PURPOSE: This rule sets forth the form and format for completing the Capital Improvement and Maintenance Budget Forms.

1. (1) General. For brevity, the term “site” has been used in several blocks on the budget forms. This should be taken to mean site, complex, operational entity or institution as appropriate. Each of the forms must have each block filled with the appropriate entry. When a particular block is not applicable, enter the notation “N.A.” There are three (3) budget forms. Form 11 is the summary of all budget items and the total budget request of the Capital Improvement and Maintenance Immediate Program for the budget year. Form 12 provides the detailed information and justification for individual budget items indicated on Form 11. Form 13 is the summary of all items proposed for the long range plan under Capital Improvement and Maintenance. Copies of the blank Forms 11, 12 and 13 follow this rule as Appendices A, B and C.

2. (2) Form 12—Immediate Program, Budget Request Item.

   1. (A) General. This Form 12 is the basic document for each budget item. Each budget item, which may have several subitems, will be assigned a separate priority. The appropriate box at the top of the Form 12 will be checked and construction work will not be combined with maintenance/repair work on the Form 12. Data to be provided for individual blocks on the Form 12 are discussed as follows. Individual blocks (except 14 and 15) which do not apply will be marked N/A. An entry will be made in each block to assure that no data is inadvertently omitted.
   2. (B) Block 1. Self-explanatory.
   3. (C) Block 2. Self-explanatory.
   4. (D) Block 3. Entry shall be the LABS number and name and the location for the site or complex. If more than one (1) site is included indicate “various” in block 3 and include site/complex LABS number and name for each item in Block 7.
   5. (E) Block 4. Enter the LABS number and name for the facility. If the budget item involves more than one (1) facility, enter “various” in Block 4 and indicate the LABS number and name of each facility in Block 7 for the corresponding subitems. Such combinations must be coordinated with the Office of Administration prior to submission.
   6. (F) Block 5. Indicate an individual who is knowledgeable about the item and likely to be available for consultation.
   7. (G) Block 6. Both the departmental and site priorities must be indicated. Entries will correspond with entries for this budget item in Block 5 of Form 11.
   8. (H) Block 7. The description of work must be clear and concise and accurately describe the complete work that is needed. When several site/complexes are involved with the item and “various” is indicated in Block 3, indicate the LABS number and name of the site/complex for each subitem. If the budget item involves more than one (1) facility and “various” is entered in Block 4, indicate the facility LABS number and name for the corresponding subitems. The description will be a short summary of the work with subitems as appropriate. The subitems should indicate numbers, sizes, materials and other description as appropriate. Unusual requirements such as temporary work, special protection, restrictions of time or other elements should be indicated. Any previous work or commitments of funding from all sources including state appropriations must be indicated. The total scope must be included regardless of the source of work, equipment or funding. The summary and subitems may be the only information available to those who review the budget request. Therefore, the data provided should be accurate and complete enough to permit a rapid review along with verification of estimated cost.
   9. (I) Block 8. Estimated cost should include contingency and price escalation as directed in the annual budget instructions. Total estimated cost for the item should be indicated in line with the first line of the description. Cost estimates for subitems, where appropriate, should be indicated in parentheses in line with the subitem.
   10. (J) Block 9. This entry will be a summary justification. The data to be included is detailed in 1 CSR 30-2.040(8).

   11. (K) Block 10. Budget Categories. All headings, other than construction or maintenance/repair, in this block are sub-categories under the two (2) budget categories. The items to be included in the budget categories and sub-categories are indicated as follows. Entries in Blocks 11, 12 and 13 will correspond to the descriptions indicated for Block 10.

       1. 1. Construction. This category includes

all items of work defined as construction. This category will also include all costs for purchase and/or installation of installed facility equipment and for special construction, utilities or environmental control required to support installed function equipment. Installed facility equipment will be shown as subitems under description and cost. Special construction, utilities and environmental control equipment for installed function equipment will also be shown as subitems under description and cost. For projects involving new acquisition, all work required prior to occupancy to provide a complete usable facility will be defined as construction within a single project and priority under the construction category.

1. A. Acquisition. This sub-category

includes all estimated costs to be incurred for real property in the transfer to or purchase by the state of Missouri. This shall include costs for all land, existing improvements, legal fees, title insurance, closing and other related costs. Acquisition does not include leasing.

1. B. Installed Function Equipment.

This sub-category includes the costs for purchase, delivery and setting of fixed or heavy equipment required by the facility occupant(s) (for example, kitchen, laundry, printing, x-ray, welding equipment) in performing their required functions. Costs for special construction, utility connections or environmental control equipment required to support this installed function equipment will be included under the construction category.

