A. APPLICABILITY of CHAPTER
This chapter defines documents and contractual
provisions that are required to be included in the bid and contract
documents for projects supervised and administered by the Technical
Staff. Also presented are recommended roofing design criteria and
optional provisions that should be considered for inclusion in the bid
and contract documents by the design professional and Awarding Authority
of such projects. The types of projects to which this chapter applies
includes projects of:
- State Agencies & Departments
- Public School & College Authority (PSCA)
- Alabama Building Renovation Finance Authority (ABRFA)
- Alabama Corrections Institution Finance Authority (ACIFA).
- Alabama Mental Health Finance Authority (AMHFA)
- Other "authorities" established by legislative acts to fund
specific construction or improvement programs and which are assigned
by the legislative act to the ABC for administration and supervision.
B. UNIFORM DOCUMENTS and STANDARD FORMS
All ABC uniform
documents and standard forms are available through the internet from the
ABC’s Web site [ Forms into which information is to inserted, such as
contracts, change orders, applications for payment, etc., can be
completed "on line"
For a project costing less than $50,000, the
Technical Staff should be consulted regarding documents and forms to be
used. Also, refer to Chapter 6, Section M.
The ABC's uniform documents
and standard forms, or "front-end documents", contained in Appendix C
are to be bound in the project manual for all projects costing more than
$50,000 and which are supervised and administered by the Technical
Staff; exceptions are noted below. In the ABC’s Web site these
"front-end documents" are grouped as the "Construction Contract and
Related Documents". These documents and forms have been developed to
insure compliance with state laws and Commission Rules and to provide
uniformity for review and administration. To maintain this uniformity,
these documents must either be printed from the Web site or copied from
those bound in the appendix, unless otherwise noted below.
1. SAMPLE ADVERTISEMENT FOR BIDS, ABC Form C-1
Title 39, "Public Works Law", requires the Awarding
Authority to advertise for sealed bids once a week for three weeks for
public works projects in excess of $50,000.00. The advertisement is to
be published in a newspaper of general circulation in the county or
counties in which the project, or any part of the project, is to be
performed. If the project involves an estimated amount in excess of
$500,000.00, the Awarding Authority must also advertise for sealed bids
at least once in three newspapers of general circulation throughout the
state. Exceptions may be made in cases of emergencies affecting
public health, safety or convenience, so declared in writing by the
Awarding Authority, setting forth the nature of the danger involved in
The advertisement is to be prepared and its
publication arranged for by the design professional. The published text
of the advertisement is to be bound in the project manual. Proof of
publication should be obtained from the newspaper(s) and retained for
submission with the contract to the Technical Staff. ABC Form C-1 is a
sample Advertisement For Bids containing language satisfying the
requirements of various state laws. The design professional should
closely follow the language and format of the sample while incorporating
project-specific information necessary to legally describe the
solicitation. Project-specific information in the advertisement should
a. Brief description of the scope of the work.
b. Where, in the Awarding Authority’s offices,
plans and specifications are on file for examination.
c. Procedure for obtaining plans and
d. Time and place in which bids shall be received
and opened publicly.
e. Whether prequalification is required and where
all written prequalification information is available for review (see
Section D.6 of this chapter for prequalification procedures of the
Public Works Law).
f. If applicable, a statement to the affect that
attendance of a pre-bid conference is a mandatory prerequisite for
2. INSTRUCTIONS TO BIDDERS, ABC Form C-2
ABC Form C-2 must be bound in the project manual;
re-typed duplications are not permitted. Supplemental Instructions to
Bidders may be used to convey project-specific instructions.
3. PROPOSAL FORM, ABC Form C-3
ABC Form C-3 may be re-typed and modified to
incorporate project-specific requirements; however, the text of the
standard form is not to be modified without approval of the Technical
Staff. Information common to all bidders, such as identification of the
project, design professional, and bid alternates, should be inserted to
4. FORM OF BID BOND, ABC Form C-4
ABC Form C-4 must be bound in the project manual;
re-typed duplications are not acceptable.
5. CONSTRUCTION CONTRACT, ABC Form C-5
ABC Form C-5 must be bound in the
project manual; re-typed duplications are not acceptable.
ABC Form 9-A, contained in Chapter 9, is a modification of this
form that should be substituted for Form C-5 for PSCA projects.
6. PERFORMANCE BOND, ABC Form C-6
ABC Form C-6 must be bound in the project manual;
re-typed duplications are not acceptable. ABC Form 9-B, contained
in Chapter 9, is a modification of this form that should
be substituted for Form C-6 for PSCA projects.
