PURPOSE: This rule sets forth the procedure for design of Capital Improvement and Maintenance projects.

Editor's Note: The secretary of state has determined that the publication of this rule in its entirety would be unduly cumbersome or expensive. The entire text of the material referenced has been filed with the secretary of state. This material may be found at the Office of the Secretary of State or at the headquarters of the agency and is available to any interested person at a cost established by state law.

1. (1) Selection of Designer. Selection of an agency or consultant firm for design of projects in the Capital Improvement Maintenance Program will be made within seventy-five (75) calendar days after the appropriations are passed and signed. Department/agencies are encouraged to make recommendations for selection of designers for projects included in their program. These recommendations shall be forwarded to the director within seven (7) calendar days after completion of initial coordination.

   1. (A) Design by Department/Agency. The department/agency may recommend in-house design for those projects within their capability and capacity. The director will concur with this recommendation unless there appears to be a substantial question of capability or capacity. The director will be the determining authority for questions of department/agency capacity and/or capability for design of projects.
   2. (B) Design by Division of Design and Construction. The director shall examine projects remaining after selections for in-house department/agency design. Those projects for which the Division of Design and Construction has the capability and capacity may be selected for in-house design by that division.

   3. (C) Design by Consultants. Private consultants will be selected by the director for design of the balance of the projects in the program established by the Capital Improvement and Maintenance Appropriations. It is the policy of Missouri to provide the greatest possible opportunity for qualified and competent consultants to participate in this program. The director shall maintain a file of consultant firms who have expressed interest in the program. This file shall include notations of specific areas of interest, experience or expertise as expressed by each consultant firm.

      1. 1. Department/agencies may make rec-

ommendations for selections of consultants for design of projects not selected for inhouse design. Recommendation of consultants will be based on knowledge of, or experience with, these consultants on current or prior projects. Recommendations shall address, when appropriate, the need for special expertise or continuity between current and previous or proposed future work. The recommendations also shall indicate projects for which the department/agency cannot provide knowledgeable recommendations.

1. 2. The director, Division of Design and

Construction, acting as consultant for department/agencies, will select consultants for projects in the Capital Improvement and Maintenance Program after giving careful consideration to recommendations by the client department/agencies. Selection of con- 1 CSR 30-3

sultant firms will be made after full consideration of professional and technical competence, as well as experience, special expertise and capacity necessary for studies and/or design of proposed projects.

1. A. Primary consideration will be

given to providing opportunities for as many competent consultants as possible. Consultants who have not been retained for recent state projects will be given priority consideration in selections for new projects.

1. B. In those projects or programs

where continuity is a significant factor, consideration will be given to continued retention of a consultant already engaged for existing projects or programs.

1. (2) Consultant Firm Design.

   1. (A) Responsibilities.

      1. 1. Division of Design and Construction.

         1. A. Contracts. The director will nego-

tiate contracts for consultant studies and/or design. These contracts will be negotiated on the basis of a reasonable fee considering scope, difficulty, research, disciplines involved and proposals by the selected consultant. The director shall reserve the right to approve additional consultants retained by the selected consultant for work on the project or study.

1. B. Supervision and approval of design

or study. The director shall be responsible for periodic review and approval of studies and/or designs for projects in the program. Reviews shall include examination of technical adequacy as well as economy of materials and methods. In addition, reviews shall examine estimated costs to assure that projects remain within funding authorizations. Those reviews shall be coordinated with the department/agency concerned.

1. C. Approval of payments. The direc-

tor shall be responsible for review and approval of consultants’ requests for payment. Approval of payment to consultants will be based on review and approval of work completed to the date of the payment request. When the director is authorized to approve payments for a department/agency, copies of each payment will be forwarded to the appropriate department/agency.

1. D. Communications. All official

communication and direction to the consultant shall be issued by the director or his/her designee. This will not limit informal communication or coordination between consultants and department/agencies. All conflicts between the consultant and a department/agency shall be resolved by decision of the director.

1. 2. Department/agency. The program

manager shall be responsible for internal department/agency coordination and approval within guidance established by the policies of the department/agency.

1. A. Encumbrance of design funding.

When the contract for design is signed by the department/agency, it will be returned to the director along with the encumbrance for the amount of the contract. The department/agency also may provide authorization for the director to approve expenditures within the amount of the encumbrance.

1. B. Communication. Official commu-

nication concerning projects and studies will be between the department/agency and the Division of Design and Construction. The department/agency and particularly the using element can make a valuable contribution to understanding requirements and problems for the project. Informal communication and working conferences between the department/agency/site personnel and the consultant are essential to successful completion of a project. Knowledgeable personnel from the department/agency, site/complex or both shall be made available for consultations and site visits by the consultant. The consultant, by prior arrangement, shall have access to the project site at reasonable times.

