1 CSR — Office of Administration

Division 10 Commissioner of Administration

Chapter 1 Organization

1 CSR 10-1.010 Organization, Methods of Operation, and Requests for Information {#sec-1-csr-10-1.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-1.010}

PURPOSE: This regulation provides the public with a description of the Office of Administration’s operations and the methods and procedures where the public may obtain information. This rule is adopted to fulfill the statutory requirement of section 536.023(3), RSMo.

(1) Appointed by the governor and confirmed by the senate, the commissioner of administration supervises the state’s service and administrative control agency and serves as a policy advisor to the governor. Whenever provisions of the statutes grant powers, impose duties, or make other reference to the comptroller, the director of Budget, the director of the Division of Planning and Construction, the state purchasing agent, or the director of Administrative Services, they are construed as referring to the commissioner of administration. The divisions of accounting; budget and planning; facilities management, design and construction; general services; information technology services; personnel; and purchasing are within the Office of Administration. Additionally, the Office of Administration provides varying levels of support and/or oversight to a number of boards and commissions pursuant to statute. Requests for information can be submitted to: Office of Administration, PO Box 809, Jefferson City, MO 65102-0809.

(2) The Division of Accounting provides central accounting and central payroll system services for state government, producing checks and electronic payments for state vendors and state employees. The division publishes annual financial reports, administers bond sales for the Board of Fund Commissioners, Board of Public Buildings, and Board of Unemployment Fund Financing, and administers the Social Security coverage for all employees of the state and its political subdivisions.

(3) The Division of Budget and Planning analyzes budget policy issues and provides information to the Commissioner of Administration, the governor’s office, the General Assembly, Missouri’s congressional delegation and state, local, and federal agencies. The division prepares the budget instructions, reviews agency budget requests, prepares the annual executive budget, analyzes economic and demographic conditions, forecasts state revenues, and conducts technical policy and program analyses. To assist in state government management, the division controls appropriation allotments, manages the automated state budget system, prepares legislative fiscal notes, reviews legislation, tracks agency performance measures, analyzes and develops policy options, and reviews federal issues and their impact on Missouri. The division coordinates preparations for, and assistance during, elected-official transitions. The division compiles population estimates and projections, provides technical assistance during decennial reapportionment, and is Missouri’s liaison to the U.S.

Bureau of the Census.

(4) The Division of Facilities Management, Design and Construction provides asset management services to assist state entities in meeting their facility needs for the benefit of the public. The mission is to provide a superior workplace environment for state occupants and their visitors and protect the state’s investments in property assets. The goal of the division is to provide agencies with the information and resources that will support their development of highperformance workplaces—workplaces that will meet agency business needs and can be readily adapted to changing workplace practices and strategies.

(5) The Division of General Services manages the Missouri State Employees Charitable Campaign and provides the following essential support services to state departments:

(A) Central Mail Services advises agencies on efficient mailing practices and provides comprehensive mailing services to most state agencies operating within the Jefferson City area;

(B) Fleet Management establishes statewide policies governing state vehicle operations and management, coordinates a centralized fleet information system, operates a consolidated carpool serving agencies in the Jefferson City area, and serves as a resource for fleet management issues;

(C) Risk Management administers the Legal Expense Fund and the workers’ compensation program for state employees, purchases insurance as required, and advises state agencies on risk management issues;

(D) State Printing provides comprehensive copying services including design, printing, finishing, and quick copy services;

(E) State Recycling coordinates statewide recycling efforts and serves as a resource for recycling issues;

(F) Surplus Property transfers and disposes of state surplus property and distributes excess federal property to eligible entities; and (G) Vehicle Maintenance operates a centralized maintenance facility to provide mechanical repairs and body-shop services for state vehicles based in the mid-Missouri area.

(6) The Information Technology Services Division provides technology and communication services and solutions to the consolidated state’s agencies so they can efficiently and effectively serve the citizens of Missouri. It offers centralized staff and resources in a single unified entity and supports fourteen (14) executive branch departments. The organizational model allows for enterprise standards and guidance in the common areas of security, networking, data management, server administration, end user support, technical architecture, and application management.

(7) The Division of Personnel oversees personnel policies that impact the State of Missouri workforce including the Uniform Classification and Pay System (UCP). In collaboration with human resources professionals from each of the executive departments, the division develops and implements initiatives designed to benefit the state team member life-cycles, including talent acquisition, professional development, awards and recognition, and leadership and skill-based training. The division also performs the following functions:

(A) Ensures employees are assigned to appropriate job classes and develops and administers position classifications for agencies covered by the UCP;

(B) Provides pay, leave, and reporting information on the UCP pay plan;

(C) Interprets policies and regulations on pay, leave, and hours of work;

(D) Provides workforce reports and assistance with the human resources and payroll system;

(E) Ensures personnel transactions are in compliance with state personnel law;

(F) Administers statewide recognition programs and (6/30/23) John R. Ashcroft OF ADMINISTRATION 1 CSR 10-1—OFFICE OF ADMINISTRATION coordinates the employee discount program; and (G) Provides human resource support for the Office of Administration.

(8) The Division of Purchasing is responsible for the procurement of all state-required supplies, materials, equipment, and professional or general services, except for those agencies exempted by law. The division executes procurement functions in accordance with applicable statutes by maximizing competition in the procurement process, conducting evaluations and negotiations as appropriate, and awarding contracts to the “lowest and best” vendors.

Additionally, the division is responsible for cooperative contracts, emergency procurement authorizations, single feasible source contracts, special delegations of authority, and other procurement authorizations as permitted by law.

(9) In addition to the divisions discussed above, various programs and offices are housed within the Office of Administration. These include but are not limited to the Office of Equal Opportunity, the Prescription Drug Monitoring Program, and the Office of Child Advocate.

History

• AUTHORITY: section 536.023, RSMo 2016. Original rule filed Dec. 29, 1975, effective Jan. 8, 1976. Amended: Filed Jan. 6, 2023, effective July 30, 2023. Original authority: 536.023, RSMo 1975, amended 1976, 1997, 2004.

Chapter 2 Privacy of Computer-Accessible, Confidential Personal Information

1 CSR 10-2.010 Definitions {#sec-1-csr-10-2.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-2.010}

PURPOSE: These rules defines terms used in the rules of the Office of Administration.

(1) Individual is any man, woman or child who is a Missouri citizen.

(2) Computer-accessible is the ability to access and process information stored on any computer system media.

(3) Personal information is any information that by some specific means of identification (including but not limited to name, address or Social Security number) makes it possible to identify with reasonable certainty the individual to whom such information pertains.

(4) Confidential personal information is any personal information that is deemed to be confidential based upon the agency's interpretation of a specific state statute.

(5) Agency is any state organization, department, college or university or elected official that is a part of the executive branch of state government and that is the owner of computer-accessible, confidential personal information.

(6) Owner of computer-accessible, confidential personal information is the agency that originally stores the information on any computer system media.

1988. Original rule filed Dec. 12, 1978, effective April 12, 1979. Amended: Filed April 19, 1989, effective July 1, 1989.

History

• AUTHORITY: section 37.005.7, RSMo Supp.

1 CSR 10-2.020 Privacy of Computer-accessible, Confidential Personal Information {#sec-1-csr-10-2.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-2.020}

PURPOSE: The rule in this chapter is being issued to help protect the right to privacy of individuals on computer-accessible confidential personal information to the maximum extent possible.

(1) Agencies are to develop a policy and procedure to protect computer-accessible, confidential personal information.

(2) Agencies shall maintain a current description of computer-accessible, confidential personal information, a list of agencies that have access to the information and the reason the information is kept. The collecting agency shall also identify the statute that is the basis to classify the personal information as confidential.

(3) A written agreement to protect the right to privacy of computer-accessible, confidential personal information must be signed before that information is provided by an agency to any other agency or private entity acting on behalf of an agency.

(4) The head of each agency or the agency's designated representative shall annually certify that these rules are implemented.

(5) The policy and procedure from section (1); information description and agency access from section (2); the written agreements from section (3); and the certification from section (4) of this rule shall be available for review by the Office of Administration.

(6) No existing statute or common law shall be limited or reduced by these rules.

1988. Original rule filed Dec. 12, 1978, effective April 12, 1979. Amended: Filed April 19, 1989, effective July 1, 1989.

MATTBLUNT(3/31/01)

History

• AUTHORITY: section 37.005.7, RSMo Supp.

Chapter 3 Preapproval of Claims and Accounts

1 CSR 10-3.010 Preapproval of Claims/Accounts and Direct Deposit: {#sec-1-csr-10-3.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-3.010}

1 CSR 10-3.010 Preapproval of Claims/Accounts and Direct Deposit: Definitions/Examples {#sec-1-csr-10-3.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-3.010}

PURPOSE: The commissioner of administration has the duty pursuant to section 33.030(3), RSMo, to preapprove claims and accounts and to certify them as being regular and correct to the state treasurer for payment. This rule defines certain terms and describes situations related to this responsibility. In addition, this

rule describes the requirements established to allow vendors on the Statewide Vendor File to participate in the direct deposit of payments and payroll deductions from employee compensation for participation in voluntary retirement plans, group hospital service plans, group life insurance plans, medical service plans, labor unions, employee associations, and credit unions.

(1) The following are types of allowable claims:

(A) Claims for goods and services having a clear business relationship to the agency work program and submitted for payment after receipt of goods or services. The claim is to be documented with an invoice billed to the state on the vendor’s descriptive business invoice form. Invoices are to be from vendors typically engaged in a business practice of providing such goods or services. Reimbursements may be made to employees for minor purchases made on behalf of the state when accompanied by descriptive receipts;

(B) Claims for expenditures made pursuant to programmatic appropriations and other statutory authority;

(C) Claims for the payment of reasonable and necessary employee travel expenses actually incurred on behalf of the state and in accordance with 1 CSR 10-11.010, State of Missouri Travel Regulations; and (D) Claims for employee course tuitions/fees and related educational supplies that are either reimbursed or direct billed.

Course expenses may be reimbursed after receipt of evidence of course completion and proof of payment. Course expenses may be paid in advance of course completion only when documentation indicates the agency requested the employee take the course.

(2) The following are types of unallowable claims unless special circumstances substantially justify the granting of an exception to this rule:

(A) Claims for the purchase of goods or services which are not apparently or cannot be substantially justified as directly related to the transaction of state business. For example, employee parties, employee gifts, holiday cards and decorations, personal club memberships, memorial flowers, political and charitable contributions, traffic tickets, and uniforms for agency sports, trivia, and similar teams. An exception is made for the purchase of retirement, service, and other recognition award gifts which may be certified as regular claims if reasonable in relation to the circumstances of the award and primarily represent a token of recognition and not a reward with a cash equivalent or substantial monetary value.

Claims for the expenses of receptions for employee recognition events should be at a nominal price per person attending.

Holiday decorations are allowed for commonly accessed public areas such as reception and waiting rooms;

(B) Claims for the repair of damages or loss of employee’s personally owned property, such as clothing and privately owned vehicles, except when such claims have been made against the state through the Office of Administration’s Risk Management Unit and approved for payment from the Legal Expense Fund;

(C) Claims with invoices prepared by state agencies rather than vendors. An exception would be for those types of payments not customarily initiated by a vendor, such as lottery prizes, uniform allowances, inter-agency billings, some refunds, and some program payments. The Missouri Lottery may write prize payment checks after the Lottery Commission submits the procedures for writing the prize payment checks to the commissioner of administration in accordance with section 313.321, RSMo;

(D) Claims submitted to pay employees of the state or others for goods or services they have sold to the state if it is evident that they are not generally engaged in the business practice of selling such goods or services. For example, an employee or employee family member or friend rents or sells personally owned property to a state agency;

(E) Claims with invoices which are not invoiced to the state department that is submitting the claim;

(F) Claims for expenditures to reimburse accounts held outside of the state treasury or not authorized by law;

(G) Claims that do not sufficiently describe the products or services purchased or the date purchased. This would include any unsupported charges or unsupported past due amounts;

(H) Programmatic claim documentation that does not sufficiently relate the expenditure to the program or does not appear to adequately support/control the payment;

(I) Claims to make payments on credit card accounts not authorized through the Office of Administration;

(J) Claims submitted for payment before the goods or services have been received. Exceptions would be for those types of items or services for which payment in advance is the normal business practice, such as subscriptions, registrations, memberships, insurance, postage, maintenance agreements, and building/parking rentals. Advance payment for travel expenses, such as air fare, conference fees, and lodging, may be allowed if in accordance with 1 CSR 10-11.010, State of Missouri Travel Regulations. Advance payment is also allowed when prepayment is a condition of the sale or is in accordance with contract terms. Ensure the invoice or other claim documentation clearly states this requirement if advance payment is made;

(K) Claims to establish imprest funds not authorized by law or to increase established imprest funds over the maximum amount allowed by law;

(L) Claims to reimburse imprest funds for expenditures that are not incidental in nature or are not for other specific uses authorized by law. Incidental expenditures are defined as payments that are occasional, minor, and immediately necessary for the proper operation of the facility. Travel expenses, including registration fees, are not to be paid from imprest funds. Imprest funds are not intended to be used as a means to circumvent state purchasing procedures; and (M) Claims for late payment penalties not submitted in accordance with the accounting procedures established by the Office of Administration, Division of Accounting. It is the submitting agencies’ responsibility to verify that late payment penalties are calculated correctly pursuant to section 34.055, RSMo. The Office of Administration, Division of Accounting, may ask for documentation to support that the agency has recalculated and verified the correct late payment penalty amount. Ensure a copy of the invoice that was paid late is attached to the late payment penalty invoice. Late payment penalties should be paid from funds appropriated in the fiscal (2/29/24) John R. Ashcroft OF ADMINISTRATION 1 CSR 10-3—OFFICE OF ADMINISTRATION year in which the goods or services were delivered. If that fiscal year has lapsed, use current fiscal year funds.

(3) The following are unallowable claims for the purpose of the appropriation charged:

(A) When the description of the claim indicates that the expenditure is not within the purpose of the appropriation being charged. For allowable claims, the following appropriation type definitions apply:

1. Expense and equipment—all expenditures for operating services, supplies, rentals, professional and technical services, other charges necessary to the operation of an agency, acquisition of equipment, and major repairs that extend the useful life of the equipment.

A. Expense and equipment may also include expenditures for unanticipated maintenance, repairs or minor modifications, or unanticipated capital improvements to a stateowned or leased facility or land that are limited to up to twenty thousand dollars ($20,000) per project. Such expenditures must be approved in advance by the director of the Division of Facilities Management, Design and Construction and the director of the Division of Accounting. If a qualifying project under this section is necessary for the health and safety of the public and/or state employees and exceeds the twenty thousand dollar ($20,000) threshold established above, the Commissioner of Administration may approve the use of an expense and equipment appropriation under this section up to thirty thousand dollars ($30,000) per project. An expense and equipment appropriation may not be used for any maintenance, repair, modification, or capital improvement of a facility for which an appropriation was requested and not approved by the General Assembly.

B. Expense and equipment appropriations do not include employee’s wage/salaries, land acquisition, building acquisition, building construction, building demolition, and capital improvements other than those allowed above.

C. As used herein, the following definitions apply:

(I) Maintenance—preventative, routine, cyclical, and/ or emergency unscheduled work necessary to keep in good working condition any facility, land, or equipment;

(II) Repair—any work necessary to restore to good working condition any facility, land, or equipment; and (III) Minor modification—any alteration or improvement to a facility, land, or equipment that does not increase its capacity or operating efficiency or enhance its function;

2. Capital improvements—substantial expenditures for the purchase of capital assets (land and buildings) and the extensive repairs and improvements to a capital asset which increases its capacity or operating efficiency by extending its useful life and/or enhancing its function;

3. Personal services—all expenditures for salaries, wages, and related employee benefits; and 4. Program/specific—expenses for a group of activities or services performed for an identifiable group to serve a specific

purpose. This appropriation type allows any type of expenditure necessary to fulfill the intent of the program as defined in the corresponding house bill. Program appropriations may be broadly constructed or contain restrictive language for specific purposes;

(B) When the invoice order date or service period indicates that the expenditure is being applied to an incorrect fiscal year appropriation. For the purpose of certification for correct fiscal year, the invoice should be dated within the fiscal year being charged. If the invoice is for services, it should indicate that the services were provided in a time frame within the fiscal year being charged. Unless exempted in the following paragraphs, claims for services provided in the next fiscal year cannot be charged to the prior year appropriation:

1. Exception: Invoices for subscriptions, membership dues, post office box rentals, maintenance agreements, and premium payments for insurance coverage, may be paid from the current fiscal year even though the terms may overlap into the next fiscal year;

2. Exception: A prior year claim may be paid from a current fiscal year appropriation if the vendor presented the claim to the state agency within two (2) years after the claim began to accrue (section 33.120, RSMo);

3. Exception: A service invoice may be paid from the current fiscal year for services to be provided in the next fiscal year if the vendor is requiring immediate payment in order to grant a cost savings discount or if it is in accordance with contract terms. An example would be an invoice for a seminar to be held in the next fiscal year for which the vendor is giving an early prepayment discount. Registration fees may be paid from the current fiscal year for events to be held in the next fiscal year when time is insufficient to process the payment; and 4. Exception: A service invoice for services spanning two (2) fiscal years may be prorated between the two (2) fiscal years appropriations or paid entirely from the most recent fiscal year’s appropriation; and (C) When a claim is submitted against an appropriation for which there is an insufficient appropriation balance.

(4) The following are other types of unallowable claims pending resolution of the incorrect condition when— (A) The vendor name on the invoice/document does not agree with the vendor name entered on the warrant request;

(B) The amount to be paid does not agree with the amount on the vendor invoice/document;

(C) The object codes used do not relate to the descriptions of the goods or services purchased pursuant to the object code descriptions published in the Chart of Accounts Manual issued by the Office of Administration, Division of Accounting;

(D) Travel expense claims not in compliance with the requirements of 1 CSR 10-11.010, State of Missouri Travel Regulations; and (E) Claims for expenditures are not documented with one (1) of the delivery receiving report methods described in the Financial Policies and Procedures Manual issued by the Office of Administration, Division of Accounting. Exceptions would be for those types of items or services for which advance payment is the normal business practice or is a condition of the sale by the vendor or is in accordance with contract terms.

(5) The following are the requirements for vendors who desire to have claims paid through direct deposit:

(A) Vendors on the Statewide Vendor File desiring to participate in the state’s direct deposit program have two (2) options for enrolling. One (1) option is to complete a vendor Automated Clearing House/Electronic Funds Transfer (ACH/ EFT) Application. The application is available on the web at www.oa.mo.gov/acct under Forms. The form is also available by contacting the Office of Administration, Division of Accounting, at (573) 751-2971. The second option is to register on the State of Missouri’s eProcurement system and include ACH/EFT information when completing the registration. The completed ACH/EFT application or registration authorizes the Office of Administration to deposit (credit) a vendor’s designated checking or savings account for the payment amount.

It also authorizes a vendor’s account to be debited only when an error has occurred resulting in an erroneous payment to the vendor;

(B) Direct deposit of vendor payments will begin following the submission of a properly completed application form to the Office of Administration, Division of Accounting, or an approved registration in the eProcurement system, the successful processing of a test transaction through the banking system and the election by a state agency to make payment to a participating vendor using the direct deposit option; and (C) The state will conduct vendor direct deposit through the automated clearing house system, utilizing an originating depository financial institution. The rules of the National Automated Clearing House Association and its member local Automated Clearing House Associations apply, as limited or modified by law.

(6) The following are the requirements established to allow payroll deductions from employee compensation for authorized voluntary products:

(A) Definitions. The following terms and meanings apply to vendor payroll deductions:

1. Vendor—any private insurance carrier or company, a labor union, an employee association, or credit union;

2. Labor union—an exclusive state employee bargaining representative established in accordance with sections 105.500- 105.530, RSMo;

3. Employee association—an organized group of state employees that has a written document, such as bylaws, which govern its activity, and that is not a private insurance carrier or company or credit union;

4. Credit union—a financial institution located in Missouri, which has a state charter and is insured by an agency of the United States government or credit union share guarantee corporation approved by the director of the Missouri Division of Credit Unions; and 5. Dues—a fee or payment owed by an employee to a labor organization as a result of and relating to employment in a bargaining unit covered by an existing labor agreement or a payment owed by an employee for membership in an employee association;

(B) The vendor providing a product or service is responsible for fulfilling all prescribed standards with applicable federal and state regulatory agencies;

(C) The proposed payroll deductions are to be for programs or services which do not duplicate existing programs and services provided by statutorily authorized entities (for example, Missouri State Employees’ Retirement System, Missouri State Highway Employees’ Retirement System, and State of Missouri Deferred Compensation Commission);

(D) The proposed service or program are to be offered on a consistent and continuing basis and be reasonably anticipated to be available for a period of five (5) or more years;

(E) Requests for payroll deductions by the vendor are to be submitted to the Office of Administration in writing on official company or association stationery plus all relevant product information and marketing materials that fully describe the proposed product;

(F) Within a period of ninety (90) days, the vendor applicant for payroll deduction authority is responsible for obtaining a minimum of one hundred (100) state employee-signed applications for the proposed product, employee association, or credit union membership. The ninety- (90-) day period for obtaining one hundred (100) employee signatures will commence on the date designated by the Office of Administration acknowledgment to a payroll deduction request in accordance with subsection (6)(E);

(G) The commissioner of administration will terminate voluntary payroll deduction authority for any product that does not maintain at least one hundred (100) active employee deductions;

(H) Solicitation by a vendor of signed employee applications or memberships are not to be performed in state facilities at any time with the exception of vendor products that are eligible under Section 125 of Title 26 of the United States Code and compliant with 1 CSR 10-15.010 and section 33.103, RSMo;

(I) Labor unions do not need to comply with subsections (6)

(E)–(G) to become a vendor and collect dues, but are to be recognized as an exclusive bargaining representative by separate resolution agreement with the commissioner of administration in accordance with sections 36.510 and 105.500–105.525, RSMo;

(J) Vendors need to maintain a current primary point of contact with the Office of Administration;

(K) The commissioner of administration may reduce, suspend, or discontinue an employee’s voluntary deduction when the net pay, after all mandatory deductions prescribed by law, is insufficient to meet wage garnishments, sequestrations, or levies prescribed by law or court order or when the vendor fails to fulfill the applicable standards prescribed by law or applicable federal and state regulatory agencies; and (L) Send requests for payroll deduction authority to— Commissioner of Administration, Office of Administration, PO Box 809, Jefferson City, MO 65102.

Filed Oct. 3, 2018, effective May 30, 2019. Emergency amendment filed Feb. 11, 2020, effective Feb. 27, 2020, expired Aug. 24, 2020.

Amended: Filed Feb. 11, 2020, effective Aug. 30, 2020. Amended:

Filed Nov. 29, 2022, effective May 30, 2023. Amended: Filed Sept. 1, 2023, effective March 30, 2024. *Original authority: 33.030, RSMo 1945, amended 1959; 33.103, RSMo 1951, amended 1969, 1975, 1977, 1987, 1989, 1990, 1993, 1997, 1998, 1999, 2004, 2005, 2008; and 370.395, RSMo 1982.

History

• AUTHORITY: sections 33.030(3), 33.103, and 370.395, RSMo 2016. Original rule filed Aug. 15, 1994, effective Jan. 29, 1995. Amended:

1 CSR 10-3.020 Deduction of Amounts Owed by Employees to the State {#sec-1-csr-10-3.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-3.020}

PURPOSE: Section 33.103.2(4), RSMo provides that the Commissioner may deduct from a state employee’s compensation warrant “any amount determined to be owed by the employee to the state in accordance with guidelines established by the commissioner of administration which shall include notice to the employee and an appeal process.” This rule sets forth the guidelines by which amounts owed by employees to the state may be deducted from compensation warrants.

(1) Definitions.

(A) All terms used in this rule have the same meanings as in

Chapter 33, RSMo, unless otherwise indicated.

(B) The term “decision” shall have the same meaning as in

section 536.010, RSMo.

(C) The term “Division of Accounting” shall mean the Division of Accounting of the Office of Administration. Contact information for the Division of Accounting may be found on the Office of Administration’s website, https://oa.mo.gov.

(D) The term “employee” shall include both current state employees and former state employees.

(2/29/24) John R. Ashcroft OF ADMINISTRATION 1 CSR 10-3—OFFICE OF ADMINISTRATION (2) Deduction Procedure.

(A) Deductions Initiated by a State Agency.

1. State Agency Responsibilities. A state agency seeking to recoup an amount owed by an employee to the state from the employee’s compensation warrant must comply with the following procedure before the Division of Accounting will effectuate a deduction from an employee’s compensation warrant pursuant to section 33.103.2(4), RSMo:

A. The employee must have received notice in compliance with paragraph 2. of this subsection;

B. The state agency must provide a written communication to the Division of Accounting explaining the justification for the deduction, the method by which notice to the employee was given, a copy of the notice, the amount of the deduction, and the requested coding for the deduction;

C. The state agency must provide the Division of Accounting with the name and contact information of the state agency contact person who should field any questions or requests for additional information regarding the deduction; and D. The state agency must fully comply with this procedure no later than 12:00 p.m. six (6) working days prior to the proposed effective date of the deduction.

2. Notice to the Employee. A state agency will present to the Division of Accounting as sufficient evidence of notice to the employee of the deduction, a copy of a written communication to the employee, either in paper or electronic format, informing the employee of the amount of the deduction, the reasons for the deduction, and his/her right to appeal the deduction pursuant to this rule.

3. Requests for Additional Information. The state agency shall promptly respond to inquiries from the Division of Accounting relating to a requested deduction and provide additional information as needed. Failure to promptly provide additional information requested by the Division of Accounting may prevent the Division of Accounting from being able to process a requested deduction.

4. Deduction Processing. The Division of Accounting will process a deduction after sufficient evidence of the appropriateness of the deduction and notice to the employee has been provided by the state agency. Deductions will be processed by the Division of Accounting as near to the effective date proposed by the state agency as is practicable under the circumstances.

(B) Deductions Initiated by the Division of Accounting.

1. Division of Accounting Responsibilities. The Division of Accounting will utilize the following procedure to effectuate the deduction of an amount owed by an employee to the state from an employee’s compensation warrant pursuant to section 33.103.2(4), RSMo:

A. The Division of Accounting may initiate deductions of amounts owed by an employee to the state due to erroneous overpayments, borrowed leave, or other circumstances in which the Division of Accounting can determine the amount of the deduction without receiving additional information from the state agency;

B. Prior to the effective date of the deduction, or as soon as practicable thereafter, the Division of Accounting will provide written notice to the employee, either in paper or electronic format, of the amount to be deducted, the reasons for the deduction, and his/her right to appeal the deduction pursuant to this rule; and C. The Division of Accounting will provide notice of the deduction to the state agency no later than when notice is provided to the employee.

(3) Appeal Procedure.

(A) Timing of Appeal. Appeals of deductions must be received in hard-copy by mail or hand-delivery in the Office of the Commissioner, State Capitol Building, Room 125, PO Box 809, Jefferson City, Mo 65102-0809, no later than thirty (30) calendar days after the later of the date notice is sent to the employee or the effective date of the deduction from the employee’s compensation warrant, or by the next working day thereafter if the appeal period ends on a weekend or holiday.

For example, if an employee was paid on January 15, received notice of the deduction prior to that date, and wishes to appeal a deduction taken from that paycheck, an appeal must be received no later than February 14, or by the next working day thereafter if February 14 falls on a weekend or holiday.

(B) Effect of Appeal on Pending Deduction. The submission of an appeal prior to the effective date of the deduction will not prevent the deduction from occurring so long as the state agency and/or Division of Accounting have complied with the applicable deduction procedure described in this rule, except in instances where a final decision is reached to modify the amount of the deduction or reverse the deduction with sufficient time remaining to effectuate the final decision prior to the deduction.

(C) Contents of Appeal. Appeals should set out in clear, concise language the employee’s understanding of the events preceding the deduction, any inaccuracies in the state agency’s communications to the employee regarding the deduction, the reason(s) why the employee believes the deduction is inappropriate, and attach all evidence supporting the employee’s position.

(D) Standard of Review. Appeals shall involve a review of the appropriateness of the deduction in light of all of the relevant facts and law.

(E) Optional Hearing. The commissioner or his/her designee may or may not decide to hold an informal hearing to gather additional information regarding the deduction. It is expected that the employee, one (1) or more representatives of the state agency, and/or one (1) or more representatives of the Division of Accounting will attend this hearing if held. The employee may request that the commissioner or his/her designee allow the attendance of individuals with first-hand knowledge relevant to the deduction. The parties shall all proceed in a respectful and orderly fashion as directed by the commissioner or his/her designee so as to allow the commissioner or his/her designee the opportunity to gather information regarding the deduction.

(F) Final Decision. At any time following the receipt of a timely appeal of a deduction after sufficient information has been gathered to make an informed decision, the commissioner shall issue a written decision disposing of the employee’s appeal by either upholding the deduction, modifying the amount of the deduction, or reversing the deduction. The employee may request a stay of the appeal pending the resolution of other relevant administrative, civil, or criminal proceedings and the commissioner or his/her designee may rule on the request in an exercise of their discretion. Any unruled request for stay will be presumed denied.

(4) Appeals from Final Decisions. Final decisions of the commissioner under this rule may be appealed pursuant to section 536.150, RSMo.

rule filed April 16, 2020, effective April 30, 2020, expired Oct. 30, 2020. Original rule filed April 16, 2020, effective Oct. 30, 2020. *Original authority: 33.103, RSMo 1951, amended 1969, 1975, 1977, 1987, 1989, 1990, 1993, 1997, 1998, 1999, 2004, 2005, 2008 and 536.023, RSMo 1975, amended 1976, 1997, 2004.

History

• AUTHORITY: sections 33.103 and 536.023, RSMo 2016. Emergency

Chapter 4 Vendor Payroll Deduction Regulations

1 CSR 10-4.010 State of Missouri Vendor Payroll Deductions {#sec-1-csr-10-4.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-4.010}

(Rescinded May 30, 2019)

Amended: Filed Aug. 15, 2003, effective Jan. 30, 2005. Emergency amendment filed July 15, 2005, effective Sept. 1, 2005, expired Feb. 27, 2006. Amended: Filed July 15, 2005, effective Dec. 30, 2005. Emergency amendment filed July 14, 2008, effective July 24, 2008, expired Dec. 31, 2008. Amended:

Filed July 14, 2008, effective Dec. 30, 2008.

Emergency amendment filed Oct. 1, 2014, effective Jan. 1, 2015, expired June 29, 2015.

Amended: Filed Oct. 1, 2014, effective March 30, 2015. Rescinded: Filed Oct. 3, 2018, effective May 30, 2019.

JOHNR. ASHCROFT(4/30/19)

History

• AUTHORITY: sections 33.103, 536.010, and 536.023, RSMo Supp. 2014, and section 370.395, RSMo 2000. Original rule filed May 15, 1990, effective Sept. 28, 1990.

Chapter 5 Parking Regulations

1 CSR 10-5.010 Traffic Regulations for State Property {#sec-1-csr-10-5.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-5.010}

PURPOSE: This regulation promulgates rules for the regulation of traffic and parking upon the grounds of state buildings located at the seat of government.

(1) Definitions. For the purpose of this rule— (A) State property means all state-owned or leased real property, improved or unimproved, located within the City of Jefferson, Missouri;

(B) Missouri Capitol Police officers means officers employed and commissioned by the Missouri Capitol Police pursuant to the provisions of section 8.177, RSMo;

(C) Over-parking means— 1. Stopping, standing, or parking a motor vehicle on a sidewalk or pedestrian crosswalk; at any place where the curb is painted yellow; in any space if stopping, standing, or parking a vehicle in that space would create an especially hazardous condition or cause unusual delay to traffic; or at any other place where official signs prohibit stopping, standing, or parking;

2. Stopping, standing, or parking a motor vehicle in any areas restricted to handicapped parking unless the vehicle involved is marked by distinctive plates, placards, or hangtags issued to handicapped persons;

3. Stopping, standing, or parking a motor vehicle in any area designated by appropriate signs as a restricted parking area, in violation of any such sign;

4. Stopping, standing, or parking a motor vehicle by a state employee who works in a facility subject to this rule in an area designated as visitor parking on a weekday between the hours of 7:00 a.m. and 5:00 p.m.; and 5. Stopping, standing, or parking a motor vehicle in an area designated as visitor parking on a weekday between the hours of 7:00 a.m. and 5:00 p.m. for a time period exceeding three (3) hours;

(D) Double-parking means stopping, standing, or parking on the roadside of any vehicle stopped or parked at the edge or curb of a street; and (E) Speeding means the operation of a motor vehicle at a speed exceeding twenty miles per hour (20 mph).

(2) Traffic and Parking Restrictions. Except when necessary to avoid conflict with other traffic, or in compliance with law at the directions of a guard, police officer, or official traffic control device, no person operating a motor vehicle shall do any of the following on state property:

(A) Over-park;

(B) Speed;

(C) Double-park; or (D) Fail to yield the right-of-way to a pedestrian in a crosswalk.

(3) Fines. The fine for traffic violations shall not exceed the amounts set forth in section 8.178, RSMo. Any tickets issued by a Missouri Capitol Police officer for violations of over-parking, speeding, or double-parking shall be referred to the circuit court of Cole County, which has authority under section 8.178, RSMo to enforce this regulation. The ultimate goal of imposing fines for violations of this regulation is to achieve compliance with the regulation rather than the generation of parking revenue.

(4) Towing of Over-Parked or Double-Parked Vehicles. Missouri Capitol Police officers are authorized to remove a vehicle that is overparked or double-parked on any state property to the nearest garage or other place of safety or to a garage designated or maintained by the state. The owner or operator of the vehicle illegally over-parked or double-parked in violation of this regulation is responsible for all cost incurred in the towing and storage of the illegally parked vehicle. Whenever possible, the Missouri Capitol Police officer will notify the owner of the vehicle as to the action s/he has taken and the location of the vehicle.

(5) The director of the Division of Facilities Management, Design and Construction, with guidance from the Commissioner of Administration, may select the garage to which vehicles are to be towed under the provisions of this regulation and may prescribe the form of the ticket to be issued to persons violating the provisions of this regulation.

(6) Designation of No Parking and Restricted Parking Areas. The Commissioner of Administration determines those spaces where the parking, standing, or stopping of a motor vehicle is not permitted. Those spaces shall be identified with a suitable sign or by marking the curb adjacent to the spaces as follows: yellow curb markings designate no parking zones, diagonal stripes mark pedestrian crossings and restricted parking areas are designated by an appropriate symbol or leg end.

(7) In any prosecution for a violation of this

regulation, proof that the vehicle described in the complaint was in violation of any provisions of this regulation, together with proof that the defendant named in the complaint was, at the time of the violation, the owner of the vehicle, shall constitute a prima faciepresumption that the owner of the vehicle was the person who committed the violation.

Original rule filed March 15, 1979, effective Aug. 11, 1979. Amended: Filed Oct. 27, 1980, effective Feb. 12, 1981. Emergency amendment filed Dec. 29, 1989, effective Jan. 8, 1990, expired April 27, 1990.

Amended: Filed Dec. 29, 1989, effective April 27, 1990. Amended: Filed Feb. 2, 1995, effective July 30, 1996. Amended:

Filed Oct. 11, 2018, effective May 30, 2019. *Original authority: 8.172, RSMo 1995, amended 1957, 1965, 1995.

Op. Atty. Gen. No. 85, Bradford, 5-14-79.

State capitol guards and watchmen employed and commissioned in accordance with section 8.035, RSMo have the authority to make arrests in the buildings and on the grounds at the seat of government of the state of Missouri. If the guards make arrests or issue summons for violations of the parking and traffic regulations, the prosecuting attorney of Cole County has the authority to prosecute these violations.

JOHNR. ASHCROFT(4/30/19)

History

• AUTHORITY: section 8.172, RSMo 2016. Emergency rule filed March 15, 1979, effective March 26, 1979, expired June 15, 1979.

Chapter 7 Missouri Accountability Portal

1 CSR 10-7.010 Missouri Accountability Portal {#sec-1-csr-10-7.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-7.010}

PURPOSE: This rule describes the requirements for reporting information on the Missouri Accountability Portal in accordance with the Senate Substitute #2 for Senate Committee Substitute for House Bill No.116 (2013).

(1) Definitions. For the purposes of this rule, terms and their meanings, unless the content clearly indicates otherwise, are— (A) Amounts Restricted: The dollar amount of a current budget restriction as it relates to a specific constitutional, statutory, or administratively created fund within a fiscal year;

(B) Bond: A debt security which represents an obligation for the issuer to pay principal and often interest to a bondholder with a period of repayment longer than one (1)

year. Bonds do not include revolving lines of credit, loans that are not securitized, or shortterm indebtedness having an original maturity less than one (1) year (such as revenue anticipation notes);

(C) Department: The Department of Elementary and Secondary Education; Department of Higher Education; Department of Revenue; Department of Transportation;

Office of Administration; Department of Agriculture; Department of Natural Resources;

Department of Conservation; Department of Economic Development; Department of Insurance, Financial Institutions and Professional Registration; Department of Labor and Industrial Relations; Department of Public Safety;

Department of Corrections; Department of Mental Health; Department of Health and Senior Services; or Department of Social Services;

(D) Division: Any state agency assigned to a department for budgetary purposes that is eligible to receive a grant directly from the federal government in the amount of one (1) million dollars or more. Grants awarded directly to a division will be reported with the department to which the division is assigned for budgetary purposes;

(E) Federal Grant: Any grant awarded to a state agency by any agency of the federal government which, at the time of the award, is expected to result in the receipt of one (1) million dollars or more in the aggregate, exclusive of any mandatory state match, program income, rebates, and/or maintenance of effort;

(F) Missouri Accountability Portal: An Internet-based tool consisting of a series of web pages maintained by the Office of Administration that provides the public the ability to view and search financial transactions of state government, and certain information provided by political subdivisions, free of charge as provided in sections 33.087 and 37.850, RSMo;

(G) Political Subdivision: Any city, town, village, school, road district, drainage district, sewer district, water district, levee district, or any other special purpose district, other than a state agency, authorized by the constitution or statutes of the state of Missouri with the

(H) Release: A directive from the governor authorizing a state agency to expend appropriated funds that had been subject to a budget restriction authorized by Article 4, Section 27 of the Missouri Constitution;

(I) Budget Restriction: A directive from the governor authorized by Article IV, Section 27 of the Missouri Constitutionreducing the

(J) Transfer: A transfer occurs when one (1) state department/division receives the federal grant award and another state department/division spends the federal grant money; and (K) Withholding: A Budget Restriction.

(2) The Missouri Accountability Portal will contain the following expenditure information as reported in Missouri’s SAMII accounting system, or any successor system:

(A) Amounts expended on state employee salaries, downloadable and searchable by agency, employee name, or position title;

(B) Amounts expended pursuant to state contracts, downloadable and searchable by agency, category, contract, or vendor;

(C) Tax credits issued, searchable by tax credit category, customer, or geographic area; and (D) Any other information or reports, or links to other information or reports, deemed helpful to the understanding of state finances as designated by the commissioner of administration.

(3) Expenditure information will be updated daily.

(4) The Missouri Accountability Portal will contain the following budget restriction information:

(A) Amounts restricted from state of Missouri budget searchable by individual fund, agency, amount restricted or released, and total amount restricted or released;

(B) Restriction and release information will be updated as soon as practical following the governor’s reporting pursuant to section 37.850.4, RSMo; and (C) Additional reporting is allowed but not mandatory.

(5) The Office of Administration will provide a web-based, password protected data entry system for those entities mandated to report bond or debt issuances pursuant to section 37.850.2, RSMo, beginning on November 30, 2013. The data entry system will have such security measures as the commissioner may prescribe to insure the integrity and security of state information systems and the integrity, security, consistency, and accuracy of the Missouri Accountability Portal.

(6) The data entry system will be comprised of the following fields:

(A) Name of Political Subdivision;

(B) Date of Issuance;

(C) Face Amount of Issuance;

(D) Description of Revenue Stream for Repayment of Bonds Issued Pursuant to Section 99.820, RSMo;

(E) Interest Rate (optional);

(F) Outstanding Balance (optional); and (G) Description of Project/Purpose (optional).

(7) The Office of Administration assumes no responsibility for the correctness or completeness of the bond and debt information reported and displayed on the Missouri Accountability Portal. Reporting entities will review all information as it appears on the Missouri Accountability Portal for completeness and accuracy.

(8) Reporting entities will be given an optional field under section (6) above to report and update outstanding debt on an ongoing basis.

Debt may be removed if outstanding balance is zero for one (1) year or more. Reporting entities are solely responsible for the timeliness and accuracy of the content.

(9) Each department of state government will report to the Office of Administration, in a form prescribed by the commissioner of the Office of Administration, a report of the JOHNR. ASHCROFT(4/30/19) original federal grants, as defined in 1 CSR 10-7.010(1)(E), awarded in its name or in the name of a division assigned to it for budgetary purposes as defined in 1 CSR 10- 7.010(1)(D):

(A) The amount of cash it receives pursuant to the federal grant by state fiscal year;

(B) The name of the federal agency disbursing the funds;

(C) The purpose for which the funds are being received; and (D) In case of a transfer, defined in 1 CSR 10-7.010(1)(J), the name of the state agency receiving the transferred funds, the transferred amount, and the purpose for which the funds were transferred.

(10) In case of a transfer, defined in 1 CSR 10-7.010(1)(J), the department or division from which the funds were transferred will report to the Office of Administration, in a form prescribed by the commissioner of the Office of Administration, an accounting of how the transferred funds were used and any statistical impact that can be discerned as a result of such usage as reported to it by the department or division receiving the transferred funds pursuant to section 33.087, RSMo. Other reports prepared for the federal agency disbursing the funds that describes expenditures and measures outcomes will be sufficient to establish compliance with this

section.

4CODE OF STATE REGULATIONS

(4/30/19) JOHNR. ASHCROFT

History

• authority to incur bonded indebtedness;
• authority of a state agency to expend specific appropriated funds from the state operating budget. “Budget Restriction” does not include the governor’s objection (veto) of items or portions of items of appropriation under Article IV, Section 26 of the Missouri Constitution and does not include the three percent (3%) appropriation reserve authorized by section 33.290, RSMo;
• AUTHORITY: section 33.087, RSMo 2016. Original rule filed Sept. 30, 2013, effective March 30, 2014. Amended: Filed Oct. 3, 2018, effective May 30, 2019. Original authority: 33.087, RSMo 2013.

Chapter 8 Direct Deposit of Payroll Requirements

1 CSR 10-8.010 Direct Deposit of Payroll Requirements {#sec-1-csr-10-8.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-8.010}

PURPOSE: This rule describes the requirements established to allow state employees to participate in the Payroll Direct Deposit program.

PUBLISHER’S NOTE: The secretary of state has determined that publication of the entire text of the material that is incorporated by reference as a portion of this rule would be unduly cumbersome or expensive. This material as incorporated by reference in this rule shall be maintained by the agency at its headquarters and shall be made available to the public for inspection and copying at no more than the actual cost of reproduction. This note applies only to the reference material. The entire text of the rule is printed here.

(1) All employees who are expected to be employed for longer than three (3) months shall participate in the state Payroll Direct Deposit program as a condition of employment except as otherwise authorized herein. Employees are allowed to select the financial institution that will receive the direct deposit. Departments may temporarily or permanently waive application of this section for individuals or classes of individuals with approval from the commissioner of administration or his or her designee.

