Ala. Dept. of Transp. v. Blue Ridge Sand and Gravel, Inc.
Ala. Dept. of Transp. v. Blue Ridge Sand and Gravel, Inc.
Opinion
The Alabama Department of Transportation and a number of its officials and employees, who were defendants in the circuit court, appeal from a preliminary injunction. The circuit court's injunction has the effect of prohibiting the use of the Department's "Standard Specifications for Highway Construction" unless and until those specifications are adopted as rules pursuant to the Alabama Administrative Procedure Act ("AAPA") Ala. Code 1975, §
The plaintiffs, Blue Ridge Sand and Gravel, Inc., and Bob Estes, sought, among other relief, a preliminary injunction against the Department's implementation of amendments to §§ 801.01 (a), 801.03 (a), and 802.06 of the standard specifications and supplemental specification 4-92 (2). These amendments and the supplemental specification require that gravel for use in hot mix asphalt for roads and in the superstructure of bridges "shall have a bulk specific gravity greater than 2.550." The plaintiffs contend that each of these amendments to the standard specifications is a "Rule" as that term is defined in §
The Department presented evidence indicating that it adopted the 2.550 standard after experiencing premature failures of road surfaces and bridges with gravel made from chert. Larry Lockett, a materials and test engineer with the Department who had authority in this matter, testified:
*Page 29"Q. Do you know why the Department of Transportation adopted the bulk specific gravity specification for coarse gravel?
"A. To prevent the use of chert gravels in hot asphalt and bridge decks.
"Q. All right. Do you know why the Department of Transportation wanted to eliminate the use of chert gravel in hot mix asphalt and bridge decks?"A. Poor pavement performance in hot mix and poor bridge performance in bridge decks.
"Q. When , you say `poor performance,' would you please explain what you mean?
"A. A large, a very high, an unusually high occurrence of failure due to stripping of the asphalt off the aggregates in the hot mix and we would have — when the gravel would absorb moisture and freeze in bridge decks, we would have pop-outs. It would look like a divot on a golf course in the bridge deck.
"Q. You mean a chunk coming out? Is that what you mean?
"A. Yes.
"Q. Is rutting a problem also?
"A. When stripping starts at the underlying layers, you lose some support, and the surface ruts — you have permanent deformation due to that lack of support.
"Q. Do you know why [the 2.550 specific-gravity specification was used]?
"A. It was made at the direction of the Federal [Highway] Administration to be able to obtain federal funds."
Lockett also testified that the Department had experienced failures of asphalt pavements with chert gravel within 6 to 24 months, while the average life span of asphalt pavements is 12 years. Lockett said that he had been studying the problem for years and that the Department had done testing before it arrived at the 2.550 specific-gravity specification. Thus, the Department's evidence showed that its adoption of the 2.550 specific-gravity specification was an attempt to improve road and bridge longevity and to reduce maintenance costs.
The question is whether the standard specifications are "rules" within the meaning of §
The standard specifications do not "describer the organization, procedure, or practice requirements of" the Department. Pursuant to the AAPA, the Department has adopted administrative rules that describe its organization, procedure, and practice requirements. See Alabama Administrative Code, Chapter 450-1-1 et seq.
Nor do the standard specifications constitute an "agency regulation, standard or statement of general applicability that implements, interprets, or prescribes law or policy." Rather, each of the specifications, including the amended specifications directly at issue here, is simply a term that may be incorporated into a contract between the Department and some other party. See generally §
The Supreme Court of Michigan, in affirming the lower courts' holding that the Michigan highway department's standard specifications were not an agency rule subject to the Michigan Administrative Procedures Act, stated:
Greenfield Constr. Co. v. Michigan Dep't of State Highways,"The 1970 Standard Specifications for Highway Construction are found in a bound volume of 735 pages. The specifications include definitions of terms, allocation of duties between the contractor and the state, payment terms, and hundreds of pages of highly technical and detailed information concerning construction methods and techniques, soil composition requirements, metal heat treating methods, and technical details touching almost every conceivable aspect of highway construction work for which the State of Michigan might contract. Relevant portions of the standard specifications . . . are routinely incorporated by reference in the Highway Department construction contracts not only to avoid the cumbersome necessity of reproducing the highly detailed information in every separate contract, but to enable prospective bidders upon state construction contracts to know in advance the bid requirements and construction specifications which will apply if they bid upon a state owned highway construction project.
