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

1. (1) Selection of Designer. Selection of a 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 participate in the selection of designers for projects included in their program. Quality based selections are made by the department/agency capital improvement coordinator/service level managers based upon the criteria in the Architect Contractor Engineer (ACE) database.

   1. (A) Design by Department/Agency. The department/agency may recommend in-house design for those projects within their capability and capacity provided they have licensed engineers or architects to seal the prepared plans and specifications. 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 Facilities Management, Design and Construction. The director shall examine projects remaining after selections for in-house department/agency design. Those projects which are cost prohibitive to be done by consultants or require minor design for which the Division of Facilities Management, 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 the division to provide the greatest possible opportunity for qualified and competent consultants to participate in this program. The director shall maintain a file and ACE database 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 1 CSR 30-3

by each consultant firm and ratings of previous projects completed and evaluated by the division.

1. 1. Service level managers/agency capital

improvement coordinators may make recommendations for selections of consultants for design of projects not selected for in-house design. The selection of consultants will be based on knowledge of, or experience with, these consultants on current or prior projects and performance ratings or new and/or Minority Business Enterprise/Women’s Business Enterprise (MBE/WBE) firms that have a demonstrated competency and interest. Program managers may assist in the selections by making recommendations regarding the need for special expertise or continuity between current and previous or proposed future work.

1. 2. The director, Division of Facilities

Management, Design and Construction, will approve the selected consultants 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. Consideration will be given to pro-

viding opportunities for as many competent consultants as possible. Consultants who have not been retained for recent state projects will be given priority consider ation 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 Facilities Management,

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 construction methods proposed. 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.

1. D. Communications. All official

communication and direction to the consultant shall be issued by the director. This will not limit informal communication or coordination between consultants and department/agencies. The service level managers can make a valuable contribution to understanding requirements and problems for the project. Informal communication and working conferences between the staff and the consultant are essential to successful completion of a project. Knowledgeable personnel 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 responsible 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 communications 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.
   2. (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 administrative 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 or his/her designee. Review, approval and administrative processing shall then be completed within fifteen (15) working days after resolution of these differences.

2. (4) Design Review. Designs and/or studies will be submitted to the director or his/her representative 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 and approval by the Division of Facilities Management, 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 or his/her representative. Comments by the department/agency representative, if any, will be forwarded to the project manager 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 Facilities Management, 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 director.

   1. (A) Pre-Design Conference. A pre-design conference will be scheduled by the project/construction manager with the designer and the representative 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 Design and Construction

can be accomplished within the available funding. When appropriate, the pre-design 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 predesign conference. After that, no changes will be made in the scope or funding of projects without written approval of the director.

1. (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 project/construction manager, may be combined to provide design reviews at fifty percent (50%) and one hundred percent (100%) of design completion.

   1. 1. Schematic. Initial submission

(approximately 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 end user who will occupy or use the completed project. Comments and/or recommendations of the end user will be forwarded simultaneously to the project/construction manager, the Division of Facilities Management, Design and Construction and the department/agency within five (5) working days after receipt by the end user. Comments by the department/agency will also be forwarded to the project/construction manager, Division of Facilities Management, 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’s representative 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 end user who will occupy or use the completed project. Comments and/or recommendations of the end user will be forwarded simultaneously to the project/construction manager, Division of Facilities Management, Design and Construction and the department/agency within five (5) working days. Comments and/or recommendations of the department/agency also shall be forwarded to the Division of Facilities Management, 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’s representative for consideration.

1. 3. Final review. The final review sub-

mission is to contain one hundred percent (100%) of the 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 Facilities Management, Design and Construction. The documents are to be complete, and sealed by appropriate engineering and/or architectural disciplines. A final construction cost 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. The final review documents and a copy of all previous comments and responses generated during the design development submission will be included with the submittal. Comments and/or recommendations of the end user will be forwarded simultaneously to the project/construction manager, Division of Facilities Management, Design and Construction and the department/agency within five (5) working days. Comments and/or recommendations of the department/agency also shall be forwarded to the Division of Facilities Management, Design and Construction.

1. 4. Construction documents. This final

submission shall consist of drawings and specifications and construction cost estimate. The documents are to be complete, sealed by appropriate engineering and/or architectural disciplines, and ready for issuance for bidding. Upon receipt, the construction/project manager shall finalize the Divisions 0 and 1 specification sections of the bidding documents. Chief Engineer/Architect performs an administrative review of the documents and if acceptable signs the documents as appropriate.

1. (D) Codes and Standards. The following are adopted as the codes and standards for work under the Capital Improvement and Maintenance Program. The chief engineer/architect is the authority for code determinations.

   1. 1. International Building Codes

(IBC–current edition);

1. 2. The Americans with Disabilities Act

(ADAAG–current edition);

1. 3. National Electric Code (NEC–current

edition);

1. 4. International Mechanical Code

(IMC–current edition);

1. 5. International Plumbing Code

(IPC–current edition);

1. 6. National Fire Protection Association

(NFPA 101–current edition);

1. 7. American Society of Heating,

Refrigerating and Air-Conditioning Engineers (ASHRAE Standards 90.1 for Energy Efficient Design of New Buildings except Low-Rise Residential Buildings–current edition);

1. 8. American Society of Mechanical

Engineers (ASME–current edition);

1. 9. American National Standards

Institute (ANSI–current edition);

1. 10. American Concrete Institute

(ACI–current edition);

1. 11. Sheet Metal and Air Conditioning

Contractor’s National Association (SMAC- NA–current edition);

1. 12. Boiler and Pressure Vessel Act of the

State of Missouri– (current edition). 1 CSR 30-3

1. (E) If there are significant differences between the local codes and current international codes, the designer shall discuss with the local authority to resolve the issues. If a resolution cannot be reached, the division chief engineer/architect shall be contacted for final ruling.
2. (F) 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 chief engineer/architect. Missouri and its contractors are exempt from paying license, inspection or similar fees for work on state premises.

1. (5) 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 Review and Recommendations. The project/construction manager shall notify the designer and the agency capital improvement coordinator/service level manager of the department/agency concerned of scheduled project bid dates. Immediately following the opening of bids for a project, the project manager may coordinate a review of the bids with the agency capital improvement coordinator/service level 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, 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.
2. (6) 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.

3. (7) Exemptions. There are specific exemptions from requirements of this rule provided by the Missouri Constitution and by the Revised Statutes of Missouri.

   1. (A) Department of 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 Supp. 2007 from provisions of this rule which require coordination with or approval by the commissioner of administration and/or the director of the Division of Facilities Management, Design and Construction for defining projects, determining fund allocation, negotiation or approval of contracts and approval of payments.
4. (8) This rule becomes effective with the appropriation for the applicable fiscal year.

AUTHORITY: sections 8.310 and 8.320, RSMo 2000.* 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. Rescinded and readopted: Filed Nov. 5, 2007, effective June 30, 2008. *Original authority: 8.310, RSMo 1958, amended 1965, 1984, 1987, 1995 and 8.320, RSMo 1958, amended 1965.