(2) Employees will complete a Payroll and Employee Reimbursement Direct Deposit application form to participate. The completed application authorizes the Office of Administration to deposit (credit) the employee’s net pay into a designated checking or savings account. It also authorizes an employee’s account to be debited only when an error has occurred in a payment to the employee. The Payroll and Employee Reimbursement Direct Deposit form (11-22) is incorporated by reference and maintained by the Missouri Office of Administration, PO Box 809, Jefferson City, MO 65102.

This form does not include any amendments or additions and is available at the Office of Administration or online at https://oa.mo.gov/accounting/state-employees/direct-deposit or by mailing a written request to the Missouri Office of Administration, PO Box 809, Jefferson City, MO 65102.

(3) State agency payroll offices shall forward the completed application to the Office of Administration’s Division of Accounting. Payroll Direct Deposit of the employee’s net pay will begin the pay cycle following the acceptance of a properly completed application and the successful processing of a test transaction through the banking system.

(4) If an employee does not have a checking or savings account, the employee may complete the required application using a pay card account selected by the employee, provided that the pay card vendor must accept both debits and credits as determined by the Office of Administration. The employee is responsible for establishing his or her own pay card account. Agencies will follow the policies established by the commissioner of administration.

(5) The state will conduct Payroll Direct Deposit through the automated clearing house system, utilizing an originating depository financial institution. The rules of the National Automated Clearing House Association and its member local Automated Clearing House Associations apply, as limited or modified by law.

(6) State employee pay cards are “accounts in financial institutions” as that phrase is used in section 33.155, RSMo.

rule filed July 17, 1990, effective Dec. 31, 1990. Amended: Filed Nov. 17, 1997, effective July 1, 1998. Amended: Filed June 16, 2005, effective Dec. 30, 2005. Amended: Filed May 14, 2007, effective Nov. 30, 2007. Amended: Filed Oct. 3, 2018, effective May 30, 2019.

Amended: Filed Feb. 6, 2023, effective Sept. 30, 2023. *Original authority: 33.155, RSMo 1990.

History

• AUTHORITY: section 33.155, RSMo 2016. Emergency rule filed July 17, 1990, effective Aug. 28, 1990, expired Dec. 24, 1990. Original

Chapter 9 Requirements for Direct Deposit of Vendor Payments

1 CSR 10-9.010 Requirements for Direct Deposit of Vendor Payments {#sec-1-csr-10-9.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-9.010}

(Rescinded May 30, 2019)

Emergency rule filed Aug. 25, 1992, effective Oct. 1, 1992, expired Jan. 28, 1993. Emergency rule filed Dec. 30, 1992, effective Jan. 29, 1993, expired May 28, 1993. Original

rule filed Aug. 25, 1992, effective April 8, 1993. Amended: Filed Jan. 3, 2008, effective July 30, 2008. Rescinded: Filed Oct. 3, 2018, effective May 30, 2019.

History

• AUTHORITY: section 33.155, RSMo 2000.

Chapter 10 Shared Leave for Adoptive and Foster Placement and Care

1 CSR 10-10.010 ShareLeave for Foster and Adoptive Placement and Care {#sec-1-csr-10-10.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-10.010}

(Rescinded August 30, 2019)

2014. Original rule filed Jan. 12, 2015, effective July 30, 2015. Rescinded: Filed Jan. 9, 2019, effective Aug. 30, 2019.

History

• AUTHORITY: section 105.271, RSMo Supp.

Chapter 11 Travel Regulations

1 CSR 10-11.010 State of Missouri Travel Regulations {#sec-1-csr-10-11.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-11.010}

PURPOSE: The Office of Administration has authority to establish regulations concerning the payment of travel and subsistence expenses and this rule describes the most cost-effective and reasonable mode of travel as in accordance with section 37.450, RSMo. This rule establishes guidance for officials and employees of Missouri who travel on official business for the state, except where specific statutes provide otherwise. In addition, this rule provides guidance in reimbursing officials and employees of the counties of Missouri who use privately owned vehicles while traveling on official business for the county.

(1) Definitions. For the purpose of this rule, terms and their meanings for officials and employees of the state of Missouri, unless the content clearly indicates otherwise, are— (A) Officials and employees are all employees of the state of Missouri, statewide elected officials, members of boards, commissions, committees, advisory councils, or other individuals who are not considered employees of the state of Missouri but who are otherwise eligible for travel expense reimbursement;

(B) State agencies and officials are all departments of state government within the state of Missouri and all statewide elected officials, boards, commissions, committees, advisory councils, or other divisions of state government that authorize mileage reimbursement;

(C) Approved state credit cards are those purchasing and fuel cards authorized through the Office of Administration;

(D) Official domicile is the actual working or headquarters location of an employee or official to be determined by the head of the department or their authorized representative as best serves the interest of the state and not for the convenience or benefit of the employee;

(E) Travel authorization and reimbursement forms are those approved by the Office of Administration; and (F) Residence is the city or town in which the individual has an abode or dwelling place.

(2)

Reimbursable travel expenses are limited to those expenses authorized and essential for transacting official business of the state. Expenses incurred for the sole benefit of the state employee or official is not an allowable travel expense.

Expenses for laundry service and dry cleaning are allowed only for extended travel outside of the United States. Incidental expenses not directly related to travel may be allowed when necessary to perform official business while traveling. Ensure incidental expenses are itemized on the expense report with detailed receipts attached. Agencies will follow the policies established by the commissioner of administration for determining reimbursable expenses and necessary documentation.

(3) Officials and employees will be allowed travel expenses when traveling away from their official domicile on official state business. To qualify for reimbursement for meal(s), officials and employees will be in continuous travel status for twelve (12) hours or more. The commissioner of administration will establish per diem meal rates and procedures for individuals to follow when requesting meal expenses on the expense report.

(4) All travel outside the state requires prior approval by the director, head of the department, or their authorized representative. This rule does not apply to members of the legislature or other legislative branch employees, judges and other judicial branch employees, and elected officials of the executive branch and their employees.

(5) State department directors are authorized to promulgate and enforce regulations governing travel. Departmental regulations may be more restrictive than these regulations.

Departmental regulations are not to grant expenses that are not allowed under the state of Missouri travel regulations or policies established by the commissioner of administration.

(6) The commissioner of administration or an authorized representative may approve unusual travel expenses not covered by these regulations or modify procedures for the payment of travel expenses. The commissioner of administration may make exceptions to any of these regulations when deemed appropriate and in the best interests of the state. The request for reimbursement of exception travel expenses, or of unusual travel expenses will be made in writing to the Office of Administration.

(7) Employees and officials are expected to exercise the same care in incurring expenses as a prudent person would exercise if traveling on personal business.

(8) Alcoholic beverages are not an allowable travel expense for officials and employees.

(9) Travel expenses for lodging, commercial transportation (vehicle rental, air fare, bus, taxi, or similar rideshare services and rail), fuel, and conference registration will be paid using the approved state credit cards when available. Travel expenses may be direct billed to the state or reimbursed to the employee if necessary; however, the general practice is for payment by state credit card. Advance payment for air fare, conference fees, and lodging is allowed if it is a condition of the expense or if advance payment results in a cost savings. Reimbursement to the employee for lodging, commercial transportation, conference registration, meals, incidentals, and mileage can only be made after the travel has occurred.

(10) Travel may be accomplished by plane, train, bus, private or state-owned vehicle, rented vehicle, or taxi or similar rideshare services, whichever method serves the requirements of the state most economically and advantageously. The following rules apply for traveling by vehicle or commercial transportation.

(A) Officials and employees will utilize the most cost effective vehicular travel option when traveling on state business. All relevant factors such as the urgency; nature of travel required; type of vehicle required for the number of passengers, tool or equipment load; employee time and effort; official domicile; proximity to rental or state vehicles; and other administrative costs will be considered when selecting the most cost effective travel option.

(B) Officials or agencies will establish internal procedures that require appropriate documentation to support the vehicular travel decisions made by their agency and employees.

Officials and employees will utilize the Trip Optimizer or other equivalent method to calculate travel costs and ensure officials and employees use the most cost effective vehicular travel option for each trip. The Trip Optimizer assists in determining (8/31/23) John R. Ashcroft OF ADMINISTRATION 1 CSR 10-11—OFFICE OF ADMINISTRATION the most cost effective travel option for instate single trips. A single trip includes any number of trips taken by an individual during the same day. Officials or agencies will specifically approve and justify any exceptions to this rule and retain the documentation as part of the related financial transaction.

(C) Officials and employees traveling to the same destination will car pool whenever possible. Employees who elect to travel using their personal vehicle when car pooling is available will be denied reimbursement if space is reasonably available in a state-owned or rental vehicle traveling to the same destination for the same purpose.

(D) Officials and employees will drive state vehicles while on state business that requires travel unless an exception applies as set forth in subsection (9)(I) of this rule. When a state vehicle is available to the official or employee and the official or employee elects to drive a privately owned vehicle, the maximum reimbursement rate for an official or employee is limited to the established state fleet rate. When a state vehicle is not available, but a rental vehicle is reasonably available and is a lower cost option for the trip, the maximum mileage reimbursement for the official or employee is not to exceed the cost of the rental option, including the cost of fuel.

(E) Officials or agencies may establish savings thresholds whereby an official or employee may utilize the next lowest cost option without supervisory approval. Officials or agency thresholds may vary depending on several factors including proximity of state vehicles or rental vehicles and administrative expenses involved in making travel arrangements.

(F) For travel in privately owned vehicles, the state mileage allowance will be at the current rate(s) ordered by the commissioner of administration pursuant to section 33.095, RSMo. The commissioner of administration will periodically issue mileage reimbursement rates comprised of a standard rate and a state fleet rate. Agencies should use the appropriate rate for each trip as determined by policy established by the commissioner of administration. Reimbursement rates should not exceed the rate established by the commissioner of administration unless required by a court order. When more than one (1) person travels in the same vehicle, only the owner of the vehicle is allowed mileage. The state mileage reimbursement rate(s) represents full compensation for the costs of operating a privately owned vehicle. The mileage reimbursement rate shall be computed at a rate not to exceed the Internal Revenue Service (IRS) standard mileage rate. Any change to the maximum rate is effective on July 1 of the year the IRS changes their standard mileage rate. The state fleet reimbursement rate reflects the average cost of operating a mid-size sedan in the state vehicle fleet. The standard mileage and state fleet rate may be more restrictive depending on the budget. Physical damage or loss to a private vehicle and/ or its personal property contents is not covered by the state.

Coverage should be obtained through personal auto insurance.

Liability coverage must be maintained through personal auto insurance in accordance with state law.

(G) Officials or employees incurring commuting miles in a state vehicle will report such use utilizing the cents-permile method for inclusion in employee gross income and in accordance with procedures issued by the commissioner of administration.

(H) For travel by rented vehicle, the rental should be paid using the approved state credit card or direct billed to the state if necessary. The preferred method of refueling rental vehicles on state business is to utilize a fleet fuel card designed by the agency as a rental card, otherwise, the employee may be reimbursed for fuel expenses. Weekly or monthly vehicle rental rates will be allowed if the cost is less than the total cost of renting at the daily rate and the employee has a business need for the vehicle rental the majority of the working days during the rental period. Rental vehicles are considered state vehicles and should be used for official business only in accordance with state policy. The State Legal Expense Fund provides liability coverage for the usage of rental vehicles for official state business. For that reason, employees will not be reimbursed for any vehicle rental insurance incurred. Employees will carry insurance coverage for personal use of rental vehicles at their own expense. Accident(s) in rental vehicles should be reported to the Office of Administration, Risk Management Section.

(I) Notwithstanding subsection (9)(D) of this rule, officials or employees who use privately owned vehicles for official state business may be reimbursed up to the standard mileage reimbursement rate when— 1. They are members of boards, commissions, committees, advisory councils, or other individuals who are not considered employees of the state of Missouri but who are otherwise eligible for mileage reimbursement;

2. They are officials or employees who otherwise would be traveling in a state vehicle and where another official or employee could utilize the state vehicle to a greater extent;

3. The Trip Optimizer results indicate that mileage reimbursement is the lowest cost option; or 4. They are officials or employees who have a documented physical condition that requires them to operate vehicles equipped to accommodate their specific needs.

(J) Officials or employees denied the use of a state vehicle due to their driving record may be reimbursed for use of a privately owned vehicle up to the state fleet rate.

(K) Officials or employees who operate their personal vehicle on state business must do so in compliance with the Motor Vehicle Financial Responsibility Law, Chapter 303, RSMo.

Officials or employees and/or their insurer may be held liable for damages resulting from an accident that occurs while operating their vehicle on state business.

(L) When an airport is within fifty (50) miles of the employee’s official domicile or residence and transportation to and from the airport is provided by a family member or friend, the employee may be reimbursed for vehicle mileage for up to two (2) round trips. The routing of each trip for mileage computation will be by the most commonly traveled route unless unusual circumstances warrant other less direct routes.

(M) Commercial air travel is the preferred method of transportation outside of the state unless other methods of travel are more economical or advantageous to the state.

Air travel is not, however, to exceed coach fare for the most direct available route. Travel in a chartered aircraft (chartered from a nonaffiliated party and piloted by the charter service) may be allowed upon prior approval by the commissioner of administration. Travel outside the state by commercial common carrier surface transportation, in lieu of air transportation, will be limited to the actual cost of the surface carrier plus any other actual expenses (meals, conference registration, lodging, etc.). Travel outside of the state by rented vehicle or privately owned vehicle, in lieu of air transportation, will be limited to the cost of the rented vehicle and necessary fuel or state mileage allowance plus any actual expenses which would have been allowed or provided if taking air transportation. The total allowable expenses cannot, however, exceed the reasonable coach airfare available at that time to the same destination.

(11) State employees and officials may be reimbursed for travel expenses incurred for other employees or nonemployees provided the specific business reason necessary for doing so is indicated along with the names of those involved. This is intended to be used for those common types of travel situations where it is normal and practical for one (1) individual to pay for an expense rather than be divided among all individuals.

(12) No official or employee will be allowed hotel or meals while in their city of official domicile. While traveling on state business, employees and officials will not be allowed hotel expenses when it would be more economical and advantageous to the state to return to their residence. Mileage will be reimbursed and computed between the travel site destination and the employee’s official domicile or residence, if leaving directly from the residence, whichever is less.

Agency-provided meal expenses will be in accordance with department provided food policy.

(13) The following procedures apply to all payments or reimbursements:

(A) Descriptive invoices for lodging, conference registration, airline/air charter, vehicle rental, bus, and rail transportation will be provided and, if applicable, a copy of an approved Out of State Travel Authorization Form attached to each payment request;

(B) When an individual is requesting reimbursement for lodging, conference registration, airline/air charter, bus, and rail transportation, the following procedures apply:

1. The individual requesting reimbursement will provide— A. Proof of payment. Proof of payment may be in the form of a vendor receipt or a vendor marking on the invoice document that the charge has been paid. Proof of payment may also be in the form of a credit card receipt, credit card statement copy showing the charge, or a copy of a personal check that has been canceled by the bank; and B. An original signature on the expense report verifying that the reimbursement claim is correct. Rubber stamps or facsimile signatures for the claimant and/or supervisor are not allowed. An electronic signature may be used with prior approval by the commissioner of administration or designee after appropriate audit trails and controls have been established for such signatures;

C. For situations where a descriptive invoice or proof of payment is not available, departments should establish alternative procedures with prior approval by the commissioner of administration or designee;

2. Fiscal personnel will— A. Verify that travel reimbursement claims are correct.

Primary responsibility for authenticating travel reimbursement claims rests with the department and agency directors;

B. Ensure that any unusual expenses incurred are itemized on the expense report and accompanied by receipts for payment. The justification for incurring any unusual expenses will be fully explained by letter or notation on the expense report form;

(C) All claims for reimbursement of expenses will be itemized and attested to by the claimant and approved by individuals so designated by the director of the department or as otherwise provided by state law.

(14) Reimbursement for recruiting and relocation expenses for new or existing employees and their families will be made in accordance with the applicable department’s policy. If a department does not have a written policy, those expenses will be paid based upon the Office of Administration employee relocation policy.

(15) Where an officer or employee of any county, except for first class counties with a charter form of government, is paid a mileage allowance or reimbursement, the allowance or reimbursement may be computed at a rate determined by the county, but not to exceed the Internal Revenue Service (IRS) standard mileage rate less three cents (3¢) per mile. Any change to the maximum rate is effective on July 1 of the year the IRS changes their standard mileage rate.

Amended: Filed July 14, 1978, effective Dec. 11, 1978. Emergency amendment filed July 13, 1979, effective Aug. 1, 1979, expired Oct. 10, 1979. Amended: Filed July 13, 1979, effective Oct. 11, 1979. Emergency amendment filed March 8, 1984, effective April 1, 1984, expired June 10, 1984. Amended: Filed March 8, 1984, effective June 11, 1984. Amended: Filed March 14, 1985, effective July 1, 1985. Amended: Filed Dec. 12, 1985, effective April 1, 1986.

Amended: Filed March 30, 1987, effective July 1, 1987. Amended:

Filed April 1, 1988, effective July 1, 1988. Amended: Filed Jan. 18, 1989, effective April 15, 1989. Amended: Filed April 18, 1990, effective June 28, 1990. Amended: Filed June 14, 1991, effective Oct. 31, 1991. Emergency amendment filed April 21, 1994, effective July 1, 1994, expired Oct. 28, 1994. Amended: Filed Jan. 27, 1994, effective July 30, 1994. Amended: Filed Jan. 13, 1995, effective July 30, 1995. Amended: Filed Feb. 15, 1996, effective Aug. 30, 1996.

Emergency amendment filed June 20, 2002, effective July 1, 2002, expired Feb. 27, 2003. Amended: Filed June 20, 2002, effective Dec. 30, 2002. Rescinded and readopted: Filed Nov. 29, 2007, effective June 30, 2008. Amended: Filed Oct. 3, 2018, effective May 30, 2019.

Emergency amendment filed March, 20, 2023, effective April 3, 2023, expired Jan. 10, 2024. Amended: Filed March 20, 2023, effective Sept. 30, 2023. *Original authority: 33.090, RSMo 1945, amended 1977, 1993, 1995.

History

• AUTHORITY: section 33.090, RSMo 2016. Original rule filed Jan. 22, 1974, effective Feb. 1, 1974. Amended: Filed Aug. 20, 1974, effective Sept. 1, 1974. Amended: Filed April 10, 1975, effective April 20, 1975. Amended: Filed Dec. 19, 1975, effective Jan. 1, 1976.

1 CSR 10-11.020 County Travel Regulations, Mileage Allowance {#sec-1-csr-10-11.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-11.020}

(Rescinded May 30, 2019)

Original rule filed March 28, 1980, effective July 11, 1980.

Amended: Filed March 14, 1985, effective July 1, 1985. Emergency amendment filed April 21, 1994, effective July 1, 1994, expired Oct. 28, 1994. Amended: Filed Jan. 27, 1994, effective July 30, 1994.

Amended: Filed Jan. 13, 1995, effective July 30, 1995. Emergency amendment filed April 10, 1995, effective July 1, 1995, expired Oct. 28, 1995. Amended: Filed Nov. 29, 2007, effective June 30, 2008.

Rescinded: Filed Oct. 3, 2018, effective May 30, 2019.

Op. Atty. Gen. No. 112, Brown (5-23-80). Under section 33.095, RSMo, in every county other than a first class charter county, county employees paid a mileage allowance will be compensated at the mileage rate set by the commissioner of administration.

Op. Atty. Gen. No. 33 Hamilton (1-21-80). County court judges of second class counties are not authorized to charge the county mileage for travel from their home to the courthouse for meetings of the court.

(8/31/23) John R. Ashcroft OF ADMINISTRATION 1 CSR 10-11—OFFICE OF ADMINISTRATION

History

• AUTHORITY: section 33.095, RSMo 2000. Emergency rule filed March 28, 1980, effective April 7, 1980, expired Aug. 5, 1980.

1 CSR 10-11.030 State of Missouri Vehicular Travel Regulations {#sec-1-csr-10-11.030 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-11.030}

(Rescinded May 30, 2019)

Rescinded: Filed Oct. 3, 2018, effective May 30, 2019.

History

• AUTHORITY: section 33.095, RSMo 2000 and section 37.450, RSMo Supp. 2007. Original rule filed May 10, 2006, effective Nov. 30, 2006. Amended: Filed Nov. 29, 2007, effective July 30, 2008.

Chapter 12 State of Missouri-Social Security Manual

1 CSR 10-12.010 State of Missouri—OAS- DHI Manual {#sec-1-csr-10-12.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-12.010}

(Rescinded July 11, 1980)

1 CSR 10-12.011 State of Missouri—State Social Security Administration {#sec-1-csr-10-12.011 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-12.011}

PURPOSE: The State Social Security Administrator, the Director of Accounting of the Office of Administration, has the authority to make and publish such rules as are necessary for the efficient administration of Old Age Survivors and Disability Insurance coverage to employees of political subdivisions and instrumentalities. This rule establishes coverage guidelines for political subdivisions and instrumentalities.

(1) Extension of Social Security Coverage to Political Subdivisions and Instrumentalities Other Than State Units.

(A) The governing body of any political subdivision or instrumentality having a Social Security qualified retirement plan may adopt and submit to the State Social Security Administrator a resolution requesting the extension of Social Security coverage to all eligible employees as defined by applicable federal and state laws, section 218 (42 U.S.C. 418) of the Social Security Act and section 105.300 through 105.440, RSMo.

(B) If adopting a resolution requesting a referendum as described in subsection (1)(A) of this rule and section 105.300(7) and (8), RSMo, political subdivisions and instrumentalities, upon a successful referendum, shall execute and submit to the State Social Security Administrator a Social Security Plan and Agreement contract which shall provide for an effective date of coverage in accordance with applicable federal and state law. If the referendum is not successful, then Social Security coverage is not extended to members of the qualified retirement plan. A referendum can again be requested after a period of one (1) year.

(C) Political subdivisions and instrumentalities qualifying under section (1), shall provide to the State Social Security Administrator all federal employer identification number(s) assigned by the Internal Revenue Service when a Plan and Agreement is executed.

(D) The governing body of any political subdivision or instrumentality not having a Social Security qualified retirement plan may adopt and submit to the State Social Security Administrator a resolution requesting the extension of Social Security coverage to all eligible employees as set forth in applicable federal and state laws, section 218 (42 U.S.C. 418) of the Social Security Act and sections 105.300 through 105.440, RSMo.

(2) Designation of Reporting Officials.

(A) Each political subdivision or instrumentality covered under the voluntary Social Security program in section (1), shall designate, by position, one (1) individual through whom all communications with the State Social Security Administrator shall be channeled.

(B) The director of the Division of Accounting of the Office of Administration, as set forth in section 105.300(10), RSMo, shall be the official designated to be responsible for State Social Security Administration. All communications regarding Social Security, excluding required federal reporting and payments, shall be channeled through this designated official or their designee.

(3) All political subdivisions and instrumentalities with coverage agreements shall comply with applicable federal and state withholding laws and regulations related to Social Security and Medicare coverage and exclusions.

Filed Sept. 10, 1982, effective Jan. 1, 1983.

Amended: Filed Sept. 8, 1983, effective Dec. 11, 1983. Amended: Filed Aug. 12, 1985, effective Nov. 12, 1985. Amended: Filed Sept. 21, 2016, effective March 30, 2017. *Original authority: 105.430, RSMo 1951.

JOHNR. ASHCROFT(2/28/17)

History

• AUTHORITY: section 105.430, RSMo 2016. Original rule filed Feb. 13, 1980, effective July 11, 1980. Amended: Filed Jan. 14, 1981, effective June 11, 1981. Amended: Filed Sept. 4, 1981, effective Dec. 11, 1981. Amended:

Chapter 13 Missouri Lottery Payment of Prizes

1 CSR 10-13.010 Missouri Lottery Payment of Prizes {#sec-1-csr-10-13.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-13.010}

(Rescinded May 30, 2019)

1988. Original rule filed Nov. 2, 1988, effective Jan. 13, 1989. Rescinded: Filed Oct. 3, 2018, effective May 30, 2019.

History

• AUTHORITY: section 313.321, RSMo Supp.

Chapter 15 Cafeteria Plan

1 CSR 10-15.010 Cafeteria Plan {#sec-1-csr-10-15.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-15.010}

PURPOSE: This rule complies with the statutory requirement that the commissioner file a written plan document in accordance with

Chapter 536, RSMo, and payroll deduction qualifications in accordance with Chapter 33, RSMo.

(1) The cafeteria plan for state employees, authorized by section 33.103, RSMo, shall contain the following items:

(A) A provision authorizing the payment employee’s share of the cost, premium or health savings account contribution for coverage under any state sponsored health plan which provides medical benefits or health insurance to or on behalf of any employee or spouse or dependent in the event of illness or personal injury to the employee or spouse or dependent, which plan or program is available to the employee by reason of his/her status as an employee;

(B) A provision authorizing the payment through the cafeteria plan, pursuant to a separate but related flexible medical benefits plan, established in conjunction with the cafeteria plan, of amounts expended by a participating employee for medical care of the employee or spouse or dependent, which amounts are not covered or reimbursable to the employee from any other source;

(C) A provision authorizing the payment or reimbursement through the cafeteria plan of employment-related expenses for the care of a spouse or dependent of a participating employee, pursuant to a separate but related dependent care assistance plan of the state, established concurrently with the cafeteria plan;

(D) A provision authorizing the payment employee’s share of the cost or premium for coverage under any state sponsored health plan which provides dental benefits or dental insurance to or on behalf of any employee or spouse or dependent, which plan or program is available to the employee by reason of his/her status as an employee;

(E) A provision authorizing the payment employee’s share of the cost or premium for coverage under any state sponsored health plan which provides vision care benefits or vision care insurance to or on behalf of any employee or spouse or dependent, which plan or program is available to the employee by reason of his/her status as an employee; and (F) A provision authorizing a participating employee to reduce his/her future compensation for purposes of participation in the cafeteria plan.

(2) The commissioner of administration shall maintain the cafeteria plan, in written form, denominated as the Cafeteria Plan for the Employees of the State of Missouri included herein.

(3) Voluntary payroll vendors whose products meet the qualifications of Section 125 of Title 26 of the United States Code and section 33.103, RSMo must meet the following criteria for solicitation of business on state property:

(A) The vendor’s product must already be qualified by the Office of Administration;

(B) The vendor may only present the products that qualify under Section 125 of Title 26 of the United States Code and section 33.103, RSMo;

(C) The vendor must schedule solicitation visits with each building manager at least one (1) week in advance. Building managers may make more restrictive policies regarding locations and times of visits as long as the restrictions do not prohibit access to state facilities;

(D) The vendor must not interrupt employee work time for presentation of products or services or other solicitations;

(E) The vendor may not utilize employee representatives to distribute product information;

(F) All marketing materials must have prior approval by the Office of Administration prior to distribution;

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Filed May 15, 1990, effective Sept. 28, 1990.

Emergency amendment filed Dec. 4, 1990, effective Jan. 1, 1991, expired April 29, 1991. Amended: Filed Dec. 4, 1990, effective April 29, 1991. Emergency amendment filed Oct. 2, 1991, effective Jan. 1, 1992, expired April 29, 1992. Amended: Filed Oct. 2, 1991, effective Feb. 6, 1992. Emergency amendment filed Aug. 25, 1992, effective Jan. 1, 1993, expired April 30, 1993.

Amended: Filed April 25, 1992, effective April 8, 1993. Amended: Filed Aug. 1, 1997, effective Jan. 1, 1998. Emergency amendment filed Dec. 14, 1998, effective Jan. 1, 1999, expired June 29, 1999. Amended: Filed Dec. 14, 1998, effective June 30, 1999.

Emergency amendment filed Dec. 15, 1999, effective Jan. 1, 2000, expired June 28, 2000. Amended: Filed Sept. 15, 1999, effective March 30, 2000. Emergency amendment filed Dec. 11, 2000, effective Jan. 1, 2001, expired June 29, 2001. Amended: Filed Feb. 15, 2001, effective July 30, 2001. Emergency amendment filed July 15, 2005, effective Sept. 1, 2005, expired Feb. 27, 2006.

Amended: Filed July 15, 2005, effective Dec. 30, 2005. Emergency amendment filed July 14, 2008, effective July 24, 2008, expired Dec. 31, 2008. Amended: Filed July 14, 2008, effective Dec. 30, 2008. Emergency amendment filed Dec. 21, 2010, effective Jan. 1, 2011, expired June 29, 2011.

Amended: Filed Dec. 21, 2010, effective July 30, 2011. Emergency amendment filed Dec. 3, 2012, effective Jan. 1, 2013, expired June 29, 2013. Amended: Filed Dec. 3, 2012, effective May 30, 2013.

Emergency amendment filed Oct. 1, 2014, effective Jan. 1, 2015, expired June 29, 2015.

Amended: Filed Oct. 1, 2014, effective March 30, 2015.

Emergency amendment filed Sept. 15, 2015, effective Jan. 1, 2016, expired June 28, 2016.

Amended: Filed Sept. 15, 2015, effective March 30, 2016. Emergency amendment filed Dec. 16, 2020, effective Jan. 4, 2021, expired July 2, 2021. Amended: Filed Dec. 16, 2020, effective June 30, 2021. *Original authority: 33.103, RSMo 1951, amended 1969, 1975, 1977, 1987, 1989, 1990, 1993, 1997, 1998, 1999, 2004, 2005, 2008.

History

• AUTHORITY: section 33.103, RSMo 2016. Original rule filed March 15, 1988, effective June 1, 1988. Emergency amendment filed Dec. 13, 1989, effective Dec. 23, 1989, expired April 21, 1989. Amended: Filed Dec. 13, 1989, effective Feb. 25, 1990. Amended:

Chapter 16 Convention and Sports Complex Regulations

1 CSR 10-16.010 Convention and Sports Complex {#sec-1-csr-10-16.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-16.010}

PURPOSE: This rule describes procedures to obtain state funding for certain convention and sports complex funds, established pursuant to section 67.639, RSMo.

(1) Prior to the expenditure of any state appropriation to a Convention and Sports Complex Fund, the governing body of the city or county are mandated to comply with the following:

(A) Section 67.639, RSMo authorizes each city or county as defined in section 67.638, RSMo to establish by ordinance or order of the county or city governing board, a Convention and Sports Complex Fund for the

purpose of developing, maintaining, or operating sports, convention, exhibition, or trade facilities within its jurisdiction. In order to comply with section 67.639, RSMo, submit a copy of the ordinance or order authorizing the establishment of the Convention and Sports Complex Fund, in accordance with sections 67.638 and 67.645, RSMo, to the Office of Administration, Division of Accounting;

(B) In addition, section 67.641.2., RSMo requires each city or county which administers a Convention and Sports Complex Fund to enact or promulgate rules or ordinances pursuant to the terms and provisions of section 70.859, RSMo for the purchase of goods and services and for construction of capital improvements for the facility prior to receipt of any appropriations pursuant to section 67.641, RSMo. In order to comply with the terms and conditions of section 70.859, RSMo, submit to the Office of Administration, Division of Accounting a copy of those regulations which have been enacted;

(C) With respect to certain counties or cities, section 67.641, RSMo states “No moneys shall be transferred under this section to the benefit of a sports complex for a county in any year unless each professional sports team which leases playing facilities within the county continue to lease the same playing facilities which were leased on August 28, 1989.” If applicable, annually submit a copy of the contract or lease between the county or city and the professional sports team to the Office of Administration, Division of Accounting, before any state monies will be expended;

(D) Submit to the Office of Administration, Division of Accounting, a monthly financial certification, on the form listed as

Appendix A. The state of Missouri will commence monthly transfers on a prorated basis for the remainder of the initial fiscal year. For all succeeding fiscal years, monthly transfers will continue subject to receipt of— 1. The monthly financial certification form; and 2. Notice that the county or city has paid two (2) million dollars into its fund or, in the case of a first class county not having a charter form of government or a charter city within a first class county not having a charter form of government, notice that the county or city has commenced payment into its fund, as specified in section 67.641.3., RSMo; and (E) Comply with the reporting and audit requirements set forth in section 67.645, RSMo. Failure to comply with any of these regulations or sections 67.638–67.645, RSMo will result in the termination of monthly payments. Submit a copy of the annual report to the Office of Administration, Division of Accounting.

APPENDIX A

Convention and Sports Complex Fund Monthly Financial Certification In accordance with section 67.641.3., RSMo notification is required by the city/county for amounts contributed to the Convention and Sports Complex Fund, before any amount from the state is transferred to that fund.

For the month ending _______________________________________ City/County contribution amount __________________________________________ Total contributions to date _______________________________________ Monthly Financial Summary of the Convention and Sports Complex Fund Beginning balance ________________________________________ Date ______________________________________ Additions State contribution _______________________________________ City contribution ________________________________________ Tax revenue ____________________________________________ Interest (1) _____________________________________________ Other __________________________________________________ Subtractions _________________________________________________ Ending balance _____________________________________________Date _____________________________________ Signature __________________________________________________Date _____________________________________ (City Manager, City Clerk, County Executive or County Clerk)

1. *Interest earned on the fund will not be considered a contribution by the city or county.

Please forward executed form to: Office of Administration Division of Accounting P.O. Box 809 Jefferson City, MO 65102 4CODE OF STATE REGULATIONS (4/30/19) JOHNR. ASHCROFT

History

• AUTHORITY: section 33.040, RSMo 2016. Emergency rule filed June 18, 1991, effective June 28, 1991, expired Oct. 1, 1991. Original rule filed March 18, 1991, effective Sept. 30, 1991. Amended: Filed Oct. 3, 2018, effective May 30, 2019. Original authority: 33.040, RSMo 1939, amended 1945, 1959.

Chapter 17 Office of Equal Opportunity

1 CSR 10-17.010 Definitions {#sec-1-csr-10-17.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-17.010}

PURPOSE: This rule defines terms related to the state of Missouri’s Minority and Women’s Business Enterprise Program, established by the Office of Administration and administered by the Office of Equal Opportunity.

(1) For purposes of the state of Missouri’s Minority and Women’s Business Enterprise Program, established by the Office of Administration and administered by the Office of Equal Opportunity, the following definitions apply:

(A) Certification or certified—A determination made after an applicant has met the eligibility requirements to be qualified as a Minority Business Enterprise (MBE) or a Women’s Business Enterprise (WBE) by the Office of Administration, Office of Equal Opportunity (OEO);

(B) Commissioner—The commissioner of the Office of Administration;

(C) Contract—A legally-binding relationship obligating a contractor, subcontractor, or supplier to furnish goods or services and the buyer to pay for them. For the purposes of these regulations, leases, and subcontracts may be considered contracts;

(D) Contractor—A person or entity that has a contract directly with the state of Missouri;

(E) Firm—A person or for profit business lawfully existing under the laws of the state of Missouri or its state of origin including, but not limited to, a sole proprietorship, corporation, partnership, limited partnership, joint venture, limited liability company (LLC), or professional corporation;

(F) Minority—Any individual who is a citizen or lawfully-admitted permanent resident of the United States and who is a member of any of the following groups:

1. Black Americans—Includes persons having origins in any of the black racial groups of Africa;

2. Hispanic Americans—Includes persons of Mexican, Puerto Rican, Cuban, Dominican, Central or South American, or other Spanish or Portuguese culture or origin, regardless of race;

3. Native Americans—Includes persons who are American Indians, Eskimos, Aleuts, or Native Hawaiians;

4. Asian-Pacific Americans—Includes persons whose origins are from Japan, China, Taiwan, Korea, Burma (Myanmar), Vietnam, Laos, Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Singapore, Brunei, Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of Palau), Republic of the Marshall Islands, the Commonwealth of the Northern Mariana Islands, Macao, Fiji, Tonga, Kiribati, Tuvalu, Nauru, Federated States of Micronesia, or Hong Kong;

5. Subcontinent Asian Americans— Includes persons whose origins are from India, Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal, or Sri Lanka; or 6. Any additional groups whose members are designated as socially and economically disadvantaged by the U.S. Small Business Administration (SBA), at such time as the SBA designation becomes effective;

(G) Minority Business Enterprise (MBE)— The definition in section 37.020.1(3), RSMo, will be applied;

(H) OA—The state of Missouri’s Office of Administration;

(I) OEO—Office of Equal Opportunity;

(J) Principal place of business—The primary headquarters of the firm where the individuals who manage the day-to-day operations and make executive decisions for the firm are located and where its records are kept;

(K) Rapid response applicant—Any applicant who possesses a current M/WBE certification or equivalent from another qualified certifying entity as determined by OEO. Rapid response applicants may receive certification from OEO through a memorandum of understanding. Less documentation is needed than for a standard/initial applicant, and an on-site review is required from the other qualified certifying entity. Certification by another certifying entity does not guarantee certification by OEO;

(L) Subcontractor—A firm that does not have a contract directly with the state of Missouri but instead contracts a portion of the work of a state contract from the contractor or another subcontractor;

(M) Standard/initial applicant—Any applicant whose principal place of business is in Missouri and who does not currently possess a current M/WBE certification or equivalent from another qualified certifying entity as determined by OEO. OEO may perform an on-site review at the applicant’s place of business and must review the application and all supporting documentation before certification is granted; and (N) Women’s Business Enterprise (WBE)— The definition in section 37.020.1(6), RSMo, will be applied.

History

• AUTHORITY: section 34.050, RSMo 2000, and section 37.020, RSMo Supp. 2014. Original rule filed June 1, 2011, effective Nov. 30, 2011. Amended: Filed April 5, 2016, effective Nov. 30, 2016. Original authority: 34.050, RSMo 1939, amended 1945, 1993, 1995 and 37.020, RSMo 1990, amended 2014.

1 CSR 10-17.040 Minority/Women’s Business Enterprise Certification {#sec-1-csr-10-17.040 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-17.040}

PURPOSE: This rule establishes a program by which Minority Business Enterprises (MBEs) and Women’s Business Enterprises (WBEs) may be certified by the Office of Equal Opportunity (OEO).

(1) Any firm desiring to obtain certification as a Minority Business Enterprise (MBE) or Women’s Business Enterprise (WBE) shall submit an application and required documentation to the Office of Equal Opportunity (OEO), and be registered and in good standing with the Missouri Secretary of State, if applicable. There are two (2) methods to obtain certification—initial/standard and rapid response.

(2) An applicant is required to submit to OEO documentation related to the legal structure, ownership, and control of the firm that is necessary to determine eligibility for certification. Such documentation may include, but is not limited to: Articles of Incorporation/Organization, shareholder meeting minutes, bylaws or operating agreements, board meeting minutes, partnership agreements, stock ledgers and certificates, tax returns, lease and loan agreements, bank account signature cards, and joint venture agreements.

(A) The application must be signed by all of the applicant firm’s minority or women owners who are in control of the firm. The application must include a statement attesting to the accuracy, completeness, and truthfulness of the information on and accompanying the application form.

(B) Each application received shall be reviewed by OEO for completeness, and the applicant firm will be notified in writing by OEO of any additional information required.

The additional information requested must be received within a maximum of thirty (30) days from the date on the notice for additional information or as otherwise specified in writing by OEO. After that period, if the additional information required has not been received by OEO and no extension of time has been requested and granted in writing, OEO may deny the application for the firm’s failure or refusal to provide the relevant infor mation requested by OEO.

(C) After all required information is received, an on-site visit to the office(s) of the applicant firm whose principal place of business is located in Missouri and possible visits to job sites at which the firm is working in Missouri, may be scheduled by OEO.

OEO will not make an on-site visit to a firm whose principal place of business is outside of Missouri, but will contact the firm’s home state (or another certifying entity) for a copy of its on-site visit.

(3) An applicant seeking certification has the burden of demonstrating to OEO, by a preponderance of the evidence, that it meets the requirements of section 37.020, RSMo, and these regulations.

(4) Initial/standard certification and a rapid response certification are effective for three (3) years from the date of issuance. Joint venture certifications are effective for either two (2) years or the term of the joint venture, whichever occurs first.

(5) Rapid Response Certifications. An applicant who possesses a current M/WBE certification or equivalent from another qualified certifying entity as determined by OEO may apply for certification through OEO’s rapid response application process. The on-site review report from the primary certifying entity must be received by OEO. OEO shall provide a list of qualified certifying entities.

Certification by another certifying entity does not guarantee certification by OEO regardless of the other certifying entity which may have previously or currently certified a firm as a M/WBE, OEO will make an independent determination of whether the applicant firm will be certified.

(6) If an applicant is approved for certification, a notice of approval and a certificate will be sent to the Minority and/or Women’s Business Enterprise (M/WBE) by OEO. Such certification may identify the specific category or categories of work or industry code(s) in which the firm is certified. The firm and its pertinent information, including any approved specific categories of work shall be added to OEO’s directory.

(7) A firm certified by OEO must notify OEO in writing of any changes that may affect its eligibility for continued certification under section 37.020, RSMo, and these regulations within thirty (30) days of the effective date of such change. The notice must provide supporting documentation describing in detail the nature of such change(s).

(8) An applicant denied certification or whose certification is revoked will be notified in writing of the reasons for denial or revocation. Reasons may include, but are not limited to: incomplete or inaccurate application, failure to provide requested information, failure to meet certification standards, or failure to cooperate during the certification process.

If OEO denies or revokes a certification, an applicant may appeal to the commissioner.

The appeal shall be in writing and addressed to the commissioner. The appeal shall be received by the commissioner no later than twenty-one (21) calendar days from the date of the denial or revocation notification.

Appeals received by the commissioner after twenty-one (21) calendar days will not be considered. The appeal shall clearly state why the denial or revocation is alleged to be in error. Information that was requested but not provided before the denial or revocation will not be considered in an appeal. The commissioner’s decision shall be final. Applicants denied certification or revocation are ineligible to reapply for one (1) year from the date of the denial or revocation notification.

(9) A third party who has reason to believe that an applicant has been wrongly denied or granted certification as an M/WBE or joint venture may file a third-party challenge with OEO. A challenge by a third party is not considered an appeal.

(A) The third-party challenge must be submitted in writing with supporting documentation in sufficient detail to support the allegations. OEO may require additional documentation from the challenger.

(B) The third-party challenge must contain the name, address, telephone number, and signature of the challenger.

(C) Third-party challenges will not be considered confidential.

(D) OEO will review the complaint and related material concerning the firm in question, including available material from other sources within or outside OEO. OEO may conduct an investigation, including requests for information or documentation and unannounced site visits. However, OEO is not obligated to conduct any investigation beyond a document review. At an appropriate time in the complaint investigative phase, OEO will notify the certified firm in writing that a complaint alleging the firm’s ineligibility has been filed. OEO may request additional information from the firm relating to the allegations.

(E) After OEO has reviewed the complaint and conducted any investigation deemed necessary, OEO shall make a determination whether there is reasonable cause to believe that the firm in question is ineligible to be certified.

(F) If OEO finds reasonable cause to believe that the firm is ineligible, OEO will provide written notice to the firm that OEO proposes to find the firm ineligible, setting forth the reasons for the proposed determination and supporting documentation. If OEO determines that such reasonable cause does not exist, it will notify the complainant and the firm in writing of this determination and the reasons for it.

(G) If OEO notifies a firm of its ineligibility, the firm may appeal the decision to the commissioner pursuant to the requirements of

section (9) of this regulation.