1. 3. Consultant. The consultant is respon-

sible for establishing the concept and planning for the project, as well as providing completed designs, studies or both as indicated in consultant contract. For project design, the consultant is responsible for providing plans and specifications to fully describe the equipment, materials and work for completion of the project in accordance with the criteria, funding and scope provided by the director. Periodically, as scheduled in the contract, the consultant will submit work for review and approval. The submissions will include estimated costs for all project work. When estimates for the complete project work exceed allocated funding, the consultant immediately shall notify the director, recommending adjustments and requesting further instructions before proceeding with additional design and/or study. Acceptance of the contract by the consultant includes acceptance of the adequacy of allocated funding for the work and the responsibility for redesign, if necessary, to establish a scope of project work within allocated funding.

1. A. Communication. Official commu-

nications for all designs and/or studies will be with the director. This will include all submissions for approval or payment, recommendations for modifications of scope or other guidance and resolution of any differences or problems encountered. Informal and working conferences with department/agency and site/complex personnel are essential and encouraged. Records and conclusions reached at those conferences will be forwarded as recommendations for the director’s review and approval.

1. B. Payments. Payment method and/or

periods will be as stipulated in the consultant contract. Payment will be made after review and approval of work and/or demonstrated progress. After receipt by the director, review, approval and administration processing of payment requests in the Office of Administration shall be completed within fifteen (15) working days. Where there appear to be differences between the payment request and the demonstrated progress, those differences shall be resolved by decision of the director. Review, approval and administrative processing shall then be completed within fifteen (15) working days after resolution of these differences.

1. (3) Design Review. Designs and/or studies will be submitted to the director for review and approval. The reviews will be commensurate with the scope, complexity and cost of the work. Response to the designer shall be completed within ten (10) working days after receipt by the project manager in the Division of Design and Construction. One (1) complete copy of each submission will be forwarded by the designer to the department/agency simultaneously with the submission to the director. Comments by the department/agency, if any, will be forwarded to the Division of Design and Construction within five (5) working days after receipt of the design or study by the department/agency. Department/agency comments, along with comments of the Division of Design and Construction, will be used as the basis for response to the designer. Adjustment of review period for large projects, projects requiring coordination with other agencies or for unusual or complex designs, may be granted by the commissioner of administration or his/her designee.

   1. (A) Predesign Conference. A predesign conference will be scheduled by the project manager with the designer and the program manager of the department/agency concerned. The project definitions established in the initial coordination will be reviewed to confirm or adjust project criteria, scope, cost, scheduling and funding allocation. Initial fund distribution for the cost elements of the project will also be reviewed to confirm or adjust this fund distribution. Limitations and/or requirements expressed in the appropriation language shall be carefully observed to assure that the project scope, costs and funding remain within the authorization of the appropriations. The designer must agree that the scope of work can be accomplished within the available funding. When appropriate, the predesign conference will be held at the project site to assure that all parties are familiar with the conditions under which the work will proceed and that accommodations necessary to support the work are available. The design schedule begins with completion of the pre-design conference. After that, no changes will be made in the scope or funding of projects without written approval of the director.

   2. (B) Design Review Submissions. Normally, a minimum of three (3) design review submissions shall be made. These submissions will be required at approximately twenty percent (20%), fifty percent (50%) and one hundred percent (100%) of design completion to provide for timely review of technical and economic considerations in the design. For minor projects, the first two (2) submissions, with the approval of the director, may be combined to provide design reviews at fifty percent (50%) and one hundred percent (100%) of design completion.

      1. 1. Schematic. Initial submission (ap-

proximately twenty percent (20%)) shall provide drawings and an outline of specifications, in sufficient detail to demonstrate the proposed concept for arrangement, as well as the criteria and general parameters used for architectural, electrical, mechanical and structural development. Proposed innovative methods or development shall be presented in sufficient detail to permit a review in depth. An estimate shall be submitted in sufficient detail to demonstrate the costs of the various elements of work as well as the total cost for completion of all project work. A copy of all items in the schematic submission will be furnished to the functional element that will occupy or use the completed project. Comments and/or recommendations of this functional element will be forwarded simultaneously to the Division of Design and Construction and the department/agency within five (5) working days after receipt by the functional element. Comments by the department/agency will also be forwarded to the Division of Design and Construction. The project scope and cost estimate shall be reviewed carefully to assure compliance with requirements and/or limitations of appropriation language. Approval by the director of schematic submission will indicate acceptance of or required revisions to, scope, criteria, design parameters and cost estimate.