1. C. Furnishings and Portable Equip-

ment. This sub-category includes those movable items which are classified as personal property. This sub-category will be included only when the budget item justification indicates that these items of personal property will have a significant impact on project completion. When personal property does not have significant impact on project completion, or when the cost of personal property is twenty percent (20%) or more of the total project cost, all items of personal property will be included in the operating budget and the estimated cost will be indicated under Equipment Purchase in Block 18.

1. 2. Maintenance/Repair. This category

includes cost for work necessary to preserve or re-establish the usefulness of a facility for its current intended use. This category will not be used for work designed solely to upgrade facilities to meet current codes or standards. When a requirement includes upgrading to meet codes and standards, the test to determine whether that item should be construction or maintenance/repair lies in the determination of the need to preserve or reestablish usefulness.

1. 3. Telecommunications. This sub-cate-

gory includes costs for purchase and installation of equipment and associated wiring as approved by Division of EDP Coordination for construction work to be included in the Capital Improvement and Maintenance Budget.

1. 4. Professional and Administrative

Costs. This sub-category includes all administration costs plus the costs for outside architect/engineer services and other technical services required for planning (to include design), providing construction management, establishing performance requirements, supervising installation of specialized equipment, supervising orientations or initial operations procedures or other similar requirements for accomplishing the work on the budget items. Administration costs include direct payments for advertising, printing, legal notices and other expenses of the department/agency and the Division of Design and Construction relating to planning (including impact statements), public hearings, bidding and contracting for the program or project. Professional and Administrative Costs will be indicated as a sub-category under Construction or Maintenance/Repair as appropriate.

1. (L) Block 11. Entries should indicate any prior appropriations directly applicable to this item, for this facility. Items such as acquisition costs, planning, previous segments of repair, replacement, renovation, etc. related to preparation for this item, for this facility shall be included. The total of this entry must correspond to the entry in Block 6 of Form 11.
2. (M) Block 12. Entries will be made in each applicable category or sub-category for the amount requested in the FY of the budget being prepared.
3. (N) Block 13. This is particularly significant for items involving acquisition. All foreseeable future planning, development and maintenance/repair expenditures must be indicated for new acquisitions. If the entry in Block 12 is for preliminary planning or preliminary work, the estimated total cost of the completed item must be shown in this block. The total for this entry must correspond to the entry in Block 10 of Form 11.
4. (O) Block 14. Department/Agencies will leave this blank.
5. (P) Block 15. Department/Agencies will leave this blank.
6. (Q) Block 16. Recent (normally, previous five (5) years) expenditures for items of construction work on the facility will be included in this block. Expenditures for maintenance/repair work (during the previous three to five (3—5) years) on the facility, if related to the budget item, will be included in this block.
7. (R) Block 17. Leave blank, except for the following items which will be entered under “Other”. Such entries shall identify the source.

Higher Education—The amount of private funds available. National Guard—Federal Portion Employment Security Federal Portion Others—Items for which a specific fund(s) source is requested, that is, state park earnings, land and water fund, historic revolving fund, conservation fund, highway fund, etc.

1. (S) Block 18. Enter the estimated increase or decrease in the operating budget for the first full year following completion of the item. Operations costs have a significant impact on decisions concerning these budget items. The estimated cost of furnishings and equipment related to the budget item to be procured from funding under the operating budget will be shown as equipment purchase in this block. The total for this entry must correspond to the amount in Block 9 of Form 11.
2. (T) Supplemental Justification. The supplemental justification for a major maintenance/repair or major construction or new construction item will be provided on separate eight and one-half inches by fourteen inches (8 1/2" x 14") sheets attached to Form 12 for the item. The supplemental justification, as indicated in 1 CSR 30-2.040(8)(C), will be identified with a heading which includes the information from Blocks 1 through 4 and 7 of Form 12. The feasibility study when required by 1 CSR 30-2.030 will be similarly identified and attached to Form 12.

1. (3) Form 11 Immediate Program, Budget Request Summary. Form 11 will be the summary of construction and maintenance/repair items. The budget items will be listed in priority order. Data to be provided for individual blocks on Form 11 is discussed as follows. Individual blocks which do not apply to a particular item will be marked N/A. An entry will be made in each block, except Block 8, to assure that no data has been inadvertantly omitted.