(H) OEO may decline rather than deny certification when one (1) or more questions are identified during the preview for certification. Applicants declined certification will be notified in writing and may respond with additional documentation or clarification within the time frame stated in the notice.

(I) Firms shall cooperate fully with OEO’s request for information relevant to the certification process. Failure or refusal to provide such information is grounds for a denial or revocation of certification.

(10) OEO will be guided by the following standards when evaluating applicants for certification:

(A) In determining whether an applicant meets the requirements of section 37.020, RSMo, and these regulations, OEO will consider all information in its possession;

(B) OEO will evaluate an applicant based on current circumstances and will not deny certification solely because an applicant was not owned or controlled by a minority or woman at some time in the past;

(C) OEO may authorize a one- (1-) year provisional certification in certain circumstances, such as to allow time for a minority or woman to transition from being an employee to a business owner, to allow entities who have not been in business for at least a year to be certified, or to review tax information that is not available for a new firm at the time of application;

(D) An applicant will not be denied certification solely because it is a newly-formed firm; has not completed projects or contracts at the time of its application; has not yet realized profits from its activities; or has not demonstrated a potential for success; and (E) Per OEO’s discretion, it shall grant certification to a firm, and such certification may identify the specific category or categories of work or industry code in which the firm is certified. To become certified in an additional type of work after initial certifica tion, OEO 4CODE OF STATE REGULATIONS may require the firm to demonstrate that it meets the criteria for certification to perform that type of work. OEO shall not require that the firm be recertified or submit a new application for certification, but OEO may verify the minority or woman owner’s control of the firm in the additional category of work.

1. OEO shall use categories or codes that describe, as specifically as possible, the principal goods or services which the firm provides to its customers. Multiple categories or codes may be assigned where appropriate.

2. OEO and the certified firm shall ensure that the categories or codes listed in a certification are kept up-to-date and accurate.

The firm bears the burden of providing detailed company information to OEO to make an appropriate designation.

3. If a firm and OEO agree that there is not a category or code that fully or clearly describes the type(s) of work in which the firm is seeking to be certified, the firm may request that OEO, in its certification documentation, supplement the assigned category or code with a clear, specific, and detailed narrative description of the type of work in which the firm is certified. OEO may grant such request, if appropriate. A vague, general, or confusing description is not sufficient.

4. OEO is not precluded from changing at any time a certification classification or description if there is a factual basis supported by documentation pursuant to the process identified in section (14) of this regulation.

(11) Each year following the original date of certification, OEO will notify each firm certified under this program. Each firm must accurately, truthfully, and fully provide the requested information and supporting documentation to OEO. The annual update information and supporting documentation must be verified by all of the applicant firm’s minority or women owners who are in control of the firm. The verification shall be in the form of a statement attesting to the accuracy, completeness, and truthfulness of the information and supporting documentation. OEO may revoke the certification of a firm that fails to complete and return the form. If changes have taken place, the M/WBE must provide information and/or documentation to substantiate that it continues to meet the requirements of these regulations as required by section (7) of this regulation.

(12) OEO will notify a certified firm approximately sixty (60) days before the expiration date of the certification. However, regardless of whether the firm receives the recertification notification, it is the firm’s responsibility to timely submit the required information and supporting documentation. If the recertification update materials and supporting documentation are received by OEO on or before the certification expiration date, then the firm’s certification will not lapse on the third anniversary date after certification. While a timely recertification application is pending, the prior certification shall continue until OEO rules on the recertification request. If recertification information and supporting documentation are not timely received by OEO on or before the anniversary date of certification, then that firm’s certification shall lapse, and the firm shall no longer be certified as an M/WBE, and will be removed from the active list of certified M/WBE vendors. Should a firm whose certification has lapsed later apply for M/WBE certification with OEO, that firm shall remain without M/WBE certification unless and until its new M/WBE certification is approved by OEO.

Recertification will be determined by information submitted on the renewal update, tax returns, and any documented changes regarding ownership, management, or control.

Recertification is not guaranteed. Rapid response recertification is subject to continued certification by another qualified certifying entity as determined by OEO.

(13) Revocation of Certification.

(A) If, based on notification by the firm of a change in its circumstances or other information that comes to OEO’s attention, a determination is made that there is reasonable cause to believe that the currently certified firm is ineligible for certification in whole or per certain categories or codes, OEO shall provide written notice to the firm that OEO proposes to find the firm ineligible. The notice shall set forth the reasons for the proposed determination and state the date by which the firm must provide a written response to the proposed determination if it desires to challenge OEO’s determination.

Reasons for ineligibility may include, but are not limited to, a change in the firm’s circumstance effecting eligibility such as information not available to OEO at the time the firm was certified or information relevant to eligibility that was concealed or misrepresented by the firm; the firm’s certification with OEO is based on certification by another entity whose certification has been revoked; a change in the certification standards or requirements; or OEO’s decision to certify the firm was against the weight of the evidence. The firm may respond in writing to the stated reasons and provide arguments as to why the firm should remain certified.

OEO shall provide written notice of its final decision regarding the status of the firm’s certification. Firms found to be ineligible may appeal to the commissioner pursuant to the procedures set forth in section (9) of this regulation.

(B) OEO shall immediately suspend a firm without adhering to the requirements in sub-

section (14)(A) of this regulation when an individual owner, whose ownership and control of the firm is necessary to the firm’s certification, dies or is incarcerated.

(14) OEO will use the following standards in determining ownership:

(A) In considering whether a minority or woman owns a firm, OEO will consider all relevant facts viewed as a whole, including the origin of all assets and how and when they were used to acquire the ownership interest in the firm. All transactions for the establishment of ownership (or transfer of ownership) must be in the normal course of business, reflecting commercial and arms-length practices;

(B) The contribution of capital or expertise by the minorities or women to acquire their ownership interests in a firm shall be real, substantial, and continuing, going beyond pro formaownership of the firm as reflected in ownership documents. Proof of contribution of capital shall be submitted at the time of the application. When the contribution of capital is through a loan, documentation must be provided to OEO of the value of assets used as collateral for the loan. Examples of insufficient contributions include: a promise to contribute capital, capitalization not commensurate with the value for the firm, participation as employee rather than a manager, or an unsecured note payable to the firm or an owner or former owner who is not a minority or woman. Debt instruments from financial institutions or other organizations that lend funds in the normal course of their business do not render a firm ineligible, even if the debtor’s ownership interest is security for the loan;

(C) Securities held in trust, or by a guardian for a minor, shall not be considered as held by a minority or woman in determining the ownership or control of a firm. However, securities or assets held in trust are considered as held by a minority or a woman for purposes of determining ownership of the firm if— 1. The beneficial owner of securities or assets held in trust is a minority or a woman, and the trustee is the same or another such individual;

2. The beneficial owner of a trust is a minority or a woman who, rather than the trustee, exercises effective control over the management, policy-making, and daily activities of the firm; or 3. Assets held in a revocable living trust may be counted only if the same minority and/or woman is the sole grantor, beneficiary, and trustee;

(D) In determining ownership of a firm, assets or interests acquired in the following ways will be considered held by a minority or woman:

1. From a final property settlement or court order in a divorce or legal separation, provided that no term or condition of the agreement or divorce decree is inconsistent with these regulations; or 2. Through inheritance, or otherwise because of the death of the former owner;

(E) Expertise of a minority or woman applicant may be regarded as a contribution toward ownership if the minority or woman has a significant financial investment in the firm and if the expertise is— 1. In a specialized field;

2. Of outstanding quality;

3. In areas critical to the firm’s operations;

4. Indispensable to the firm’s potential success;

5. Specific to the type of work the firm performs; and 6. Documented in the records of the firm. These records must clearly show the contribution of expertise and its value to the firm;

(F) Ownership and control of the firm by the minorities or women must be real, substantial, and continuing. The minorities or women shall enjoy the customary incidents of ownership and shall share in the risks and profits commensurate with ownership, as demonstrated by the substance, not merely the form, of arrangements. Any terms or practices that give a non-minority or male a priority or superior right to a firm’s profits, compared to the minority or woman owner, are grounds for denial;

(G) The applicant must show that ownership has not been acquired as a gift or by transfer without adequate consideration from a non-minority or male, within one (1) year before application. Thereafter, it is presumed that ownership is not held by the minority or woman if received from a non-minority or male who— 1. Continues to be involved in the same firm for which the applicant is seeking certification or is an affiliate of that firm in a manner that suggests control of the firm;

2. Continues to be involved in the same or similar line of business that suggests control of the firm; or 3. Is engaged in an ongoing business relationship with the firm, or an affiliate of the firm, for which the individual is seeking certification;

(H) To overcome the presumption in sub-

section (15)(G), the minority or woman must clearly demonstrate to OEO that— 1. The gift or transfer to the minority or woman was made for reasons other than obtaining certification; and 2. The minority or woman actually controls the management, policy, and daily operations of the firm, notwithstanding the continuing participation of a non-minority or male who provided the gift or transfer;

(I) When marital assets (other than the assets of the firm in question), held jointly or as community property by both spouses, are used to acquire the ownership interest asserted by a minority or woman spouse, OEO will deem the ownership interest in the firm to have been acquired by the minority or woman with his or her own individual resources, provided that the other spouse irrevocably renounces and transfers all rights in the ownership interest in the manner sanctioned by the laws of the state in which the spouse is domiciled. A copy of the document legally transferring and renouncing the non-minority or male spouse’s rights in the jointly-held or community assets used to acquire an ownership interest in the firm must be included with the firm’s application. OEO cannot count a greater portion of joint or community property assets toward ownership than applicable state law would recognize as belonging to the minority or woman owner of the applicant firm; and (J) A contribution of capital may be real and substantial even though financing agreements, contracts for the purchase or sale of real estate or personal property, bank signature cards, and the like, require the co-signature of a spouse who is not a minority or a woman.

(15) OEO will use the following standards in determining control:

(A) The minority or women owners must have the power to direct or cause the direction of the management and policies of the firm and to make day-to-day as well as long-term decisions on matters of management, policy, and operations. There can be no restrictions upon the minority or woman’s discretion;

(B) Only independent firms are eligible for certification. A firm is independent if its viability does not depend on its relationship with another firm or firms. In determining whether a firm is independent, OEO will consider the firm’s relationships with non-M/WBEs in areas such as personnel, facilities, equipment, and financial and bonding support and other resources. OEO must con sider whether a present or recent employer/employee relationship between minority or women owners of the applicant and any non-M/WBE firms or persons associated with those firms compromise the independence of the applicant. OEO will examine the firm’s relationship with any applicable contractor to determine whether a pattern of exclusive or primary dealings with a contractor compromises the independence of the potential firm;

(C) There can be no restrictions through corporate charters, by-laws, contracts, or any other formal or informal devices (e.g., cumulative voting rights, voting powers attached to different classes of stock, employment contracts, requirements for concurrence by nonminority or non-female partners, conditions precedent or subsequent, executory agreements, voting trusts, restrictions on or assignments of voting rights) that prevent the minority or woman, without the cooperation or vote of any non-minority or male, from making any business decision of the firm.

This does not preclude a spousal co-signature on documents;

(D) A minority or woman must hold the highest official position in the firm (e.g., chief executive officer or president). Board meeting minutes must be provided to verify the results of the most recent officer election, if applicable;

(E) In a corporation, the minority or women owners must control the board of directors. Shareholder meeting minutes and by-laws must be provided to verify who is elected to the board and establish who controls it. In a partnership, one (1) or more of the minority or women owners must serve as general partners, with control over all partnership decisions. A written partnership agreement must be provided. In a limited liability corporation (LLC), the minority or women owners must be the managing members. The operating agreement must be provided to OEO;

(F) Certification will not be denied solely because non-minorities or males may be involved with a firm as owners, managers, employees, stockholders, officers, or directors. Non-minorities or males must not, however, have or exercise the power to control the firm, or be disproportionately responsible for the daily operations of the firm;

(G) The minority or women owners of the firm may delegate various areas of the management, policymaking, or daily operations of the firm to other participants in the firm, regardless of whether these participants are non-minorities or males. Such delegations of

(H) The minority or women owners must have an overall understanding of, and managerial and technical competence or experience directly related to, the type of business in which the firm is engaged and the firm’s operations. The minority or women owners are not required to have experience or expertise in every critical area of the firm’s operation, or to have greater experience or expertise in a given field than managers or key employees. The minority or women owners must have the ability to evaluate information presented by other participants in the firm’s activities and be able to use this information to make independent decisions concerning the firm’s daily operations, management, and policymaking. Generally, expertise limited to office management, administration, or bookkeeping functions unrelated to the principal business activities of the firm is insufficient to demonstrate competency of the business’s area of expertise and control over its daily operations;

(I) If state or local law requires the business to maintain a particular license or other credential in order to own or operate a certain type of firm, then the minority or women owners who exercise majority control of that type of business must possess the required license or credential. If state or local law does not require those persons to have such a license or credential in order to own or operate such a firm, OEO will not deny certification solely on the grounds that the minority or women owners lack such license or credential. However, OEO will consider the absence of the license or credential as one (1) factor in determining whether the minority or women owners actually exercise daily control over the firm;

(J) OEO will consider the difference in remuneration between the minority or women owners and other participants in the firm in determining whether to certify a firm. Such consideration shall be in the context of the duties of the persons involved, normal industry practices, the firm’s practices and policies concerning the reinvestment of income, and any other explanations for the difference offered by the firm. Based upon the evidence, OEO will make a determination about whether a firm is controlled by its minority or women owners, even though that owner’s remuneration may be lower than other participants in the firm. In a case where a nonminority or male owner has formerly controlled the firm, and a minority or a female owner now controls it, OEO may consider the difference between the remuneration of the former and current controller of the firm as a factor in determining who exercises true control over the firm, particularly when the nonminority or male owner remains involved with the firm and continues to receive greater compensation than the minority or female owner;

(K) In order to be viewed as controlling a firm, a minority or female owner cannot engage in outside employment or other business interests that could conflict with the management of the firm or prevent them from devoting sufficient time and attention to the affairs of the firm to control its daily activities. For example, absentee ownership or management of a firm and part-time work in a full-time firm are viewed as not exercising effective daily control over the firm;

(L) Minority or women owners may control a firm even though one (1) or more of the individual’s immediate family members (who themselves are not minorities or women) participate in the firm as a manager, employee, owner, or in some other capacity. OEO will consider how much control the minority or women owners exercise as compared to other persons involved in the business, without regard to whether those other persons are immediate family members;

(M) If OEO cannot determine that the minority or woman owner versus the family as a whole actually controls the firm, then the minority or female owners have failed to meet their burden of proof concerning control, even though they may participate significantly in the firm’s activities;

(N) If a firm was formerly owned and controlled by a non-minority or male who still remains involved in the firm, then the minority or women owners seeking certification must show that— 1. The transfer of ownership and/or control to the minority or women owners was made for reasons other than to obtain certification; and 2. The minority or women owners actually control the management, policy, and daily operations of the firm, notwithstanding the continuing participation of a non-minority or male who formerly owned and/or controlled the firm;

(O) In determining whether a firm is actually controlled by its minority or women owners, OEO will consider whether the firm owns equipment necessary to perform its work. Lack of control by a minority or woman owner will not be found solely because a firm leases, rather than owns such equipment, if leasing equipment is a normal industry practice, and the lease is not with a contractor or other party that compromises the independence of the firm;

(P) Lack of control by a minority or woman owner will not be found solely because a firm leases employees so long as the minority or women owners maintain an employer-employee relationship with the leased employees and are responsible for hiring, firing, training, assigning, and otherwise controlling the leased employees;

(Q) A firm operating under a franchise or license agreement may be controlled by a minority or woman even though the franchise or license arrangement imposes restraints relating to standardized quality, advertising, accounting format, and the like, so long as the firm has the right to profit from its efforts, bears the risk of loss commensurate with ownership, and meets all other requirements of section 37.020, RSMo, and these regulations. Factors that indicate a lack of control by the minority or woman owner include common management or excessive restrictions on the sale or transfer of the franchise interest or license;

(R) In order for a partnership to be deemed controlled by a minority or a woman, any non-minority or male partners must be incapable of, without the specific written authorization of the minority or female partners, contractually binding the partnership. A written partnership agreement is necessary to establish both ownership and control;

(S) Recognition of a business as a separate entity for tax or corporate purposes is not necessarily sufficient to demonstrate that a firm is an independent business, owned and controlled by a woman or minority; and (T) A firm that is owned by an Indian tribe or Native Hawaiian organization, rather than by Indians or Native Hawaiians as individuals, may be eligible for certification if otherwise qualifying. Such a firm must be controlled by Indians or Native Hawaiians.

(16) An applicant that is not owned by minorities or women, but is instead owned by another firm, even though that firm is a certified M/WBE, is ineligible to be certified as an M/WBE except as provided below:

(A) If the minority or women owners own and control the applicant firm through a parent or holding company, established for tax, capitalization, or other purposes consistent with industry practices, and the parent or holding company, in turn, owns and controls an operating subsidiary, OEO may certify the subsidiary if it otherwise meets all requirements of these regulations. In this situation, the individual owners and operators of the parent or holding company are deemed to control the subsidiary through the parent or holding company;

(B) OEO may certify such a subsidiary as an M/WBE if and only if the subsidiary is fifty-one percent (51%) cumulatively owned by a minority or a woman. The following examples illustrate how the provision for cumulative ownership works:

1. Example 1: A minority or a woman owns one hundred percent (100%) of a holding company which in turn has a whollyowned subsidiary. The subsidiary may be certified as an M/WBE, if it meets all other requirements of these regulations;

2. Example 2: A minority or woman owns one hundred percent (100%) of a holding company which, in turn, owns fifty-one percent (51%) of a subsidiary. The subsidiary may be certified, if it meets all other requirements of these regulations;

3. Example 3: A minority or woman owns eighty percent (80%) of a holding company which in turn, owns seventy percent (70%) of a subsidiary. In this case, the cumulative ownership of the subsidiary by a minority or a woman is fifty-six percent (56%)

(80% of 70%=56%). This is more than the fifty-one percent (51%) threshold, so it may be certified as an M/WBE, if it meets all other requirements of these regulations;

4. Example 4: A minority or a woman owns sixty percent (60%) of the holding company, which, in turn, owns fifty-one percent (51%) of a subsidiary. In this case, the cumulative ownership would be thirty-one percent (31%) (60% of 51%=31%). This is less than the required fifty-one percent (51%) threshold, so it cannot be certified as an M/WBE; or 5. Example 5: Someone other than the minority or women owners of the parent or holding company controls the subsidiary.

Even though the subsidiary is owned by minorities or women, through the holding or parent company, it cannot be certified as an M/WBE because it does not meet the control requirement.

(17) Joint Venture. As required by section 37.020.1(3)(b), RSMo, in order to qualify for joint venture certification, at least fiftyone percent (51%) of the ownership interest in the joint venture must be held by minorities, and the management and daily business operations of the joint venture must be controlled by one (1) or more of the minorities who own it. OEO shall require a joint venture applicant to submit documentation including, but not limited to, a copy of the joint venture agreement and a copy of the certification issued to the M/WBE participant in the joint venture. Any changes proposed in the joint venture agreement must be filed with and approved by OEO prior to the implementation of the changes in order to maintain certification. Failure to comply may result in revocation of the joint venture certification.

Original rule filed Oct. 20, 1997, effective May 30, 1998. Amended: Filed March 24, 2000, effective Oct. 30, 2000. Amended:

Filed June 1, 2011, effective Nov. 30, 2011.

Amended: Filed April 5, 2016, effective Nov. 30, 2016. *Original authority: 37.023, RSMo 1995.

History

• authority must be revocable, and the minority or women owners must retain the power to hire and fire any person to whom such
• authority is delegated. The managerial role of 6CODE OF STATE REGULATIONS the minority or women owners in the firm’s overall affairs must be such that OEO can reasonably conclude that the owner actually exercises control over the firm’s operations, management, and policy;
• AUTHORITY: section 37.023, RSMo 2000. This rule originally filed as 1 CSR 40-1.080.

1 CSR 10-17.050 Minority and Women’s Business Enterprise Participation in Procurement Process {#sec-1-csr-10-17.050 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-17.050}

PURPOSE: This rule establishes a program to encourage and facilitate the utilization of Minority Business Enterprises (MBEs) and Women’s Business Enterprises (WBEs) (collectively, M/WBEs) by assuring that they have the maximum opportunity to participate in procurements financed in whole or in part with state funds.

(1) The Office of Equal Opportunity (OEO) will provide assistance to Minority and Women’s Business Enterprises (M/WBEs).

Assistance provided may include, but is not limited to: workshops, bid history and pricing abstracts, minority vendor registration, access to state agency procurement staff, inclusion in the M/WBE online directory, notification of bid opportunities to promote increased participation, and referrals to agencies that may provide specialized training or assist with financing and bonding issues.

(2) By collaborating with the Divisions of Purchasing and Facilities Management, Design and Construction within the Office of Administration, OEO will encourage participation in the procurement process and fairness in consideration of bids and proposals submitted by M/WBEs. Programs and procedures designed by OEO to accomplish these objectives may include: providing diversity training for state procurement personnel; identifying minority and women personnel to serve on evaluation committees; closely reviewing the requirements for bonding; notifying M/WBEs of procurement opportunities online; and actively collaborating with executive branch agencies.

(3) OEO will compile and maintain a directory of certified M/WBEs. The directory will include each firm’s name, address, phone number, email address, firm’s status as an M/WBE, age of the firm, and the categories of work the firm has been certified to perform. The directory will be available online to bidders, contractors, and the public.

(4) OEO will support the Division of Purchasing in setting individual contract percentages for M/WBEs to help meet the State’s Annual Aspirational Program Goals and work to further its programs in accordance with

section 37.020, RSMo; any successor or similar statutes; executive orders based upon a study to determine the availability of qualified M/WBEs; and any other pertinent information. OEO will periodically review M/WBE contract goal setting procedures, M/WBE utilization percentages, and outreach and assistance programs to determine whether existing activities should be continued or revised and whether new programs should be implemented.

(5) By collaborating with the Office of Administration, Division of Purchasing, and the Division of Facilities Management Design and Construction, and executive branch agencies, OEO may work with agencies to assist in the achievement of the State’s Annual Aspirational Program. OEO may also recommend to agencies solicitations in which M/WBE requirements may be appropriate; recommend that qualified M/WBEs be included on solicitation lists; and, when feasible, recommend structuring contracts to maximize potential M/WBE and small business participation.

(6) The total dollar value of a purchase procured from an M/WBE may be counted toward meeting established M/WBE goals in procurements under twenty-five thousand dollars ($25,000) financed in whole or in part with state funds.

(7) After the contract is established, OEO shall monitor the activity of the contractor to assure compliance with the M/WBE utilization stipulated in the contract and in accordance with applicable statutes and regulations.

(8) Contractors that fail to comply with their M/WBE contractual requirements may be considered in breach of contract and may be subject to the remedies in the contract and as otherwise allowable by law.

(9) OEO shall maintain statistics and issue periodic reports about M/WBE participation and recommendations for improvement.

rule originally filed as 1 CSR 40-1.070. Original rule filed Oct. 20, 1997, effective May 30, 1998. Amended: Filed March 24, 2000, effective Oct. 30, 2000. Amended: Filed June 1, 2011, effective Nov. 30, 2011. Amended:

Filed April 5, 2016, effective Nov. 30, 2016. *Original authority: 34.050, RSMo 1939, amended 1945, 1993, 1995 and 37.020, RSMo 1990, amended 2014.

History

• AUTHORITY: section 34.050, RSMo 2000, 8CODE OF STATE REGULATIONS and section 37.020, RSMo Supp. 2014. This

Chapter 18 Retirement Policy

1 CSR 10-18.010 Retirement Policy {#sec-1-csr-10-18.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 10-18.010}

(Rescinded February 28, 2019)

Emergency rule filed Aug. 27, 2003, effective Sept. 12, 2003, expired March 9, 2004. Original rule filed July 21, 2003, effective Feb. 29, 2004. Rescinded: Filed Sept. 5, 2018, effective Feb. 28, 2019.

JOHNR. ASHCROFT(1/29/19)

History

• AUTHORITY: 104.404, RSMo Supp. 2003.

Division 15 Administrative Hearing Commission

Chapter 1 Organization and Description

1 CSR 15-1.020 Presiding Judge {#sec-1-csr-15-1.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-1.020}

(Rescinded February 6, 1992). . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 (6/30/22) John R. Ashcroft HEARING COMMISSION 1 CSR 15-1—OFFICE OF ADMINISTRATION

1 CSR 15-1.010 General Organization {#sec-1-csr-15-1.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-1.010}

(Rescinded February 6, 1992)

History

• AUTHORITY: section 621.198, RSMo 1986. This rule was previously filed as 4 CSR 20-1.010. Original rule filed Aug. 30, 1976, effective Dec. 11, 1976. Amended: Filed July 15, 1980, effective Nov. 13, 1980. Emergency amendment filed Nov. 14, 1986, effective Dec. 1, 1986, expired March 1, 1987. Amended: Filed Nov. 14, 1986, effective March 2, 1987. Amended: Filed Oct. 16, 1987, effective Jan. 19, 1988. Rescinded: Filed Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-1.020 Presiding Judge {#sec-1-csr-15-1.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-1.020}

(Rescinded February 6, 1992)

History

• AUTHORITY: section 621.198, RSMo 1986. This rule was previously filed as 4 CSR 20-1.020. Original rule filed July 15, 1980, effective Nov. 13, 1980. Emergency amendment filed Oct. 7, 1981, effective Oct. 17, 1981, expired Feb. 4, 1982. Amended: Filed Oct. 7, 1981, effective Jan. 14, 1982. Rescinded: Filed Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-1.201 Organization 536.023, RSMo and sets forth the selection process, term, powers and duties of the presiding commissioner. {#sec-1-csr-15-1.201 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-1.201}

(1) Presiding Commissioner. The Administrative Hearing Commission shall choose one (1) commissioner to be presiding commissioner by majority vote of the commissioners. The presiding commissioner shall serve a term of one (1) year ending June 30, or until a successor is chosen, whichever is later.

The presiding commissioner shall have the managerial and budgetary powers and duties that the commission assigns by majority vote of the commissioners.

(2) Managing Commissioner. The Administrative Hearing Commission may choose one (1) commissioner to be managing commissioner by majority vote of the commissioners. The managing commissioner shall serve a term of one (1) year ending December 31, or until a successor is chosen, whichever is later.

The managing commissioner shall have the powers and duties that the presiding commissioner assigns.

Filed July 2, 2008, effective Jan. 1, 2009. *Original authority: 536.023, RSMo 1975, amended 1976, 1997, 2004 and 621.198, RSMo 1965, amended 1978, 2001.

History

• AUTHORITY: sections 536.023.3 and 621.198, RSMo Supp. 2007. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. Amended:

1 CSR 15-1.204 General Operation 536.023, RSMo. {#sec-1-csr-15-1.204 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-1.204}

The commission shall conduct administrative review of administrative actions under the procedures provided by law.

History

• AUTHORITY: section 536.023, RSMo Supp. 2005. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. Amended: Filed Oct. 31, 1994, effective May 28, 1995. Amended: Filed May 30, 2006, effective Nov. 30, 2006. Original authority: 536.023, RSMo 1975, amended 1976, 1997, 2004.

1 CSR 15-1.207 Information, Submissions, or Requests 536.023, RSMo. {#sec-1-csr-15-1.207 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-1.207}

(1) The public may make submissions or requests for information or records by visiting the commission at its office at the United States Post Office Building, 131 West High Street, Third Floor, Jefferson City, Missouri, by writing the commission at PO Box 1557, Jefferson City, MO 65102, by telephone at (573) 751- 2422, or by email at AHC@oa.mo.gov.

(2) Any person seeking access to records under Chapter 610, RSMo, also known as the Sunshine Law or Open Records Law, shall proceed as indicated in section (1) of this rule and direct the request to the commission’s custodian of records.

rule filed Aug. 5, 1991, effective Feb. 6, 1992. Amended: Filed July 2, 2008, effective Jan. 1, 2009. Amended: Filed Nov. 8, 2022, effective May 30, 2023. *Original authority: 536.023, RSMo 1975, amended 1976, 1997, 2004 and 621.198, RSMo 1965, amended 1978, 2001.

History

• AUTHORITY: sections 536.023.3 and 621.198, RSMo 2016. Original

Chapter 2 Licensing Cases Under Section 621.045, RSMo

1 CSR 15-2.250 Practice by a Licensed Attorney; When Required {#sec-1-csr-15-2.250 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.250}

1 CSR 15-2.270 Service of Filings Other Than the Original Complaint {#sec-1-csr-15-2.270 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.270}

1 CSR 15-2.290 Filing of Documents; Fax Filing: Posting Bond {#sec-1-csr-15-2.290 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.290}

(Rescinded November 30, 2002) ..4 Title 1óOFFICE OF ADMINISTRATION Division 15óAdministrative Hearing Commission

Chapter 2óLicensing Cases Under

Section 621.045, RSMo

1 CSR 15-2.010 Definitions {#sec-1-csr-15-2.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.010}

2.010. This version of rule filed June 21, 1973, effective July 1, 1973. Rescinded and readopted: Filed Aug. 11, 1978, effective Dec. 20, 1978. Amended: Filed July 15, 1980, effective Nov. 13, 1980. Rescinded:

1 CSR 15-2.020 Powers and Duties {#sec-1-csr-15-2.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.020}

2.020. This version of rule filed June 21, 1973, effective July 1, 1973. Rescinded and readopted: Filed Aug. 11, 1978, effective Dec. 20, 1978. Rescinded: Filed Aug. 5,

1 CSR 15-2.030 Practice by Attorneys {#sec-1-csr-15-2.030 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.030}

2.030. This version of rule filed Aug. 11, 1973, effective Dec. 20, 1973. Amended:

Amended: Filed Oct. 16, 1987, effective Jan. 19, 1988. Rescinded: Filed Aug. 5, 1991,

1 CSR 15-2.035 Expedited Filing Emergency rule filed Aug. 18. 1989, effective Aug. 28, 1989, expired Dec. 25, 1989. {#sec-1-csr-15-2.035 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.035}

Dec. 28, 1989. Rescinded: Filed Aug. 5,

1 CSR 15-2.040 Complaints {#sec-1-csr-15-2.040 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.040}

2.040. This version of rule filed Aug. 11, 1978, effective Dec. 20, 1978. Emergency amendment filed June 14, 1979, effective June 25, 1979, expired Oct. 22, 1979.

Amended: Filed June 14, 1979, effective Nov. 11, 1979. Amended: Filed July 15, 1980, effective Nov. 13, 1980. Emergency amendment filed Nov. 14, 1986, effective Dec. 1, 1986, expired March 1, 1987. Amended:

Filed Nov. 14, 1986, effective March 2, 1987.

Emergency amendment filed Aug. 18, 1989, effective Aug. 28, 1989, expired Dec. 25, 1989. Amended: Filed Aug. 31, 1989, effective Dec. 28, 1989. Rescinded: Filed Aug. 5,

1 CSR 15-2.050 Answers and Supplementary Pleadings {#sec-1-csr-15-2.050 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.050}

2.050. This version of rule filed Aug. 11, Emergency amendment filed Nov. 14, 1986, effective Dec. 1, 1986, expired March 1, 1987. Amended: Filed Nov. 14, 1986, effective March 2, 1987. Amended: Filed Oct. 16, 1987, effective Jan. 19, 1988. Emergency amendment filed Aug. 18, 1989, effective Aug. 28, 1989, expired Dec. 25, 1989.

Amended: Filed Aug. 31, 1989, effective Dec. 28, 1989. Rescinded: Filed Aug. 5, 1991,

1 CSR 15-2.060 Petition for Stay {#sec-1-csr-15-2.060 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.060}

2.060. This version of rule filed Aug. 11, 1978, effective Dec. 20, 1978. Emergency amendment filed June 14, 1979, effective June 25, 1979, expired Oct. 22, 1979.

Amended: Filed May 14, 1979, effective Nov. 11, 1979. Rescinded: Filed Aug. 5, 1991,

1 CSR 15-2.070 Prehearing Conferences {#sec-1-csr-15-2.070 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.070}

2.070. This version of rule filed Aug. 11, Filed Aug. 5, 1991, effective Feb. 6. 1992.

1 CSR 15-2.080 Discovery {#sec-1-csr-15-2.080 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.080}

History

• AUTHORITY: sections 536.073 and 621.198, RSMo 1986. This rule was originally filed as

4 CSR 20-2.080. This version of rule filed Aug. 11, 1978, effective Dec. 20, 1978. {#sec-4-csr-20-2.080. omnilex-key=us-mo-regs-official--title-1--4 CSR 20-2.080.}

Amended: Filed July 15, 1980, effective Nov. 13, 1980. Amended: Filed May 29, 1986, effective Dec. 1, 1986. Emergency amendment filed Aug. 18, 1989, effective Aug. 28, 1989, expired Dec. 25, 1989. Amended:

Filed Aug. 31, 1989, effective Dec. 28, 1989.

Rescinded: Filed Aug. 5, 1991, effective Feb.

1 CSR 15-2.090 Hearing {#sec-1-csr-15-2.090 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.090}

2.090. This version of rule filed Aug. 11, Emergency amendment filed Nov. 14, 1986, effective Dec. 1, 1986, expired March 1, 1987. Amended: Filed Nov. 14, 1986, effective March 2, 1987. Rescinded: Filed Aug. 5, 1991, effective Feb. 6, 1992

1 CSR 15-2.100 Final Decisions {#sec-1-csr-15-2.100 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.100}

2.100. This version of rule filed Aug. 11,

1 CSR 15-2.110 Judicial Review {#sec-1-csr-15-2.110 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.110}

2.110. This version of rule filed Aug. 11, Rescinded: Filed Aug. 5, 1991, effective Feb.

1 CSR 15-2.120 Availability of Commissionís Rules {#sec-1-csr-15-2.120 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.120}

2.120. This version of rule filed Aug. 11,

Chapter 2óLicensing Cases Under Section 621.045, RSMo1 CSR 15-2

1 CSR 15-2.130 Waiver of Hearing {#sec-1-csr-15-2.130 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.130}

2.130. This version of rule filed Aug. 11,

1 CSR 15-2.140 Dismissal {#sec-1-csr-15-2.140 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.140}

2.140. This version of rule filed July 15, 1980, effective Nov. 13, 1980. Amended:

Filed Oct. 16, 1987, effective Jan. 19, 1988.

Rescinded:Filed Aug. 5, 1991, effective Feb.

1 CSR 15-2.150 Disposition of Contested Case Without Hearing {#sec-1-csr-15-2.150 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.150}

History

• AUTHORITY: sections 536.073 and 621.198, RSMo 1986. Original rule filed May 29, 1986, effective Dec. 1, 1986. Rescinded:

1 CSR 15-2.160 Bench Rulings and Memorandum Decisions Emergency rule filed Aug. 18, 1989, effective Aug. 28, 1989, expired Dec. 25, 1989. {#sec-1-csr-15-2.160 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.160}

Dec. 28, 1989. Rescinded: Filed Aug. 5,

1 CSR 15-2.170 Applications for Attorneyís Fees Emergency rule filed Aug. 18, 1989, effective Aug. 28, 1989, expired Dec. 25, 1989. {#sec-1-csr-15-2.170 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.170}

Dec. 28, 1989. Rescinded: Filed Aug. 5,

1 CSR 15-2.200 Subject Matter {#sec-1-csr-15-2.200 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.200}

Original rule filed Jan. 11, 2001, effective July 30, 2001. Rescinded: Filed June 3, 2002, effective Nov. 30, 2002.

History

• AUTHORITY: section 621.198, RSMo 2000.

1 CSR 15-2.210 Definitions Feb. 6, 1992. Rescinded: Filed June 3, 2002, {#sec-1-csr-15-2.210 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.210}

1 CSR 15-2.230 Computation of Time; {#sec-1-csr-15-2.230 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.230}

Extensions of Time Feb. 6, 1992. Rescinded: Filed June 3, 2002,

1 CSR 15-2.250 Practice by a Licensed Attorney; When Required {#sec-1-csr-15-2.250 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.250}

History

• AUTHORITY: sections 621.035 and 621.198, RSMo 1986. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. Rescinded: Filed June 3, 2002, effective Nov. 30, 2002.

1 CSR 15-2.270 Service of Filings Other Than the Original Complaint {#sec-1-csr-15-2.270 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.270}

Filed June 3, 2002, effective Nov. 30, 2002.

History

• AUTHORITY: sections 621.198 and 621.205, RSMo 1994. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. Amended: Filed Oct. 31, 1994, effective May 28, 1995. Rescinded:

1 CSR 15-2.290 Filing of Documents; Fax Filing: Posting Bond {#sec-1-csr-15-2.290 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.290}

Filed Jan. 11, 2001, effective July 30, 2001.

Rescinded: Filed June 3, 2002, effective Nov. 30, 2002.

History

• AUTHORITY: sections 621.198 and 621.205, RSMo 2000. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. Amended: Filed Oct. 31, 1994, effective May 28, 1995. Amended:

1 CSR 15-2.320 Stays or Suspensions of Agency Action Feb. 6, 1992. Rescinded: Filed June 3, 2002, {#sec-1-csr-15-2.320 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.320}

1 CSR 15-2.350 Complaints Feb. 6, 1992. Amended: Filed Oct. 31, 1994, {#sec-1-csr-15-2.350 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.350}

1 CSR 15-2.380 Answers and Other Responsive Pleadings Feb. 6, 1992. Amended: Filed Oct. 31, 1994, {#sec-1-csr-15-2.380 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.380}

1 CSR 15-2.390 Intervention Feb. 6, 1992. Rescinded: Filed June 3, 2002, {#sec-1-csr-15-2.390 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.390}

1 CSR 15-2.410 Closing of Case Records and Hearings Feb. 6, 1992. Rescinded: Filed June 3, 2002, {#sec-1-csr-15-2.410 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.410}

1 CSR 15-2.420 Discovery Feb. 6, 1992. Rescinded: Filed June 3, 2002, {#sec-1-csr-15-2.420 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.420}

1 CSR 15-2.430 Dismissal Feb. 6, 1992. Amended: Filed Oct. 31, 1994, {#sec-1-csr-15-2.430 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.430}

1 CSR 15-2.450 Determination of Cases Without Hearing 4CODE OF STATE REGULATIONS (10/31/02) MATTBLUNT 1 CSR 15-2óOFFICE OF ADMINISTRATIONDivision 15óAdministrative Hearing Commission {#sec-1-csr-15-2.450 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.450}

Amended: Filed Oct. 31, 1994, effective May 28, 1995. Amended: Filed Jan 11, 2001, effective July 30, 2001. Rescinded: Filed June 3, 2002, effective Nov. 30, 2002.

History

• AUTHORITY: sections 536.073.2(2) and 621.198, RSMo 2000. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-2.470 Prehearing Conferences Feb. 6, 1992. Rescinded: Filed June 3, 2002, {#sec-1-csr-15-2.470 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.470}

1 CSR 15-2.480 Hearings on Motions Feb. 6, 1992. Rescinded: Filed June 3, 2002, {#sec-1-csr-15-2.480 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.480}

1 CSR 15-2.490 Hearings on Complaints Feb. 6, 1992. Amended: Filed Oct. 31, 1994, {#sec-1-csr-15-2.490 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.490}

1 CSR 15-2.510 Transcripts Feb. 6, 1992. Rescinded: Filed June 3, 2002, {#sec-1-csr-15-2.510 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.510}

1 CSR 15-2.530 Bench Rulings and Memorandum Decisions Feb. 6, 1992. Rescinded: Filed June 3, 2002, {#sec-1-csr-15-2.530 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.530}

1 CSR 15-2.560 Fees and Expenses {#sec-1-csr-15-2.560 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.560}

Feb. 6, 1992. Amended: Filed Oct. 31, 1994, effective May 28, 1995. Amended: Filed Jan. 11, 2001, effective July 30, 2001. Rescinded:

Filed June 3, 2002, effective Nov. 30, 2002.

History

• AUTHORITY: section 621.198, RSMo 2000.

1 CSR 15-2.580 Certifications of Records Feb. 6, 1992. Rescinded: Filed June 3, 2002, {#sec-1-csr-15-2.580 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-2.580}

Chapter 2óLicensing Cases Under Section 621.045, RSMo1 CSR 15-2

Chapter 3 Procedure for All Contested Cases Under Statutory Jurisdiction, Except Cases Where Procedure Is Otherwise Provided For By Law

1 CSR 15-3.440 Disposing of a Case Without a Hearing on the Complaint ADMINISTRATION Commission Cases Under Statutory Jurisdiction, Except Cases Where Procedure Is Otherwise Provided For By Law {#sec-1-csr-15-3.440 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.440}

1 CSR 15-3.010 Definitions {#sec-1-csr-15-3.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.010}

3.010. Emergency rule filed Aug. 11, 1978, 1978. Original rule filed Aug. 11, 1978,

1 CSR 15-3.020 Powers and Duties {#sec-1-csr-15-3.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.020}

3.020. Emergency rule filed Aug. 11, 1978, 1978. Original rule filed Aug. 11, 1978,

1 CSR 15-3.030 Practice by Attorneys {#sec-1-csr-15-3.030 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.030}

3.030. Emergency rule filed Aug. 11, 1978, 1978. Original rule filed Aug. 11, 1978, 15, 1980, effective Nov. 13, 1980. Amended:

Filed Oct. 16, 1987, effective Jan. 19, 1988.

Rescinded: Filed Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-3.035 Expedited Filing Aug. 28, 1989, expired Dec. 25, 1989. Orig- {#sec-1-csr-15-3.035 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.035}

1 CSR 15-3.040 Complaints {#sec-1-csr-15-3.040 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.040}

3.040. Emergency rule filed Aug. 11, 1978, 1978. Original rule filed Aug. 11, 1978, Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-3.050 Answers and Supplementary Pleadings {#sec-1-csr-15-3.050 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.050}

3.050. Emergency rule filed Aug. 11, 1978, 1978. Original rule filed Aug. 11, 1978, 15, 1980, effective Nov. 13, 1980. Emergency amendment filed Nov. 14, 1986, effective Dec. 1, 1986, expired March 1, 1987.

Amended: Filed Nov. 14, 1986, effective March 2, 1987. Amended: Filed Oct. 16, 1987, effective Jan. 19, 1988. Emergency amendment filed Aug. 18, 1989, effective Aug. 28, 1989, expired Dec. 25, 1989.

Amended: Filed Aug. 31, 1989, effective Dec.

1 CSR 15-3.060 Petition for Stay {#sec-1-csr-15-3.060 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.060}

3.060. Emergency rule filed Aug. 11, 1978, 1978. Original rule filed Aug. 11, 1978, Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-3.070 Prehearing Conference {#sec-1-csr-15-3.070 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.070}

3.070. Emergency rule filed Aug. 11, 1978, 1978. Original rule filed Aug. 11, 1978,

1 CSR 15-3.080 Discovery {#sec-1-csr-15-3.080 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.080}

History

• AUTHORITY: sections 536.073 and 621.198, RSMo 1986. This rule was previously filed as

4 CSR 20-3.080. Emergency rule filed Aug. 11, 1978, effective Aug. 23, 1978, expired Dec. 20, 1978. Original rule filed Aug. 11, 1978, effective Dec. 20, 1978. Amended: {#sec-4-csr-20-3.080. omnilex-key=us-mo-regs-official--title-1--4 CSR 20-3.080.}

Filed July 15, 1980, effective Nov. 13, 1980.