1. 2. Design development. The second

submission (approximately fifty percent (50%)) shall provide drawings and outline specifications to indicate general architectural, electrical, mechanical and structural development of the approved concept. The development shall clearly demonstrate sizes, capacities and arrangement. Sufficient details shall be included to define major elements of architectural and structural work and to define sizing, location, routing and application of mechanical and electrical equipment and/or work. An estimate shall be submitted in sufficient detail to demonstrate costs of the various elements of work as well as the total cost for completion of all project work. The detail shall indicate costs for major items of equipment as well as a breakdown of labor and material costs for each trade with significant work on the project. When the first two (2) design review submissions are combined, a copy of all items in the design development submission will be forwarded to the functional element that will occupy or use the completed project. Comments and/or recommendations of this functional element will be forwarded simultaneously to the Division of Design and Construction and the department/agency within five (5) working days after receipt by the functional element. Comments and/or recommendations of the department/agency also shall be forwarded to the Division of Design and Construction. When a project site is in a city or county, which has adopted codes for regulation of work involved in a project, the designer will furnish for information, one (1) courtesy copy of the design development drawings and specifications to the code review authority of that city or county. The transmittal shall note that the plans and specifications are furnished as a courtesy for information and that the code review authority, if it desires, may submit comments to the director for consideration.

1. 3. Construction documents. The final

review submission will be completed drawings and specifications, including the documentation required to solicit bids. Drawings and specifications will be submitted in accordance with the latest issue of State of Missouri’s Standard Specification Format as published by the Division of Design and Construction.

1. (C) Consultations. The designer of a project retains an interest in the project even after completion of the designer’s contract obligation. The designer shall provide followon consultations for the purpose of clarifying design concepts or interpretations during the construction phase of a project and for initial coordination of a succeeding project at the same facility. Those consultations will be limited to necessary clarifications, recommendations or both concerning the concept, development and utilization of the designer’s project.

2. (D) Codes and Standards. The following are adopted as the codes and standards for work under the Capital Improvement and Maintenance Program (The director is the authority for determining exceptions or resolving conflicts.):

   1. 1. BOCA* Basic Building Code (current

edition);

1. 2. BOCA Basic Mechanical Code (cur-

rent edition);

1. 3. BOCA Basic Plumbing Code (current

edition);

1. 4. NFPA** National Electric Code (cur-

rent edition);

1. 5. NFPA Life Safety Code (current edi-

tion); and

1. 6. Current codes adopted by a Missouri

city and/or county in which a project site is located. These codes are applicable to the extent that they are not in conflict with code determinations by the director. Missouri and its contractors are exempt from paying license, inspection or similar fees for work on state premises. *Building Officials and Code Administrators, International **National Fire Protection Association

1. (4) Bidding.

   1. (A) Prospective Bidders. Consultants retained for design work under the program shall assist the director in establishing a list of prospective bidders for projects they design. If necessary, consultants shall contact prospective bidders to determine and/or solicit interest in bidding for the work. The department/agency shall provide, within its capability, similar assistance.
   2. (B) Bid Tabulation. The designer shall furnish bid tabulation forms specifically prepared for each project. This tabulation shall be approved by the director or his/her designee.
   3. (C) Bid Review and Recommendations. The project manager shall notify the designer and the program manager of the department/agency concerned of scheduled project bid dates. Immediately following the opening of bids for a project, the project manager shall coordinate a review of the bids with the program manager and, when appropriate, with the designer. If the bids for the project are within available funding and there is agreement on the low responsive bidder, the department/agency shall forward its written recommendation for award to the director along with the encumbrance for the amount of the recommended award within five (5) working days. If project bids are not within available funding or agreement on the low responsive bidder is not reached, the department/agency, within five (5) working days, 1 CSR 30-3

shall forward to the director its written recommendation for subsequent action on the project. When requested by the director, the designer also shall forward, within five (5) working days, a recommendation on the bids received and/or subsequent action on the project.

1. (5) Exceptions. Exceptions to the requirements of this rule may be granted by the commissioner of administration or his/her designee upon presentation of satisfactory justification for those exceptions.

2. (6) Exemptions. There are specific exemptions from requirements of this rule provided by the Missouri Constitution and by statute.

   1. (A) Department of Highways and Transportation projects and expenditures for highway construction and highway maintenance are exempted from the provisions of this rule by Article IV, Section 29, Missouri Constitution of 1945.
   2. (B) Institutions of higher learning, community junior colleges and the Department of Conservation are exempted by section 8.310, RSMo from provisions of this rule which require coordination with or approval by the commissioner of administration and/or Division of Design and Construction for defining projects, determining fund allocation, negotiation or approval of contracts and approval of payments.
3. (7) This rule becomes effective with appropriations for Fiscal Year 1983.

AUTHORITY: sections 8.310, RSMo Supp. 1987 and 8.320, 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: 8.310, RSMo 1958, amended 1965, 1984, 1987 and 8.320, RSMo 1958, amended 1965.