   1. (A) Block 1. Self-explanatory.
   2. (B) Block 2. Self-explanatory.
   3. (C) Block 3. Indicate an individual who is knowledgeable and likely to be available for consultation.
   4. (D) Block 4. Enter the LABS number and name for the site/complex and the facility involved in the item. The scope may be a title which generally describes the proposed work. Where work for more than one (1) facility or more than one (1) site or complex is involved, indicate the LABS number and name for each site/complex and facility included for each item. Such combinations must be coordinated with the Office of Administration prior to submission.
   5. (E) Block 5. Each budget item will be assigned separate priorities. Priorities for both department and site must be indicated for each budget item. Entries will correspond to entries in Block 6 of Form 12.
   6. (F) Block 6. Enter the total of all amounts previously appropriated for acquisition, planning or other work related to the budget item for that particular facility or site. Total costs for a project are significant considerations in examining individual budget items. The entry in this block must correspond to the total in Block 11 of Form 12.
   7. (G) Block 7. Enter total amount requested in this Capital Improvement and Maintenance Budget for this item.
   8. (H) Block 8. Leave blank.
   9. (I) Block 9. The amount entered will be the increase or decrease in the operating budget as a result of the work on this item. The amount indicated will be for the first full year following completion of the work on this item. The amount of this entry must correspond with the total amount in Block 18 of Form 12.
   10. (J) Block 10. Enter the fiscal year and amount of anticipated future requests that will be necessary to complete the item. This is particularly applicable where the item in the current request is for acquisition and/or planning. If specific amounts are not yet determined for a specific fiscal year or years, enter N/A under fiscal year and enter estimated total future costs based on current pricing.

2. (4) Form 13. Form 13 outlines the long range plan for proposed construction or maintenance/repair items to be included in budget requests for the five (5)-year period following the immediate program. The Form 13 must identify all known requirements. While unforeseen requirements may require adjustments, the known requirements must be listed by priority within each fiscal year. Form 13 serves as a planning and programming document for subsequent budget consideration by the department/agency and by the administration. Data to be provided in individual blocks is discussed as follows. Individual blocks that do not apply to a particular item will be marked N/A on the line for that item. An entry will be made in each block for each item to assure that no data is inadvertently omitted.

   1. (A) Block 1. Self-explanatory.
   2. (B) Block 2. Self-explanatory.
   3. (C) Block 3. Enter the LABS number and name for the site and the location. If several site/complexes are included, indicate “various” in Block 3 and include the LABS number and name for the site/complex for each item in Block 6. 1 CSR 30-2
   4. (D) Block 4. Indicate an individual who is knowledgeable and likely to be available for consultation.
   5. (E) Block 5. The fiscal year in which the budget item will be submitted must be indicated. The budget items must be listed by priority within each fiscal year. This is an essential element in planning and establishing statewide programs as well as priorities and funding requirements for the Capital Improvement and Maintenance Program. The entry must reflect a realistic estimate based on the best available information.
   6. (F) Block 6. Indicate the LABS number and name and, when appropriate, the function of the specific facility. When several site/complexes are included on Form 13, indicate the LABS number and name for the site for each item in this block.
   7. (G) Block 7. This entry will be a title which generally describes the work. Additional discussion of scope, if any, must be brief and general. Specific justification will not be indicated unless there is a significant time element involved or an essential relationship to prior or future budget items. Entries will be in priority order within each fiscal year.
   8. (H) Block 8. This entry will consider complete costs including professional/technical services with cost escalation as directed in the annual budget instructions. This item must correspond to entries in Block 10 of Form 11 and Block 13 of Form 12 for related items in the immediate program.
   9. (I) Block 9. This entry will reflect estimated increase or decrease in operations costs for the first full year following completion. This will include costs for furnishings and portable equipment. While these costs may be difficult to project, the entries for FY and amount must be based on the best available information.
   10. (J) Master Plans. When there is a substantive revision in the site/complex master plan, a copy of the revised master plan drawing will be attached to Form 13. The copy of the master plan will be reduced to minimum readable size eight and one-half inches by fourteen inches (8 1/2" x 14") if possible.

3. (5) Budget Submissions. Budget submissions will be called for annually on or before October 1. The Capital Improvement and Maintenance Budget is one portion of the total annual budget submission.

   1. (A) The total annual budget submission, including the Capital Improvement and Maintenance Budget, will be submitted to the director of the budget by the departments/agencies in the number of copies indicated in the annual budget preparation instructions. Requirements for additional information to support or clarify items in the Capital Improvement and Maintenance Budget may be issued with these annual instructions. Such requirements will be supplemental to the requirements of this rule.
   2. (B) The Capital Improvement and Maintenance Budget will be submitted annually in the number of copies called for to the director, Division of Design and Construction, in accordance with the schedule established in the annual budget instructions. Sample completed Forms 11, 12 and 13 may be included in the annual budget instructions for the purpose of amplifying, clarifying or supplementing specific information called for herein.
4. (6) This rule, to the extent practical, will be used to supplement Fiscal Year 1983 Budget Instructions. This rule becomes effective with the budget submissions for Fiscal Year 1984.

AUTHORITY: sections 8.320, 8.360 and 33.220, RSMo 1986.* Original rule filed July 9, 1981, effective Feb. 15, 1982. Emergency amendment filed June 14, 1985, effective July 1, 1985, expired Oct. 29, 1985. Amended: Filed June 14, 1985, effective Aug. 26, 1985. *Original authority: 8.320 and 8.360, RSMo 1958, amended 1965 and 33.220, RSMo 1939, amended 1945, 1971.