7. PAYMENT BOND, ABC Form C-7
ABC Form C-7 must be bound in the project manual;
re-typed duplications are not acceptable. ABC Form 9-C, contained
in Chapter 9, is a modification of this form that should
be substituted for Form C-7 for PSCA projects.
8. GENERAL CONDITIONS OF THE CONTRACT, ABC Form C-8
ABC Form C-8 must be bound in the project manual.;
re-typed duplications are not permitted. Special Conditions or separate
Modifications to the General Conditions may be used to make necessary
modifications subject to the approval of the Technical Staff.
9. GENERAL CONTRACTOR’S ROOFING GUARANTEE, ABC Form
ABC Form C-9 must be bound in the project manual of
all projects which include roofing work; re-typed duplications are not
10. APPLICATION AND CERTIFICATE FOR PAYMENT, ABC Form
ABC Form C-10 is a single-page form to which a
contractor’s Schedule of Values will be attached. The only criteria for
the Schedule of Values dictated by the ABC is that it be on 8½" × 11"
paper; otherwise the format of the Schedule of Values can be as agreed
between the Awarding Authority and contractor. The updated Schedule of
Values is required to be submitted with each monthly Application and
Certificate for Payment. This form may be re-typed or computer
generated as long as the information, sequence, and format of the
standard form is not altered.
ABC Form C-10 SM, Inventory of Stored Materials, is
available as a tool for tracking and estimating the value of stored
materials. The use of this form is not mandatory.
11. PROGRESS SCHEDULE AND REPORT, ABC Form C-11
ABC Form C-11 must be bound in the project manual.
Note: As is addressed in Chapter 6, of more sophisticated scheduling
methods may be used, but ABC Form C-11 must also be prepared and updated
for the ABC’s use during the course of the project.
12. CONTRACT CHANGE ORDER, ABC Form C-12
ABC Form C-12 must be bound in the project manual;
re-typed and computer generated duplications are acceptable.
13. CERTIFICATE OF SUBSTANTIAL COMPLETION, ABC Form
ABC Form C-13 must be bound in the project manual;
re-typed duplications are not acceptable.
14. FORM OF ADVERTISEMENT OF COMPLETION, ABC Form
ABC Form C-14 must be bound in the project manual as
a sample to be followed by the contractor at the end of the project.
15. DETAIL OF PROJECT SIGN, ABC Form C-15
ABC Form C-15 must be bound in the
project manual to supplement the "Project Sign" requirement of the
General Conditions. This requirement does not apply to projects that are
less than $100,000. Other conditions may warrant waiver of this
requirement, but only with approval of the Technical Staff.
C. ROOFING CONSIDERATIONS and
1. GENERAL RECOMMENDATIONS
a. Low Sloped Roofs: If design,
cost, and occupancy permit, it is recommended that pitched roofs be
utilized. Should a low pitched roof system be necessary, it is
recommended that a 4-ply built-up roof system be specified. Asphalt
systems should be smooth or granular surfaced (not gravel ballasted) in
order to facilitate future maintenance. Coal tar pitch roof systems
should be limited to inch per foot slope maximum and are, therefore,
not appropriate for new construction which requires a minimum roof slope
of ¼ inch per foot.
b. Single-ply Roofs: Should design
or economic restrictions require the use of a single-ply elastromeric
roofing system, ballasted systems of any type should be avoided.
c. Interior Gutters: The use
of interior gutters should be avoided at all times.
d. Protection During
Application: At no time during construction should the surface
of an asphalt or coal tar pitch roofing system to be left unprotected. A
glaze coat of asphalt or pitch must be applied to the surface of the
membrane if the top pour or cap sheet cannot be applied during the same
e. Contractor’s Qualifications:
The specifications should stipulate that the roofing contractor shall
possess the following, or more stringent, minimum qualifications: the
roofing contractor must be a firm of not less than 5 years successful
experience in installation of roofing systems similar to those specified
for the project and which is acceptable to or licensed by the
manufacturer of the primary roofing materials.
f. Manufacturer’s Qualifications:
In specifying acceptable manufacturers or minimum qualifications of
manufacturers, the following, or more stringent, criteria should be
used: the manufacturer shall have a minimum of 5 years experience in the
manufacture of the roofing system and must also be the original
material manufacturer of the primary roofing materials.
g. Roofing Consultant: The Awarding
Authority and design professional should not rely on the inspections of
the roofing contractor or a representative of the materials
manufacturer. It is strongly recommended that the Awarding Authority and
design professional consider employing the services of an experienced
and totally non-proprietary roofing consultant to make periodic
inspections of the in-progress work and submit written reports of
application quality and progress.
h. Warranties: The ABC requires a 5-year
General Contractor’s Roofing Guarantee (ABC Form C-9); however, this
does not preclude the specification of supplemental roofing system
warranties that may be desired by the Awarding Authority. Before
specifying a supplemental warranty the Awarding Authority should
evaluate the cost and benefits of a warranty versus the costs of
implementing a sound roof maintenance program to receive the full
serviceable life expected of the roofing system.