Amended: Filed May 29, 1986, effective Dec. 1, Emergency amendment filed Aug. 18, 1989, effective Aug. 28, 1989, expired Dec. 25, 1989. Amended: Filed Aug. 31, 1989, effective Dec. 28, 1989. Rescinded: Filed Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-3.090 Hearing {#sec-1-csr-15-3.090 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.090}

3.090. Emergency rule filed Aug. 11, 1978, 1978. Original rule filed Aug. 11, 1978, 15, 1980, effective Nov. 13, 1980. Emergency amendment filed Nov. 14, 1986, effective Dec. 11, 1986, expired March 1, 1987.

Amended: Filed Nov. 14, 1986, effective March 2, 1987. Rescinded: Filed Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-3.100 Final Decisions {#sec-1-csr-15-3.100 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.100}

3.100. Emergency rule filed Aug. 11, 1978, 1978. Original rule filed Aug. 11, 1978, Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-3.110 Judicial Review {#sec-1-csr-15-3.110 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.110}

3.090. Emergency rule filed Aug. 11, 1978, 1978. Original rule filed Aug. 11, 1978, effective Dec. 20, 1978. Emergency amendment filed Nov. 14, 1986, effective Dec. 1, 1986, expired March 1, 1987. Amended:

Filed Nov. 14, 1986, effective March 2, 1987.

Rescinded: Filed Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-3.120 Availability of Commission’s Rules {#sec-1-csr-15-3.120 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.120}

3.120. Emergency rule filed Aug. 11, 1978, 1978. Original rule filed Aug. 11, 1978, Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-3.130 Waiver of Hearing {#sec-1-csr-15-3.130 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.130}

3.130. Emergency rule filed Aug. 11, 1978, 1978. Original rule filed Aug. 11, 1978, Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-3.140 Dismissal {#sec-1-csr-15-3.140 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.140}

3.140. Original rule filed July 15, 1980, effective Nov. 13, 1980. Amended: Filed Oct. 16, 1987, effective Jan. 19, 1988. Rescinded:

1 CSR 15-3.150 Disposition of Contested Case Without Hearing {#sec-1-csr-15-3.150 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.150}

History

• AUTHORITY: section 536.073 and 621.198, RSMo 1986. Original rule filed May 29, 1986, effective Dec. 1, 1986. Rescinded:

1 CSR 15-3.160 Bench Rulings and Memorandum Decisions Aug. 28, 1989, expired Dec. 25, 1989. Orig- {#sec-1-csr-15-3.160 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.160}

1 CSR 15-3.170 Applications for Attorney’s Fees Aug. 28, 1989, expired Dec. 25, 1989. Orig- {#sec-1-csr-15-3.170 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.170}

1 CSR 15-3.200 Subject Matter {#sec-1-csr-15-3.200 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.200}

PURPOSE: This rule sets out the matters to which this chapter applies.

This chapter 1 CSR 15-3 contains all procedural regulations for all contested cases assigned to the Administrative Hearing Commission by statute except as otherwise provided for by law. This chapter does not apply to cases not assigned to the Administrative Hearing Commission by statute, including cases in which the Administrative Hearing Commission acts as a hearing officer for another agency by interagency agreement.

History

• AUTHORITY: sections 226.008.4, 536.073.3, 621.035, 621.198, and 622.027, RSMo 2016. Original rule filed Jan. 11, 2001, effective July 30, 2001. Amended: Filed June 3, 2002, effective Nov. 30, 2002. Emergency amendment filed Nov. 26, 2002, effective Dec. 6, 2002, expired May 30, 2003. Amended: Filed Nov. 26, 2002, effective May 30, 2003. Amended: Filed May 30, 2006, effective Nov. 30, 2006. Amended: Filed Sept. 29, Original authority: 226.008, RSMo 2002, 2014; 536.073, RSMo 1957, amended 1985, 1989, 1995; 621.035, RSMo 1978; 621.198, RSMo 1965, amended 1978, 2001; and 622.027, RSMo 1985, amended 1993, 1995.

1 CSR 15-3.210 Definitions {#sec-1-csr-15-3.210 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.210}

PURPOSE: This rule sets out the definitions of terms used in the rules of the Administrative Hearing Commission.

(1) As used in this chapter, the following terms mean:

(A) Agency—any governmental entity subject to the jurisdiction of the commission;

(B) Aggrieved person—any person, other than an agency, the attorney general, a licensee or an applicant, whom the law allows to file a complaint relating to a license;

(C) Applicant—any person whom an agency refuses to permit to be examined upon the person’s qualifications, or who has passed an examination for licensure but as to whom an agency refuses to issue or renew a license, or who possesses the qualifications for licensure without examination;

(D) Commission—the Administrative Hearing Commission or any commissioner;

(E) Commissioner—any administrative hearing commissioner, including any acting commissioner;

(F) Commission’s office—the Administrative Hearing Commission’s official residence at 131 West High Street, Third Floor, PO Box 1557, Jefferson City, MO 65101;

(G) Complaint—the petition, application, or other initial pleading other than a motion for a stay, or any amended complaint;

(H) Hearing—any presentation to, or consideration by, the commission of evidence or argument on a complaint, motion or application;

(I) License—any permit to engage in a licensed activity or certificate of registration;

(J) Licensee—any person holding a license;

(K) Person—any individual, corporation, limited liability company, or other legal entity;

(L) Petitioner—the party filing the complaint;

(M) Pleading—a complaint or a responsive pleading;

(N) Respondent—the party against whom the complaint is filed, and any person later joined as respondent;

(O) Responsive pleading—an answer, and any motion directed to the contents or form of the complaint, including, without limitation, motions to dismiss, motions for more definite statement or to make more definite and certain, motions to strike or any combination of these pleadings; and (P) Stay—any stay or a suspension of any action from which petitioner is appealing.

Feb. 6, 1992. Amended: Filed Jan. 11, 2001, effective July 30, 2001. Amended: Filed June 3, 2002, effective Nov. 30, 2002. Amended:

1 CSR 15-3.230 Computation of Time {#sec-1-csr-15-3.230 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.230}

PURPOSE: This rule sets forth the manner in which time periods will be computed.

(1) In computing any period of time prescribed or allowed by these rules or by order of the commission, the day of the act, event or default after which the designated period of time begins to run is not to be included.

The last day of the period so computed is to 4CODE OF STATE REGULATIONS be included, unless it is a Saturday, Sunday or legal holiday, in which event the period runs until the end of the next day which is neither a Saturday, Sunday nor legal holiday.

(2) The commission may extend the time set by these rules or by order of the commission either before or after the time period has expired.

(3) A party may move for an extension of the time set by these rules or by order of the commission. The motion shall be in writing and shall state whether any party objects to the extension or that efforts to contact the parties have been futile.

Feb. 6, 1992.

1 CSR 15-3.250 Practice by a Licensed Attorney; When Required {#sec-1-csr-15-3.250 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.250}

PURPOSE: This rule states when and how a party must be represented by a licensed attorney.

(1) Any individual may present that individual’s own case without a licensed attorney.

(2) Any individual may file a complaint on behalf of another person, including a corporation, limited liability company, or other legal entity.

(3) Except as set forth in section (2) of this

rule, only a licensed attorney may represent any other person, including a corporation, limited liability company, or other legal entity. The filing of any document with the commission by a licensed attorney shall be deemed an entry of appearance. An attorney not authorized to practice in Missouri shall enter an appearance in accordance with Missouri Supreme Court Rules.

Feb. 6, 1992. Amended: Filed June 3, 2002,

1 CSR 15-3.270 Service of Filings Other Than the Original Complaint {#sec-1-csr-15-3.270 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.270}

PURPOSE: This rule requires that anyone filing anything other than a complaint with the commission send copies to all parties.

(1) Unless otherwise provided by these rules or by other law, any party to a proceeding before the commission or any person who seeks to become a party shall serve upon all attorneys of record and unrepresented parties a copy of any document or item the party files with the commission.

(2) Methods of Service.

(A) A person may serve a document on an attorney by— 1. Hand-delivering it to the attorney;

2. Leaving it at the attorney’s office with a secretary, clerk, or attorney associated with or employed by the attorney served;

3. Mailing it to the attorney’s last known address;

4. Sending it to the attorney’s last known e-mail address; or 5. Facsimile transmitting (faxing) it to the attorney’s last known fax number.

(B) A person may serve a document on an unrepresented party by— 1. Hand-delivering it to the party;

2. Mailing it to the party’s last known address;

3. Sending it to the party’s last known email address; or 4. Faxing it to the party’s last known fax number.

(C) Personal service on attorneys and selfrepresented parties and service by leaving a copy at the attorney’s office is complete upon delivery. Service by mail is complete upon mailing. Service by fax transmission or email is complete upon transmission, except that a transmission made on a Saturday, Sunday, or legal holiday, or after 5:00 p.m. shall be complete on the next day that is not a Saturday, Sunday, or legal holiday.

(3) Any document or item filed with the commission shall contain or be accompanied by a signed certification of service that indicates how and when the filing party has met the provisions of section (1) of this rule. The certification of service shall state the— (A) Name of the person served;

(B) Date of service;

(C) Method of service; and (D) Address of service, such as mailing address, fax number, or e-mail address.

(4) The commission, after due notice to all parties, may waive the requirements of section (1) of this rule either on its own motion or on the motion of any party.

(5) The requirements of this rule shall not apply to an original complaint.

Feb. 6, 1992. Amended: Filed Sept. 29, 2016, effective March 30, 2017.

1 CSR 15-3.290 Filing of Documents; Fax or Electronic Filing; Posting Bond {#sec-1-csr-15-3.290 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.290}

PURPOSE: This rule establishes procedures for filing documents and when they are deemed filed and clarifies the requirement for posting bonds.

(1) A party may file a document with the commission by— (A) Hand-delivering the document to the commission. A document filed by handdelivering a physical copy to the commission is deemed filed on the date the commission receives the document;

(B) Registered or Certified Mail. A document filed by registered or certified mail, as defined in section 1.020(1), RSMo, is deemed filed on the date shown on the records of the United States Post Office or other common carrier that allows a sender or recipient to electronically track its location and provides record of the signature of the recipient;

(C) Electronic Transmission by fax or through an electronic filing system, or its equivalent.

1. A document filed by fax shall follow the procedures set forth in section (2) of this

rule.

2. A document filed by electronic filing or its equivalent shall follow the procedures set forth in section (3) of this rule.

3. A document filed by fax or electronic filing is deemed filed at the time the commission receives the fax or electronic filing, except that if a document arrives by fax or electronic filing after 5:00 p.m. and before 12:00 midnight or on a Saturday, Sunday, or legal holiday, it is filed on the commission’s next business day, unless the commission orders otherwise; or (D) Any Other Method. A document filed by any method other than hand-delivery, registered mail, certified mail, fax, or electronic filing is deemed filed on the date the commission receives the document.

(2) A party filing by fax shall— (A) Fax the document to the commission’s dedicated fax number, (573) 751-5018;

(B) Fax the document, if possible, to all other parties having electronic facsimile equipment. If unable to fax, a party shall notify all other parties of its intention to file the document by fax. The notice need not be in writing. A good faith attempt at compliance shall satisfy the requirements of this subsection;

(C) If the commission so orders, send the original signed document to the commission;

(D) Certify in the documents the method of notice used to fulfill the requirements of sub-

section (2)(B) of this rule; and (E) Send a copy of the document to all parties as provided in 1 CSR 15-3.270. The commission may order the party to send a copy of the document to any party by overnight mail.

(3) A party filing by electronic filing shall— (A) Transmit the document via the commission’s dedicated electronic filing system accessible through the commission website;

(B) E-mail the document, if possible, to all other parties having e-mail capability. If unable to e-mail, a party shall notify all other parties of its intention to file the document by electronic filing. The notice need not be in writing. A good faith attempt at compliance shall satisfy the requirements of this subsection;

(C) If the commission so orders, send the original signed document to the commission;

(D) Certify in the documents the method of notice used to fulfill the requirements of sub-

section (3)(B) of this rule;

(E) Send a copy of the document to all parties as provided in 1 CSR 15-3.270. The commission may order the party to send a copy of the document to any party by overnight mail; and (F) E-mail filing outside the commission’s electronic filing system is not permitted, except for cases filed under section 162.961, tion Act (IDEA) or as otherwise permitted in writing by the commission.

(4) The provisions of 1 CSR 15-3.350 relating to filing multiple copies of the complaint shall not apply to filings made by fax or electronic filing, unless otherwise required by the commission.

(5) A facsimile or electronic signature shall have the same effect as an original signature.

See section 432.230, RSMo.

(6) The commission prefers that any document in excess of fifty (50) pages be filed by electronic filing.

(7) All pleadings and other papers, except exhibits, filed with the commission shall be printed on or formatted to eight and one half by eleven inch (8 ½ x 11") paper and printed on one (1) side only.

(8) Bonds. A bond is posted when the commission receives the original bond, unless the commission orders otherwise.

Oct. 31, 1994, effective May 28, 1995. 30, 2001. Amended: Filed June 1, 2005, effective Nov. 30, 2005. Amended: Filed Aug. 30, 2010, effective Feb. 28, 2011. Amended:

1 CSR 15-3.320 Stay of Action under Review {#sec-1-csr-15-3.320 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.320}

PURPOSE: This rule describes the form and content of a motion for stay or suspension of an agency’s actions, and the number of copies required.

(1) Scope and Content. The commission may stay or suspend any action of an administrative agency pending the commission’s findings and determination in the cause.

(A) All motions for stay of the action from which petitioner is appealing shall be in writing.

(B) The movant shall include in the motion:

1. The full name, address and telephone number of movant, any attorney representing movant, the name, address, and telephone number of the respondent and any attorney representing respondent;

2. Suitable space in the caption for the commission to affix a case number;

3. A clear heading, Motion for Stay;

4. Facts showing why the commission should grant the stay, set forth in numbered paragraphs, each of which shall contain, as far as practical, a single set of circumstances;

5. A copy of any written notice of the action from which the petitioner is appealing.

(C) The movant or movant’s legal counsel shall sign the motion.

(2) Specific Cases.

(A) International Fuel Tax Agreement (IFTA) Cases. The commission, with or without the filing of a motion, may stay any suspension or revocation of an IFTA license if the licensee files a complaint on that action.

(B) Department of Social Services Cases Under Section 208.156, RSMo. The commission shall not grant a stay until after a full hearing on the motion.

1. The movant must show:

A. That immediate and irreparable injury, loss, or damage will result if such stay order is denied; or B. That such person has a reasonable likelihood of success upon the merits of the claim; and 2. No stay order shall be issued without the movant posting a bond in such sum as the commission finds sufficient to protect and preserve the interest of the Department of Social Services or its divisions.

3. In no event may the commission grant such stay order where the claim arises under a program or programs funded by federal funds or by any combination of state and federal funds, unless it is specified in writing by the financial section of the appropriate federal agency that federal financial participation will be continued under the stay order and petitioner has met any other statutory conditions.

(C) Franchise Cases Under Sections 407.822.1 and 407.1031.1, RSMo. The commission’s notice of hearing shall contain a stay of the action from which the petitioner seeks relief. The stay shall dissolve only as set forth in section (7) and not section (8) of this rule.

(D) Division of Liquor Control Cases, or any successor thereof. The commission, with or without the filing of a motion, may stay any order of the supervisor of the Division of Liquor Control if the licensee files a complaint.

(3) The commission, upon either party’s request or, on its own initiative, may hold an evidentiary hearing on whether to issue a stay order, except as provided in subsections (2)(B) and (2)(C) of this rule.

(4) The commission may condition its stay order on the posting of a bond or other security, except as provided in subsection (2)(B) of this rule. A bond or other security is posted when the commission receives it.

(5) The denial of a motion for stay shall not prejudice the movant’s complaint on the merits.

(6) The commission’s stay order shall remain effective until the commission finally disposes of the case unless the commission orders otherwise. The commission shall not order otherwise as to a case under subsection (2)(C) of this rule.

6CODE OF STATE REGULATIONS

(7) The commission, upon either party’s request or, on its own initiative, may hold an evidentiary hearing on whether to dissolve a stay order, except as provided in subsection (2)(C) of this rule.

Jan. 11, 2001, effective July 30, 2001. 30, 2002. Amended: Filed June 16, 2003, effective Nov. 30, 2003. Amended: Filed July 2, 2008, effective Jan. 1, 2009. Amended:

1 CSR 15-3.350 Complaints {#sec-1-csr-15-3.350 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.350}

PURPOSE: This rule describes the form and content of the complaints, the number of copies required, how the complaints are served, and how they are amended.

(1) In General. The commission shall construe the provisions of this rule liberally if petitioner has prepared the complaint without legal counsel.

(A) All complaints shall be in writing.

(B) Petitioner shall include in the complaint:

1. The full name, address, and telephone number of— A. Petitioner; and B. Any attorney representing petitioner;

2. Suitable space in the caption for the commission to affix a case number; and 3. As far as practical, facts in numbered paragraphs stating the relief sought and the reason for granting it; however, the failure to include facts in numbered paragraphs shall not be a reason for involuntary dismissal of a complaint.

(C) Petitioner or petitioner’s legal counsel shall sign the complaint.

(D) Petitioner shall file the original of the complaint at the commission’s office with sufficient copies for all parties, unless filing the complaint via fax or e-mail in accordance with 1 CSR 15-3.290.

(2) Specific Cases. In addition to the other requirements of this rule— (A) An agency’s complaint shall set forth— 1. The full name, address, and telephone number of any person whom petitioner names as a respondent;

2. A description of any licenses the licensee holds from the agency and their status;

3. Any fact supporting the relief that the agency seeks, including any conduct that a licensee has committed that is cause for discipline, with sufficient specificity to enable the licensee to address the charge at hearing;

4. Any provision of law that allows discipline for such facts;

(B) A complaint by any person other than an agency— 1. Shall include a copy of any notice of the action of which petitioner seeks review;

2. May include a motion for stay;

(C) An applicant’s complaint shall, in addition to the other requirements of this section, set forth facts that show that the applicant is entitled to be licensed or examined for licensure;

(D) In a case arising pursuant to Chapter 407, RSMo, including cases relating to the protest of an action taken by a motor vehicle, motorcycle, or all-terrain vehicle manufacturer, distributor, or representative pursuant to a franchise agreement, the petition shall include a filing fee in the amount equal to the filing fee of the circuit court of Cole County pursuant to section 621.053, RSMo;

(E) In a case arising pursuant to section 105.055, 36.280, 36.370, 36.380, or 36.390, RSMo, the petition shall include a copy of any notice of the action of which the employee seeks review and shall state— 1. The action being appealed; and 2. In the case of a dismissal, suspension for greater than five (5) days, or demotion, the reason the employee alleges that the dismissal, suspension, or demotion was— A. For political reasons;

B. For religious reasons;

C. For racial reasons;

D. Not in the interest of efficient administration and that the good of the service was not served; or E. For reasons prohibited by section 105.055, RSMo. The petitioner may, but is not required to, utilize a form provided by the commission on its website for purposes of appeals covered by this subsection.

(3) Notice.

(A) The commission shall serve notice of the complaint on the respondent and the petitioner.

(B) Except in cases arising under section 407.822, RSMo, the commission shall serve a copy of the complaint on the respondent.

(4) Amended Complaint.

(A) Petitioner may amend the complaint without the commission’s leave any time before the respondent serves a responsive pleading. After the respondent serves a responsive pleading, petitioner shall amend the complaint only with the commission’s leave. The motion shall include the amended complaint proposed to be filed.

(B) For cases filed under section 162.961, tion Act (IDEA), a party may amend its due process complaint only if— 1. The other party consents in writing to the amendment and the other party is given the opportunity to resolve the due process complaint through a meeting held pursuant to 34 CFR 300.510; or 2. The commission grants permission.

Pursuant to 34 CFR 300.508(d)(3)(ii), no leave to amend shall be granted by the commission less than five (5) days before the due process hearing is scheduled to begin.

(5) The provisions of this rule, except sub-

section (1)(D) and section (3), apply to amended complaints.

Filed June 1, 2004, effective Nov. 30, 2004.

Amended: Filed June 1, 2005, effective Nov. 30, 2005. Amended: Filed May 30, 2006, effective Nov. 30, 2006. Amended: Filed May 31, 2007, effective Nov. 30, 2007. Amended:

Filed July 2, 2008, effective Jan. 1, 2009.

2011. Amended: Filed Aug. 30, 2010, effective Feb. 28, 2011. Amended: Filed Sept. 29, *Original authority: 621.035, RSMo 1978; 621.053, RSMo 1997, amended 2001; and 621.198, RSMo 1965, amended 1978, 2001.

History

• AUTHORITY: sections 621.035, 621.053, and 621.198, RSMo 2016. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. Amended: Filed Oct. 31, 1994, effective May 28, 1995. Amended: Filed Jan. 11, 2001, effective July 30, 2001. Amended: Filed June 3, 2002, 16, 2003, effective Nov. 30, 2003. Amended:

1 CSR 15-3.380 Answers and Other Responsive Pleadings {#sec-1-csr-15-3.380 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.380}

PURPOSE: This rule describes who is required to file a responsive pleading, how it shall be filed, the form and content of the answer, and how an answer is amended.

(1) The respondent shall file an answer in all cases except those arising pursuant to sections 36.280, 36.370, 36.380, and 36.390, RSMo, in which case respondent may, but is not required to, file an answer, unless the commission orders that an answer be filed.

(2) An answer to the complaint shall— (A) Be in writing;

(B) Admit those portions of the complaint which the respondent believes are true and deny those portions that the respondent believes are not true and state that the respondent is without sufficient knowledge to admit or deny the portions not admitted or denied;

(C) Assert as a defense any specific failure of the complaint to comply with 1 CSR 15- 3.350 or waive that defense by not asserting it;

(D) Be signed by the respondent or the respondent’s attorney; and (E) When the petitioner seeks review of respondent’s action, include— 1. Allegations of any facts on which the respondent bases the action, with sufficient specificity to enable the petitioner to address such allegations;

2. Any provision of law that allows the respondent to base the action on such facts;

3. A copy of any written notice of the action of which petitioner seeks review, unless such written notice was included in the complaint; and 4. Facts that show that the respondent has complied with any provisions of law requiring the respondent to notify the petitioner of the action that petitioner is appealing.

(3) The respondent shall file any responsive pleading within the following times— (A) Thirty (30) days after service of the notice of complaint, except when service is by certified mail or publication;

(B) When service is by certified mail, within thirty (30) days after acknowledgment of receipt of the notice of complaint or return certified mail receipt is filed in the case;

(C) When service is by publication, within forty-five (45) days of the first publication of notice;

(D) For cases filed under section 162.961, tion Act (IDEA), except as provided in 34 CFR 300.508(e), within ten (10) days of receiving the due process complaint.

(4) The filing of a responsive pleading, other than an answer, that requests the commission to take some action shall increase the time in which the respondent shall file an answer, as set by section (3) of this rule, as follows, unless the commission orders otherwise. In any case, the time allowed for filing an answer shall be no less than the time that remained when the responsive pleading was filed.

(A) If the commission denies the request, the respondent shall file the answer no later than ten (10) days after the commission so orders;

(B) If the commission issues an order postponing its ruling on the request until hearing, the respondent shall file the answer no later than ten (10) days after the commission so orders;

(C) If the commission issues an order granting the request, but the order does not dispose of the entire complaint, respondent shall file the answer no later than ten (10) days after the commission so orders; and (D) If the commission orders petitioner to amend the complaint, the respondent shall file the answer no later than ten (10) days after service of the amended complaint.

(5) Except by leave of the commission, the respondent shall file an answer to an amended complaint within the latest of— (A) Ten (10) days after service of the amended complaint; or (B) The time remaining for filing answer to the original complaint; or (C) Ten (10) days after the date of an order granting leave to file the amended complaint.

(6) Otherwise, the respondent shall amend the answer only with the commission’s leave.

(7) Failure to File.

(A) The commission, on its own motion or that of any party, may order a remedy for respondent’s failure to file an answer or other responsive pleading, or failure to otherwise comply with this rule, as set forth at rule 1 CSR 15-3.425.

(B) Except in cases under section 36.280, 36.370, 36.380, 36.390, 407.822.1, or 407.1031.1, RSMo, petitioner shall file the motion not fewer than thirty (30) days before the hearing on the complaint or the motion shall be waived. In cases under section 407.822.1 or 407.1031.1, RSMo, petitioner shall file a motion for a remedy only with the commission’s leave and pursuant to a schedule ordered by the commission.

(C) In addition to the remedies set forth in

rule 1 CSR 15-3.425, remedies under this

section may include an order that respondent is deemed to have— 1. Admitted the facts pleaded in the complaint;

2. Waived any defense to the complaint;

3. Defaulted on any issue raised in the complaint.

(D) The commission may dispose of any issue on which it deems respondent to have defaulted. The commission shall determine the appropriate remedy based on the facts of the case. Respondent’s failure to file an answer or other responsive pleading or otherwise comply with this rule shall not constitute the admission of any facts or entitle petitioner to the relief requested in the complaint unless the commission so orders.

(E) In cases in which a default decision has been entered under section 621.045.6, RSMo, the commission may set aside the default when respondent files a motion to set aside the default decision within thirty (30) days after entry of the default, stating facts constituting a meritorious defense and good cause for not having filed an answer or other responsive pleading.

Oct. 31, 1994, effective May 28, 1995. 30, 2001. Amended: Filed June 3, 2002, 1, 2004, effective Nov. 30, 2004. Amended:

Filed June 1, 2005, effective Nov. 30, 2005.

Amended: Filed July 2, 2008, effective Jan. 1, 2009. Emergency amendment filed Aug. 30, 2010, effective Sept. 9, 2010, expired March 7, 2011. Amended: Filed Aug. 30, 2010, effective Feb. 28, 2011. Amended: Filed Sept. 29, 2016, effective March 30, 2017.

1 CSR 15-3.390 Intervention {#sec-1-csr-15-3.390 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.390}

PURPOSE: This rule describes who may intervene in an action and how to intervene.

(1) The commission may permit any person to intervene if the person— (A) Files a motion for intervention within such time as not to delay unduly the hearing on the complaint; and (B) Has an interest in the action which is different from the general public interest and which cannot be represented adequately by the parties.

(2) A motion to intervene shall— (A) Be in writing;

(B) Be served on all the parties;

(C) Set forth facts showing that the person is entitled, or should be permitted, to intervene;

(D) Be signed by the person or the person’s attorney;

(E) Be accompanied by a pleading that sets forth the relief, claim, or defense for which intervention is sought.

(3) The commission’s order, ruling on the motion to intervene, shall set the date on which intervenor’s pleading is filed.

8CODE OF STATE REGULATIONS

(4) When the commission grants a motion to intervene as petitioner, a responsive pleading to the intervenor-petitioner’s complaint shall be due thirty (30) days after the date on which such intervenor-petitioner’s complaint is filed, as set by the commission’s order. A responsive pleading to the intervenor-petitioner’s complaint shall be otherwise governed by rule 1 CSR 15-3.380.

June 3, 2002, effective Nov. 30, 2002.

Amended: Filed May 30, 2006, effective Nov. 30, 2006. Amended: Filed July 2, 2008, effective Jan. 1, 2009. Amended: Filed Sept.

1 CSR 15-3.410 Closing of Case Records and Hearings {#sec-1-csr-15-3.410 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.410}

PURPOSE: This rule describes the procedure for closing records or a hearing in a particular case, and redaction of personal information from documents filed with the Administrative Hearing Commission, but does not constitute legal authority for closing a record or hearing.

(1) Any party to a case may move to close any record or hearing, or any portion thereof, in that case. The motion shall be in writing. The party shall file it no fewer than fourteen (14) days before the date the party wants the matter closed. The motion shall cite the legal authority under which the commission may close the record or hearing.

(2) The responsibility for redacting information that may be closed pursuant to Missouri’s Open Record Laws, Chapter 610 including records protected from disclosure by other laws pursuant to section 610.021(14), RSMo, from a document rests solely with counsel, the parties, or any other person preparing or filing that document. The commission’s staff will not review each document for compliance with this regulation. Information that may be closed includes, but is not limited to:

(A) Social Security numbers;

(B) Testing and examination material used by an agency;

(C) Software codes for electronic data processing;

(D) Financial institution account numbers, credit card numbers, personal identification numbers, or passwords used to secure accounts; and (E) Personal health information.

Feb. 6, 1992. Amended: Filed June 3, 2002,

1 CSR 15-3.420 Discovery {#sec-1-csr-15-3.420 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.420}

PURPOSE: This rule explains the manner in which discovery may be obtained.

(1) Any party may obtain discovery in the same manner, upon or under the same conditions and upon the same notice and other requirements as is or may be provided for with respect to discovery in civil actions by

rule of the Supreme Court of Missouri for use in the circuit court, except as provided in this

rule or by statute.

(2) Service and Responses.

(A) A party serving written interrogatories; requests for admissions, production of documents or things or permission to enter upon land or other property, for inspection and other purposes; and physical and mental examinations, shall include a certificate of service in substantially the following form:

I served the original and (number of ) copies of these (written interrogatories/production of documents or things or permission to enter upon land or other property, for inspection and other purposes/physical and mental examinations/requests for admission) on (name and address of parties or attorneys) this ____________ day of _____, 20.

(Signature)___________________________ The party shall file a copy of the certificate with the commission. The party shall serve the original discovery on the party to whom it is directed.

1. The party shall not file written interrogatories; requests for production of documents or things or permission to enter upon land or other property, for inspection and other purposes; and physical and mental examinations with the commission unless the commission so orders.

2. The party may file requests for admissions with the commission.

(B) Requests for admission and interrogatories shall include appropriate spaces for answers or objections.

(C) The party responding to requests for admissions or interrogatories shall complete them by printing the answer or objection to each question in the space provided. If the space is insufficient, the party shall reply by affidavit, clearly indicate so in the space provided, and attach the affidavit to the interrogatories or requests for admissions. Each response shall include a certificate of service in substantially the following form:

I served the original of these completed (writ ten interrogatories/requests for admission)on (name of party ) and sent (number of) copies to (name and address of parties or attorneys ) this ___________ day of ________, 20.

(Signature)___________________________ The responding party shall file the certificate of service with the commission and shall not file the response unless the commission so orders. The responding party shall serve the original completed response on the interrogating party and copies on all other parties.

(D) The commission will not serve any discovery with the notice of complaint.

(3) Whenever a party files a motion to compel compliance with any discovery request, to sanction another party for failing to respond or responding inadequately to any discovery request, or alleging violation of any discovery

rule, the moving party shall certify in its motion that it has made reasonable efforts to contact the party who is the subject of the motion and inform the commission as to what steps the moving party has taken to resolve informally the discovery dispute or alleged discovery rule violation. The party seeking relief shall attach a copy of any disputed discovery to that motion.

(4) No discovery or response to discovery shall be considered as evidence unless it is admitted into evidence at hearing, or authenticated and attached to a motion for disposition without hearing, as an exhibit.

(5) No discovery order that requires a physical or mental examination, permits entrance upon land or inspection of property without permission of the owner, or purports to hold any person in contempt shall be enforceable, unless the party seeking such enforcement obtains an order of the circuit court of the county in which the hearing will be held, or the circuit court of Cole County, at the option of the person seeking enforcement. This section does not apply to a case filed under section 407.822, RSMo.

History

• AUTHORITY: sections 536.073, 621.035, filed Aug. 5, 1991, effective Feb. 6, 1992. 30, 2002. Amended: Filed June 1, 2004, effective Nov. 30, 2004. Amended: Filed May 30, 2006, effective Nov. 30, 2006. Amended:

1 CSR 15-3.425 Sanctions {#sec-1-csr-15-3.425 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.425}

PURPOSE: This rule combines provisions formerly found in separate regulations.

(1) The commission may impose a sanction on any party for conduct including, without limitation, such party’s failure to:

(A) Comply with any order or rule of the commission, including failure to file an answer;

(B) Appear at any hearing; or (C) Apprise the commission of a current mailing address.

(2) Sanctions available under this rule include without limitation:

(A) Striking all or any part of the party’s pleading;

(B) Deeming all or any part of an opposing party’s pleading admitted;

(C) Barring or striking all or any evidence on any issue; or (D) Dismissing the case.

(3) The commission shall determine whether to impose any sanction, and the appropriate degree of such sanction, based on the facts of each case.

Original rule filed June 3, 2002, effective Nov. 30, 2002. Amended: Filed Sept. 29,

1 CSR 15-3.430 Dismissal {#sec-1-csr-15-3.430 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.430}

(Rescinded November 30, 2002)

Feb. 6, 1992. Amended: Filed Oct. 31, 1994, effective May 28, 1995. Rescinded: Filed June 3, 2002, effective Nov. 30, 2002.

History

• AUTHORITY: section 621.198, RSMo 1994.

1 CSR 15-3.431 Voluntary Dismissal, Settlement, and Consent Orders {#sec-1-csr-15-3.431 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.431}

PURPOSE: This rule sets out the procedures for disposing of a case without a decision by the commission, including a motion to dismiss, settlement agreement, agreed settlement, and consent order.

(1) Voluntary Dismissal. Petitioner may voluntarily dismiss the complaint by filing a notice of dismissal stating that petitioner dismisses the complaint. A notice of dismissal dismisses the complaint and is effective as of the date on which petitioner files it, without any action by the commission. Petitioner may dismiss the complaint, subject to statutory time limits for refiling— (A) Before the filing of a motion for decision without hearing under 1 CSR 15-3.446 or the introduction of evidence at the hearing, whichever is earlier, without the commission’s leave; or (B) After the filing of a motion for decision without hearing under 1 CSR 15-3.446 or the introduction of evidence at the hearing, whichever is earlier, only with leave of the commission or with written consent of respondent. The commission shall grant leave freely when justice so requires.

(2) Settlement. Settlement means the parties’ agreed resolution of any issue in the complaint including a contested case under section 621.045, RSMo. The parties may settle all or any part of the complaint without any action by the commission, where such settlement is permitted by law. If the parties’ settlement disposes of the entire complaint— (A) Petitioner may file a notice of dismissal under section (1) of this rule; or (B) The parties may jointly file a motion for consent order under section (3) of this

rule; or (C) Respondent may file a motion for involuntary dismissal under rule 1 CSR 15- 3.436.

(3) Consent Orders.

(A) Generally. A consent order is the commission’s dismissal, or recommended dismissal, and memorialization that all parties have agreed to dispose of the case without the commission’s decision or recommended decision, except in cases under section 324.038, RSMo, or contested cases under section 621.045, RSMo.

(B) Cases under section 324.038, RSMo, and contested cases under section 621.045, RSMo. A consent order in a case under section 324.038, RSMo, or a contested case under section 621.045, RSMo, requires a decision by the commission. A motion for consent order in such a case is subject to rule 1 CSR 15-3.446.

Amended: Filed Aug. 30, 2010, effective Feb. 28, 2011. Amended: Filed Sept. 29, 2016, effective March 30, 2017.

History

• AUTHORITY: sections 536.073.3, 621.035, filed July 2, 2008, effective Jan. 1, 2009.

1 CSR 15-3.436 Involuntary Dismissal {#sec-1-csr-15-3.436 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.436}

PURPOSE: This rule provides for motions to dismiss by someone other than petitioner.

(1) Involuntary dismissal means a disposition, or recommended disposition, against petitioner that does not reach the merits of the complaint. The commission may order involuntary dismissal on its own motion.

Grounds for involuntary dismissal include:

(A) Lack of jurisdiction;

(B) Mootness; and (C) Grounds for a sanction as set forth in

rule 1 CSR 15-3.425.

(2) Respondent may file a motion for involuntary dismissal on all or any part of the complaint except that, unless the commission grants leave otherwise, respondent shall not file a motion for involuntary dismissal— (A) In any case in which any legal authority, other than the commission, sets any maximum time for conducting a hearing on the merits of the complaint; and (B) In any case less than forty-five (45) days before the hearing, except by leave of the commission for good cause.

(3) The commission may grant a motion for involuntary dismissal based on a preponderance of admissible evidence. Admissible evidence includes an allegation in the complaint, stipulation, discovery response of the petitioner, affidavit, or other evidence admissible under the law. In response to a motion for involuntary dismissal, petitioner shall not rely solely on the allegations in the complaint unless the motion relies solely on the allegations in the complaint.

(4) If a motion for involuntary dismissal relies on matters other than allegations in the complaint and stipulations, the commission shall either— (A) Treat the motion for involuntary dismissal as a motion for summary decision 10CODE OF STATE REGULATIONS under rule 1 CSR 15-3.446; or (B) Convene an evidentiary hearing on the motion.

(5) On any motion under this rule, the commission may allow such written argument as it deems helpful and may rule on the motion without oral argument.

History

• AUTHORITY: sections 536.073.3 and 621.035, RSMo 2000 and section 621.198, RSMo Supp. 2010. Original rule filed July 2, 2008, effective Jan. 1, 2009. Emergency amendment filed Aug. 30, 2010, effective Sept. 9, 2010, expired March 7, 2011. Amended: Filed Aug. 30, 2010, effective Feb. 28, 2011.

1 CSR 15-3.440 Disposing of a Case Without a Hearing on the Complaint {#sec-1-csr-15-3.440 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.440}

(Rescinded January 1, 2009)

Original rule filed June 3, 2002, effective Nov. 30, 2002. Amended: Filed June 1, 2004, effective Nov. 30, 2004. Rescinded: Filed July 2, 2008, effective Jan. 1, 2009.

History

• AUTHORITY: section 536.073, RSMo 2000 and section 621.198, RSMo Supp. 2003.

1 CSR 15-3.446 Decision on the Complaint without a Hearing {#sec-1-csr-15-3.446 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.446}

PURPOSE: This rule provides for disposition by stipulation, consent order, and relief in the nature of judgment on the pleadings and relief in the nature of summary and other procedures.

(1) Generally. Decision without hearing means a disposition, or recommended disposition, of the complaint on the merits. It includes a decision on the pleadings, summary decision, and consent order in cases under

section 621.045, RSMo. The commission may grant a motion for decision without hearing in favor of any party, including a party who did not file the motion. On any motion under this rule, the commission may allow such written argument as it deems helpful and may rule on the motion without oral argument.

(2) Any party may file a motion for a decision without hearing on all or any part of the complaint except that, unless the commission grants leave otherwise, no party shall file a motion for decision without hearing— (A) In any case in which any legal authority, other than the commission, sets any maximum time for conducting a hearing on the merits of the complaint; or (B) In any case, less than forty-five (45) days before the hearing, except by leave of the commission for good cause.

(3) Decision on Stipulated Facts. The parties may file a stipulation of facts and may waive hearing before the commission. The parties or their attorneys shall sign the stipulation.

(4) Decision on the Pleadings. A decision on the pleadings is a decision without hearing based solely on the complaint and the answer.

The commission may grant a motion for decision on the pleadings if a party’s pleading, taken as true, entitles another party to a favorable decision. Petitioner shall not file a motion for decision on the pleadings before the time for filing a responsive pleading has expired, except with the consent of all other parties.

(5) Consent Orders in Cases Under Section 324.038, RSMo, and Contested Cases Under

Section 621.045, RSMo. A motion for a consent order shall contain stipulated facts necessary to support the relief sought under the cited legal authority. Parties seeking a consent order under this section shall jointly file a motion that includes substantially the following language:

The parties stipulate that (party ) committed the following conduct:

(Conduct ).

(Party ) admits that such conduct is cause for (the relief sought ) under the following legal authority:

(Legal Authority ).

Therefore, the parties agree to (the relief sought).

(6) Summary Decision. Summary decision is a motion for decision without hearing that relies on matters outside the pleadings and is not filed jointly by all parties.

(A) The commission may grant a motion for summary decision if a party establishes facts that entitle any party to a favorable decision and no party genuinely disputes such facts.

(B) Parties may establish a fact, or raise a dispute as to such facts, by admissible evidence. Admissible evidence includes a stipulation, pleading of the adverse party, discovery response of the adverse party, affidavit, or other evidence admissible under the law. A party shall not rely solely on its own pleading to establish any fact, or to raise a genuine issue as to any fact. A party may meet the requirements for the content of a motion, or for a response to a motion, under section (6) of this rule by complying with Missouri Supreme Court Rule of Civil Procedure 74.04.

(C) Petitioner shall not file a motion for summary decision before the time for filing a responsive pleading has expired, except with the consent of all other parties.

(D) With regard to motions for summary decision, the commission prefers that— 1. A motion for summary decision summarily state the legal basis for the motion and have a statement of uncontroverted material facts attached to the motion. The statement should state with particularity in separately numbered paragraphs each material fact as to which the party filing the motion claims there is no genuine issue, with specific reference to the pleadings, discovery, exhibits, or affidavits that demonstrate the lack of a genuine issue as to such facts. Attached to the statement should be a copy of all discovery, exhibits, or affidavits on which the motion relies. The party filing the motion should also file a separate legal memorandum explaining why summary decision should be granted; and 2. The adverse party may file a response to the motion for summary decision within the time ordered by the commission and shall serve the response on all parties. To the extent possible, the response should admit or deny each enumerated statement of fact set forth in the motion, and each denial should be supported with specific references to the discovery, exhibits, or affidavits that demonstrate specific facts showing that there is a genuine issue of fact. The response may also set forth additional material facts that remain in dispute, with supporting documentation.

2011. Amended: Filed Aug. 30, 2010, effective Feb. 28, 2011. Amended: Filed Sept. 29,

History

• AUTHORITY: sections 536.073.3, 621.035, filed July 2, 2008, effective Jan. 1, 2009.

1 CSR 15-3.450 Determination of Cases Without Hearing {#sec-1-csr-15-3.450 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.450}

(Rescinded November 30, 2002)

History

• AUTHORITY: sections 536.073.2(2) and 621.198, RSMo 2000. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. Amended: Filed Oct. 31, 1994, effective May 28, 1995. Amended: Filed Jan. 11, 2001, effective July 30, 2001. Rescinded: Filed June 3, 2002, effective Nov. 30, 2002.

1 CSR 15-3.470 Prehearing Conferences {#sec-1-csr-15-3.470 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.470}

PURPOSE: This rule describes the setting and subject matter of the prehearing conference.

On its own motion or that of any party, the commission may order a prehearing conference to discuss matters pertinent to the case.

History

• AUTHORITY: sections 621.035, RSMo and 621.198, RSMo Supp. 2005. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. 30, 2002. Amended: Filed May 30, 2006, effective Nov. 30, 2006. Original authority: 621.035, RSMo 1978; 621.035, RSMo 1978 and 621.198, RSMo 1965, amended 1978, 2001.

1 CSR 15-3.480 Motions {#sec-1-csr-15-3.480 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.480}

PURPOSE: This rule describes how a party may obtain oral argument or an evidentiary hearing on a motion.

The commission may rule upon any motion filed with it on the basis of the record before it and without oral argument. The commission shall hear oral argument or evidence only upon a party’s written motion and for good cause shown or upon the commission’s own motion. The commission need not rule on a motion that does not clearly request action by the commission.

Filed Aug. 30, 2010, effective Feb. 28, 2011.

History

• AUTHORITY: section 621.198, RSMo Supp. 2010. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. Amended: Filed June 1, 2004, effective Nov. 30, 2004. Amended:

1 CSR 15-3.490 Hearings on Complaints; {#sec-1-csr-15-3.490 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.490}

Default

PURPOSE: This rule describes the procedures for the setting of, continuance of, and order of proof in hearings on complaints and meets the requirement of sections 536.060 and 536.073.3, RSMo 2000, which requires the commission to make rules providing for disposition in the nature of default judgment.