"It is undisputed that no part of the 1970 Standard Specifications for Highway Construction have ever been promulgated as agency rules within the meaning of . . . the Administrative Procedures Act . . . as a condition of their validity. It is likewise undisputed that the statutory steps preliminary to the adoption of agency rules, including publication of the proposed rule, and publication and transmission of notice of public hearing were never undertaken with respect to Sec. 1.04.03 (c) or any of the standard specifications.
"We agree with the trial court and the Court of Appeals that Sec. 1.04.03 (c) of the 1970 Standard Specifications for Highway Construction is not an agency rule within the meaning of Sec. 7 of the Administrative Procedures Act. It is, as its title suggests, one of hundreds of standard contract terms and specifications governing the contractual relationship between the state and contractors engaged in highway work."
To like effect is Department of Transportation v. BlackhawkQuarry Co. of Florida,
"[S]ection 915 simply sets out specifications for acceptable coquina material as part of the comprehensive standards for state road and bridge construction. It is more in the nature of a contract term between the contractor and DOT as opposed to a rule."
We agree with the Michigan Supreme Court and the Florida District Court of Appeal that such standard specifications are not "rules" within the purview of the Administrative Procedure Act.
Moreover, even if the Department of Transportation's Standard Specifications for Highway Construction might be considered "rules, " the evidence presented to the circuit court brings the amended and supplemental specifications within one or more exceptions to the AAPA's definition of "Rule." The definition in §
"We have expressed concern for some time regarding the poor performance of pavement utilizing porous gravels with high internal moisture. . . . I have given this problem serious consideration and have concluded that changes need to be made in the specifications before further authorization of projects for pavement construction utilizing these gravels."
By the terms of §
In the chapters of the Code governing the operation of the Department of Transportation, there are many instances where the Department is given the authority to make agreements with, or otherwise to cooperate with, the Federal Government so as to facilitate the receipt of federal money for the construction of highways and bridges and for other reasons. See, e.g., §
The Department of Transportation (formerly the Highway Department, see §
The AAPA was adopted in 1981; see 1981 Ala. Acts, Act No. 81-855, p. 1534. The Department has adopted rules according to the provisions of the AAPA, pursuant to its rulemaking authority; see §
Chapter
The circuit court's preliminary injunction purports to reach only the 1997 amendments at issue here, but its reasoning would reach the entire manual of standard specifications. The Department has published a 1992 edition and a 1995 edition of its standard specifications. The Department has, admittedly, made these revisions without engaging in rulemaking procedures. For all that appears, the entire set of standard specifications would be rendered void by the trial court's injunction.
A trial court 'will balance the probable resulting damages to the respective parties" when considering whether to issue a preliminary injunction. Woodstock Operating Corp. v. Quinn,
For the reasons stated, we conclude that the Department of Transportation's Standard Specifications for Highway Construction are not "rules" within the purview of the Alabama Administrative Procedure Act. The circuit court erred in entering the injunction prohibiting the defendants from incorporating the amended and supplemental standard specifications into highway and bridge construction contracts.
INJUNCTION DISSOLVED AND CASE REMANDED.
HOOPER, C.J., and MADDOX, SHORES, HOUSTON, and SEE, JJ., concur.
Reference
- Full Case Name
- Alabama Department of Transportation v. Blue Ridge Sand and Gravel, Inc. and Bob Estes.
- Cited By
- 6 cases
- Status
- Published