2. RE-ROOFING CRITERIA
a. Definitions: For the purposes of this
manual, the following terms shall have the following meanings:
(1) Re-roofing - The process of recovering or
replacing an existing roofing system.
(2) Replacement - The process of removing the
existing roof membrane, repairing any damaged substrate, and installing
a new roofing system.
(3) Recovering - The process of preparing the
existing roof surface and installing a new roofing system over the
(4) Retrofit - The process of installing a new
roof framing system and roof over an existing roof. "Retrofit" is
considered to be new construction, not "re-roofing".
b. Replacement instead of
Recovering: Recovering is often a practical and economical
solution for an existing problem roof. However, it is recommended that
replacement instead of recovering be utilized in the following cases:
(1) When the existing roofing is soaked or
deteriorated to the point that it is not suitable as a base for an
additional roofing system.
(2) When blisters exist in any roofing, unless
the blisters are cut out to where the felts are solidly adhered to each
(3) When the existing roof surface is gravel
or the like, unless the gravel shall be thoroughly removed, or all loose
gravel removed, and an approved base material installed before applying
(4) When the existing roof is slate or a
(5) When sheathing or supports are
deteriorated to the point that the roof structural system is not capable
of supporting recovering.
(6) When wood shingles or shakes are being
installed and more than one layer of wood or asphalt shingles exist.
When the existing roof consists of two or more roof
applications of any type material, replacement is mandatory for code
(1) The structural deck is concrete, the
existing roof is firmly attached to the deck, and the existing roof is
removed down to a maximum of three plies of moisture-free felts.
(2) When otherwise approved by the state
All re-roofing is to be applied in accordance new
roofing specifications. Slope allowance for re-roofing can be less
then ¼ inch per foot provided that the roof has positive drainage.
"Positive drainage" means no standing water on the roof 48 hours after a
rain of some consequence.
3. 5-YEAR, GENERAL CONTRACTOR’S ROOFING GUARANTEE
Article 35 of the General Conditions of the Contract
establishes the requirements for a 5-year, General Contractor’s Roofing
Guarantee. ABC Form C-9,General Contractor’s Roofing Guarantee must be
included in the project manual of all projects which include roofing or
re-roofing work. The roofing section of the technical specifications
should indicate the presence of this standard requirement in the General
Conditions. If additional roofing warranties are specified in the
roofing section, they should be identified as supplemental to the
General Contractor’s Roofing Guarantee.
4. PRE-ROOFING CONFERENCE
A Pre-roofing Conference is required to facilitate
and promote the successful installation and performance of the entire
roof assembly. If the sole purpose of the project is re-roofing, the
Pre-construction Conference and the Pre-roofing Conference should be
combined and conducted after all contractor submittal requirements are
completed. To incorporate this requirement into the contract documents
the roofing section of the specifications must include the following
A pre-roofing conference is required before any
roofing materials are installed. This conference shall be conducted by a
representative of the Architect and attended by representatives of the
Owner, Building Commission Inspector, General Contractor, Roofing
Contractor, Sheet Metal Contractor, Roof Deck Manufacturer (if
applicable), and the Roofing Materials Manufacturer (if warranty is
required of this manufacturer). If equipment of substantial size is to
be placed on the roof, the Mechanical Contractor must also attend this
The pre-roofing conference is intended to clarify
demolition (for renovation or re-roofing projects) and application
requirements for work to be completed before roofing operations can
begin. This would include a detailed review of the specifications, roof
plans, roof deck information, flashing details, and approved shop
drawings, submittal data, and samples. If conflict exists between the
specifications and the Manufacturer’s requirements, this shall be
resolved. If this pre-roofing conference cannot be satisfactorily
concluded without further inspection and investigation by any of the
parties present, it shall be reconvened at the earliest possible time to
avoid delay of the work. In no case should the work proceed without
inspection of all roof deck areas and substantial agreement on all
The following are to be accomplished during the
1. Review all Factory Mutual and Underwriters
Laboratories requirements listed in the specifications and resolve any
questions or conflicts that may arise.