(1) Notice. The commission shall serve the initial notice of the place, date, and time upon which it will hold the hearing on an agency’s complaint on all parties by certified mail, or by personal delivery, except where notice by publication is expressly authorized by statute.

The commission may serve any other notice of hearing, or any notice resetting the hearing, by certified mail, regular mail, personal delivery, or any other method provided by law.

(2) Use of Telephone or Videoconferencing Equipment. Any party may, for good cause, request in writing that the hearing be conducted or certain testimony taken by telephone or videoconferencing equipment.

(3) Date.

(A) First Setting. Unless otherwise provided by statute or with the consent of the parties, the commission shall hold no hearing fewer than twenty (20) days after the first issuance of notice.

(B) Resettings. If the commission resets the hearing, it shall send out an amended notice.

If the reset date is later than the first setting, the commission may hold the hearing fewer than twenty (20) days from the date of the issuance of the amended notice.

(4) Expedited Hearings and Continuances.

The commission may expedite or continue the hearing date upon notice to the parties except as otherwise provided by law. Any party may file a motion for an expedited hearing or a continuance. The motion shall:

(A) Be in writing;

(B) State good cause; and (C) State whether any party objects to the motion or that efforts to contact the parties have been futile.

(5) Order of Proof. Regardless of which party has the burden of proof except where an agency has filed the complaint, respondent shall present evidence first unless the commission orders otherwise.

(6) Default. If a party fails to appear at hearing, the party shall be in default.

(A) If petitioner defaults, and petitioner has the burden of proof, the commission may dismiss the case for failure to prosecute.

(B) If any party defaults, any other party may present evidence, and the defaulting party shall have waived any objection to such evidence. Such evidence shall constitute the sole evidentiary basis for disposition of the case, unless the commission orders otherwise.

Filed Oct. 31, 1994, effective May 28, 1995. 30, 2001. Amended: Filed June 3, 2002, 1, 2005, effective Nov. 30, 2005. Amended:

Filed July 2, 2008, effective Jan. 1, 2009.

2011. Amended: Filed Aug. 30, 2010, effective Feb. 28, 2011. *Original authority: 536.073.3, RSMo 1957, amended

History

• AUTHORITY: sections 536.073.3 and 621.035, RSMo 2000 and section 621.198, RSMo Supp. 2010. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. Amended:

1 CSR 15-3.500 Written Arguments {#sec-1-csr-15-3.500 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.500}

PURPOSE: This rule sets forth procedures for filing written arguments or proposed findings of fact and conclusions of law after the hearing.

The parties may request, or the commission may order them, to file written arguments, proposed findings of fact and conclusions of law, or both.

History

• AUTHORITY: section 621.198, RSMo Supp. 2010. Original rule filed Aug. 30, 2010, effective Feb. 28, 2011.

1 CSR 15-3.510 Transcripts {#sec-1-csr-15-3.510 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.510}

PURPOSE: This rule sets forth procedures for the availability and correction of a transcript and when the hearing reporter may destroy records.

(1) The parties may request, or the commission may order, that the hearing reporter make a transcript of a hearing. The hearing reporter shall file the transcript with the commission. Any person may purchase a copy of the transcript through the hearing reporter.

(2) Any party may move to correct the transcript no more than ninety (90) days after the hearing reporter files the transcript. The commission on its own motion may order the hearing reporter to correct the transcript any time before the commission finally disposes of the case.

(3) The hearing reporter may destroy any shorthand notes, audio tapes or both of a 12CODE OF STATE REGULATIONS hearing in any case in which neither the commission nor any party has— (A) Requested that a transcript be made within sixty (60) days after the commission finally disposes of the case; or (B) Moved to correct the transcript as provided in section (2) of this rule within ninety (90) days after the court reporter files the transcript.

Feb. 6, 1992.

1 CSR 15-3.530 Bench Rulings and Memorandum Decisions {#sec-1-csr-15-3.530 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.530}

PURPOSE: This rule establishes a procedure for parties to obtain a bench ruling or a memorandum decision, as provided by section 536.068, RSMo (Cum. Supp. 1990).

(1) As used in this rule, a bench ruling is an announcement of the ultimate disposition of the case. As used in this rule, a memorandum decision is a writing setting forth the ultimate disposition of the case and the legal analysis supporting the disposition.

(2) The parties may move for either a bench ruling or a memorandum decision to dispose of all or any part of the case. The motion shall be in writing, shall be made jointly by all parties and shall include a waiver by all parties of the provisions of section 536.090, RSMo (1986), relating to the rendering of findings of fact and conclusions of law. The motion shall be accompanied by a brief from each party setting forth the operative facts the party expects to show, the issues those facts raise and the authorities which support the conclusion the party seeks.

(3) The commission may issue a bench ruling orally on the record. The commission shall issue a written form of the bench ruling no later than seven (7) days after the conclusion of the hearing or seven (7) days after the motion is filed, whichever is later. The commission shall deliver or send by certified mail to each party the written form of the bench ruling. The date of issuance is the date issued orally on the record or, if not issued orally, the date of the writing.

(4) The commission shall issue a memorandum decision no later than seven (7) days after the conclusion of the hearing or seven (7) days after the motion is filed, whichever is later. The commission shall deliver or send by certified mail a copy to each party.

Feb. 6, 1992.

1 CSR 15-3.560 Fees and Expenses {#sec-1-csr-15-3.560 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.560}

PURPOSE: This rule establishes a procedure to allow parties to make application for fees and expenses when authorized by statute or other law.

A party may file a complaint for litigation fees and expenses as authorized by law. Such complaint shall be a separate contested case.

The complaint for fees and expenses shall be governed by section 536.087, RSMo, or, in certain tax cases by section 136.315, RSMo.

For cases filed under section 162.961, tion Act (IDEA), the complaint for fees and expenses shall be filed in the appropriate court as authorized by 34 CFR 300.517.

Feb. 6, 1992. Amended: Filed Oct. 31, 1994, effective May 28, 1995. Amended: Filed Jan. 11, 2001, effective July 30, 2001. Amended:

Filed Aug. 30, 2010, effective Feb. 28, 2011.

Amended: Filed Sept. 29, 2016, effective March 30, 2017.

1 CSR 15-3.580 Certifications of Records {#sec-1-csr-15-3.580 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-3.580}

PURPOSE: This rule sets forth the content of the record and the procedure by which the commission shall cause the record to be certified to a court.

(1) Record Defined.

(A) As used in this rule, the term record has the meaning set forth in section 536.130.1, RSMo.

(B) Such record shall consist of any one (1) of the following:

1. Such parts of the record, proceedings and evidence before the commission as the parties by written stipulation filed with the commission may agree upon before the commission has certified the record;

2. Any agreed statement of the case that is agreed to by all the parties and approved as correct by the commission; or 3. A complete transcript of the entire record, proceedings and evidence before the commission, but any matter not essential to the decision of the questions presented by the complaint may be omitted, but the commission’s decision, order and findings of fact and conclusions of law shall be included in every case. Documents may be abridged by the omission of irrelevant and formal parts thereof, including, but not limited to, briefs, proposed findings of fact and proposed conclusions of law, hearing notices, miscellaneous correspondence, motions, objections and responses, or commission orders not material to the decision.

(2) The commission shall certify and transmit the record as follows:

(A) Agency. In any case under section 621.110, RSMo, in which the commission finds that there is cause for discipline, the commission shall cause the record to be certified and transmitted to the agency;

(B) Circuit Court. The commission shall cause the record to be certified to, and filed with, a circuit court as provided in Supreme Court Rule 100.01 within thirty (30) days of the date on which it receives a copy of the petition for judicial review as set forth in section 536.110, RSMo; and (C) Appellate Court. The commission shall cause the record to be certified to, and filed with, an appellate court of original jurisdiction as provided in Supreme Court Rule 100.02 within thirty (30) days of the date on which it receives a copy of the petition for judicial review or notice of appeal as set forth in Supreme Court Rule 100.02(d).

(3) Any party may file a motion with the commission for an amended certification.

The commission may file an amended certification to include specified matters omitted from the original certification. The commission shall not file an amended certification deleting matters included in the original certification.

Feb. 6, 1992. Amended: Filed June 3, 2002,

Chapter 4 Personnel Advisory Board Cases

1 CSR 15-4.270 Service of Filings Other Than the Original Complaint and the Record ADMINISTRATION Commission Cases {#sec-1-csr-15-4.270 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.270}

1 CSR 15-4.010 Preparation of the Record on Review {#sec-1-csr-15-4.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.010}

(Rescinded February 6, 1992)

Emergency rule filed July 25, 1989, effective Aug. 4, 1989, expired Dec. 2, 1989. Original

rule filed July 25, 1989, effective Dec. 28, 1989. Rescinded: Filed Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-4.210 Definitions Feb. 6, 1992. Rescinded: Filed Oct. 31, {#sec-1-csr-15-4.210 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.210}

1 CSR 15-4.230 Computation of Time; {#sec-1-csr-15-4.230 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.230}

Extensions of Time Feb. 6, 1992. Rescinded: Filed Oct. 31,

1 CSR 15-4.250 Practice by a Licensed Attorney; When Required {#sec-1-csr-15-4.250 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.250}

History

• AUTHORITY: sections 621.035 and 621.198, RSMo 1986. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. Rescinded: Filed Oct. 31, 1994, effective May 28, 1995.

1 CSR 15-4.270 Service of Filings Other Than the Original Complaint and the Record Feb. 6, 1992. Rescinded: Filed Oct. 31, {#sec-1-csr-15-4.270 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.270}

1 CSR 15-4.290 Filing of Documents; Fax Filing {#sec-1-csr-15-4.290 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.290}

History

• AUTHORITY: sections 621.035 and 621.198, RSMo 1986. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. Rescinded: Filed Oct. 31, 1994, effective May 28, 1995.

1 CSR 15-4.320 Stays or Suspensions of Board Action Feb. 6, 1992. Rescinded: Filed Oct. 31, {#sec-1-csr-15-4.320 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.320}

1 CSR 15-4.350 Complaints Feb. 6, 1992. Rescinded: Filed Oct. 31, {#sec-1-csr-15-4.350 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.350}

1 CSR 15-4.360 Board’s Record Feb. 6, 1992. Rescinded: Filed Oct. 31, {#sec-1-csr-15-4.360 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.360}

1 CSR 15-4.410 Closing of Case Records and Hearings Feb. 6, 1992. Rescinded: Filed Oct. 31, {#sec-1-csr-15-4.410 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.410}

1 CSR 15-4.430 Dismissal Feb. 6, 1992. Rescinded: Filed Oct. 31, {#sec-1-csr-15-4.430 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.430}

1 CSR 15-4.470 Conferences Feb. 6, 1992. Rescinded: Filed Oct. 31, {#sec-1-csr-15-4.470 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.470}

1 CSR 15-4.480 Hearings on Motions Feb. 6, 1992. Rescinded: Filed Oct. 31, {#sec-1-csr-15-4.480 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.480}

1 CSR 15-4.485 Hearings for Section 536.140, RSMo (1986) {#sec-1-csr-15-4.485 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.485}

Feb. 6, 1992. Rescinded: Filed Oct. 31,

1 CSR 15-4.510 Transcripts Feb. 6, 1992. Rescinded: Filed Oct. 31, {#sec-1-csr-15-4.510 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.510}

1 CSR 15-4.520 Written Arguments and Submission of Cases Feb. 6, 1992. Rescinded: Filed Oct. 31, {#sec-1-csr-15-4.520 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.520}

1 CSR 15-4.530 Bench Rulings and Memorandum Decisions Feb. 6, 1992. Rescinded: Filed Oct. 31, {#sec-1-csr-15-4.530 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.530}

1 CSR 15-4.560 Applications for Fees and Expenses Feb. 6, 1992. Rescinded: Filed Oct. 31, {#sec-1-csr-15-4.560 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.560}

1 CSR 15-4.580 Certifications of Records Feb. 6, 1992. Rescinded: Filed Oct. 31, MATTBLUNT(3/31/01) {#sec-1-csr-15-4.580 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-4.580}

Chapter 5 Certificate of Need Cases

1 CSR 15-5.010 Definitions {#sec-1-csr-15-5.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.010}

5.010. Emergency rule filed Sept. 13, 1979, 1980. Original rule filed July 15, 1980, effec-

1 CSR 15-5.020 Powers and Duties {#sec-1-csr-15-5.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.020}

5.020. Emergency rule filed Sept. 13, 1979, 1980. Original rule filed July 15, 1980, effec-

1 CSR 15-5.025 Expedited Filing Aug. 28, 1979, expired Dec. 25, 1989. {#sec-1-csr-15-5.025 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.025}

Dec. 28, 1989. Rescinded: Filed Aug. 5,

1 CSR 15-5.030 Complaints {#sec-1-csr-15-5.030 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.030}

5.030. Emergency rule filed Sept. 13, 1979, 1980. Original rule filed July 15, 1980, effec-

1 CSR 15-5.035 Answers and Supplementary Pleadings 5.035 July 15, 1980, effective Nov. 13, 1980. {#sec-1-csr-15-5.035 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.035}

Emergency amendment filed Nov. 14, 1986, effective Dec. 1, 1986, expired March 1, 1987. Amended: Filed Nov. 14, 1986, effective March 2, 1987. Amended: Filed Oct. 16, 1987, effective Jan. 19, 1988. Emergency amendment filed Aug. 18, 1989, effective Aug. 28, 1989, expired Dec. 25, 1989.

Amended: Filed Aug. 31, 1989, effective Dec. 28, 1989. Rescinded: Filed Aug. 5,

1 CSR 15-5.040 Prehearing Conferences {#sec-1-csr-15-5.040 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.040}

5.040. Emergency rule filed Sept. 13, 1979, 1980. Original rule filed July 15, 1980, effec-

1 CSR 15-5.050 Hearing {#sec-1-csr-15-5.050 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.050}

5.050. Emergency rule filed Sept. 13, 1979, 1980. Original rule filed July 15, 1980, effec-

1 CSR 15-5.060 Final Decision {#sec-1-csr-15-5.060 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.060}

5.060. Emergency rule filed Sept. 13, 1979, 1980. Original rule filed July 15, 1980, effec-

1 CSR 15-5.070 Practice by Attorneys 5.070 July 5, 1980, effective Nov. 13, 1980. {#sec-1-csr-15-5.070 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.070}

Amended: Filed Oct. 16, 1987, effective Jan. 19, 1988. Rescinded: Filed Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-5.080 Discovery {#sec-1-csr-15-5.080 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.080}

Amended: Filed Aug. 31, 1989, effective Dec. 28, 1989. Rescinded: Filed Aug. 5, 1991, effective Feb. 6, 1992.

History

• AUTHORITY: section 536.073 and 621.198, RSMo 1986. Original rule filed May 29, 1986, effective Dec. 1, 1986. Emergency amendment filed Aug. 18, 1989, effective Aug. 28, 1989, expired Dec. 25, 1989.

1 CSR 15-5.140 Dismissal Original rule filed Oct. 16, 1987, effective Jan. 19, 1988. Rescinded: Filed Aug. 5, {#sec-1-csr-15-5.140 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.140}

1 CSR 15-5.150 Disposition of Contested Case Without Hearing {#sec-1-csr-15-5.150 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.150}

Filed Aug. 5, 1991, effective Feb. 5, 1992.

History

• AUTHORITY: section 536.073 and 621.198, RSMo 1986. Original rule filed May 29, 1986, effective Dec. 1, 1986. Rescinded:

1 CSR 15-5.160 Bench Rulings and Memorandum Decisions Aug. 28, 1979, expired Dec. 25, 1989. {#sec-1-csr-15-5.160 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.160}

Dec. 28, 1989. Rescinded: Filed Aug. 5,

1 CSR 15-5.170 Applications for Attorney’s Fees Aug. 28, 1979, expired Dec. 25, 1989. {#sec-1-csr-15-5.170 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.170}

Dec. 28, 1989. Rescinded: Filed Aug. 5,

1 CSR 15-5.210 Definitions Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-5.210 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.210}

1 CSR 15-5.230 Computation of Time; {#sec-1-csr-15-5.230 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.230}

Extensions of Time Feb. 6, 1992. Rescinded: Filed Jan. 11,

1 CSR 15-5.250 Practice by a Licensed Attorney; When Required Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-5.250 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.250}

1 CSR 15-5.270 Service of Filings Other Than the Original Complaint Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-5.270 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.270}

1 CSR 15-5.290 Filing of Documents; Fax Filing {#sec-1-csr-15-5.290 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.290}

Filed Jan. 11, 2001, effective July 30, 2001.

History

• AUTHORITY: sections 621.198 and 621.205, RSMo 1994. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. Amended: Filed Oct. 31, 1994, effective May 28, 1995. Rescinded:

1 CSR 15-5.320 Stays or Suspensions of Committee Action Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-5.320 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.320}

1 CSR 15-5.350 Complaints Feb. 6, 1992. Amended: Filed Oct. 31, 1994, Jan. 11, 2001, effective July 30, 2001. {#sec-1-csr-15-5.350 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.350}

1 CSR 15-5.380 Answers and Other Responsive Pleadings Feb. 6, 1992. Amended: Filed Oct. 31, 1994, Jan. 11, 2001, effective July 30, 2001. {#sec-1-csr-15-5.380 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.380}

1 CSR 15-5.390 Intervention Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-5.390 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.390}

1 CSR 15-5.410 Closing of Case Records and Hearings Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-5.410 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.410}

1 CSR 15-5.420 Discovery Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-5.420 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.420}

1 CSR 15-5.430 Dismissal Feb. 6, 1992. Amended: Filed Oct. 31, 1994, Jan. 11, 2001, effective July 30, 2001. {#sec-1-csr-15-5.430 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.430}

1 CSR 15-5.450 Determination of Cases Without Hearing {#sec-1-csr-15-5.450 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.450}

Amended: Filed Oct. 31, 1994, effective May 28, 1995. Rescinded: Filed Jan. 11, 2001, effective July 30, 2001.

History

• AUTHORITY: sections 536.073.2(2) and 621.198, RSMo 1994. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-5.470 Prehearing Conferences Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-5.470 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.470}

1 CSR 15-5.480 Hearings on Motions Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-5.480 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.480}

1 CSR 15-5.490 Hearings on Complaints Feb. 6, 1992. Amended: Filed Oct. 31, 1994, Jan. 11, 2001, effective July 30, 2001. {#sec-1-csr-15-5.490 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.490}

1 CSR 15-5.510 Transcripts Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-5.510 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.510}

1 CSR 15-5.530 Bench Rulings and Memorandum Decisions Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-5.530 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.530}

1 CSR 15-5.560 Fees and Expenses Feb. 6, 1992. Amended: Filed Oct. 31, 1994, Jan. 11, 2001, effective July 30, 2001. {#sec-1-csr-15-5.560 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.560}

1 CSR 15-5.580 Certifications of Records Feb. 6, 1992. Rescinded: Filed Jan. 11, 4CODE OF STATE REGULATIONS {#sec-1-csr-15-5.580 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-5.580}

Chapter 6 Medicaid Cases

1 CSR 15-6.270 Service of Filings Other Than the Original Complaint {#sec-1-csr-15-6.270 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.270}

(Rescinded July 30, 2001) .4 ADMINISTRATION Hearing Commission

1 CSR 15-6.010 Definitions 6.010 Oct. 15, 1980, effective Jan. 12, 1981. {#sec-1-csr-15-6.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.010}

1987. Amended: Filed Nov. 14, 1986, effec-

1 CSR 15-6.020 Powers and Duties 6.020 Oct. 15, 1980, effective Jan. 12, 1981. {#sec-1-csr-15-6.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.020}

1 CSR 15-6.030 Practice by Attorneys 6.030 Oct. 15, 1980, effective Jan. 12, 1981. {#sec-1-csr-15-6.030 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.030}

Amended: Filed Oct. 16, 1987, effective Jan. 19, 1988. Rescinded: Filed Aug. 5, 1991,

1 CSR 15-6.035 Expedited Filing Aug. Aug. 28, 1989, expired Dec. 25, 1989. {#sec-1-csr-15-6.035 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.035}

Dec. 28, 1989. Rescinded: Filed Aug. 5,

1 CSR 15-6.040 Complaints 6.040 Oct. 15, 1980, effective Jan. 12, 1981. {#sec-1-csr-15-6.040 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.040}

1987. Amended: Filed Nov. 14, 1986, effec-

1 CSR 15-6.050 Class Action Complaints 6.050 Oct. 15, 1980, effective Jan. 12, 1981. {#sec-1-csr-15-6.050 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.050}

1 CSR 15-6.060 Answers and Supplementary Pleadings 6.060 Oct. 15, 1980, effective Jan. 12, 1981. {#sec-1-csr-15-6.060 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.060}

1987. Amended: Filed Nov. 14, 1986, effective March 2, 1987. Amended: Filed Oct. 16, 1987, effective Jan. 19, 1988. Emergency amendment filed Aug. 18, 1989, effective Aug. 28, 1989, expired Dec. 25, 1989.

Amended: Filed Aug. 31, 1989, effective Dec. 28, 1989. Rescinded: Filed Aug. 5, 1991,

1 CSR 15-6.070 Discovery {#sec-1-csr-15-6.070 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.070}

History

• AUTHORITY: sections 536.073 and 621.198, RSMo 1986. This rule was previously filed as

4 CSR 20-6.070 Oct. 15, 1980, effective Jan. 12, 1981. Amended: Filed May 29, 1986, effective Dec. 1, 1986. Emergency amendment filed Aug. 18, 1989, effective Aug. 28, 1989, expired Dec. 25, 1989. Amended: {#sec-4-csr-20-6.070 omnilex-key=us-mo-regs-official--title-1--4 CSR 20-6.070}

Filed Aug. 31, 1989, effective Dec. 28, 1989.

1 CSR 15-6.080 Prehearing Conference 6.080 Oct. 15, 1980, effective Jan. 12, 1981. {#sec-1-csr-15-6.080 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.080}

1 CSR 15-6.090 Hearing 6.090 Oct. 15, 1980, effective Jan. 12, 1981. {#sec-1-csr-15-6.090 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.090}

1987. Amended: Filed Nov. 14, 1986, effec-

1 CSR 15-6.100 Intervention 6.100 Oct. 15, 1980, effective Jan. 12, 1981. {#sec-1-csr-15-6.100 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.100}

1 CSR 15-6.110 Dismissal 6.110 Oct. 15, 1980, effective Jan. 12, 1981. {#sec-1-csr-15-6.110 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.110}

Amended: Filed Oct. 16, 1987, effective Jan. 19, 1988. Rescinded: Filed Aug. 5, 1991,

1 CSR 15-6.120 Final Decisions 6.120 Oct. 15, 1980, effective Jan. 12, 1981. {#sec-1-csr-15-6.120 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.120}

1 CSR 15-6.130 Judicial Review 6.130 Oct. 15, 1980, effective Jan. 12, 1981. {#sec-1-csr-15-6.130 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.130}

1 CSR 15-6.140 Availability of Commission’s Rules 6.140 Oct. 15, 1980, effective Jan. 12, 1981. {#sec-1-csr-15-6.140 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.140}

1 CSR 15-6.150 Disposition of Contested Case Without Hearing {#sec-1-csr-15-6.150 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.150}

Filed Aug. 5, 1991, effective Feb. 6, 1992.

History

• AUTHORITY: sections 536.073 and 621.198, RSMo 1986. Original rule filed May 29, 1986, effective Dec. 1, 1986. Rescinded:

1 CSR 15-6.160 Bench Rulings and Memorandum Decisions Aug. 28, 1989, expired Dec. 25, 1989. {#sec-1-csr-15-6.160 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.160}

Dec. 28, 1989. Rescinded: Filed Aug. 5,

1 CSR 15-6.170 Applications for Attorney’s Fees Aug. 28, 1989, expired Dec. 25, 1989. {#sec-1-csr-15-6.170 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.170}

Dec. 28, 1989. Rescinded: Filed Aug. 5,

1 CSR 15-6.210 Definitions Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-6.210 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.210}

1 CSR 15-6.230 Computation of Time; {#sec-1-csr-15-6.230 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.230}

Extensions of Time Feb. 6, 1992. Rescinded: Filed Jan. 11,

1 CSR 15-6.250 Practice by a Licensed Attorney; When Required {#sec-1-csr-15-6.250 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.250}

History

• AUTHORITY: sections 621.035 and 621.198, RSMo 1986. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. Rescinded: Filed Jan. 11, 2001, effective July 30, 2001.

1 CSR 15-6.270 Service of Filings Other Than the Original Complaint Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-6.270 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.270}

1 CSR 15-6.290 Filing of Documents; Fax Filing {#sec-1-csr-15-6.290 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.290}

Filed Jan. 11, 2001, effective July 30, 2001.

History

• AUTHORITY: sections 621.198 and 621.205, RSMo 1994. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992. Amended: Filed Oct. 31, 1994, effective May 28, 1995. Rescinded:

1 CSR 15-6.320 Stays or Suspensions of Department Action Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-6.320 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.320}

1 CSR 15-6.350 Complaints Feb. 6, 1992. Amended: Filed Oct. 31, 1994, Jan. 11, 2001, effective July 30, 2001. {#sec-1-csr-15-6.350 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.350}

1 CSR 15-6.380 Answers and Other Responsive Pleadings Feb. 6, 1992. Amended: Filed Oct. 31, 1994, Jan. 11, 2001, effective July 30, 2001. {#sec-1-csr-15-6.380 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.380}

1 CSR 15-6.390 Intervention Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-6.390 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.390}

1 CSR 15-6.410 Closing of Case Records and Hearings Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-6.410 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.410}

1 CSR 15-6.420 Discovery Original rule filed Aug. 5, 1991, effective Feb 6, 1992. Rescinded: Filed Jan. 11, 2001, effective July 30, 2001. {#sec-1-csr-15-6.420 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.420}

1 CSR 15-6.430 Dismissal Feb. 6, 1992. Amended: Filed Oct. 31, 1994, Jan. 11, 2001, effective July 30, 2001. {#sec-1-csr-15-6.430 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.430}

1 CSR 15-6.450 Determination of Cases Without Hearing {#sec-1-csr-15-6.450 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.450}

Amended: Filed Oct. 31, 1994, effective May 28, 1995. Rescinded: Filed Jan. 11, 2001, effective July 30, 2001.

History

• AUTHORITY: sections 536.073.2(2) and 621.198, RSMo 1994. Original rule filed Aug. 5, 1991, effective Feb. 6, 1992.

1 CSR 15-6.470 Prehearing Conferences Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-6.470 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.470}

1 CSR 15-6.480 Hearings on Motions Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-6.480 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.480}

1 CSR 15-6.490 Hearings on Complaints Feb. 6, 1992. Amended: Filed Oct. 31, 1994, Jan. 11, 2001, effective July 30, 2001. {#sec-1-csr-15-6.490 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.490}

1 CSR 15-6.510 Transcripts 4CODE OF STATE REGULATIONS (6/30/01) MATTBLUNT Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-6.510 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.510}

1 CSR 15-6.530 Bench Rulings and Memorandum Decisions Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-6.530 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.530}

1 CSR 15-6.560 Fees and Expenses Feb. 6, 1992. Amended: Filed Oct. 31, 1994, Jan. 11, 2001, effective July 30, 2001. {#sec-1-csr-15-6.560 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.560}

1 CSR 15-6.580 Certifications of Records Feb. 6, 1992. Rescinded: Filed Jan. 11, {#sec-1-csr-15-6.580 omnilex-key=us-mo-regs-official--title-1--1 CSR 15-6.580}

Division 20 Personnel Advisory Board and Division of Personnel

Chapter 1 Organization and Operation

1 CSR 20-1.010 General Organization {#sec-1-csr-20-1.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-1.010}

PURPOSE: This rule describes the general organization and operation of the Personnel Division and the Personnel Advisory Board and the methods and procedures where the public may obtain information or make submissions or requests.

(1) Division of Personnel. The Division of Personnel is a division of the Office of Administration of the state government. It is responsible for the administration of a uniform system of classification and pay and a system of personnel management in accordance with the provisions of the State Personnel Law, Chapter 36, RSMo. In addition, it is the duty of the division to— (A) Promote uniformity in employment conditions and compensation of state employees;

(B) Provide aid to departments in personnel matters; and (C) Develop a career system of state service that will enable the state to utilize all its personnel in as efficient and effective a manner as possible without restrictions of department, agency, or other entity of the executive branch of state government.

(2) Personnel Advisory Board. As imposed upon the Personnel Advisory Board by statute and elsewhere in these rules, the board prescribes rules and approves classification and pay plans prepared by the Division of Personnel.

(3) Personnel Director. The director, as executive head of the Personnel Division, directs and supervises all its administrative and technical activities.

(4) Methods of Operation. The Personnel Division conducts its general operations with headquarters in Jefferson City, Missouri.

Public hearings on rule changes and the pay plan are normally held by the Personnel Advisory Board in Jefferson City as are the regular meetings of the board. tive July 19, 1947. Amended: Filed April 23, 1974, effective May 2, 1974. Amended: Filed Dec. 8, 1975, effective Dec. 19, 1975.

Amended: Filed Feb. 25, 1992, effective Aug. 6, 1992. Amended: Filed May 15, 1996, effective Nov. 30, 1996. Amended: Filed Dec. 15, 2004, effective June 30, 2005. Emergency amendment filed Aug. 27, 2010, effective Sept. 7, 2010, expired March 5, 2011.

Amended: Filed Aug. 27, 2010, effective Feb. 28, 2011. Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019. Amended: Filed Aug. 31, 2018, effective Feb. 28, 2019.

1 CSR 20-1.020 Definitions {#sec-1-csr-20-1.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-1.020}

PURPOSE: This rule defines the meanings of specific words and terms used in the rules of the Personnel Advisory Board and the Personnel Division, including leaves of absence.

(1) Definitions.

(A) As used in these rules, the following words and terms, unless the context clearly requires otherwise, have the meaning indicated below:

1. Allocation means the assignment of an individual position to an appropriate class, multiple classes, or class and band on the

basis of the duties, authority, and responsibilities of the position;

2. Appointment means the lawful hiring of an individual by an appointing authority;

3. Certificate means a listing of eligibles sent to agencies to be used in filling a current or anticipated vacancy at a specific work location;

4. Class specification means the written description of a class containing a title, a statement of the customary duties, authority, responsibilities, and other significant characteristics of the class, and the qualifications that are necessary or desirable for the satisfactory performance of the duties of the class based on the specified knowledges, skills, and abilities;

5. Classification means the systematic analysis, evaluation, and grouping of positions, not employees, on the basis of their duties, authorities, responsibilities, and other significant characteristics into relatively homogeneous classes;

6. Classification plan means the plan prepared, adopted, maintained, and administered by the Division of Personnel and under the authority and responsibility of the Personnel Advisory Board which sets forth, for each class of positions, a class title, class specification, overtime, and equal employment opportunity (EEO) category designations;

7. Classified service means those positions in agencies which are subject to the merit system provision contained in statute, specifically section 36.030.1(2), RSMo, and these rules and the classification and pay provisions enumerated in statute and these rules;

8. Covered service means those positions in agencies subject to the classification and pay provisions contained in statute and these rules, but which are not subject to the merit system provisions of statute and these rules;

9. Demotion, in the general classification plan, means a change of an employee from a position in one (1) class to a position in another class which is assigned a lower pay range within the pay plan. A demotion may also involve the involuntary movement of an employee from a position in a band to a position in a range where the salary is decreased;

10. Incumbency status means a determination made by the Division of Personnel that an individual in the classified service may be placed in a class by means of reclassification;

11. Incumbent means an individual occupying a position;

12. Law means the State Personnel Law;

13. Merit system means those positions covered by section 36.030.1(2), RSMo;

14. Original appointment means an appointment of a new employee, covered under section 36.030.1(2), RSMo, to a position of a permanent or continuing nature made in accordance with an applicable statute and rules;

15. Pay differential means the payment of an authorized rate(s) of pay which may exceed the range of compensation prescribed for a class due to differing work conditions, assignment, incumbent qualifications, or other designated factor. The establishment and usage of these differentials are approved by the Personnel Advisory Board;

16. Pay plan means the plan prepared, adopted, maintained, and administered by the Division of Personnel under the authority of the Personnel Advisory Board, as described at section 36.140, RSMo, which sets forth for each class of positions a pay range or bands with a minimum and a maximum rate and intermediate rates as may be established, as well as any pay differentials authorized by the board;

17. Personnel rules means the rules of the Personnel Advisory Board and the Division of Personnel;

18. Position means the fundamental unit of classification and allocation comprised of a set of current duties and responsibilities, assigned or delegated by competent authority;

19. Position description means an official written statement of the duties, responsi bilities, supervisory relationships, and other basic data of a position used in the position classification and allocation process;

20. Position management means the monitoring and control of the establishment of positions and of the movement of incumbents in and out of positions as well as the maintenance of current and historical information that identifies and defines each position;

21. Position review means an investigation of the duties and responsibilities of a position, which may include an interview of the incumbent and his/her supervisor, to determine the appropriateness of the position’s allocation;

22. Probationary period means a period, applicable to employees covered under section 36.030.1(2), RSMo, which is sufficient to demonstrate the employee’s ability to perform the duties of the position;

23. Promotion, in the general classification plan, means a change of an employee from a position in one (1) class to a position in another class which is assigned a higher established pay range within the pay plan. A promotion may also involve the movement of an employee from a position in a band to a position in a range where the salary is increased;

24. Public notice means notice posted by the Division of Personnel and includes the time, date, and place of the meeting and its tentative agenda and is posted at least twentyfour (24) hours prior to the commencement of the meeting, unless this notice is impossible or impractical;

25. Qualifications, as stated on the class specification, means the education, experience, and/or certification or licensure necessary for the satisfactory performance of the duties of the class;

26. Reallocation means the change in the allocation of an individual position on the

basis of duties, authority, and responsibilities of the position, or an official change in the classification plan;

27. Reclassification means a classification change of an employee in conjunction with a position reallocation or movement within a multilevel allocated position. For a position in the classified service, the use of reclassification is applicable to an employee having incumbency status, as ascertained from a position review conducted by the Division of Personnel;

28. Regular appointment means a change of employee status given to an employee after successful completion of a probationary period;

29. Reinstatement means an action which returns an employee to a class in which the employee held regular status due to an ordered reinstatement;

30. Salary adjustment means a change in salary rate resulting from a general structure increase or a range-repositioning change;

31. Salary advancement means an increase in salary within the range or band prescribed for the class established in the pay plan given in recognition of work performance, length of service, or both; additional duties, responsibilities, or skill; to maintain equity within and between classifications; to effect a within-grade salary increase; or in conjunction with a promotion, upward job reclassification, or end-of-probation transaction, or for other reasons promoting the needs of the service;

32. Suspension means an enforced leave without pay for disciplinary purposes or pending investigation of charges made against an employee;

33. Temporary appointment means an appointment to a position for a period not to exceed a total of six (6) months in any twelve- (12-) month period;

34. Transfer, in the general classification service, means a change of an employee from one (1) position to another position in the same class or to another class assigned to the same established pay range. In the broad classification bands, a within-band transfer means a change of an employee from one (1) position to another position in the same class or another class assigned to the same established pay band; an out-of-band transfer means the movement of an employee from a position in a band to a position in a range where the action does not constitute a promotion or demotion. A transfer may involve a change of assignment or work location; and 35. Unclassified service means those positions in agencies subject to the merit system provisions or Uniform Classification and Pay (UCP) provisions contained in the law and these rules, but which may be established and filled without regard to merit selection hiring processes or provisions governing classification and pay.

(B) Other terms are defined in specific sections elsewhere in these rules.

(C) The definitions of section 36.020, RSMo apply to these rules unless the context clearly requires otherwise.

(D) As used in section 36.030, RSMo, grant-in-aid programs means those federal grant programs that require by federal statute or regulation, as a condition of eligibility, that a department or agency of this state that receives grants establish merit personnel systems for their personnel engaged in administration of the grant-aided program. The term shall also include any other federal programs for which a department or agency of this state has agreed by contract with any agency of the federal government prior to the effective date of this regulation to maintain standards for a merit system of personnel administration consistent with Subpart F of 5 CFR Part 900 and make those standards applicable to personnel involved in the performance of the contract.

(2) Definitions of Terms. The following words and terms, used with specific intent throughout this rule and 1 CSR 20-5.020 or in their administration, are defined for clarity:

(A) Annual leave is a form of compensation authorized by the state and paid to an eligible employee by means of paid time off from work, under the conditions set forth in 1 CSR 20-5.020(1);

(B) Annual leave accrual is the accumulation of hours of paid time off as a form of compensation earned by the employee.

Eligibility to earn and accrue annual leave as a form of compensation is limited to a maximum number of hours stipulated by law and set forth in 1 CSR 20-5.020(1);

(C) Sick leave is a benefit granted by the state to the employee in the form of paid time off from work due to illness, under the conditions set forth in 1 CSR 20-5.020(2) or for Personal Wellness Leave as set forth in 1 CSR 20-5.020(2);

(D) Sick leave accrual is the accumulation of hours of eligibility for paid time off from work conferred upon an eligible employee as a benefit by the state for specific purposes and under specific conditions that are set forth in 1 CSR 20-5.020(2);

(E) Personal Wellness Leave is the ability of an employee to use up to one (1) hour of accrued sick leave per month for personal wellness under specific conditions that are set forth in 1 CSR 20-5.020(2)(O);

(F) Paid time off from work authorized by the state and conferred upon the employee by the appointing authority and solely at the discretion of the appointing authority for the

purpose deemed appropriate and in the best interest of the state may be called administrative leave; and (G) A semi-monthly pay period or semimonth is that period of approximately onehalf (1/2) of a calendar month established by the Office of Administration as the pay cycle for state employees.

(3) For the purposes of leaves of absence as set out in 1 CSR 20-5.020, state service time will be defined as— (A) The total length of time of employment in any department, division, or agency of state government that is covered by the provi sions 4CODE OF STATE REGULATIONS (1/29/19) JOHNR. ASHCROFT of section 36.350, RSMo, and under the conditions set forth in 1 CSR 20-5.020;

(B) Time of state paid employment in the Offices of the Governor, Lieutenant Governor, Secretary of State, State Auditor, Treasurer, Attorney General, Houses of the Missouri State Legislature, the Missouri State Judiciary, Missouri State Courts Administrator, Missouri Consolidated Health Care Plan, and Missouri State Employees’ Retirement System, will be recognized and accepted as time of state service for the purposes of eligibility for and accrual of paid leaves of absences; and (C) Employment with other state funded public entities when these entities have been accepted for coverage under the provisions of 1 CSR 20-5.015(3)(B).

(4) For the purposes of leaves of absence as set out in 1 CSR 20-5.020, an eligible employee shall be defined as— (A) Any employee of the state of Missouri covered by the provisions of section 36.350, RSMo; and (B) Any state paid employee of elected state officials, specifically employees of the Offices of the Governor, Lieutenant Governor, Secretary of State, State Auditor, Treasurer, Attorney General, Houses of the Missouri State Legislature, the Missouri State Judiciary, Missouri State Courts Administrator, Missouri Consolidated Health Care Plan, Missouri State Employees’ Retirement System, and other state funded public entities, shall be considered eligible employees under 1 CSR 20-5.020 upon submission of written certification of adherence to the provisions of 1 CSR 20-5.020 and acceptance by the Personnel Advisory Board of the public entity for coverage under the

rule.

(5) Records. Pursuant to section 36.420, RSMo, the records of the Personnel Division, except examinations, service reports, personal histories, and other records that are or may be closed pursuant to Chapter 610, RSMo, shall be public records and shall be open to public inspection, during regular office hours at reasonable times and in accordance with procedures as the board may prescribe. tive July 19, 1947. Amended: Filed Dec. 23, 1947, effective Jan. 2, 1948. Amended: Filed March 25, 1948, effective April 4, 1948.

Amended: Filed April 23, 1974, effective May 2, 1974. Amended: Filed Dec. 9, 1975, effective Dec. 19, 1975. Emergency amendment filed Sept. 13, 1979, effective Sept. 28, 1979, expired Jan. 25, 1980. Amended: Filed Oct. 12, 1979, effective Jan. 15, 1980. Amended:

Filed Feb. 25, 1992, effective Aug. 6, 1992.

Amended: Filed July 6, 1993, effective Jan. 31, 1994. Amended: Filed Oct. 31, 1995, effective May 30, 1996. Amended: Filed May 15, 1996, effective Nov. 30, 1996. Amended:

Filed July 9, 1997, effective Jan. 30, 1998.

Amended: Filed March 11, 1999, effective Sept. 30, 1999. Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019. Amended: Filed Aug. 31, 2018, effective Feb. 28, 2019.

1 CSR 20-1.030 Personnel Rules {#sec-1-csr-20-1.030 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-1.030}

(Rescinded February 28, 2019)

Original rule filed July 9, 1947, effective July 19, 1947. Amended: Filed Dec. 8, 1975, effective Dec. 19, 1975. Amended: Filed Feb. 25, 1992, effective Aug. 6, 1992. Emergency amendment filed Aug. 27, 2010, effective Sept. 7, 2010, expired March 5, 2011.

Amended: Filed Aug. 27, 2010, effective Feb. 28, 2011. Rescinded: Filed Aug. 31, 2018, effective Feb. 28, 2019.

History

• AUTHORITY: section 36.070, RSMo 2000.

1 CSR 20-1.040 Unclassified Service {#sec-1-csr-20-1.040 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-1.040}

PURPOSE: This rule defines the unclassified service of the state under coverage of the State Personnel Law.

(1) Certain positions may be established and filled without regard to provisions of the State Personnel Law or of these rules which relate to the classification and allocation of positions or which relate to the selection, appointment, compensation, and removal of persons employed in these positions. The following positions, as well as others that may be provided in law, including section 36.030.2, RSMo, comprise this unclassified service:

(A) Deputy(ies) or other policy-making assistants to the unclassified department director or division director as warranted by the size and complexity of the organization and as approved by the Personnel Advisory Board. Appointing authorities shall submit to the board a written request for each unclassified deputy or other policy-making assistant position describing the size and complexity of the organization, the reasons for requesting the unclassified position, and the relationship of the proposed position to other administrative positions in the agency both classified and unclassified. The duties assigned to unclassified deputies or other policy-making assistants shall not be designed to replace a classified position occupied by an incumbent or to result in the downward reclassification, layoff, or demotion of an incumbent of a classified position;

(B) The administrative head of each state medical, penal, and correctional institution, as warranted by the size and complexity of the organization and as approved by the board in the same manner and under the same conditions as provided for unclassified deputies and other policy-making assistants; and (C) Other persons whose employment is such that standard selection and standard classification and compensation practices are not practical under all circumstances as determined by the director. The circumstances which justify that determination shall include the following:

1. Cooperative education programs with secondary schools involving part-time employment of students;

2. Positions involving short-term, parttime, or intermittent work schedules which do not exceed the equivalent of one-half (1/2) time in a year, except that this rule will not be used to maintain permanent or continuing employment, or both, in a division of service;

3. New positions for which allocation to an existing class is not practicable when those positions must be filled pending a review of the duties involved and preparation of a class specification for approval by the board;

4. Interns, trainees, and participants in special state or federal training, rehabilitation, or employment programs providing that the objectives of these programs are best served by selection or allocation procedures other than those based on competitive examination or uniform classification and pay; or 5. Situations in which the special needs of the service cannot be met by other appointment or classification and pay procedures provided in these rules. tive July 19, 1947. Amended: Filed Sept. 20, 1947, effective Sept. 30, 1947. Amended:

Filed April 23, 1974, effective May 2, 1974.

