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PROJECT APPENDIX A - 2

ALABAMA PUBLIC SCHOOL & COLLEGE AUTHORITY

 (PSCA) SUMMARY OF ABC REQUIREMENTS AND

 PROCEDURES FOR BUILDING CONSTRUCTION &

 IMPROVEMENT PROJECTS

  •  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.

    •  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.

    • 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. 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