2. Establish trade-related job schedules, including
the installation of roof-mounted mechanical equipment.
3. Establish roofing schedule and work methods that
will prevent roof damage.
4. Require that all roof penetrations and walls be in
place prior to installing the roof.
5. Establish those areas on the job site that will be
designated as work and storage areas for roofing operations.
6. Establish weather and working temperature
conditions to which all parties must agree.
7. Establish acceptable methods of protecting the
finished roof if any trades must travel across or work on or above any
areas of the finished roof.
The Architect shall prepare a written report
indicating actions taken and decisions made at this pre-roofing
conference. This report shall be made a part of the project record and
copies furnished the General Contractor, the Owner, the Building
Commission, and the Building Commission Inspector."
D. PRE-BID CONSIDERATIONS
This section discusses recommended procedures and
optional provisions that may be included in the bid and contract
documents. The design professional and Awarding Authority should give
each of these items consideration when developing a project’s bid and
1. PROCEDURE FOR ISSUING PLANS AND SPECIFICATIONS
The "Public Works Law" stipulates the following
procedures for issuing plans and specifications to bidders:
"...an adequate number of sets of bid documents, as
determined by the Awarding Authority, may be obtained by prime
contractor bidders upon payment of a deposit for each set, which deposit
shall not exceed twice the cost of printing, reproduction, handling, and
distribution of each set. The deposit shall be refunded in full to each
prime contractor bidder upon return of the documents in reusable
condition within 10 days after bid opening. Additional sets for prime
contractor bidders, subcontractors, vendors, or dealers may be obtained
upon payment of the same deposit. The deposit shall be refunded less the
cost of printing, reproduction, handling, and distribution, upon return
of the documents in reusable condition within 10 days after bid opening.
All refunds are due from the Awarding Authority within 20 days after bid
Building exchanges and similar agencies may be
furnished plans and specifications without charge."
With assistance from the design professional, the
Awarding Authority should determine: (1) the amount of the deposit to be
charged for bid documents and (2) a reasonable, or adequate, number of
sets of bid documents that may be obtained by prime contractor bidders
with a fully refundable deposit (2 sets is normal). The size and
complexity of a project should be considered in making these
2. BID ALTERNATES
Deductive alternate bids may be used in order to
reduce the base bid to an amount within the funds available for the
project. Additive alternate bids may be used in order to obtain prices
for the addition of items not included in the base bid. The alternate
bids shall be listed in the Proposal Form in the order in which they
shall cumulatively deduct from or add to the base bid for determining
the lowest bidder. Alternate bids are to be listed in order of priority
(determined by the Awarding Authority) and should be all deductive or
all additive. See O/A Agreement Standard Article 4.F, Bid Alternate
Design Fee, for related compensation of the design professional.
ABC Form C-2, Instructions to
Bidders, establishes the required method of determining the lowest
bidder when bid alternates are utilized. The Awarding Authority must
be prepared to announce the funds available for a construction contract
at the bid opening as provided in the Instructions to Bidders.
3. UNIT PRICES
There are two applications of unit prices to be
considered for use in bid proposals:
a. Work Bid on a Unit Price Basis: All, or part(s),
of the planned work may be bid on a unit price basis. The design
professional states an estimated quantity of an element of the work on
the Proposal Form as a bid item. The bidders insert a unit price and the
extended lump sum amount for the unit price bid item. The extended lump
sum amount(s) for the unit price bid item(s) and lump sum bid items are
added together to produce a total lump sum bid for the project. The
contract amount is ultimately adjusted based upon the actual quantity of
the work element performed as compared to the estimated quantity
included in the bid. This application of unit prices can improve pricing
by reducing the bidders’ risk associated with elements of work that
cannot be accurately quantified. Drilled piers, pilings, and the
potential encounter of unsuitable soils or rock are typical examples of
work elements bid on a unit price basis in new construction. Asbestos
abatement, plaster repair, and masonry restoration are typical examples
of work bid on a unit price basis in renovation work. When work is bid
in this manner, both the unit prices and the extensions of the unit
prices constitute a basis of determining the lowest bidder. In cases of
error in the extension of prices of bids, the unit price will govern.