Emergency amendment filed Sept. 13, 1979, effective Sept. 28, 1979, expired Jan. 25, 1980. Amended: Filed Oct. 12, 1979, effective Jan. 15, 1980. Amended: Filed Feb. 25, 1992, effective Aug. 6, 1992. Amended: Filed May 15, 1996, effective Nov. 30, 1996.

Amended: Filed Sept. 15, 1998, effective March 30, 1999. Amended: Filed Sept. 16, 2002, effective March 30, 2003. Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019.

Amended: Filed Aug. 31, 2018, effective Feb. 28, 2019.

1 CSR 20-1.045 Covered Service {#sec-1-csr-20-1.045 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-1.045}

PURPOSE: This rule defines the covered service of the state under coverage of the uniform classification and pay provisions of the State Personnel Law contained in section 36.031, RSMo.

(1) The covered service shall consist of, and the uniform classification and pay provisions of the State Personnel Law and these rules shall apply to, all offices, positions, and employees of those departments and agencies of the executive branch of state government as specified in Chapter 36, RSMo.

Filed May 15, 1996, effective Nov. 30, 1996.

Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019. Amended: Filed Aug. 31, 2018, effective Feb. 28, 2019. *Original authority: 36.031, RSMo 1990, amended 1996, 2005, 2007, 2010, 2018 and 36.070, RSMo 1945, amended 1979, 1995, 2018.

History

• AUTHORITY: sections 36.031 and 36.070, RSMo Supp. 2018. Original rule filed Feb. 25, 1992, effective Aug. 6, 1992. Amended:

1 CSR 20-1.050 Records and Reports {#sec-1-csr-20-1.050 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-1.050}

(Rescinded February 28, 2019)

Original rule filed July 9, 1947, effective July 19, 1947. Rescinded: Filed Aug. 31, 2018, effective Feb. 28, 2019.

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History

• AUTHORITY: section 36.070, RSMo 1986.

Chapter 2 Classification and Pay Plans

1 CSR 20-2.010 The Classification Plan {#sec-1-csr-20-2.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-2.010}

PURPOSE: The Personnel Division and the Personnel Advisory Board have the authority and responsibility for preparation, adoption, maintenance and revision of a classification plan for all positions in the classified and covered services. This rule provides the framework within which this authority is exercised.

(1) The classification plan shall be maintained as follows:

(A) Revisions of Plan. The classification plan shall be so developed and maintained that all positions substantially similar with respect to the kind, difficulty, and responsibility of work are included in the same class and that the same schedule of pay may be applied with equity to all positions in a class (see section 36.110, RSMo);

(B) Reallocation of Positions Within the Established Plan. The director may investigate the duties of any position in the classified and covered service subject to the law to determine the correctness of allocation and to provide for maintenance of the classification plan. Before making any permanent and substantial change in the duties, authority, or responsibilities of a position subject to the law, an appointing authority shall notify the director in writing of his/her intention to do so, together with a statement of the duties, authorities, and responsibilities to be assigned. If the duties of his/her position are changed, or if at any time an employee does not believe that the duties of the position are appropriate to his/her classification, s/he may make a request in writing to the director for a review of the duties of his/her position, setting forth reasons for the review. If those reasons appear to be substantial, the director shall make an investigation of the position with a view to determining the correctness or incorrectness of the allocation (see section 36.120, RSMo). If a position is found to be incorrectly allocated, the director, at any time, may reallocate the position to its appropriate class in the classification plan. When the allocation of a position is changed, the director shall notify the appointing authority.

The appropriate personnel action shall be taken by the appointing authority upon receipt of the notice of reallocation. If the position is filled at the time of reallocation, the appointing authority immediately shall notify the incumbent regarding the allocation change. If the incumbent does not agree with the new allocation, s/he may submit to the director in writing a request for a review of the allocation of the position specifying the reasons why the incumbent believes the allocation is incorrect. An employee who is occupying a position which is reallocated to a different class shall continue in this position only if s/he meets the minimum qualifications for the class to which his/her position was reallocated.

(2) Class specifications and class titles shall be provided and used in the classification plan as follows:

(A) Content of Specifications. The director shall provide and may amend as provided in subsection (1)(A) written specifications for each class in the classification plan. Each of the class specifications shall include a class title, a description of the duties, authority, and responsibilities of the work, the knowledge, skills, and abilities, and a statement of the qualifications that are necessary or desirable for the satisfactory performance of the duties of the class;

(B) Interpretation of Class Specifications.

The statement in the class specifications are descriptive and not restrictive. They are intended to indicate the kinds of positions that are allocated to the established classes as determined by their duties and responsibilities and are not to be construed as declaring what the duties or responsibilities of any position may be or as limiting or modifying the power of an appointing authority to assign, direct, and control the work of employees under his/her supervision. The use of a particular expression or illustration as to the duties shall not be held to exclude others not mentioned that are of a similar kind or quality nor shall any specific omission necessarily mean that a factor is not included; and (C) Use in Allocation. In determining the class to which any position should be allocated, the director shall consider the specification describing each class as a whole. Consideration shall be given to the general duties, specific tasks, responsibilities, the necessary or desirable knowledge, skills and abilities, the qualifications required, and relationships to other classes.

Amended: Filed July 21, 1967, effective July 31, 1967. Amended: Filed Dec. 8, 1975, effective Dec. 19, 1975. Emergency amendment filed Sept. 13, 1979, effective Sept. 28, 1979, expired Jan. 25, 1980. Amended: Filed Oct. 12, 1979, effective Jan. 15, 1980.

Amended: Filed Feb. 25, 1992, effective Aug. 6, 1992. Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019. Amended: Filed Aug. 31, 2018, effective Feb. 28, 2019. *Original authority: 36.070, RSMo 1945, amended 1979, 1995, 2018.

History

• AUTHORITY: section 36.070, RSMo Supp. 2018. Original rule filed July 9, 1947, effective July 19, 1947. Amended: Filed Dec. 23, 1947, effective Jan. 2, 1948. Amended: Filed June 1, 1954, effective June 11, 1954.

1 CSR 20-2.015 Broad Classification Bands {#sec-1-csr-20-2.015 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-2.015}

PURPOSE: The board is establishing this

rule to provide for the broadbanding of positions within agencies covered by the uniform classification and pay provisions of the State Personnel Law. This rule provides for the formation and administration of a system of broadbanding applicable to positions within affected state agencies. The Division of Personnel and the Personnel Advisory Board may exercise authority and responsibility for preparation, adoption, maintenance, and revision of that part of the classification and pay plan which includes provisions for grouping of positions with similar levels of responsibility or expertise into broad classification bands in the classified and covered services.

This rule provides the framework within which this authority may be exercised.

(1) Standards and Methods. After consultation with appointing authorities or their designated representatives, the director shall establish and maintain the standards and methods for identifying positions subject to the law for broad classification bands and pay band designations.

(2) Classification Plan. The provisions of 1 CSR 20-2.010 are applicable in the preparation and maintenance of broad classification bands, except as specifically outlined in this

section or necessary for implementation. The class specifications for broadbanded classifications shall be designed to encompass a broad spectrum of positions in generic and agency-specific classes, or may provide for broader applications when the director determines that agency and system needs can be met in a consistent, equitable, and appropriate manner.

(A) Preparation of the Plan. The director shall ascertain the duties, authority, and responsibilities of positions subject to the law.

The broad classification bands shall group positions in very broad classes which generally describe the duties, authority, and responsibilities of positions and cover various pay band levels. The broadbanded class specifications are not specific to individual positions or programs. Two (2) kinds of broadbanded classes, common-use and agency-specific may be used. Common-use classes will accommodate functions which cross agency lines. Agency-specific classes will encompass functions distinct to an individual agency. Each broadbanded class specification will have a class title; statement of the duties, authority, and responsibilities; examples of duties performed; knowledge, skills, and abilities; and the necessary qualifications, provided that equivalent substitutions will be allowed for deficiencies in education or experience. Upon adoption by the Personnel Advisory Board, the broadbanded classes shall become part of the uniform classification and pay plan.

(B) Allocation of a Position. Before establishing a new broadbanded position subject to the law, an appointing authority shall provide the director with a written statement of the duties, authority, and responsibilities to be assigned. The director will determine an appropriate class and pay band assignment based on the duties, authority, and responsibilities of the position.

(3) Compensation Structure. The director will recommend to the board establishment and adoption of pay bands as considered necessary and equitable in order to group and maintain positions with similar levels of responsibility or expertise. The provisions of

1 CSR 20-2.020 are applicable in the preparation, adoption, maintenance, and administration of the pay plan for broad classification bands, except as specifically outlined in this {#sec-1-csr-20-2.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-2.020}

section or necessary for implementation.

(A) Administration. The implementation and ongoing administration of pay within the broad classification bands shall be conducted in a manner which promotes equitable pay relationships and the efficient and effective practice of personnel administration. When the meaning and purpose of a rule is not otherwise affected, the term band may replace range. The pay plan for the broadbanded system shall be administered in accordance with

1 CSR 20-2.020 and the following provisions: {#sec-1-csr-20-2.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-2.020}

1. Appointment rate. The initial appointment rate to a position in a broad classification band is at the discretion of the appointing authority. In making these determinations, consideration should be given to the individual’s qualifications, permanent position-related factors, such as working conditions or physical location of work, and/or recruitment or staffing needs;

2. Salary advancements. Salary advancements within the band occupied by an employee are of three (3) types: probationary salary advancements, specific salary advancements authorized during a fiscal year, and discretionary salary advancements, administered in accordance with the following provisions:

A. A probationary salary advancement is permitted for an employee covered under section 36.030.1(2), RSMo, upon successful completion of the probationary period. An appointing authority may grant a salary advancement following successful completion of a probationary period in a band or after an appropriate period of time following upward reclassification;

B. Within-grade, market progression, or other specific salary advancements within the pay bands, which are only authorized during a fiscal year when specific funding has been appropriated, will be implemented in accordance with guidelines and instructions issued by the board;

C. Discretionary salary advancements may be granted by an appointing authority as warranted by the needs of the service; and D. In the broadbanded service, a conditional salary advancement is a discretionary within-band advancement associated with the assignment of higher level duties or responsibilities of a permanent nature. At the discretion of the appointing authority, and without appeal to the Administrative Hearing Commission, such higher level duties and responsibilities and the associated conditional salary advancement may be withdrawn as specified by the appointing authority. When a conditional salary advancement is established, the appointing authority will provide the affected employee with written notice describing the conditions under which the advancement is given and the conditions under which it can be withdrawn.

(B) Within-Band Salary Decreases. Salary reductions within the band may be made for any amount by the appointing authority. Reasons for such decreases include: changes in duties or organization which do not adversely reflect on the employee; within-band movement to a position of lesser value; a permanent and substantial decline in the scope or complexity of assignment; or an involuntary within-band transfer for cause such as inadequate performance or misconduct as provided for in 1 CSR 20-3.070(2). An involuntary salary decrease within the band, when applied to the salary of a classified employee covered under section 36.030.1(2), RSMo, other than one (1) associated with a conditional salary advancement, shall be treated as a demotion and may be appealed by the affected employee in accordance with statute and these rules.

(C) Pay Rates in Transfer, Promotion, Reclassification, or Demotion. If an employee is transferred, promoted, reclassified, or demoted, the rate of pay, giving consideration to equity, shall be as follows:

1. An employee’s rate of pay must fall within the minimum and maximum of their assigned pay band, except as provided for in paragraph (3)(C)3. of this rule;

2. An employee’s rate of pay within the appropriate band will depend on the type of personnel transaction. Consistent application of formulas or guidelines by appointing authorities in cases of promotions, reclassifications, and demotions will promote equitable treatment of employees affected by these actions.

A. In the case of within-band transfer, which involves a change of an employee from one (1) position to another position in the same class or another class assigned to the same established pay band and which may involve a change of assignment or work location, the salary rate shall be determined by the appointing authority.

B. In the case of promotion or upward reclassification, which involves a change of an employee from a position in one (1) band to a position in a higher band, the salary rate may be increased, or, at the discretion of the appointing authority, may stay the same.

C. In the case of voluntary demotion, demotion for cause, or downward reclassification, which involves movement from one (1) band to a lower band, the salary rate will be at the discretion of the appointing authority.

D. In the case of an out-of-band transfer, which involves movement from a pay band to a pay range, the employee may accept a voluntary reduction in salary. For employees covered under section 36.030.1(2), RSMo, an involuntary salary reduction is considered a demotion and may be appealed by the affected employee in accordance with statute and these rules; and 3. If an employee’s previous rate of pay is more than the maximum rate established for the pay band to which the position is assigned, the employee’s rate of pay may be approved in accordance with the following provisions:

A. When a department, division, work unit, class of employees, or other entity of state government is initially made subject to the classification provisions of the State Personnel Law, the Personnel Advisory Board may approve salary rates above the established maximum rates for the affected employees. In each case where an above-themaximum rate has been authorized by the 4CODE OF STATE REGULATIONS (1/29/19) JOHNR. ASHCROFT Personnel Advisory Board, the rate of pay will be clearly recorded as an above-the-maximum rate, and the affected employee will not be eligible for any additional type or amount of salary adjustment or advancement until the rate of pay falls within the pay band to which the position is assigned;

B. When a position is reallocated to a lower pay band or to a pay range, the appointing authority, with approval of the personnel director, may elect to establish an above-themaximum rate. If the appointing authority elects to establish an above-the-maximum rate, the rate of pay will be clearly recorded as an above-the-maximum rate, and the affected employee will not be eligible for any additional type or amount of salary adjustment or advancement until that time as his/her rate of pay shall fall within the pay band or pay range to which the position is assigned; and C. An above-the-maximum rate established under subparagraphs (3)(C)3.A. and B. will continue while the employee remains in the same or higher pay band in the same department and is above-the-maximum rate for the assigned band. The payment of a differential authorized by the Personnel Advisory Board will be allowed where applicable, and the salary of an affected employee who enters or exits a position covered by this differential will be adjusted in a manner consistent with agency policy and practice. When an employee receiving an above-the-maximum rate of pay transfers to a position in the same class and pay band in another department covered by the classification and pay provisions of the State Personnel Law, the appointing authority of the receiving agency shall have the discretion to continue the authorized above-the-maximum rate, to establish a different, but lower rate of pay which exceeds the established maximum of the appropriate pay band, or to reduce it to a rate within the pay band for the position.

Once the pay band can accommodate the rate of pay, the above-the-maximum rate will be void and the employee’s compensation will be subject to the provisions contained elsewhere in the rules.

(4) Separation, Suspension, and Demotion.

The provisions of 1 CSR 20-3.070 are applicable in the administration of broad classification bands for positions covered by section 36.030.1(2), RSMo, except as specifically outlined in this section, or necessary for implementation.

(A) Demotions. An appointing authority may not demote an employee for cause unless the employee to be demoted meets the minimum qualifications for the lower position demoted to, and no regular employee in the affected class and band or range would be laid off by reason of the action.

Amended: Filed Aug. 15, 2003, effective Feb. 29, 2004. Emergency amendment filed Aug. 27, 2010, effective Sept. 7, 2010, expired March 5, 2011. Amended: Filed Aug. 27, 2010, effective Feb. 28, 2011. Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019.

Amended: Filed Aug. 31, 2018, effective Feb. 28, 2019. *Original authority 36.070, RSMo 1945, amended 1979, 1995, 2018.

History

• AUTHORITY: section 36.070, RSMo Supp. 2018. Original rule filed March 11, 1999, effective Sept. 30, 1999. Emergency amendment filed Jan. 2, 2003, effective Jan. 12, 2003, expired July 10, 2003. Amended: Filed Jan. 15, 2003, effective June 30, 2003.

1 CSR 20-2.020 The Pay Plan {#sec-1-csr-20-2.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-2.020}

PURPOSE: The Personnel Division and the Personnel Advisory Board have the authority and responsibility for preparation, adoption and administration of a pay plan for agencies covered by the classification and pay provisions of the State Personnel Law. This rule provides the framework within which this

(1) Effect of Amendments, Revisions, and Additions. When amendments or revisions to the pay plan are effective, rates of pay of employees are adjusted in the amended scale comparable to the prior scale. A lesser adjustment may be specifically requested and justified by an appointing authority and approved by the director. This approval is conditioned upon uniformity of treatment for all employees of a division of service. When a new or revised class of positions is established in the classification plan, the director recommends for approval of the board an appropriate pay range within the pay plan.

(2) Administration. The implementation and ongoing administration of the pay plan will be conducted in a manner which promotes efficient and effective practice of personnel administration. The pay plan will be administered in accordance with the following provisions:

(A) Salary Advancements. Salary advancements within the pay range for the class occupied by an employee are of three (3) types: probationary salary advancements, specific salary advancements authorized during a fiscal year, and discretionary salary advancements, administered in accordance with the following provisions:

1. A probationary salary advancement of up to four percent (4%) is permitted for an employee upon successful completion of the original probationary period. As used in this paragraph, successful completion means the granting of regular employee status to a probationary employee, rather than the evaluation attained in the performance appraisal.

An appointing authority may grant a probationary salary advancement of up to four percent (4%) following successful completion of a promotional probationary period or completion of six (6) months of service following upward reclassification;

2. Within-grade, market progression, or other specific salary advancements which are only authorized during a fiscal year when specific funding has been appropriated for all agencies. When such funding is approved and appropriated by the legislature, the Personnel Advisory Board will issue guidelines and instructions for implementation of these provisions. Within-grade, market progression, or other specific salary advancements may be for varying amounts or percentages within the range for the class, and may be based on length of total state service, performance appraisal, time in class, relative market position within the range, or any combination of these or other factors;

3. Discretionary salary advancements may be granted by an appointing authority as warranted by the needs of the service; and 4. The probationary salary advancement and the specific salary advancement authorized during a fiscal year as described in paragraphs (2)(A)1. and 2. will be given to eligible employees to the extent that funds are available for implementation of these provisions. No employee can be denied a probationary salary advancement or specific salary advancement authorized during a fiscal year as described in paragraphs (2)(A)1. and 2. in order to provide a salary advancement to another employee authorized under paragraph (2)(A)3.;

(B) The provisions of this rule pertaining to salary advancements do not apply to salary adjustments made in accordance with section (1) when revisions occur in the pay plan;

(C) Pay Rates in Transfer, Promotion, Reclassification, or Demotion. If an employee is transferred, promoted, reclassified, or demoted, the employee’s rate of pay is determined as follows:

1. If the rate of pay in the previous class is less than the minimum rate established for the new class, the rate of pay is advanced to at least the minimum for the new class;

2. If the rate of pay in the previous class is more than the maximum rate for the new class, the pay is reduced to the maximum rate for the new class or lower for purposes of equity, except as provided for in paragraph (2)(C)4. of this rule;

3. If the rate of pay in the previous class falls within the range of pay for the new class, the salary rate will depend on the type of personnel transaction. In the case of transfer or lateral reclassification, the salary rate remains the same unless otherwise provided by the appointing authority due to equity considerations. In the case of promotion or upward reclassification, the salary rate may be increased. In the case of downward reclassification, voluntary demotion, or demotion for cause, the salary rate may be reduced as justified by the difference in salary levels between the class to which demoted and the class previously held, or for purposes of equity. At the discretion of the appointing

A. Where a department, division, work unit, class of employees, or other entity of state government is initially made subject to the classification provisions of the State Personnel Law, the Personnel Advisory Board may approve salary rates above the established maximum rates for the affected employees in job classes to which the newlyallocated positions are assigned. Similarly, if a series of classes or a single class of positions within the classification plan is restructured, altered, or abolished, the Personnel Advisory Board may approve above-the-maximum rates for affected employees, upon recommendation of the appointing authority. In each case where an above-the-maximum rate has been authorized by the Personnel Advisory Board, the rate of pay will be clearly recorded as an over-the-range rate, and the affected employee will not be eligible for any additional type or amount of salary adjustment or advancement until the rate of pay falls within the range of pay for the class to which the position is allocated;

B. Where a position is reallocated to a lower class by action of an appointing authority under delegated allocation authority or by the Division of Personnel, the appointing

(3) Reports. The director will prescribe the necessary mechanism(s) for reports of all personnel changes in the service. These will provide the instructions for submitting the supporting or otherwise pertinent information as the director may deem to be needed. The instructions to appointing authorities will explain which of the changes call for prior approval of the director before they may become effective, which of them require reports when made, and which of them need to be reported sufficiently in advance of the end of the payroll period to permit them to be given effect in the checking and approval of the next payroll.

Filed March 25, 1948, effective April 4, 1948. Amended: Filed June 1, 1954, effective June 11, 1954. Amended: Filed Nov. 1, 1956, effective Nov. 11, 1956. Amended: Filed Dec. 22, 1960, effective Jan. 1, 1961. Amended:

Filed June 12, 1972, effective July 1, 1972.

Amended: Filed June 18, 1973, effective July 1, 1973. Amended: Filed April 23, 1974, effective May 2, 1974. Amended: Filed Dec. 8, 1975, effective Dec. 19, 1975. Amended:

Filed Dec. 13, 1978, effective April 12, 1979.

Emergency amendment filed Sept. 13, 1979, effective Sept. 28, 1979, expired Jan. 25, 1980. Amended: Filed Oct. 12, 1979, effective Jan. 15, 1980. Emergency amendment filed June 12, 1981, effective July 1, 1981, expired Oct. 28, 1981. Amended: Filed June 12, 1981, effective Sept. 15, 1981. Amended:

Filed June 2, 1988, effective Oct. 1, 1988.

Amended: Filed Feb. 27, 1989, effective July 1, 1989. Amended: Filed June 26, 1989, effective Oct. 29, 1989. Amended: Filed Sept. 29, 1989, effective Jan. 1, 1990. Amended:

Filed Feb. 25, 1992, effective Aug. 6, 1992.

Amended: Filed July 6, 1993, effective Jan. 31, 1994. Amended: Filed July 21, 1994, effective Feb. 26, 1995. Amended: Filed May 15, 1996, effective Nov. 30, 1996. Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019.

Amended: Filed Aug. 31, 2018, effective Feb. 28, 2019. *Original authority: 36.060, RSMo 1945, amended 1979, 1993, 1995, 2010, 2018 and 36.070, RSMo 1945, amended 1979, 1995, 2018.

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History

• authority is exercised.
• authority, the salary rate in the case of voluntary demotion or downward reclassification may remain unchanged; and 4. If the rate of pay in the previous class is more than the maximum rate established for the new class, a salary rate above the maximum rate for the new class may be approved in accordance with the following provisions:
• authority, with approval of the personnel director, may elect to continue the incumbent employee’s rate of compensation at the abovethe-maximum rate, establish a lower rate of pay which exceeds the established maximum for the class, or reduce the salary to an equitable rate within the authorized range of pay for the lower class as provided for in paragraph (2)(C)2. If the appointing authority elects to establish an above-the-maximum rate, the rate of pay will be clearly recorded as an over-the-range rate, and the affected employee will not be eligible for any additional type or amount of salary adjustment or advancement until that time as his/her rate of pay falls within the range of pay for the class to which the position is allocated; and C. An over-the-range rate established under subparagraphs (2)(C)4.A. and B. will continue while the employee remains in the same, comparable, or higher classification in the same department. The payment of a differential authorized by the Personnel Advisory Board will be allowed where applicable, and the salary of an affected employee who enters or exits a position covered by this differential will be adjusted in a manner consistent with agency policy and practice. Where an employee receiving an over-the-range rate of pay maintains continuous state employment but accepts a position in the same, comparable, or higher classification in another department covered by the classification and pay provisions of the State Personnel Law the appointing authority of the receiving agency has the discretion to continue the authorized over-the-range rate, to establish a lower rate of pay which exceeds the established maximum for the class, or to reduce it to an equitable rate within the authorized range of pay for the class. Once the range of pay for the class occupied by the employee can accommodate the rate of pay, the over-the-range rate will be void and the employee’s compensation will be subject to the provisions contained elsewhere in the rules; and (D) Total Remuneration. The salary rate established in the pay plan is intended as remuneration for the performance of full-time work in accordance with 1 CSR 20- 5.010(1)(A). Employees may receive additional payments as follows: overtime payments in accordance with 1 CSR 20-5.010(1); pay differentials and performance incentive payments as authorized by the Personnel Advisory Board; suggestion award payments authorized by section 36.030, RSMo, of the State Personnel Law; reimbursement for official travel as permitted by 1 CSR 10-11.010; and nonmonetary income or fringe benefits, which represent provisions made to an employee primarily for the benefit of the state. Subsistence deductions from the pay of an employee for articles provided at a state-owned facility primarily for the benefit of the employee are not considered to be a reduction in total remuneration of the employee.
• AUTHORITY: sections 36.060 and 36.070, RSMo Supp. 2018. Original rule filed July 9, 1947, effective July 19, 1947. Amended:

Chapter 3 Personnel Selection, Appointment, Evaluation and Separation

1 CSR 20-3.010 Examinations {#sec-1-csr-20-3.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-3.010}

PURPOSE: This rule prescribes procedures and practices which govern the administration of merit system examinations.

(1)

Verification of Qualifications. In any competitive examination, the director, appointing authorities, or both, may verify statements contained in the application of an applicant either before or after employment. If a verification of the qualifications of an applicant should reveal any material misrepresentation of employment qualifications and related information as described in the application for examination or attachments, this shall be cause for removal from the register(s) involved, from current and future employment, or both, as provided elsewhere in these rules.

(2) Veterans’ Preference. In any competitive examination for the purpose of establishing a register of eligibles, veterans, disabled veterans, surviving spouses, and spouses of disabled veterans shall be given preference in appointment and examination as provided by law.

(A) Proof of Eligibility. Proof of eligibility for veterans’ preference shall be provided by applicants in the form of their discharge papers, a copy of their discharge papers, or other satisfactory evidence of honorable service. Applicants also shall submit on a form, as may be required by the director, proof of disability certified by the appropriate federal agency responsible for the administration of veterans’ affairs. Any papers submitted to establish proof of service of disability, upon request, shall be returned to veterans.

(3) Parental Preference. In any competitive examination for the purpose of establishing a register of eligibles, a parental preference shall be given to persons who were previously employed by the state but terminated such employment to care for young children. This preference shall be given only for persons who were full-time homemakers and caretakers of children under the age of ten (10) and were not otherwise gainfully employed for a period of at least two (2) years.

(A) Proof of Eligibility. Proof of eligibility for parental preference shall be provided by applicants on a preference claim form and, upon request, other evidence such as birth certificates, income tax returns, or other documents may be required by the director.

(4) Error in Examination. A manifest error in an examination which affects the appointment of persons shall be corrected if called to the attention of the director within thirty (30) days after the establishment of the register, but this correction shall not invalidate any appointments previously made from this register unless it is established that the error was made in bad faith and with intent to deprive the person of consideration.

Filed March 25, 1948, effective April 4, 1948. Amended: Filed June 1, 1954, effective June 11, 1954. Amended: Filed Nov. 18, 1957, effective Nov. 28, 1957. Amended: Filed July 21, 1967, effective July 31, 1967. Amended: Filed Dec. 8, 1975, effective Dec. 19, 1975.

Amended: Filed March 14, 1978, effective June 11, 1978. Amended:

Filed Dec. 13, 1978, effective April 12, 1979. Emergency amendment filed Sept. 13, 1979, effective Sept. 28, 1979, expired Jan. 25, 1980.

Amended: Filed Oct. 12, 1979, effective Jan. 15, 1980. Amended:

Filed Oct. 31, 1995, effective May 30, 1996. Amended: Filed May 15, 1996, effective Nov. 30, 1996. Amended: Filed Dec. 15, 2004, effective June 30, 2005. Emergency amendment filed Aug. 27, 2010, effective Sept. 7, 2010, expired March 5, 2011. Amended: Filed Aug. 27, 2010, effective Feb. 28, 2011. Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019. Amended:

Filed Aug. 31, 2018, effective Feb. 28, 2019. *Original authority: 36.060, RSMo 1945, amended 1971, 1979, 1993, 1995, 2010, 2018

1 CSR 20-3.020 Registers {#sec-1-csr-20-3.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-3.020}

PURPOSE: This rule specifies the conditions under which the various types of merit system registers are established and maintained.

(1) Establishment of Registers. The director may establish and maintain the registers necessary to provide an adequate supply of qualified candidates.

(2) Availability of Eligibles. It shall be the responsibility of eligibles to notify the Personnel Division, and any applicable appointing authority, of any change in address or other changes affecting availability for employment. However, the director, or any appointing authority, may circulate lists or use other methods to determine at any time the availability of eligibles.

Whenever an eligible submits a statement restricting the conditions under which s/he will be available for employment, his/her name may be withheld from all certification, or from consideration for any employment opportunity, which does not meet the conditions which s/he has specified. An eligible may file a new statement at any time within the duration of an eligible list modifying any prior statement as to conditions under which s/he will be available for employment.

Filed Sept. 20, 1947, effective Sept. 30, 1947. Amended: Filed Sept. 15, 1948, effective Sept. 25, 1948. Amended: Filed June 1, 1954, effective June 11, 1954. Amended: Filed April 23, 1974, effective May 2, 1974. Amended: Filed Dec. 8, 1975, effective Dec. 19, 1975.

Emergency amendment filed Sept. 13, 1979, effective Sept. 28, 1979, expired Jan. 25, 1980. Amended: Filed Oct. 12, 1979, effective Jan. 15, 1980. Amended: Filed Oct. 31, 1995, effective May 30, 1996.

Amended: Filed July 9, 1997, effective Jan. 30, 1998. Amended:

Filed March 11, 1999, effective Sept. 30, 1999. Amended: Filed Dec. 15, 2004, effective June 30, 2005. Emergency amendment filed Aug. 27, 2010, effective Sept. 7, 2010, expired March 5, 2011.

Amended: Filed Aug. 27, 2010, effective Feb. 28, 2011. Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019. Amended: Filed Aug. 31, 2018, effective Feb. 28, 2019. *Original authority: 36.060, RSMo 1945, amended 1971, 1979, 1993, 1995, 2010, 2018

1 CSR 20-3.030 Certification and Appointment {#sec-1-csr-20-3.030 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-3.030}

PURPOSE: This rule prescribes the conditions under which positions may be filled by certification and appointment from merit system registers and by other types of appointment authorized in the merit system law.

(1) Certification of eligibles shall be designed to provide the appointing authorities with a viable tool for efficient selection of an effective work force and shall be governed by the following provisions:

(A) In the absence of an established register or whenever there are not sufficient names on a register, the director may supplement those names with names from other appropriate registers.

(2) The following types of appointment may be made for those positions under section 36.030.1, RSMo:

(A) Appointment From a Register. Appointments to vacancies in the classified service may be made following certification from an appropriate register in accordance with the provisions of the law and these rules;

(B) Direct Appointment. After appropriate public notice, an appointing authority may appoint any applicant meeting the minimum qualifications for a particular position within the appointing authority’s division of service. This type of appointment may be made regardless of whether or not the applicant was added to a register or whether or not the applicant applied through any central statewide application process or system; and (C) Temporary Appointments. No temporary appointment shall be made for more than a total of six (6) months, either continuously or intermittently, in any twelve- (12-) month period. Successive temporary appointments to the same position shall not exceed a total of six (6) months in any twelve- (12-) month period.

(3) Transfers. Transfers may be used in accordance with statute and these rules.

Filed Sept. 20, 1947, effective Sept. 30, 1947. Amended: Filed March 25, 1948, effective April 4, 1948. Amended: Filed June 1, 1954, effective June 11, 1954. Amended: Filed April 23, 1974, effective May 2, 1974. Amended: Filed Feb. 28, 1975, effective March 10, 1975.

Amended: Filed Dec. 8, 1975, effective Dec. 19, 1975. Amended:

Filed Dec. 13, 1978, effective April 12, 1979. Emergency amendment filed Sept. 13, 1979, effective Sept. 28, 1979, expired Jan. 25, 1980.

Amended: Filed Oct. 12, 1979, effective Jan. 15, 1980. Amended:

Filed June 2, 1988, effective Oct. 1, 1988. Amended: Filed Jan. 26, 1990, effective June 30, 1990. Amended: Filed March 1, 1993, effective Oct. 10, 1993. Amended: Filed July 21, 1994, effective Feb. 26, 1995. Amended: Filed May 15, 1996, effective Nov. 30, 1996.

Emergency amendment filed Aug. 27, 2010, effective Sept. 7, 2010, expired March 5, 2011. Amended: Filed Aug. 27, 2010, effective Feb. 28, 2011. Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019. Amended: Filed Aug. 31, 2018, effective Feb. 28, 2019. *Original authority: 36.060, RSMo 1945, amended 1971, 1979, 1993, 1995, 2010, 2018

1 CSR 20-3.040 Probationary Period {#sec-1-csr-20-3.040 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-3.040}

PURPOSE: This rule establishes the conditions and procedures which govern the probationary period of employment required for individuals appointed or promoted to positions described under

section 36.030.1(2), RSMo.

(1) Objective and Scope. The probationary or working test period shall be utilized for closely observing the employee’s work, for securing the most effective adjustment of a new employee to his/her position and for rejecting any employee whose performance does not meet the required work standards.

This rule applies only to positions described under section 36.030.1(2), RSMo.

(2) Duration. The probationary period shall begin upon the appointment or promotion of the employee. Any interruption of service during the probationary period shall not be counted as a part of the total probationary service required. Probationary service will be subject to the following provisions:

(A) The normal length of probation for employees in all medical and dental classes of positions and in classes identified by the director as having substantial supervisory or administrative responsibilities shall be twelve (12) months.

The maximum length of probation shall be eighteen (18) months and the minimum length of probation shall be six (6) months for employees in those positions serving original or promotional probationary periods;

(B) The normal and the minimum length of probation for all other classes of positions shall be six (6) months for employees in those positions serving an original or promotional probationary period. The maximum length of probation for those employees shall be twelve (12) months;

(C) If an appointing authority finds that it will require more time than the normal probationary period to evaluate an employee’s ability to successfully perform the various duties of a position, the appointing authority may extend the probationary period not to exceed the maximum period allowed under these rules. Prior to the expiration of a normal probationary period, the appointing authority shall notify the employee in writing of the reasons for, and duration of, the extension. A copy of the notice shall be filed with the director;

(D) If an appointing authority finds that a probationary employee is performing the duties of a position in an effective and fully satisfactory manner, the appointing authority may reduce the length of probation to no less than the minimum probationary period prescribed under these rules for the class and type of appointment involved. The appointing authority shall notify the employee and the director in writing of the reduction and the reasons; and (E) The normal probationary period for the class involved shall be served by all employees unless the appointing authority takes specific action under these rules to extend or reduce the length of probation for a specific probationary employee or for employees in a particular job class.

Amended: Filed July 21, 1967, effective July 31, 1967. Amended:

Filed June 12, 1972, effective July 1, 1972. Amended: Filed April 23, 1974, effective May 2, 1974. Amended: Filed Feb. 28, 1975, effective March 10, 1975. Amended: Filed Dec. 8, 1975, effective Dec. 19, 1975. Amended: Filed Dec. 13, 1978, effective April 12, 1979.

Emergency amendment filed Sept. 13, 1979, effective Sept. 28, 1979, expired Jan. 25, 1980. Amended: Filed Oct. 12, 1979, effective Jan. 15, 1980. Amended: Filed March 11, 1999, effective Sept. 30, 1999.

Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019. Amended: Filed Aug. 31, 2018, effective Feb. 28, 2019. *Original authority: 36.070, RSMo 1945, amended 1979, 1995, 2018.

Hedges v. Department of Social Services, 585 SW2d 170 (Mo.

App. 1979). The personnel board’s failure to comply with its own “directory” rule does not have the effect of changing the status of an employee from probationary to permanent.

History

• AUTHORITY: section 36.070, RSMo Supp. 2018. Original rule filed July 9, 1947, effective July 19, 1947. Amended: Filed March 25, 1948, effective April 4, 1948. Amended: Filed June 1, 1954, effective June 11, 1954. Amended: Filed Dec. 22, 1960, effective Jan. 1, 1961.

1 CSR 20-3.050 Service Reports {#sec-1-csr-20-3.050 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-3.050}

(Rescinded February 28, 2019)

History

• AUTHORITY: section 36.070, RSMo 1986. Original rule filed July 9, 1947, effective July 19, 1947. Amended: Filed Dec. 8, 1975, effective Dec. 19, 1975. Emergency rescission filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019. Rescinded: Filed Aug. 31, 2018, effective Feb. 28, 2019.

1 CSR 20-3.060 Service Credit {#sec-1-csr-20-3.060 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-3.060}

(Rescinded January 30, 1998)

Amended: Filed Aug. 22, 1958, effective Sept. 1, 1958. Amended:

Filed April 23, 1974, effective May 2, 1974. Amended: Filed Dec. 8, 1975, effective Dec. 19, 1975. Amended: Filed Dec. 13, 1978, effective April 12, 1979. Emergency amendment filed Jan. 15, 1981, effective Jan. 25, 1981, expired May 25, 1981. Amended: Filed Jan. 7, 1981, effective April 12, 1981. Rescinded: Filed July 9, 1997, effective Jan. 30, 1998.

History

• AUTHORITY: section 36.070, RSMo 1986. Original rule filed July 9, 1947, effective July 19, 1947. Amended: Filed Sept. 15, 1948, effective Sept. 25, 1948. Amended: Filed June 1, 1954, effective June 11, 1954.

1 CSR 20-3.070 Separation, Suspension, and Demotion {#sec-1-csr-20-3.070 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-3.070}

PURPOSE: This rule establishes conditions and procedures to govern various types of separations from the classified service and personnel transactions, such as suspension and demotion.

(1) Layoffs in the classified service shall be administered by each respective appointing authority based on the needs of the service. This section does not prevent an employing agency from bargaining over a layoff procedure based on seniority, so long as no terms affect the employing agency’s right to terminate at will non-regular employees.

(2) Causes for Suspension, Demotion, and Dismissal. The following are declared to be causes for suspension, demotion, or dismissal of any regular employee in the classified service, depending upon the seriousness of the cause; however, those actions may be based upon causes other than those enumerated below:

(A) The employee has willfully violated any of the provisions of the State Merit System Law or of the rules of the Personnel Advisory Board;

(B) The employee is incompetent, inadequate, careless, or inefficient in the performance of the duties of his/her position (specific instances to be charged) or has failed to meet established minimum standards in the performance of those duties;

(C) The employee has been wantonly careless or negligent in the care of the property of the state;

(D) The employee has engaged in abusive or improper treatment toward an inmate or patient of any state institution or to a person in custody; provided the acts committed were not necessarily or lawfully committed in self-defense, to protect the lives of others, or to prevent the escape of anyone lawfully in custody;

(E) The employee is unable, with or without a reasonable accommodation, to perform the essential functions of his or her job;

(F) The employee has been habitually tardy in reporting for duty or has absented him/herself frequently from duty during the course of regular working hours; or has been completely absent from duty without prior or subsequent authorization for that absence;

(G) The employee has been convicted of, or pled guilty to, a felony or of a misdemeanor involving moral turpitude;

(H) The employee has engaged in scandalous and disgraceful conduct while on or off duty where this conduct tends to bring the state service into public disrepute or has exhibited behavior which adversely affects the employee’s job performance, the employing agency, or both;

(I) The employee has engaged in abusive or improper treatment of guests or clients while on duty at any state facility or on any state land normally open to the public;

(J) The employee has submitted a false statement of a material fact or has practiced or attempted to practice any fraud or deception in an application or examination or in otherwise attempting to secure employment subject to the provisions of these rules;

(K) The employee has engaged in insubordination or has failed to respond in a reasonable manner to his/her lawful orders or instructions of persons with duly delegated authority over the employee;

(L) The employee has willfully violated the lawful regulations or policies of the agency by which employed after having been made aware of the regulations and policies;

(M) The employee has been abusive or physically violent toward other employees while on duty or in the duty area or has willfully exhibited behavior which is disruptive of the working activities of other employees;

(N) The employee has been intoxicated or under the influence of a controlled substance while on duty, except as may have been required by a licensed medical physician; or (O) The employee has practiced or attempted to practice fraud or deception in securing or attempting to secure benefits or grants from a state agency either for him/herself or for another applicant.

(3) Suspension. An appointing authority, for disciplinary purposes, may suspend, without pay, any employee in his/her division. A suspension may be made for a length of time as s/he considers appropriate, not exceeding twenty (20) working days in any twelve- (12-) month period except that this limitation shall not apply in the event of a terminal suspension given in conjunction with a dismissal or discharge; a suspension given in connection with a criminal offense involving the use of a controlled substance; or, with the approval of the director, a suspension made pending the investigation or trial of any charges against the employee (see section 36.370, RSMo). Employees enumerated in 1 CSR 20-5.010(1)(C) and (D) and designated as exempt from the overtime requirements of the Fair Labor Standards Act shall not be suspended from duty without pay for disciplinary purposes unless the said suspension is for one (1) or more full workdays.

(A) Any employee covered under section 36.030.1(2), RSMo being suspended shall be furnished with a statement in writing specifically setting forth the reasons for the suspension.

A copy of the statement shall be furnished to the director. No suspension of a regular employee for a period longer than five (5) workdays shall take effect unless, prior to the effective date, the appointing authority gives to the employee a written statement setting forth in substance the reason, informs the employee of appeal rights, provides the employee with a copy of the form for appeal to the administrative hearing commission, and provides the employee with an opportunity to respond to the reason prior to the effective date. Any regular employee who is suspended for more than five (5) workdays may appeal in writing to the administrative hearing commission within thirty (30) days after the effective date thereof setting forth in substance reasons for claiming the suspension was for political, religious, or racial reasons or not for the good of the service. For the purpose of the appeal process, the effective date of a suspension will be the first day the employee is suspended without pay. There is no appeal from a suspension of five (5) working days or less. Employees not covered under

section 36.030.1(2), RSMo do not have the right to notice or an opportunity to be heard on such suspension.

(B) Any employee covered under section 36.030.1(2), RSMo, being suspended for a period of five (5) workdays or less shall be given a statement in writing specifically setting forth the reasons for the suspension. A copy of that statement shall be furnished to the director. No suspension of a regular employee for a period of five (5) days or less shall take effect unless, prior to the effective date, the appointing authority gives to the employee a written statement setting forth in substance the reason and gives the employee an opportunity to respond to the reason. Employees not covered under section 36.030.1(2), RSMo, do not have the right to notice, opportunity to be heard, or appeal from a suspension. This section does not prevent an employing agency from bargaining over for-cause protections for suspensions, so long as no terms affect the employing agency’s right to terminate at will non-regular employees.

(C) An employee who has been convicted of, pleads guilty to, or pleads nolo contendere for the first time to any criminal offense involving the use of a controlled substance, and who fails to satisfactorily meet the requirements of education and treatment as defined in section 105.1105, RSMo, shall be suspended for a period of no more than three (3) months.

In the case of a suspension under this section of the law, the appointing authority must provide the director and the employee with a statement in writing specifically setting forth the case for suspension and the conditions the employee must meet in order to be returned from suspension.

(D) In the event that an employee’s conduct or performance is such that change is required as a condition of employment, an appointing authority may issue to the employee a statement describing the necessity for change, including what needs to be changed and in what time period. A permanent record of the conditional employment period may be established in the employee’s service history by notifying the personnel director in a manner prescribed by the director. This action must contain a time period that may not exceed three (3) months.

