBURSEMENT OF
PSCA FUNDS
c. APPROVES CONTRACT & BONDS AND FORWARDS SIX (6)
COPIES TO PSCA c/o FINANCE LEGAL
7. PUBLIC SCHOOL & COLLEGE AUTHORITY
a. FINANCE LEGAL REVIEWS AND APPROVES CONTRACT &
BONDS
b. GOVERNOR'S LEGAL OFFICE REVIEWS AND APPROVES
CONTRACT & BONDS AND GOVERNOR EXECUTES CONTRACT AS PRESIDENT OF PSCA
c. CONTRACT & BONDS REVIEWED, APPROVED, AND EXECUTED
BY FINANCE DIRECTOR AS SECRETARY OF PSCA AND RETURNS TO ABC
8. ALABAMA BUILDING COMMISSION
a. DISTRIBUTES FULLY EXECUTED CONTRACT WITH BONDS TO
CONTRACTOR, LEA, SDE, 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, AMENDMENTS, AND MODIFICATIONS 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
2. LOCAL EDUCATION AUTHORITY - APPROVES
3. ALABAMA BUILDING COMMISSION - APPROVES
4. FINANCE DEPT. - EXECUTIVE BUDGET OFFICE
PREPARES VOUCHER AND ISSUES PAYMENT
5. ALABAMA BUILDING COMMISSION
DISTRIBUTES COPIES OF PAID STATEMENT OR APPLICATION TO LEA, SDE, GC
AND/OR A/E
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