Each unit price is to include overhead, profit, and all other related
costs. A proposal may be rejected if any of the unit prices are
obviously unbalanced or non-competitive.
b. Unit Prices for Application to Change Orders:
As a means of predetermining unit costs of changes in certain elements
of the work, the project specifications may require that the
bidders furnish unit prices for these items. No estimated quantities are
stated on the Proposal Form and these unit prices may, or may not, be
used during the course of the project. Unit prices may be presented as
an attachment to, or part of, the Proposal Form and may be requested as
separate additive and deductive unit prices or as singular unit prices
applicable to both additive and deductive changes. Each unit price
should include overhead, profit, and all other related costs. Unit
prices for application to changes in the work are not a basis for
determining the lowest bidder. Non-competitive unit prices proposed by
the lowest bidder may be rejected or negotiated by the Awarding
Authority prior to contract award. The specifications should clearly
state that unit prices for application to changes in the work are not
effective unless specifically agreed upon in the Construction Contract.
Cash allowances are dollar amounts stated in Bid
Documents that are to be included in bids to cover the approximate costs
of materials that will be selected or work that will be defined during
construction. Allowances can simplify administration of minor changes in
the Work and may be particularly useful for renovation projects where
the extent of repairs and other elements of work cannot be determined
until actual conditions are exposed by demolition.
5. INSURANCE COVERAGE
The ABC General Conditions contain minimum
requirements for the contractor’s insurance coverage. It is
recommended that the design professional and the Awarding Authority and
their insurance advisor review the insurance requirements for their
project and supplement the General Conditions accordingly. In projects
involving additions to, or renovations of, existing facilities, a review
of the Awarding Authority’s coverage of the existing facilities can be
of significant importance.
6. PREQUALIFICATION OF BIDDERS
Each bidder is required to file with his or her bid a
cashier’s check or bid bond payable to the Awarding Authority for an
amount not less than 5% of the Awarding Authority’s estimated cost or of
the contractor’s bid, but no more than $10,000 is required. The bid
guaranties "shall constitute all of the qualifications or guaranty to be
required of contractors as prerequisites to bidding for public works,
except as required by the state licensing board for general contractors
and the prequalifications as required by the Department of
Transportation, the Building Commission, or any other Awarding
Authority." (§39-2-4, Public Works Law)
If an Awarding Authority proposes to prequalify
bidders, it must comply with the following provisions of Public
Works Law §39-2-4:
a. Written Procedures and Criteria:
"The Awarding Authority must establish written
prequalification procedures and criteria that (1) are published
sufficiently in advance of any affected contract so that a bona fide
bidder may seek and obtain prequalification prior to preparing a bid for
that contract...; (2) are related to the purpose of the contract
or contracts affected; (3) are related to contract requirements
or the quality of the product or service in question; (4) are
related to the responsibility, including the competency, experience, and
financial ability, of a bidder; and (5) will permit reasonable
competition at a level that serves the public interest."
The Advertisement for Bids must identify where the
published prequalification procedures and criteria are available for
review. The prequalification publication may run concurrently with the
Advertisement for Bids provided it produces the required advance notice.
b. Determination by Awarding Authority:
"Within the bounds of good faith, the Awarding
Authority retains the right to determine whether a contractor has met
prequalification procedures and criteria."
c. Prequalification Deems Contractor "Responsible":
"Any bidder who has prequalified pursuant to the
[published procedures and criteria] shall be deemed ‘responsible’ for
purposes of award unless the prequalification is revoked by the Awarding
Authority under the following procedures: (1) No later than five
working days or the next regular meeting after the opening of bids, the
Awarding Authority issues written notice to the bidder of its intent to
revoke prequalification and the grounds therefor; (2) the bidder
is then provided an opportunity to be heard before the Awarding
Authority on the intended revocation; (3) the Awarding Authority
makes a good faith showing of a material inaccuracy in the
prequalification application of a bidder or of a material change in the
responsibility of the bidder since submitting its prequalification
application; and (4) the revocation of prequalification is
determined no later than 10 days after written notice of intent to
revoke, unless the bidder whose qualification is in question agrees in
writing to an extension in time."
Prequalification of bidders is a useful tool that may
be utilized for public works building projects. The American Institute
of Architects (AIA) publishes standard procedures and forms which may be
used in the prequalification process with modification as needed to
address specific needs of a project or Awarding Authority. The design
professional can assist the Awarding Authority in obtaining the AIA
7. WAGE RATES
The State of Alabama does not require that workmen
employed on public works projects be paid prevailing wages; however, a
project's source of funding may dictate that certain minimum or
prevailing wages are to be paid. Many federally-funded projects require
wage rates. The Awarding Authority must be consulted regarding source(s)
of funds for the appropriate determinations to be made.