(E) In the event of an instance of unacceptable conduct by an employee that in the judgment of the appointing

(4) Demotions. An appointing authority may demote an employee in accordance with the following:

(A) No demotion for cause of a regular employee shall take effect unless, prior to the effective date, the appointing

(5) Dismissals or Discharges.

(A) No dismissal of a regular employee shall take effect unless, prior to the effective date, the appointing authority gives to the regular employee a written statement setting forth, in substance, the reason, informs the regular employee of appeal rights, provides the regular employee with a copy of the form for appeal to the Administrative Hearing Commission, and provides the regular employee with an opportunity to respond to the reason prior to the effective date.

(B) Employees not covered under section 36.030.1(2), RSMo, do not have the right to notice, opportunity to be heard, or appeal from a discharge and may be discharged for no reason or any reason not prohibited by law.

(6) Resignations from the classified service shall be governed by the following provisions:

(A) Method of Resignation. To resign in good standing, an employee must give the appointing authority at least fourteen (14) calendar days prior notice unless the appointing authority, because of extenuating circumstances, agrees to permit a shorter period of notice. A written resignation shall be supplied by the employee to the appointing authority;

(B) An employee who applies and is approved by the applicable state benefit system for long-term disability or retirement status shall be deemed to have voluntarily resigned.

(7) Absence Without Leave. The following provisions apply to regular employees who are absent from duty without appropriate authorization:

(A) A regular employee who absents him/herself from duty without prior authorization and under conditions which are not subsequently found to justify the granting of leave under these rules, depending upon the reason for and length of the absence, may be subject to appropriate discipline as provided in these rules;

(B) If a regular employee is dismissed for a continuing period of unauthorized absence, the circumstances of which indicate that the employee does not intend to return to duty, the notice of dismissal may allow the employee the option of submitting a resignation; and (C) If a regular employee requests a leave of absence without pay under these rules and the appointing authority does not find it practicable to grant leave under its normal policy in those cases, a continuing absence from duty without leave after the denial of this request will require the separation of the employee. If the employee, after being so notified, does not elect to submit a voluntary resignation, the appointing

(8) Furloughs of Employees in the Classified Service. An appointing authority, in accordance with these rules and procedures approved by the director and the board, may place an employee in a position subject to this law on a furlough without pay for a limited period of time whenever deemed necessary by reason of shortage of funds, or for other reasons which are outside the employee’s control and which do not reflect discredit on the service of the employee. When a furlough or furloughs become necessary, the appointing

Furloughs need not be for a continuous period for all employees involved. The furlough plan shall be submitted to the board for approval. Whenever, in the opinion of the director, there is an urgent necessity for the immediate approval of a furlough plan, the director may approve a plan until the board has an opportunity to act on the plan. Upon approval of the plan, employees to be furloughed will be given at least five (5) working days notice. Once the furlough ends, employees will be given up to forty-eight (48) hours to report. If the appointing

Amended: Filed April 23, 1974, effective May 2, 1974. Amended:

Filed Dec. 8, 1975, effective Dec. 19, 1975. Amended: Filed March 14, 1978, effective June 11, 1978. Amended: Filed Dec. 13, 1978, effective April 12, 1979. Emergency amendment filed Sept. 13, 1979, effective Sept. 28, 1979, expired Jan. 25, 1980. Amended: Filed Oct. 12, 1979, effective Jan. 15, 1980. Emergency amendment filed Jan. 15, 1981, effective Jan. 25, 1981, expired May 25, 1981. Amended:

Filed Jan. 7, 1981, effective April 12, 1981. Amended: Filed Jan. 11, 1982, effective April 11, 1982. Amended: Filed March 1, 1993, effective Oct. 10, 1993. Amended: Filed Nov. 16, 1993, effective July 30, 1994. Amended: Filed July 21, 1994, effective Feb. 26, 1995.

Amended: Filed July 21, 1994, effective Feb. 26, 1995. Amended:

Filed June 15, 1995, effective Jan. 30, 1996. Amended: Filed July 9, 1997, effective Jan. 30, 1998. Amended: Filed Sept. 15, 1998, effective March 30, 1999. Amended: Filed Aug. 15, 2003, effective Feb. 29, 2004. Amended: Filed Sept. 15, 2004, effective March 30, 2005. Amended: Filed Aug. 15, 2008, effective Feb. 28, 2009.

Emergency amendment filed Aug. 27, 2010, effective Sept. 7, 2010, expired March 5, 2011. Amended: Filed Aug. 27, 2010, effective Feb. 28, 2011. Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019. Amended: Filed Aug. 31, 2018, effective Feb. 28, 2019. Amended: Filed Feb. 3, 2023, effective Sept. 30, 2023. *Original authority: 36.025, RSMo 2018, and 36.070, RSMo 1945, amended 1979, 1995, 2018, 2023.

Anderson v. Personnel Advisory Board, 586 SW2d 738 (Mo.

App. 1979). Transfer of the old Department of Corrections to the reorganized Department of Social Services does not render the director of the Department of Social Services the sole “appointing

Mills v. Federal Soldiers Home, 549 SW2d 862 (Mo. banc 1977). Venue of action on appeal from administrative agency’s determination sustaining discharge from employment is governed by section 536.110, RSMo. This provision does not conflict with Supreme Court Rule 100.04. Because respondent failed to raise any issue with respect to the adequacy of notice before the Personnel Advisory Board, he cannot raise that point for the first time on judicial review in the circuit court.

Holley v. Personnel Advisory Board, 536 SW2d 830 (Mo. App. 1976). The purpose of a rule of the Personnel Advisory Board requiring the substance of the reasons for dismissal be set forth in a written statement is so an appellant can protect him/herself under the state merit system by appeal to the board and the courts.

History

• authority does not warrant immediate suspension, dismissal or discharge, or demotion, but which requires a permanent record, the appointing authority may record such conduct in the employee’s service history by notifying the personnel director in a manner prescribed by the director. Employees do not have the right to notice, opportunity to be heard, or appeal from an unacceptable conduct record.
• authority gives to the employee a written statement setting forth in substance the reason, informs the employee of appeal rights, provides the employee with a copy of the form for appeal to the administrative hearing commission, provides the employee with an opportunity to respond to the reason prior to the effective date, and files a copy of the statement of the reason with the director. Any regular employee who is involuntarily demoted for cause may appeal in writing to the administrative hearing commission within thirty (30) days after the effective date thereof setting forth in substance reasons for claiming that the demotion was for political, religious, or racial reasons or not for the good of the service. Employees not covered under section 36.030.1(2), RSMo, do not have the right to notice, opportunity to be heard, or appeal from a demotion and may be demoted for no reason or any reason not prohibited by law. This section does not prevent an employing agency from bargaining over for-cause protections for demotions, so long as no terms affect the employing agency’s right to terminate at will non-regular employees; and (B) No demotions for cause shall be made unless the employee to be demoted meets the minimum qualifications for the lower class and shall not be made if any regular employee in the lower class would be laid off by reason of the action.
• authority may separate the employee by dismissal as provided in these rules.
• authority will present a plan to the director and to the board describing why a furlough of limited duration is necessary, the functional areas that are affected, the number of employees who will need to be furloughed, and a detailed plan indicating why specific employees have been designated for furlough.
• authority determines that it is necessary to lay the employee(s) off on a permanent basis, a layoff may be conducted by the appointing authority.
• AUTHORITY: sections 36.025 and 36.070, RSMo Supp. 2023. Filed Sept. 20, 1947, effective Sept. 30, 1947. Amended: Filed Dec. 23, 1947, effective Jan. 2, 1948. Amended: Filed March 25, 1948, effective April 4, 1948. Amended: Filed Aug. 13, 1949, effective Aug. 23, 1949. Amended: Filed June 1, 1954, effective June 11, 1954.
• authority” for purposes of dismissal under the state merit system law.

1 CSR 20-3.080 General Provisions and Prohibitions {#sec-1-csr-20-3.080 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-3.080}

PURPOSE: This rule prohibits discrimination and influences other than merit in the various aspects of personnel administration.

(1) Prohibition of Discrimination.

(A) Unlawful discrimination proscribed under Missouri law or any applicable federal law against any person in recruitment, examination, appointment, training, promotion, retention, discipline, or any other aspect of personnel administration, because of political or religious opinions or affiliations or because of race, creed, color, national origin, ancestry, or any other non-merit factors is prohibited. Discrimination on the

basis of age or sex or physical disability is prohibited except where specific age, sex, or physical requirements constitute a bona fide occupational qualification necessary to proper and efficient administration.

Filed April 23, 1974, effective May 2, 1974. Amended: Filed March 14, 1978, effective June 11, 1978. Emergency amendment filed Sept. 13, 1979, effective Sept. 28, 1979, expired Jan. 25, 1980. Amended:

Filed Oct. 12, 1979, effective Jan. 15, 1980. Amended: Filed Nov. 16, 1993, effective July 30, 1994. Amended: Filed July 21, 1994, effective Feb. 26, 1995. Amended: Filed Sept. 15, 1998, effective March 30, 1999. Emergency amendment filed Aug. 27, 2010, effective Sept. 7, 2010, expired March 5, 2011. Amended: Filed Aug. 27, 2010, effective Feb. 28, 2011. Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019. Amended: Filed Aug. 31, 2018, effective Feb. 28, 2019. *Original authority: 36.060, RSMo 1945, amended 1971, 1979, 1993, 1995, 2010, 2018 Op. Atty. Gen. No. 45, James (5-1-53). Personnel Advisory Board

Rule 15.4(b) (now 1 CSR 20-3.080(1)(B)) prohibits employees under the state merit system from being candidates for nomination or election to public office, or engaging in political activities while holding such position. A merit system employee cannot become candidate for election of director to city school board without resigning or securing leave of absence. The merit system employee may attend political mass meeting but cannot take active part except to express opinion or vote on any proposition if afforded the opportunity.

Wilderman v. Nelson, 467 F2d 1173 (1972). Welfare caseworker with Missouri Division of Public Welfare could not be dismissed from his job without a pretermination hearing even though employee was not formally tenured because 1) the governmental conduct was here likely to impose a stigma upon the employee that will foreclose future opportunities to practice his chosen profession; and 2) existence of tenure is immaterial (as it affects right to pretermination hearing) to a claim of dismissal in retaliation of employee’s exercise of his constitutional protected right of free speech.

Chapter 4 Appeals, Investigations, Hearings and Grievances

1 CSR 20-4.010 Appeals {#sec-1-csr-20-4.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-4.010}

(Rescinded February 28, 2019). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Division of Personnel and Grievances

1 CSR 20-4.010 Appeals {#sec-1-csr-20-4.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-4.010}

(Rescinded February 28, 2019)

Amended: Filed April 19, 1968, effective April 29, 1968. Amended:

Filed June 20, 1969, effective June 30, 1969. Amended: Filed April 23, 1974, effective May 2, 1974. Amended: Filed Dec. 8, 1975, effective Dec. 19, 1975. Emergency amendment filed Sept. 13, 1979, effective Sept. 28, 1979, expired Jan. 25, 1980. Amended: Filed Oct. 12, 1979, effective Jan. 15, 1980. Amended: Filed June 2, 1988, effective Oct. 1, 1988. Amended: Filed Nov. 16, 1993, effective July 30, 1994. Amended: Filed July 21, 1994, effective Feb. 26, 1995.

Amended: Filed March 15, 2004, effective Sept. 30, 2004. Amended:

Filed Jan. 17, 2006, effective July 30, 2006. Amended: Filed Oct. 16, 2006, effective April 30, 2007. Amended: Filed Aug. 15, 2008, effective Feb. 28, 2009. Amended: Filed Dec. 14, 2009, effective June 30, 2010. Emergency amendment filed Aug. 27, 2010, effective Sept. 7, 2010, expired March 5, 2011. Amended: Filed Aug. 27, 2010, effective Feb. 28, 2011. Emergency rescission filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019. Rescinded: Filed Aug. 31, 2018, effective Feb. 28, 2019.

History

• AUTHORITY: section 36.060, RSMo Supp. 2010 and section 36.070, RSMo 2000. Original rule filed July 9, 1947, effective July 19, 1947.

1 CSR 20-4.020 Grievance Procedures {#sec-1-csr-20-4.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-4.020}

PURPOSE: This rule requires the establishment of a grievance procedure, states its objectives, and defines management responsibility for its implementation.

(1) Prohibited Grievance Procedures.

(A) No state agency may establish a grievance procedure permitting a state employee, including a part-time employee, other than a regular employee, to grieve a dismissal or any other action that would limit the right to terminate employment at will.

(B) Subsequent to the effective date of this rule, no state agency may enter into an agreement with a certified bargaining unit providing for the same or any alternative dispute resolution procedure regarding the matters prohibited in subsection (1)(A).

(C) The foregoing prohibitions shall not apply to grievance procedures that allow for the presentation of allegations that a dismissal or any other employment action was taken for a reason prohibited by law.

(D) A “grievance procedure” as used in this section means a right to a process or practice whereby an employee could have a decision addressing any of the foregoing matters reviewed either within or outside the employee’s agency.

(E) The prohibition on the creation of a grievance procedure contained in this section does not prohibit a state agency from adopting policies allowing for the reporting of instances of unlawful discrimination or other illegal acts, as well as policies permitting the agency the discretion to review and address other employee concerns regarding other employees, facilities, or other aspects of their work environment. Such policies are specifically excluded from the grievance procedures prohibited by this rule.

(F) The grievance procedure found in sections (2)–(4) of this

rule shall not apply to state employees, including part-time employees, other than regular employees. This section does not prevent an employing agency from bargaining over a grievance procedure addressing employment actions other than dismissal, so long as no terms affect the employing agency’s right to terminate at will non-regular employees.

(2) Grievance Procedure Established. The settlement of differences within the classified service between management and employees shall be provided through the establishment of an orderly grievance procedure for each position covered under section 36.030.1(2), RSMo.

(A) The established grievance procedure in any division of service shall apply to employment conditions and related matters over which the appointing authority has complete or partial jurisdiction and for which redress is not provided by the personnel law, rules, or procedures.

(B) Notwithstanding subsection (A) of this section, an agency may enter into an agreement with a certified bargaining representative that allows for an alternative dispute resolution procedure that a represented employee may elect in lieu of the agency’s established grievance procedures or the employee’s right to appeal to the Administrative Hearing Commission as provided by the personnel law, rules, or procedures.

(C) Unless an agency has entered into an agreement with a certified bargaining representative that provides otherwise, the grievance procedure shall not apply in instances where the grievance involves personnel transactions or administrative decisions of the appointing authority for which the personnel law or rules provide a specific appeal to the Administrative Hearing Commission. Because the director of the Division of Personnel is not subject to an established grievance procedure, neither a grievance procedure nor alternative dispute resolution procedure may include provisions for grieving decisions made by the director under authority granted by the personnel law or regulations.

(D) The responsibility and authority of appointing authorities to create, promulgate, and enforce operational policies for the efficient and effective operation of the divisions of service is not altered by the ability of employees to use the grievance process to question the application of these policies or to seek clarifications or modifications of them.

(3) Objectives of Grievance Settlements. To every extent possible, the grievance procedure shall be designed to— (A) Resolve the grievance quickly;

(B) Settle the disagreement informally at the employeesupervisor level, when possible;

(C) Correct, if possible, the cause of the grievance to prevent future similar complaints; and (D) Promote fair and equitable treatment of employees and to promote harmonious relations generally among employees, supervisors, and administrative staff.

(4) Management Responsibility.

(A) Unless an agency has entered into an agreement with a certified bargaining representative that provides for an alternative method of resolving grievances which includes subjects for which redress is provided by the personnel law, rules, or procedures, the grievance procedures of each division of service shall distinguish between issues subject to review through personnel law, rules, or procedures and other matters subject to the grievance procedure. If there are separate procedures for filing internal complaints of discrimination, sexual harassment, retaliation for grievances, or other matters, (8/31/23) John R. Ashcroft BOARD AND DIVISION OF PERSONNEL 1 CSR 20-4—OFFICE OF ADMINISTRATION these shall also be identified.

(B) The grievance procedure shall include the following minimum provisions:

1. Except where the agency has a separate procedure as stated in subsection (3)(A), or unless the agency has entered into an agreement with a certified bargaining unit representative that provides otherwise, the procedure shall begin with the immediate supervisor and, if not resolved to the satisfaction of the grievant at the beginning or succeeding steps, shall end with the appointing authority;

2. The procedure shall require that the grievance and responses be in written form beginning at the first step, unless agreed to by both parties. A copy of all written responses will be delivered to the grievant. A copy of all written grievances and responses will be filed with the appointing authority or his/her designated representative;

3. The procedure shall include specific time frames for filing and responding to grievances at each step. The procedure may include a method of extending time frames initiated by the grievant or management, or both;

4. The procedure shall include a provision prohibiting retaliation or harassment for filing a grievance and for investigating charges of alleged retaliation or harassment.

Each agency must give employees alleging retaliation for grievances an opportunity to address this allegation to a higher level than the alleged incident;

5. The procedure shall permit group as well as individual grievances;

6. The procedure shall allow the grievant reasonable time off from duty for attendance at formal grievance hearings; and 7. The procedure shall include a method for informing all employees of the existence of the grievance procedure and for providing a copy of the grievance procedure and appropriate forms to employees desiring to file a grievance.

Filed Dec. 1, 1992, effective July 8, 1993. Amended: Filed Sept. 16, 2002, effective March 30, 2003. Amended: Filed April 14, 2005, effective Nov. 30, 2005. Emergency amendment filed Aug. 27, 2010, effective Sept. 7, 2010, expired March 5, 2011. Amended: Filed Aug. 27, 2010, effective Feb. 28, 2011. Emergency amendment filed Aug. 17, 2018, effective Aug. 28, 2018, expired Feb. 28, 2019. Amended:

Filed Aug. 31, 2018, effective Feb. 28, 2019. Amended: Filed Feb. 3, 2023, effective Sept. 30, 2023. *Original authority: 36.025, RSMo 2018, and 36.070, RSMo 1945, amended 1979, 1995, 2018, 2023.

History

• AUTHORITY: sections 36.025 and 36.070, RSMo Supp. 2023. Original rule filed Dec. 8, 1975, effective Dec. 19, 1975. Amended:

Chapter 5 Working Hours, Holidays and Leaves of Absence

1 CSR 20-5.010 Hours of Work and Holidays {#sec-1-csr-20-5.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-5.010}

PURPOSE: This rule establishes hours of work and holidays for employees covered by the provisions of section 36.350, RSMo of the State Personnel Law.

(1) Hours of work and attendance are gov- (A) The appointing authority in each agency establishes the working days and the hours of attendance for employees of that agency and other rules in regard to attendance as are deemed necessary. A full-time employee normally will be scheduled to work forty (40) hours within a fixed and regularly recurring seven- (7-) day period established for the employee’s position.

1. In the case of law enforcement personnel employed by a recognized law enforcement agency, the director may approve the establishment of normal working hours in excess of those specified in subsection (1)(A), provided the work period, schedules, and overtime standards are consistent with applicable statutes or rules. For the purpose of this rule, law enforcement personnel includes uniformed or plainclothed members of a body of officers who have the power of arrest and who are statutorily empowered to enforce laws designed to maintain public peace and order, to protect life and property from accidental or willful injury, to prevent and detect crimes, and who undergo on-thejob training, a course of instruction, or both.

2. In the case of personnel employed at a hospital or residential care facility, the director may approve the establishment of normal working hours in excess of those specified in subsection (1)(A), provided the work period, schedules, and overtime standards are consistent with applicable statutes or rules;

(B) The appointing authority in each agency may require employees to perform reasonable amounts of overtime work as may be needed to fulfill the responsibilities of the agency, provided this overtime work is compensated in accordance with these rules and applicable state or federal statute. Insofar as is practicable, overtime will be distributed among employees qualified for this work and who are available when the overtime is needed. Prior authorization for overtime work shall be obtained from the appoint ing authority or the appointing authority’s designee;

(C) Work authorized by an appointing

(D) For individuals employed in other supervisory, technical, professional, and related categories, compensation for authorized work assignments which cause the employees to exceed forty (40) hours in pay status during a workweek will be compensated at the regular rate of pay for their positions or, at the discretion of the appointing authority, by allowing an equal amount of compensatory time off. Within the categories of professional and technical employees, an appointing authority may request and the director may recommend for approval of the board that employees in selected classes be compensated for authorized overtime work at the rate of time and one-half, either in payment or compensatory time off providing, however, that this recommendation and approval will be restricted to occupations for which it is found that overtime compensation is the prevailing practice among employers within the state and for which there is evidence that failure to provide this compensation reasonably may be expected to have a substantially negative effect upon the ability of the appointing authority to recruit and retain the required work force. For purposes of determining compensation at the rate of time and one-half under this rule, overtime is defined as that time worked by an employee in excess of forty (40) hours actually worked within a workweek. Annual leave, sick leave, holidays, and other absences with or without pay will not be considered as hours of work for purposes of computing overtime;

(E) Employees, other than those enumerated in subsections (1)(C) and (D), will be compensated at the regular rate of pay for their positions or, at the discretion of the appointing authority, by allowing an equal amount of compensatory time off for those work assignments which cause the employee to exceed forty (40) hours in pay status during a workweek. An employee shall receive an additional one-half (1/2) time compensation, by pay or compensatory time off, for any hours of work which exceed forty (40) hours actually worked within the workweek.

Annual leave, sick leave, holidays, and other absences with or without pay are not to be considered as hours of work for purposes of determining compensation at the rate of time and one-half under this rule;

(F) Category assignments for overtime purposes shall be made on a job class basis.

It is the responsibility of the director, after consultation with appointing authorities, to determine the overtime category of each class of positions in the classified service, and these assignments shall be reflected in the pay plan. For positions outside the classified service, the director will provide to appointing authorities information designed to clarify the application of this rule in the classified service, and to assist them in its application to positions outside the classified service. For these positions, however, the final decision on assignment of a particular type of position to a category for the purpose of determining the method of overtime payment is made by the appointing authority. It is the responsibility of the appointing authorities to apply these provisions in a manner which provides uniformity of treatment of all employees; and (G) Compensation for overtime will be computed uniformly on the basis of the standard annual hourly rate of pay of the employee as determined by dividing the employee’s annual full-time salary rate by two thousand eighty (2080). For employees of the Missouri School for the Blind, Missouri School for the Deaf, and State Schools for the Severely Handicapped who are employed on a schoolterm or on a part-time basis, the standard annual hourly rate of pay is determined by dividing the employee’s annual salary rate by the total hours in their term of employment.

(2) Holidays are governed by the following provisions:

(A) The days or dates listed in section 9.010, RSMo and other days or dates as may be designated by law, the governor, or the President of the United States are paid holidays;

(B) When any of the specified holidays fall on Sunday, these holidays will be observed on the following Monday, and when any of these dates or days fall on a Saturday, these holidays will be observed on the preceding Friday;

(C) An employee will be credited for a holiday only if it falls during the employee’s period of employment and the employee is in pay status. An employee whose effective date of appointment or return to pay status is before or on the day of a holiday will receive credit for the holiday. An employee whose appointment or return to pay status is effective after a holiday will receive no credit for the holiday, except when the holiday occurs at the start of a month and the employee’s appointment or return to pay status is effective the first scheduled working day following the holiday. An employee will not receive credit for a holiday which occurs after they have ceased active duty preliminary to separation from the service except that an employee who is terminating employment and who has worked the last scheduled working day before the holiday will receive credit for the holiday. This provision does not apply to an of retirement; such employee may be credited for additional holidays occurring prior to the effective date of the retirement;

(D) All full-time employees, regardless of such schedule, will receive credit for the same number of paid holidays as employees whose regular work schedule is Monday through Friday.

1. Part-time employees, paid on a semimonthly pay period, who are in pay status from forty to fifty-nine (40–59) hours in a semi-monthly pay period, including one-half (1/2) credit for those eligible holidays, will receive one-half (1/2) credit, and those parttime employees who are in pay status from sixty to seventy-nine (60–79) hours in a semimonthly pay period, including three-fourths (3/4) credit for those eligible holidays, will receive three-fourths (3/4) credit. Part-time employees who are in pay status eighty (80) or more hours in a semi-monthly pay period, including full credit for those eligible holidays, will receive full credit. Other part-time employees who are scheduled to work less than one-half (1/2) time in a semi-monthly pay period or who are paid on a per-diem

basis are not entitled to compensation or credit for holidays not worked.

2. Personnel whose normal duties require them to remain on duty at their workstation for shifts of twenty-four (24) hours or longer are exempt from the provisions of this

section. Their holidays and holiday compensation are established by the appointing

(E) When it is impracticable to give time off to employees regularly scheduled to work on any of the previously mentioned holidays because of the necessity of continuing essential service in a state institution or division of service, the appointing authority may require employees to remain on duty and to perform their assigned work. The employee who has worked on a holiday will be granted equal compensatory time off from duty at the time(s) the appointing authority designates or, at the discretion of the appointing authority, the employee may receive straight-time cash compensation, providing the actual time worked does not fall within the definition of overtime to be paid at the rate of time and one-half as provided for by these rules. This compensation will be computed uniformly on the basis of the standard annual hourly rate of pay of the employee as determined by dividing the employee’s annual full-time salary rate by two thousand eighty (2080). For employees of the Missouri School for the Blind, Missouri School for the Deaf, and State Schools for the Severely Handicapped who are employed on a school-term or on a

part-time basis, the standard annual hourly rate of pay is determined by dividing the employee’s annual salary rate by the total hours in his/her term of employment;

(F) Holidays falling within the period of annual or sick leave will not be counted as work days in computing that leave;

(G) For purposes of these rules, a holiday is considered as a period of eight (8) hours;

(H) Employees of the Missouri School for State Schools for the Severely Handicapped class calendar of those schools, are exempt from the provisions of this section. In lieu of the holidays as provided in 1 CSR 20- 5.010(2)(A), holidays and holiday compensation for these employees are established by the appointing authority in a comprehensive leave policy consistent with the work schedule necessary to accommodate the annual academic calendar of their schools.

Amended: Filed June 1, 1954, effective June 11, 1954. Amended: Filed Dec. 22, 1960, effective Jan. 1, 1961. Amended: Filed July 21, 1967, effective July 31, 1967. Amended:

Filed Aug. 28, 1967, effective Sept. 7, 1967.

Amended: Filed Dec. 22, 1970, effective Jan. 1, 1971. Amended: Filed June 12, 1972, effective July 1, 1972. Amended: Filed April 23, 1974, effective May 2, 1974. Amended:

Filed Feb. 28, 1975, effective March 10, 1975. Amended: Filed Dec. 13, 1978, effective April 12, 1979. Amended: Filed Sept. 29, 1989, effective Jan. 1, 1990. Amended: Filed Sept. 27, 1990, effective Feb. 14, 1991.

Amended: Filed Sept. 15, 1999, effective April 30, 2000. Amended: Filed April 12, 2000, effective Oct. 30, 2000. Amended:

Filed Nov. 15, 2000, effective May 30, 2001.

Amended: Filed Sept. 16, 2002, effective March 30, 2003. Amended: Filed Jan. 9, 2019, effective Aug. 30, 2019. *Original authority: 36.070, RSMo 1945, amended 1979, 1995.

History

• authority for top level supervisory, managerial, and administrative staff and for persons employed in a very responsible professional, technical, or consultative capacity which causes the employee to exceed forty (40) hours in pay status during a workweek, will not be compensated except in unusual circumstances as determined by the appointing
• authority. When authorized, the employees will be compensated at the regular rate of pay for their positions for each hour or, at the discretion of the appointing authority, by allowing an equal amount of compensatory time off;
• authority, subject to review and approval by the personnel advisory board, consistent with the work schedule necessary to accommodate the safety and convenience of the public;
• AUTHORITY: section 36.070, RSMo Supp. 2018. Original rule filed Aug. 20, 1947, effective Aug. 30, 1947. Amended: Filed Sept. 20, 1947, effective Sept. 30, 1947.

1 CSR 20-5.015 Definition of Terms {#sec-1-csr-20-5.015 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-5.015}

(Rescinded August 30, 2019)

Original rule filed July 21, 1994, effective Feb. 26, 1995. Amended: Filed Sept. 15, 1999, effective April 30, 2000. Amended:

Filed Sept. 11, 2013, effective March 30, 2014. Rescinded: Filed Jan. 9, 2019, effective Aug. 30, 2019.

History

• AUTHORITY: section 36.060, RSMo Supp. 2013, and section 36.070, RSMo 2000.

1 CSR 20-5.020 Leaves of Absence {#sec-1-csr-20-5.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-5.020}

PURPOSE: This rule provides for annual, sick, and other leaves of absence and specifies the conditions under which these leaves shall be granted for employees covered by the provisions of section 36.350, RSMo of the State Personnel Law.

(1) Annual leave or vacation with pay shall be (A) Employees who are employed on a full-time basis in positions of a continuing or permanent nature shall be entitled to annual leave or vacation with full pay as follows:

1. If they are paid on a semi-monthly pay period, computed at the rate of five (5) hours for each semi-month of service, in which they are in pay status for eighty (80) or more hours, until they complete ten (10) years of total state service. Employees who have completed ten (10) years of total state service shall earn annual leave at the rate of six (6) hours per semi-month. Employees who have completed fifteen (15) years of total state service shall earn annual leave at the rate of seven (7) hours per semi-month;

2. For the purposes of this rule— A. For employees paid on a semimonthly pay period, any semi-month during which an employee is eligible to earn any annual leave credit under this and subsequent sections shall be a semi-month of state service. For employees paid on a semi-monthly pay period annual leave will be credited at the rate of one-half (1/2) the full-time accrual rate for semi-months in which the employee is in pay status from forty (40) hours and prorated for all hours in which they are in pay status from forty to eighty (40–80) hours;

B. Personnel whose normal duties require them to remain on duty at their workstation for shifts of twenty-four (24) hours or longer shall be exempt from the provisions of this section. Their annual leave compensation shall be as established by the appointing

3. Annual leave shall not be credited to employees who have ceased active duty preliminary to separation from the state service except that this provision shall not apply to an of retirement;

4. Except when granted in accordance with subsection (1)(E), annual leave or vacation with pay shall be granted at the times public service will best permit and only on written application approved by the appointing authority;

5. Annual leave shall not be credited to any employee while on a paid leave of absence for educational purposes when that leave is for a period of three (3) or more months;

6. Notwithstanding any other provisions to the contrary, any employee placed on a furlough without pay, pursuant to 1 CSR 20- 3.070(8), or who voluntarily requests a leave of absence without pay in lieu of being furloughed, shall continue to earn annual leave as if the employee had actually been working during the time of the furlough. Upon approval of the appointing authority, an employee in a position subject to a furlough may take a voluntary leave of absence without pay in lieu of being furloughed;

(B) Annual leave or vacation with pay shall not be allowed to employees who are employed on a noncontinuing basis in positions of limited duration requiring less than the equivalent of six (6) months of full-time employment in any twelve- (12-) month period, whether this be on a temporary, hourly, or per diem basis. Employees who are ineligible to earn annual leave under this rule shall be identified as ineligible at the time of appointment or assignment and shall be notified of their ineligibility. If the term of limited duration employment is extended to the equivalent of six (6) months or more of fulltime work in any twelve- (12-) month period, the employee shall be credited with earned annual leave for that period of employment in excess of six (6) months. If a limited duration appointment is followed without break in service by appointment to a position of a continuing or permanent nature, the employee shall be credited with earned leave for the initial period of limited duration employment;

(C) Employees who are employed on an intermittent or regularly scheduled part-time

basis except those employed in positions of limited duration requiring less than the equivalent of six (6) months of full-time employment in any twelve- (12-) month period, shall earn annual leave in accordance with the schedule of leave accruals enumerated in sub-

section (1)(A);

(D) The maximum allowable accumulation of annual leave shall not exceed forty-eight (48) times an employee’s current full-time semi-monthly accrual rate. This maximum accrual shall apply in the following manner:

1. At the close of business on October 31 of any calendar year, unliquidated accumulation of annual leave which exceeds the maximum allowable accumulation shall lapse and credit for the excess leave shall not be carried forward to the month of November;

2. An employee entitled to annual leave who has resigned or otherwise separated from the service shall be entitled to receive reimbursement for the amount of this accrued leave which does not exceed the maximum allowable accumulation;

3. An employee who transfers to another department or who is appointed to a position in another department without break in service shall be entitled to receive reimbursement, under the provisions of subsection (1)(G), for the amount of this accrued leave which does not exceed the maximum allowable accumulation;

4. If, in the initial year of transition to the annual application of the annual leave maximum, an appointing authority finds that there has been a serious reduction in contributions by employees to a ShareLeave program as defined by 1 CSR 20-5.025, the appointing authority may request from the board a temporary authorization to add leave with pay as defined by 1 CSR 20- 5.020(8)(B)5. to the ShareLeave balance as a means to maintain the program;

(E) When applicable, reimbursement for accumulated annual leave shall be based on the employee’s rate of pay at the time of separation and shall be computed uniformly on the basis of the standard annual hourly rate of pay of the employee as determined by dividing the employee’s annual full-time salary rate by two thousand eighty (2080);

(F) Annual leave shall be granted and liquidated in multiples of one-quarter (1/4) hour except that this provision shall not apply in the case of an employee required to exhaust all appropriate leave balances in accordance with 1 CSR 20-5.020(7)(A)2.F. or when it is appropriate and necessary for an employee to exhaust balances in one leave category prior to using another leave category;

(G) An employee who transfers to another department or who is appointed to a position in another department without break in service shall be reimbursed for all his/her accrued leave which does not exceed the maximum allowable accumulation by the department which the employee is leaving, except that on the employee’s request and with the approval of the appointing authority of the receiving department the employee may carry all or part of accrued annual leave to that department. Accrued annual leave under this subsection shall be reimbursed in the manner prescribed in subsection (1)(E).

Each department will establish a policy providing for the consistent transfer reimbursement of accumulated annual leave when employees transfer or are appointed to positions in another division of service within the department;

(H) If an employee is granted annual leave and subsequently is recalled to duty during the leave period because of emergency conditions requiring the employee’s services, annual leave credits shall be restored for the time worked unless this has the effect of causing accrued annual leave to exceed the maximum accrual allowed under subsection (1)(D), in which case the employee shall be granted equal compensatory time off or at the discretion of the appointing authority shall be granted straight-time cash compensation for the time worked;

(I) Annual leave shall be taken upon a workday basis. Holidays falling within a period of annual leave shall not be counted as workdays;

(J) Annual leave shall not be anticipated.

Annual leave taken shall be construed to have been earned prior to the time it was taken;

(K) Annual leave shall not accrue to any employee while on leave of absence without pay; and (L) Employees of the Missouri School for State Schools for the Severely Handicapped, class calendar of those schools, shall be exempt from the provisions of this section. In lieu of annual leave or vacation with pay as provided in 1 CSR 20-5.020(1)(A), annual leave and annual leave compensation for these employees shall be as established by the appointing authority in a comprehensive leave policy consistent with the work schedule necessary to accommodate the annual academic calendar of their schools.

(2) Sick leave shall be governed by the following provisions:

(A) Except to the extent restricted below, sick leave under these rules is defined to mean a period in which the employee is incapacitated for the performance of assigned duties by sickness or injury, or by pregnancy, childbirth, and recovery from them, or periods of time required for medical, surgical, dental, or optical examination or treatment, or where through exposure to contagious disease the presence of the employee on duty would jeopardize the health of others, and shall also include leave requested and approved for the specific purpose of Personal Wellness Leave under specific conditions set forth in 1 CSR 20-5.020(2)(O);

(B) Employees who are employed on a fulltime basis in positions of a continuing or permanent nature shall be allowed sick leave with full pay as follows:

1. If they are paid on a semi-monthly pay period, computed at the rate of five (5) hours for each semi-month of service in which they are in pay status for eighty (80) or more hours. For employees paid on a semimonthly pay period, sick leave will be credited at the rate of one-half (1/2) the full-time accrual rate for semi-months in which the employee is in pay status for forty (40) hours and prorated for all hours in which they are in pay status from forty to eighty (40–80) hours. Sick leave will be credited for semimonths in which they are in pay status;

2. Sick leave shall not be credited to employees who have ceased active duty preliminary to separation from the state service except that this provision shall not apply to an of retirement;

3. In all cases where an employee has been absent on sick leave, the employee immediately upon return to work shall submit a statement in a form the appointing authority may require indicating that the absence was due to illness, disease, disability, or other causes for which sick leave is allowed under these rules. The appointing authority shall establish and advise employees of required procedures for initial and continuing notification by the employee to the appointing authority regarding absence due to illness and for submission of a written request for allowance of sick leave together with proof of illness as the appointing authority deems necessary. The appointing authority shall establish and advise employees of required procedures for approval and documentation by the employee for Personal Wellness Leave. The employee shall submit documentation and request preapproval for Personal Wellness Leave in a form the appointing authority may require in order to be granted Personal Wellness Leave by the appointing authority;

4. Sick leave shall not be credited to any employee while on a paid leave of absence for educational purposes when that leave is for a period of three (3) or more months;

5. Notwithstanding any other provisions to the contrary, any employee placed on a furlough without pay, pursuant to 1 CSR 20-3.070(8), or who voluntarily requests a leave of absence without pay in lieu of being fur loughed, shall continue to earn sick leave as if the employee had actually been working during the time of the furlough. Upon approval of the appointing

(C) Sick leave with pay shall not be allowed to employees who are employed on a noncontinuing basis in positions of limited duration requiring less than the equivalent of six (6) months of full-time employment in any twelve (12)-month period, whether this be on an emergency, temporary, limited temporary, hourly, or per diem basis. Employees who are ineligible to earn sick leave under this rule shall be so identified at the time of appointment or assignment and shall be notified of their ineligibility. If the term of limited duration employment is extended to the equivalent of six (6) months or more of fulltime work in any twelve (12)-month period, the employee shall be credited with earned sick leave for that period of employment in excess of six (6) months. If a limited duration appointment is followed without break in service by appointment of a continuing or permanent nature, the employee shall be credited with earned leave for the initial period of limited duration employment;

(D) Employees who are employed on an intermittent or regularly scheduled part-time

basis, except those employed in positions of limited duration requiring less than the equivalent of six (6) months of full-time employment in any twelve (12)-month period, shall earn sick leave in accordance with the schedule of leave accruals enumerated in subsection (2)(B);

(E) Employees shall be allowed to accumulate sick leave without limit;

(F) Sick leave shall be granted and liquidated in multiples of one-quarter (1/4) hour except that this provision shall not apply in the case of an employee required to exhaust all appropriate leave balances in accordance with 1 CSR 20-5.020(7)(A)2.F. or when it is appropriate and necessary for an employee to exhaust balances in one leave category prior to using another leave category;

(G) Personnel whose normal duties require them to remain on duty at their workstation for shifts of twenty-four (24) hours or longer shall be exempt from the provisions of this

section. Their sick leave compensation shall be as established by the appointing authority, subject to review and approval by the personnel advisory board, consistent with the work schedule necessary to accommodate the safety and convenience of the public;

(H) All accumulated and unused sick leave shall be credited to any employee returned to a benefit eligible position of employment in the state service within five (5) years of leaving the service, transferred to or employed in another division of service, or returning from leave of absence. Leave shall not be accepted in an amount exceeding that which would have been accumulated and transferred under these rules, and an appointing authority shall require that each employee submit a written statement from the former employing agency specifying the basis on which sick leave was earned, the period of service involved and the total unused leave accumulated. This rule will be applied retroactively with respect to those persons employed on the date this rule is effective who have not previously received credit for these sick leave credits;

(I) Sick leave shall be taken upon a workday basis. Holidays falling within a period of sick leave shall not be counted as workdays;

(J) Sick leave shall not accrue to any employee while on leave of absence without pay;

(K) Loss of time due to an illness of the employee’s spouse, children, other relatives or members of the employee’s household, which requires the employee’s personal care and attention shall be charged against the employee’s accumulated sick leave. The final decision concerning the granting of leave under this section shall rest with the appointing authority and shall be based upon the degree to which the employee is responsible for providing personal care and attention;

(L) Employees who are incapacitated from performing their jobs due to injury or disease covered by Chapter 287, RSMo (Workers’ Compensation Law) shall be permitted to use accrued sick leave only to the extent necessary to make up the difference between disability benefits paid under Chapter 287, RSMo and their salary at the time of injury;

(M) When an employee’s personal care and attention is required in connection with the adoption of a child, loss of time that is supported by appropriate documentation will be referred to as adoption leave. Such leave will be charged against the employee’s accumulat ed sick leave unless the employee elects to use annual leave or compensatory time. The final decision concerning the granting of leave under this section shall rest with the appointing authority and shall be based upon the degree to which the employee is responsible for providing personal care and attention;

(N) Employees of the Missouri School for State Schools for the Severely Handicapped, class calendar of those schools, shall be exempt from the provisions of this section. In lieu of sick leave with pay as provided in 1 CSR 20-5.020(2)(A), sick leave and sick leave compensation for these employees shall be as established by the appointing authority in a comprehensive leave policy consistent with the work schedule necessary to accommodate the annual academic calendar of their schools; and (O) Employees will be permitted to use only one (1) hour of accrued sick leave per month for Personal Wellness Leave. Personal Wellness Leave shall not accrue or accumulate. Personal Wellness Leave shall only be used for a program or activity directly related to health promotion or disease prevention for the individual employee. Qualifying activities include, but are not limited to: attending a gym or a fitness class; taking a walk, jogging, bicycling; attending a class, seminar or webinar on diet, exercise, or wellness-related topics; participating in an event or activity facilitated by a Department Wellness Team; attending yoga, aerobics, kickboxing, or other health related course; participating in a tobacco cessation, weight management, stress management, or other related disease management session. Examples of inappropriate use of Personal Wellness Leave include, but are not limited to: shopping; running errands; visiting family members and friends; taking extended lunch periods wherein health and wellness is not the focus of the lunch. The final decision concerning the granting of leave under this

section shall rest with the appointing authority and can be denied if operational needs of the employer would be hindered by granting said leave or if the leave is not properly requested or used for permissible purposes under this

rule.

(3) Overtime or compensatory leaves of absence with pay shall be granted in accordance with 1 CSR 20-5.010(1)(C), (D), and (E) and (2)(E) to employees who have not been otherwise compensated for overtime or holiday work. Compensatory leave will be (A) The appointing authority will keep records of compensatory time earned in accordance with these rules. Each appointing

(B) Requests for the use of accumulated compensatory time off with pay shall be granted at times that the needs of the service are not unduly disrupted; and an appointing

basis of the employee’s current rate of pay as defined in this section, or his/her average rate of pay for the last three (3) years, whichever is higher. Each department will establish a policy providing for the consistent transfer or reimbursement of accumulated leave credits, or both, when employees transfer or are appointed to positions in another division of service within the department.

(4) Military leave shall be governed by the following provisions:

(A) Employees who are members of the national guard or any of the reserve components of the armed forces of the United States shall be entitled to leaves of absence from their respective duties, without loss of pay or or loss of any rights or benefits to which otherwise entitled, for all periods of military service during which they are engaged in the performance of duty under competent orders for a period not to exceed a total of one hundred twenty (120) work hours in any federal fiscal year (October 1 through September 30).

Any employee entitled to military leave shall only be charged military leave for any hours which that employee would otherwise have been required to work had it not been for such military leave. The minimum charge for military leave shall be one (1) hour and additional charges for military leave shall be in multiples of the minimum charge. The one hundred twenty (120) work hour limitation shall not apply to periods of military service during which employees are engaged in the service of this state at the call of the governor and as ordered by the adjutant general. Other absences required by military duty, not elsewhere provided for in these rules, may be charged to accrued annual leave, compensatory time, or leave of absence without pay;

(B) As evidence of military duty for which leave with pay is granted, the employee shall provide to the appointing authority an advance notice, either orally or in writing, of an official order from competent military authorities. When either military necessity prevents the employee from giving advance notice or circumstances make it impossible or unreasonable for the employee to provide advance notice, the notice requirement can be delayed or excused;

(C) Employees who are employed in positions of a continuing or permanent nature and who enter the armed forces of the United States for any of the following reasons shall be granted a leave of absence without pay for the period of military training and service required of the employee:

1. Because of an order issued under the Military Selective Service Act (or under any prior or subsequent corresponding law) requiring the employee’s induction into the armed forces;

2. Because of an order issued by a military authority calling an employee to active duty from organized units of the national guard, any component of the armed forces of the United States or the public health service reserve, for a period of time in excess of the one hundred twenty (120) work hours of federal military leave covered by subsection (4)(A);

3. Because an employee enlists in any component of the armed forces of the United States for a period of not more than five (5) years;

4. Because an employee who is a member of a component of the armed forces of the United States voluntarily or involuntarily enters active duty, or whose active duty is voluntarily or involuntarily extended during a period when the president is authorized to order units of the armed forces of the United States to active duty;

5. Because an employee not covered by other provisions of these rules is required to report for active duty for training or inactive duty training in the armed forces of the United States or an organized unit of the national guard; and 6. Because an employee who is a member of a component of the armed forces of the United States or an organized unit of the national guard is ordered to an initial period of active duty for training of not less than twelve (12) consecutive weeks;

(D) An employee’s return to active status following military leave granted under any of the provisions of subsection (4)(C) shall be subject to the following rules:

1. The time frame for an employee’s return to employment depends on the length of military service performed by the employee. If military service was from one to thirty (1–30) days, the employee shall report at the beginning of the first regularly scheduled workday or eight (8) hours after the end of the military duty; if military service was between thirty-one (31) and one hundred eighty (180) days, application for return to employment must be submitted not later than fourteen (14) days after completion of military duty; if military service was more than one hundred eighty-one (181) days, application for return to employment must be submitted not later than ninety (90) days after completion of military duty. The application for return to employment may be extended to a period of not more than two (2) years when an employee suffers service-related injuries and continues to be hospitalized after discharge. An appointing authority may require the returning employee to provide documentation of the length and character of his/her military service to assist in determining eligibility for and timeliness of return to employment; however, when such documentation is unavailable to the returning employee, he/she must be returned to employment until the documentation is available;

2. Employees granted leave under paragraph (4)(C)5. and subsection (4)(F) must report for work at the beginning of the next regularly scheduled working period after expiration of the last calendar day necessary to travel from the place of military training, preinduction processing or hospitalization incident to either of these to the place of employment following release, or within a reasonable time after that if delayed return is due to factors beyond an employee’s control.

Failure to report for work at the regularly scheduled working period shall make the employee subject to the procedures of the appointing authority with respect to absence from scheduled work;

3. Any person receiving a dishonorable discharge from the armed forces resulting from a general court martial may be reinstated to a position subject to the law or these rules only with the approval of the appointing

(E) If an employee is granted leave under the provisions of subsection (4)(C) and meets the restoration requirements of subsection (4)(D), the employee is entitled to exercise restoration rights as follows:

1. If the employee is still qualified to perform the duties of the position involved, the employee has the right to be restored by that appointing authority or his/her successor in interest to the former position held or to a position of like seniority, status and pay, without loss of position, seniority, accumulated pay status, work schedule including shift, working days and days off assigned to the employee at the time that the leave commenced; or, if not qualified to perform the duties of the former position, by reason of disabilities sustained during military service, but qualified to perform the duties of any other position in the employ of the appointing

2. An employee who is restored to or employed in a position in accordance with the provisions of subsection (4)(D) shall not be discharged from that position without cause within one (1) year after that restoration if such employee served in the military for a period of more than six (6) months; if the employee served in the military between one (1) and six (6) months, they shall not be discharged without cause within six (6) months after restoration; employees who serve for thirty (30) days or less are given no protection from discharge without cause;

3. Any person who is restored to or employed in a position in accordance with the provisions of subsection (4)(D) shall not be denied retention in employment or any promotion or other incident or advantage of employment because of any obligation as a member of a component of the armed forces of the United States; and 4. An employee who obtains leave to enter the service under paragraph (4)(C)6. is not entitled to retention, preference, or displacement right over any veteran with a superior claim under these rules or federal law applicable to reemployment of veterans; and (F) Any employee eligible for leave under subsection (4)(C) shall be considered as having been on leave of absence during the period required to report for the purpose of being inducted into, entering, or determining by a preinduction or other examination, physical fitness to enter the armed forces of the United States. Upon rejection following preinduction or other examination, or upon discharge from hospitalization incident to that rejection or examination, the employee shall be permitted to return to employment in accordance with the provisions of subsections (4)(D) and (E).

An employee’s rights to sick leave under section (2) shall not be diminished by subsection (4)(F).

(5) Leave for disaster relief shall be governed by the following provisions:

(A) Leave under this section shall be limited to persons who have completed the necessary training for, and have been certified as, disaster service specialists by the American Red Cross or certified by a volunteer organization with a disaster service commitment recognized by the State Emergency Management Agency;

(B) Employees who are certified in accordance with subsection (5)(A) may, with appointing authority approval, be granted leave of absence from their respective duties, without loss of pay or leave, impairment of performance appraisal, or loss of any rights or benefits to which otherwise entitled. This will cover all periods of disaster service during which they are engaged in the performance of duty under an applicable letter of agreement for a period not to exceed a total of one hundred twenty (120) work hours in any state fiscal year. Other absences for service for the Red Cross or other volunteer organization, not elsewhere provided for in these rules, may be charged to accrued annual leave, compensatory time, or leave of absence without pay;

(C) In the event of a need for the specialist’s services, the local Red Cross or the State Emergency Management Agency will send a service agreement for disaster operations to the employee. The employee will present the service agreement to their supervisor and appointing authority for approval. Upon approval, the employee will return the signed service agreement to the American Red Cross or the State Emergency Management Agency who will provide a copy to the Office of Administration, Division of Personnel;

(D) An employee who returns to work from disaster relief shall be placed into his/her former position;

(E) No more than twenty-five (25) fulltime state employees may be absent in any state fiscal year. Each employee is subject to a cap of one hundred twenty (120) work hours per fiscal year of disaster relief leave;

(F) Upon written order of the governor, additional employees, who have not been absent on other disaster leave this fiscal year, not to exceed twenty-five (25) full-time equivalent state employees, may be granted leave pursuant to this section to participate in specialized disaster relief services for disasters occurring within the state.

(6) Leaves of absence for emergency services and counter-narcotics missions shall be gov- (A) Leaves of absence under this section shall be limited to persons who are members of the Civil Air Patrol and who hold a Civil Air Patrol emergency service specialty rating or who are certified to fly counter-narcotics missions;

(B) Employees who are certified by the Civil Air Patrol as emergency service specialists or certified to fly counter-narcotics missions may be granted leave of absence from their respective duties, without loss of pay or or loss of any rights or benefits to which otherwise entitled for periods during which such person is engaged in the performance of Civil Air Patrol emergency service or counter-narcotics missions;

(C) Leave for such service shall be for not more than fifteen (15) working days in any state fiscal year, but may be for a longer period of time in the event of a declared state or national emergency. Other absences for service for the Civil Air Patrol, not provided for in these rules, may be charged to accrued annual leave or compensatory time, or to leave of absence without pay;

(D) A leave of absence may be granted only upon written request made to the appointing authority by the Missouri state wing commander of the Civil Air Patrol. The agency shall forward a copy to the Office of Administration, Division of Personnel;

(E) Before any payment of salary is made to the employee, the Missouri state wing commander or designated representative of the Civil Air Patrol shall submit written evidence to the appointing authority that the employee for whom the leave was requested actually participated in emergency services duty or counter-narcotics missions, by providing a Drug Enforcement Agency/Civil Air Patrol (DEA/CAP) mission number; and (F) An employee who returns to work from authorized Civil Air Patrol service shall be placed into his/her former position.

(7) Leaves of absences without pay shall be (A) Employees whose employment is of a continuing or permanent nature, upon application in writing to, and upon written approval of, the appointing authority, may obtain a leave of absence without pay under the following circumstances and regulations:

1. Leaves of absence without pay may be granted for any of the following reasons:

A. Because of medical disability of the employee which is not covered by the provisions in subsection (7)(B);

B. Because the employee is entering upon a course of training or study for the purpose of improving the quality of service to the state or of preparing the employee for promotion; and C. Because of extraordinary reasons, sufficient in the opinion of the appointing

2. Leaves for any of these reasons shall be subject to the following regulations:

A. These leaves shall not be granted for more than twelve (12) months, but upon written application, prior to the expiration of the leave, the appointing authority may grant extensions of leaves of absence as appear best to serve the interest of the division of service;

B. At the expiration of a leave of absence or any extension of a leave of absence, the employee shall be returned to active duty in the division of service;

C. The individual, upon making written application and with the approval of the appointing authority, may be returned to active duty in the division of service prior to the expiration of a leave of absence or any extension of a leave of absence;

D. Failure on the part of the appointing authority to approve the individual’s application to return to active duty prior to the expiration of a leave of absence or any extension of a leave of absence shall not affect the individual’s right to return to active duty at the expiration of a leave of absence or any extension of a leave of absence;

E. Failure on the part of an individual to report within three (3) working days after the expiration of a leave of absence or extension of a leave of absence shall be treated as an absence without leave; and F. Unless the appointing authority shall otherwise provide, before any such leave shall commence, the employee’s accumulated annual and compensatory leave, and in the event leave is granted because of medical disability, all accumulated sick leave shall be exhausted; and (B) Leaves of absence without pay for family and medical care shall be granted in accordance with the provisions of the federal Family and Medical Leave Act.

1. For the purposes of family and medical care leave, the following words and terms, unless the content clearly requires otherwise, shall have the meaning indicated as follows:

A. Child means a biological, adopted, or foster child, a stepchild, a legal ward, or a child of a person standing in loco parentis, who is under eighteen (18) years of age or eighteen (18) years of age or older and incapable of self-care because of a mental or physical disability;

B. Eligible employee means an employee who has been employed for at least twelve (12) months and who has worked at least one thousand two hundred and fifty (1,250) hours within that time is eligible for a maximum of twelve (12) work weeks of unpaid leave during the year;

C. Employer, for the purposes of the Family and Medical Leave Act and this section, the state of Missouri constitutes a single public employer;

D. Parent means the biological parent of an employee or an individual who stands or stood in loco parentis to an employee when the employee was a child. This term does not include parents-in-law;

E. Serious health condition means an illness, injury, impairment, or physical or mental condition that involves— (I) Any period of incapacity or treatment in connection with or consequent to inpatient care in a hospital, hospice, or residential medical care facility;

(II) Any period of incapacity requiring absence from work, school, or other regular daily activities, of more than three (3) calendar days, that also involves continuing treatment by, or under the supervision of, a health care provider; or (III) Continuing treatment by, or under the supervision of, a health care provider for a chronic or long-term health condition that is incurable or so serious that, if not treated, would likely result in a period of incapacity of more than three (3) calendar days; or for prenatal care;

F. Spouse means a husband or wife as defined or recognized under state law for purposes of marriage;

G. Substantially equivalent position means a position that has the same pay, benefits, and working conditions, including privileges, prerequisites, and status. It must involve the same or substantially similar duties and responsibilities, which must entail substantially equivalent skill, effort, responsibility, and authority; and H. Year means the current month and preceding eleven (11) months.

2. An eligible employee shall be granted leave without pay for the following causes and under the following conditions:

A. The birth or adoption of a child in accordance with the following provisions:

(I) Entitlement to leave for the purpose of adoption or for the birth of a child is limited to twelve (12) calendar months from the date of the birth or adoption of the child;

(II) The employee shall request leave in writing at least thirty (30) days prior to the commencement of leave or in the event of an emergency as soon as reasonably practical; also (III) In the event that both parents are employees of Missouri, leaves for the birth or adoption of a child shall be limited to a period of twelve (12) weeks between parents/employees;

B. To provide care for a child, spouse, or parent with a serious health condition; and C. For treatment of the employee’s serious health condition.

3. The following regulations shall apply to any of the family or medical leave requests:

A. The employee may take leave on an intermittent basis with prior approval of the appointing authority;

B. Employees shall be required to provide medical certification as to the need for leave of absence to obtain treatment for themselves or to care for a child, spouse, or parent when requested;

C. At the appointing authority’s discretion, employees may be required to transfer to another position to better accommodate an intermittent leave schedule;

D. The appointing authority may require accumulated sick leave or annual leave to be utilized prior to granting leave without pay;

E. Sick leave or annual leave utilized for the purposes of family or medical leave, whether at the employee’s option or at the appointing authority’s direction, shall be considered part of the twelve- (12-) week leave obligation;

F. The employee is entitled to be returned to the position from which leave was granted or to a position that is substantially equivalent;

G. The employee shall suffer no loss in benefits accrued prior to the commencement of the leave of absence without pay;

H. Except as provided in Missouri statute or rules, the employee shall not be eligible to accrue benefits during the period of leave of absence without pay; and I. The employer shall continue to provide what is currently paid toward the employee’s same medical insurance coverage during the period of leave not to exceed twelve (12) weeks.

(8) Time off with compensation shall be gov- (A) An employee shall be granted time off from duty, with compensation, by the appointing authority for any of the following reasons:

1. In compliance with a subpoena to appear in court or before a judge, any legislative committee or any officer, board, or body authorized to conduct any hearing or inquiry, except when the employee is a plaintiff or defendant in a cause of action not arising out of employment, or for jury service; and 2. For participation in promotional examinations or promotional selection procedures which are offered or required by the division of service in which the individual is employed, provided that requests for this leave are coordinated with the appointing

2. Attendance at professional conferences, institutes, or meetings when attendance, in the opinion of the appointing

3. Attendance at in-service training and other courses designed to improve the employee’s performance or to prepare the employee for advancement;

4. Absence, not to exceed five (5) consecutive workdays, due to the bereavement of an employee as a result of the death of the spouse, child, sibling, parent, grandparent or grandchild of the employee or employee’s spouse, or a member of the employee’s household. This shall include half- and steprelatives. The final decision concerning the applicability and length of such leave under this section shall rest with the appointing

5. Leaves of absence for five (5) workdays to serve as a bone marrow donor and leaves of absence for thirty (30) workdays to serve as a human organ donor as defined in

section 105.266, RSMo. Leave is authorized under these circumstances only when the employee is serving as the donor and written verification is provided to the appointing

Filed Dec. 23, 1947, effective Jan. 2, 1948.

Amended: Filed March 25, 1948, effective April 4, 1948. Amended: Filed Sept. 15, 1948, effective Sept. 25, 1948. Amended:

Filed Aug. 13, 1949, effective Aug. 23, 1949.

Amended: Filed June 1, 1954, effective June 11, 1954. Amended: Filed Nov. 18, 1957, effective Nov. 28, 1957. Amended: Filed Aug. 22, 1958, effective Sept. 1, 1958. Amended:

Filed Dec. 22, 1960, effective Jan. 1, 1961.

Amended: Filed July 21, 1967, effective July 31, 1967. Amended: Filed Aug. 28, 1967, effective Sept. 7, 1967. Amended: Filed June 20, 1969, effective June 30, 1969. Amended:

Filed Feb. 2, 1971, effective Feb. 12, 1971.

Amended: Filed June 12, 1972, effective July 1, 1972. Amended: Filed Dec. 21, 1972, effective Jan. 1, 1973. Amended: Filed Feb. 27, 1973, effective March 9, 1973. Amended:

Filed June 18, 1973, effective July 1, 1973.

Amended: Filed April 23, 1974, effective May 2, 1974. Amended: Filed Feb. 28, 1975, effective March 10, 1975. Amended: Filed Dec. 8, 1975, effective Dec. 19, 1975.

Amended: Filed Dec. 13, 1978, effective April 12, 1979. Amended: Filed Sept. 29, 1989, effective Jan. 1, 1990. Amended: Filed Sept. 27, 1990, effective Feb. 14, 1991.

Amended: Filed July 6, 1993, effective Jan. 31, 1994. Amended: Filed Nov. 16, 1993, effective July 30, 1994. Amended: Filed July 21, 1994, effective Feb. 26, 1995. Amended:

Filed Oct. 31, 1995, effective May 30, 1996.

Amended: Filed July 9, 1997, effective Jan. 30, 1998. Amended: Filed Sept. 15, 1998, effective March 30, 1999. Amended: Filed Sept. 15, 1999, effective April 30, 2000.

Amended: Filed April 12, 2000, effective Oct. 30, 2000. Amended: Filed Nov. 15, 2000, effective May 30, 2001. Emergency amendment filed May 22, 2002, effective June 1, 2002, expired Nov. 27, 2002. Amended: Filed Sept. 16, 2002, effective March 30, 2003.

Amended: Filed Aug. 15, 2003, effective Feb. 29, 2004. Amended: Filed June 15, 2006, effective Dec. 30, 2006. Amended: Filed Sept. 11, 2013, effective March 30, 2014.

Amended: Filed Jan. 9, 2019, effective Aug. 30, 2019. ** Amended: Filed Jan. 12, 2022, effective Aug. 30, 2022. *Original authority: 36.070, RSMo 1945, amended 1979, 1995, 2018, and 36.350, RSMo 1945, amended 1979. **Pursuant to Executive Order 21-09, 1 CSR 20-5.020, paragraph (1)(D)1. was suspended from October 15, 2021 through November 15, 2021. Pursuant to Executive Order 21-09, 1 CSR 20-5.020, paragraph (1)(A)1., subparagraph (1)(A)2.A., and paragraph (2)(B)1. was suspended from July 14, 2020 through December 31, 2021.

History

• authority, subject to review and approval by the personnel advisory board, consistent with the work schedule necessary to accommodate the safety and convenience of the public;
• authority, an employee in a position subject to a furlough may take a voluntary leave of absence without pay in lieu of being furloughed;
• authority will establish maximum compensatory leave balances that may be maintained, provided that the maximum balance established shall not exceed that permitted by applicable statute or rule. Overtime or holiday work will be compensated by pay if additional compensatory leave will exceed established maximum accrual;
• authority may direct the use of this leave; and (C) Employees will be paid for compensatory time balances in effect at the time of separation from the state service or upon transferring to or being appointed to a position in another department. This payment shall be based on the employee’s rate of pay at the time of separation, transfer, or appointment and shall be computed uniformly on the basis of the standard annual hourly rate of pay of the employee as determined by dividing the employee’s annual full-time salary rate by two thousand eighty (2080). For employees of the Missouri School for the Blind, Missouri School for the Deaf, and State Schools for the Severely Handicapped who are employed on a school-term or on a part-time basis, the standard annual hourly rate of pay is determined by dividing the employee’s annual salary rate by the total hours in his/her term of employment. For employees subject to the overtime provisions of the Fair Labor Standards Act, compensation for accumulated compensatory time shall be made on the
• authority; and 4. Return from a leave of absence is authorized providing that the employee is relieved from active duty not later than five (5) years after the date of entering upon active duty or as soon after the expiration of that five (5)-year period as the employee is able to obtain orders relieving him/her from active duty;
• authority or his/her successor in interest, the employee has the right upon request to be restored to the other position the duties of which the employee is qualified to perform and which will provide that person like seniority, status and pay, or the nearest approximation of them consistent with the circumstances in the individual case, unless the appointing authority’s circumstances have so changed as to make it impossible or unreasonable to do so;
• authority to warrant that leave of absence;
• authority, for the purpose of ensuring that proper staffing is maintained within the work unit; and (B) With the approval of the appointing
• authority, an employee may be granted time off from duty, with compensation, for any of the following reasons:
• authority, may be expected to contribute to the betterment of the service. Proof of actual attendance at these meetings may be required by the appointing authority;
• authority. Other absences due to the death of loved ones, when approved by the appointing
• authority, shall be charged to an employee’s accumulated annual or compensatory leave;
• authority; and 5. Because of extraordinary reasons sufficient in the opinion of the appointing
• authority to warrant such time off with compensation.
• AUTHORITY: section 36.070, RSMo Supp. 2021, and section 36.350, RSMo 2016. Original rule filed Aug. 20, 1947, effective Aug. 30, 1947. Amended: Filed Sept. 20, 1947, effective Sept. 30, 1947. Amended:

1 CSR 20-5.025 ShareLeave {#sec-1-csr-20-5.025 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-5.025}

PURPOSE: This rule prescribes guidelines and standards regarding donated leave programs under the authorization of section 36.350, RSMo. These guidelines and standards provide a framework to agencies for the establishment of their ShareLeave programs.

(1) The state agencies that are covered under

section 36.350, RSMo, may establish ShareLeave programs within their agencies for employees to donate leave to other employees. These programs may be established under the conditions set out within the following regulations:

(A) As used in this rule, unless the context clearly indicates otherwise, the following terms mean:

1. ShareLeave means a pool of leave hours donated by eligible employees that may be conveyed from the pool to other eligible employees;

2. A catastrophic illness or injury is one which is life threatening, terminal, or likely to result in a substantial permanent disability;

3. ShareLeave pool means a repository of eligible leave hours that is maintained by a department or agency of state government for the purposes set forth under the ShareLeave program;

(B) Employees eligible to donate leave to the ShareLeave pool are those employees that are employed in positions of a permanent or continuing nature and who have completed six (6) months of service. Employees eligible to receive ShareLeave pool benefits are those employees who are employed in positions of a permanent or continuing nature and who have completed six (6) months of service;

(C) Annual leave as defined by 1 CSR 20- 5.020(1) may be donated by employees to the pool. Overtime or compensatory time as defined by 1 CSR 20-5.010(1)(C), (D), and (E) and 1 CSR 20-5.010(2)(E) may be donated by employees to the pool. Since sick leave benefits are a grant from the employer and in no sense the property of individuals, the donation of sick leave is not allowed;

(D) To be eligible for donated leave, recipient employees must have experienced a catastrophic illness or injury. Departments may also provide that employees may be eligible for donated leave if they can demonstrate that their spouse or children have experienced catastrophic illness or injury requiring the employee’s personal care and attention. The final decision concerning the granting of leave under this section rests with the department;

(E) Recipient employees must have exhausted all of their own accrued annual leave, sick leave, and compensatory leave and all worker’s compensation indemnity payments (if applicable) before being eligible for donated leave;

(F) Employees eligible to receive disability benefits from the state of Missouri are not eligible for donated leave;

(G) Donations cannot be made to individuals, but instead to a departmental or agency “pool” established for this purpose;

(H) Appointing authority will establish a method for determining the eligibility of persons who apply for leave benefits from the “pool”;

(I) All eligible applicants will receive an equitable share of leave from that available in the donation “pool”;

(J) The maximum benefit which can be authorized for any one (1) employee for any one (1) instance of eligibility is limited to the equivalent of four (4) months of regular salary;

(K) An employee receiving donated leave is credited with additional leave earnings during this period; and (L) All donations of eligible leave are voluntary. No employee may intimidate, threaten, or coerce any other employee with respect to donating or receiving leave under this program. Individual leave records that apply to ShareLeave are confidential and no individual employees are to receive remuneration of any kind for leave donated.

(2) Each appointing authority that adopts a program under section (1) of this rule will submit a formal written policy and updates to the director for review.

(3) ShareLeave for Foster and Adoptive Placement and Care. The state agencies that are covered under section 105.271, RSMo, will establish a leave-sharing program within their agencies for employees to donate annual leave, overtime, or compensatory time to an employee who is arranging for a foster or adopted child’s placement or caring for the child after placement. Nothing in this section prohibits a leave-sharing program for other purposes. This program will be established under the conditions set out within the following guidelines:

(A) As used in this rule, unless the context clearly indicates otherwise, the following terms mean:

1. “ShareLeave for Foster and Adoptive Placement and Care” means a pool of leave hours donated by eligible employees that may be conveyed from the pool to other eligible employees for the purpose of arranging for a foster or adopted child’s placement or caring for the child after placement;

2. “State ShareLeave Pool” means a statewide repository of eligible leave hours that is maintained by the Commissioner of Administration or designee for the purposes set forth under the ShareLeave for Foster and Adoptive Placement and Care program for the purpose of arranging for a foster or adopted child’s placement or caring for the child after placement;

3. “Department ShareLeave Pool” means a repository of eligible leave hours that is maintained by a department or agency of state government for the purposes set forth under the ShareLeave for Foster and Adoptive Placement and Care program for the purpose of arranging for a foster or adopted child’s placement or caring for the child after placement; and 4. “Foster or adoptive parent” means both those pursuing to foster or adopt a child and those who have a foster or adopted child placed in the home;

(B) Employees eligible to donate leave are those employees who are employed full time in benefit-eligible positions of a permanent or continuing nature. Employees eligible to receive ShareLeave pool benefits are those employees who are employed full time in benefit-eligible positions of a permanent or continuing nature;

(C) Annual leave as defined by 1 CSR 20- 5.010(1) may be donated by employees to a pool. Overtime or compensatory time as defined by 1 CSR 20-5.010(1)(C), (D), and (E) and 1 CSR 20-5.010(2)(E) may be donated by employees to a pool. Since sick leave benefits are a grant from the employer and in no sense the property of individuals, the donation of sick leave is not allowed.

1. Departments or agencies which opt in to the State ShareLeave Pool will send a letter and copy of agreement which indicates cross agency acceptance to the Commissioner of Administration. The State ShareLeave Pool is the only program allowed for multi-agency ShareLeave for Foster and Adoptive Placement and Care purposes.

2. Any department or agency which chooses to participate in the State ShareLeave Pool will designate one (1) employee to serve on a Statewide ShareLeave for Foster and Adoptive Placement and Care Committee, chaired by the Commissioner of Administration or designee;

(D) Any donated leave is only to be used by the recipient employee for purposes of arranging for the foster or adopted child’s placement or caring for the child after placement, which includes, but is not limited to:

1. Appointments with state officials, child placing agencies, social workers, health professionals, or attorneys;

2. Court proceedings;

3. Necessary travel;

4. Training and licensure as a foster parent;

5. Any periods of time during which foster or adoptive parents are ordered by the state, a child placing agency, or by a court to take time off from work to care for the foster or adopted child; or 6. Any other activities necessary to allow the foster care or adoption to proceed;

(E) The final decision concerning the granting of leave under this section rests with the chief administrative officer in the case of leave benefits from a Department ShareLeave Pool, and with the Statewide ShareLeave for Foster and Adoptive Placement and Care Committee in the case of leave benefits from the State ShareLeave Pool, and is based upon the degree to which the employee is responsible for providing care and attention in connection with the adoption or fostering of the child(ren);

(F) Recipient employees are to exhaust all of their own applicable paid leave and compensatory time prior to using donated leave;

(G) Donation of leave cannot be made for the benefit of specific individuals, but to the Department ShareLeave Pool. Donations may be transferable between different departments or agencies, with the agreement of the chief administrative officer of such departments or agencies. Such leave is deposited into the State ShareLeave Pool;

(H) The chief administrative officer will establish a method for determining the eligibility of persons who apply for leave benefits from the Department ShareLeave Pool;

(I) The Statewide ShareLeave for Foster and Adoptive Placement and Care Committee will meet as necessary to determine the eligibility of persons who apply for leave benefits from the State ShareLeave Pool;

(J) All eligible recipients will receive an equitable share of leave from that available in the applicable donation pool;

(K) The maximum benefit for any one (1) employee for any one (1) instance of eligibility cannot exceed the equivalent of four (4) months of regular salary;

(L) An employee receiving donated leave will be credited with additional leave earnings during this period; and (M) All donations of eligible leave are voluntary. No employee may intimidate, threaten, or coerce any other employee with respect to donating or requesting leave under this program. Individual leave records are confidential, and no individual employees are to receive remuneration of any kind for leave donated.

(4) Each appointing authority that adopts a program under section (3) of this rule will submit a formal written policy and updates to the director for review.

Filed Sept. 15, 1999, effective April 30, 2000. Amended: Filed Jan. 9, 2019, effective Aug. 30, 2019. *Original authority: 36.060, RSMo 1945, amended 1971, 1979, 1993, 1995, 2010; 36.070, RSMo 1945, amended 1979, 1995; and 105.271, RSMo 1987, amended 1998.

History

• AUTHORITY: section 105.271, RSMo 2016, and sections 36.060 and 36.070, RSMo Supp. 2018. Original rule filed Oct. 31, 1996, effective May 30, 1996. Amended:

1 CSR 20-5.030 Borrowed Leave {#sec-1-csr-20-5.030 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-5.030}

PURPOSE: This rule provides for borrowed leave use and availability in response to Coronavirus Disease 2019 (COVID-19).

(1) Scope. This rule establishes the availability and eligibility requirements of borrowed leave within state agencies subject to section 36.350, RSMo, notwithstanding any other

rule in this chapter to the contrary. The board expects that section (2) of this rule will be rescinded when the availability of borrowed leave in response to the COVID-19 pandemic is no longer necessary.

(2) Borrowed Leave.

(A) State agencies may permit employees who have exhausted their sick leave balance to borrow against future sick leave accruals in circumstances caused directly or indirectly by COVID-19 as specified in this rule.

(B) Borrowed leave may be approved by state agencies in accordance with a written interagency memorandum issued by the Commissioner of the Office of Administration.

The board does not anticipate that this memorandum will substantially affect the legal rights of, or procedures available to, the public or any segment thereof, because it only impacts the internal management of state agencies. In response to the exigencies created by the COVID-19 pandemic, the memorandum may describe any of the following:

1. The circumstances in which borrowed leave may be approved;

2. The amount of borrowed leave available, which may vary by circumstance;

3. Documentation requirements applicable to borrowed leave, which may vary by circumstance;

4. Additional requirements applicable upon taking threshold amounts of borrowed leave;

5. The procedure by which borrowed leave will be repaid while the employee remains in state service;

6. The establishment of ShareLeave programs by which eligible employees may donate leave hours to assist recipient employees in the repayment of borrowed leave; and 7. Any other procedures or requirements incident to the administration of leave as the commissioner believes to be appropriate and necessary to address the emergency created by the COVID-19 pandemic.

(3) Repayment of Borrowed Leave. Employees approved to borrow against future sick leave accruals must repay the borrowed leave in full. In addition to repaying borrowed leave with sick leave, the interagency memorandum may specify that other accumulated time may be used by employees and, in the event of separation must be used, to repay borrowed leave. In the event an employee separates from state service prior to full repayment of borrowed leave, the remaining balance will be deducted from the employee’s compensation warrants in accordance with subdivision (4) of subsection 2 of section 33.103, RSMo, and guidelines established pursuant thereto.

To the extent the employee’s compensation warrants are insufficient to fully repay their borrowed leave balance, collection of the remaining balance is authorized.

History

• AUTHORITY: section 36.350, RSMo 2016, and sections 36.060 and 36.070, RSMo Supp. 2019. Emergency rule filed April 16, 2020, effective April 30, 2020, expired Oct. 30, 2020. Original rule filed April 16, 2020, effective Oct. 30, 2020. Original authority: 36.060, RSMo 1945, amended 1971, 1979, 1993, 1995, 2010, 2018; 36.070, RSMo 1945, amended 1979, 1995, 2018; and 36.350, RSMo 1945, amended 1979.

Chapter 6 Management Training

1 CSR 20-6.010 Leadership Development {#sec-1-csr-20-6.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 20-6.010}

PURPOSE: This rule prescribes standards regarding mandatory training for employees in leadership positions within state agencies. These standards provide a framework for developing and maintaining leadership effectiveness consistent with the mission and needs of each agency.

(1) Definitions. As used in this rule, unless the context clearly indicates otherwise, the following terms shall mean:

(A) Supervisor, a person responsible for planning, organizing, directing, coaching, and evaluating the work of employees;

(B) Manager, a supervisor who directs the work of other supervisors, monitors and evaluates the progress of an organization, and makes adjustments in objectives, work plans, schedules, and commitment of resources; and (C) Executive, a manager who serves at the top levels of an agency or division.

(2)

Training Program Policy and Development. Agencies must provide for the development of employees in supervisory positions. Agencies must issue written policies to ensure they— (A) Provide training within two (2) months of an employee’s initial appointment to a supervisory position that includes, but is not limited, to:

1. Professional Development and Performance Management. The process of developing and implementing a work environment in which employees are assigned responsibility, enabled to perform to the best of their abilities, and held accountable;

2. Employment Laws and Legal Issues. A working understanding of the laws that affect the workplace and the responsibilities supervisors have with respect to those laws;

3. Diversity. The practice of creating and maintaining a workplace culture that values trust, respect, and inclusion of all employees; and 4. Cyber and Workplace Security. An understanding of current threats and strategies supervisors should use to combat these risks;

(B) Provide training within six (6) months of an employee’s initial appointment to a supervisory position that includes, but is not limited to— 1. Mentoring and Coaching. The ability to provide an employee with constructive feedback that is informationspecific, issue-focused, based on observations, used to improve performance, and accelerates the employee’s professional development;

2. Interviewing. The ability to interview and hire employment candidates by using best practices and a general understanding of the overall hiring process;

3. Project Management and Continuous Improvement. The ability to identify opportunities for improving the efficiency and effectiveness of work, develop project plans to implement changes, and manage results;

4. Communication. The ability to communicate with employees and other stakeholders in a way that is clear, personalized, transparent, empathetic, collaborative, and inspiring; and 5. Leadership. The ability to influence and guide employees and others in order to accomplish the goals of the agency and state, and the ability to identify or develop the goals where appropriate;

(C) Maintain knowledge of the above topics on an annual

basis;

(D) Institute a structure for supervisors, managers, and executives to dedicate time toward professional development and leadership no less than forty (40) hours each state fiscal year; and (E) Design and implement leadership development programs that are aligned with guidance from the Division of Personnel, foster a government-wide perspective, identify and develop future leaders, and support agency business initiatives and goals. All training efforts shall strive toward best practices for leadership competencies and modern training techniques.

(3) Records of Training Program Participation. Each agency shall adopt a standardized methodology prescribed by the Division of Personnel for measuring and reporting the efficiency, effectiveness, and outcomes of training efforts.

These records shall be submitted to the Division of Personnel either through a common electronic platform or by other means on no less than an annual basis.

(4) Coordination and Governance. To facilitate communication and continuous improvement, each agency shall designate and maintain one (1) talent development manager or executive, and one (1) business manager or executive, who shall participate in an inter-agency consultative group. The group will be led by the Division of Personnel. Meeting frequency and duration will be determined by the Division of Personnel for the interagency group in order to achieve the following objectives:

(A) Ensure agency and state-wide talent development programs are current according to the standards prescribed in this rule;

(B) Ensure this rule remains relevant to overall management priorities and aligned with current workforce development needs. The inter-agency group may provide input to the Division of Personnel regarding amending this rule; and (C) Develop and maintain recommendations to assist agencies in complying with the rule.

Filed Nov. 15, 2000, effective May 30, 2001. Amended: Filed June 1, 2009, effective Nov. 30, 2009. Amended: Filed Oct. 1, 2019, effective March 30, 2020. Amended: Filed Jan. 6, 2023, effective July 30, 2023. *Original authority: 36.070, RSMo 1945, amended 1979, 1995, 2018, and 36.510, RSMo 1979, amended 1996, 2013, 2018.

History

• AUTHORITY: sections 36.070 and 36.510, RSMo Supp. 2022. Original rule filed Oct. 7, 1985, effective Jan. 12, 1986. Amended:

Division 30 Division of Facilities Management, Design and Construction

Chapter 2 Capital Improvement and Maintenance Budget

1 CSR 30-2.010 Capital Improvement and Maintenance Budget Rule Objectives {#sec-1-csr-30-2.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-2.010}

(Rescinded June 30, 2008)

Filed Nov. 5, 2007, effective June 30, 2008.

History

• AUTHORITY: sections 8.320, 8.360 and 33.220, RSMo 1986. Original rule filed July 9, 1981, effective Feb. 15, 1982. Rescinded:

1 CSR 30-2.020 Definitions {#sec-1-csr-30-2.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-2.020}

Filed June 14, 1985, effective Aug. 26, 1985. effective June 30, 2008. Rescinded: Filed Aug. 31, 2018, effective April 30, 2019.

History

• AUTHORITY: sections 8.320, 8.360, and 33.220, 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:

1 CSR 30-2.030 Assessment Program Planning {#sec-1-csr-30-2.030 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-2.030}

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.

Rescinded: Filed Aug. 31, 2018, effective April 30, 2019.

History

• AUTHORITY: sections 8.320, 8.330, 8.360, and 33.220, RSMo 2000. Original rule filed July 9, 1981, effective Feb. 15, 1982.

1 CSR 30-2.040 Budget Preparation {#sec-1-csr-30-2.040 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-2.040}

Filed June 14, 1985, effective Aug. 26, 1985. effective June 30, 2008. Rescinded: Filed Aug. 31, 2018, effective April 30, 2019.

History

• AUTHORITY: sections 8.320, 8.360, and 33.220, 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:

1 CSR 30-2.050 Budget Form Completion and Submission {#sec-1-csr-30-2.050 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-2.050}

JOHNR. ASHCROFT(3/31/19)

History

• AUTHORITY: sections 8.320 and 8.360, RSMo Supp. 2014, and section 33.220, 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. effective June 30, 2008. Non-substantive change filed April 19, 2016, published June 30, 2016. Rescinded: Filed Aug. 31, 2018, effective April 30, 2019.

Chapter 3 Capital Improvement and Maintenance Program

1 CSR 30-3.010 Rule Objectives and Definitions RSMo 2000. Original rule filed July 9, 1981, effective Feb. 15, 1982. Rescinded and readopted: Filed Nov. 5, 2007, effective June 30, 2008. Rescinded: Filed Aug. 31, 2018, effective April 30, 2019. {#sec-1-csr-30-3.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-3.010}

1 CSR 30-3.020 Project Definition and Fund Allocation 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. effective June 30, 2008. Rescinded: Filed Aug. 31, 2018, effective April 30, 2019. {#sec-1-csr-30-3.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-3.020}

1 CSR 30-3.025 Procurement of Construction and Management Services {#sec-1-csr-30-3.025 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-3.025}

PURPOSE: This rule sets forth the methods and procedures for selection of project construction and management services.

(1) Definitions. As used in this regulation and the remainder of this chapter, the following terms mean:

(A) “Affiliate,” a person who directly or indirectly controls, or has the power to control, another person or a person who is subject to the control of another person. Indicia of control include, but are not limited to: interlocking management or ownership, identity of interests among family members, shared facilities and equipment, common use of employees or a business entity organized following the suspension or debarment of a person that has the same or similar management, ownership, or principal employees as the debarred or suspended person;

(B) “Bidder,” a person who submits a proposal for a construction contract in accordance with 1 CSR 30-3, or one who offers to or subcontracts to a person who submits a proposal for a construction contract;

(C) “Bid documents,” a document or documents by which the division solicits proposals for a contract;

(D) “Commissioner,” the Commissioner of the State of Missouri, Office of Administration;

(E) “Competitive bid,” a process of advertising for bids in accordance with section 8.250, RSMo or solicitation of bids from a minimum of three (3) contractors in which an award is based on the lowest responsive, responsible bid or other pre-established criteria where cost is a factor;

(F) “Debarment,” the exclusion of a contractor from performing work on a state project for an indefinite period of time;

(G) “Design-build,” a project for which the design and construction services are furnished under one contract;

(H) “Design-build contract,” a contract between the division and a design-builder, to furnish the architecture or engineering and related design services necessary for a given public construction project and to furnish the labor, materials, and other construction services for the same public project;

(I) “Design-builder,” any individual, partnership, joint venture, corporation, or other legal entity that furnishes both the architectural or engineering services and construction services for a project, whether itself or through subcontracts;

(J) “Design criteria consultant,” a person, corporation, partnership, or other legal entity duly registered and authorized to practice architecture or professional engineering in this state pursuant to Chapter 327, RSMo, and who is employed by contract to the division to provide professional design and administrative services in connection with the preparation of the design criteria package;

(K) “Design criteria package,” performance-oriented program, scope, and specifications for the public construction project sufficient to permit a design-builder to prepare a response to the division’s request for proposals for a design-build project;

(L) “Design services,” services that are— 1. Within the practice of professional engineering as defined in section 327.181, RSMo, or the practice of architecture as defined in section 327.091, RSMo; or 2. Performed by a registered architect or professional engineer in connection with the architect’s or professional engineer’s employment or practice;

(M) “Director,” the director of the Division of Facilities Management, Design and Construction;

(N) “Division,” the State of Missouri, Office of Administration, Division of Facilities Management, Design and Construction;

(O) “Evaluation team,” a group of people selected by the director to evaluate bidders’ qualifications or proposals;

(P) “Job order contract,” a standing contract where the prices for work are determined by specifying one (1) or more published construction unit price books and the applicable divisions or line items and/or providing a list of work items and requiring the bidders to bid or propose one (1) or more coefficients or multipliers to be applied to the price book or work items as the price proposal;

(Q) “Person,” an individual, corporation, partnership, association, or legal entity;

(R) “Principal,” an officer, director, owner, partner, key employee, or other person within an organizational structure having the authority to obligate the bidder in a contractual relationship;

(S) “Proposal,” an offer to enter into a contract, including bids submitted in a competitive bidding process;

(T) “Public construction project,” the process of designing, constructing, reconstructing, altering, or renovating state owned real property;

(U) “Request for proposals,” a document by which the division solicits proposals for a contract;

(V) “Standing Contract,” a contract for construction, renovation, maintenance, and/or repair services to be performed during a specified period of time where the delivery times and quantities of work are indefinite, and the cost of orders for work to be performed under the contract is based on predetermined rates;

(W) “Stipend,” an amount paid to the unsuccessful proposers to defray the cost of submission of phase II of the design-build proposal;

(X) “Suspension,” the exclusion of a contractor from performing work on a state project for a temporary period of time.

(2) Competitive Bidding.

(A) Soliciting Bids. Section 8.250, RSMo requires that bids be solicited for work on public construction projects. When appropriate, solicitation for bids will go beyond the minimum requirements of the statutes and/or this rule. Notice of solicitation for bids on projects in major metropolitan areas will be sent to minority contractor assistance organizations. Solicitation for bids is authorized only after review and approval of drawings and specifications have been completed in accordance with 1 CSR 30-3.030.

1. Projects costing more than twenty-five thousand dollars ($25,000). Projects costing more than twenty-five thousand dol lars ($25,000) will have solicitation advertised in accordance with section 8.250, RSMo. In addition, when appropriate, individual firms will be contacted to determine and/or solicit their interest.

2. Projects costing twenty-five thousand dollars ($25,000) or less. Projects costing twenty-five thousand dollars ($25,000) or less will be referred to in these regulations as small projects. Small projects may be accomplished using standing contracts or individually procured by the agency in accordance with the current policies of the Division of Facilities Management, Design and Construction.

3. Emergency projects.

A. Projects for emergency repairs the cost of which exceeds twenty-five thousand dollars ($25,000) require approval of the director. Requests should include scope, source of funding and, when appropriate, drawings, specifications, and proposal forms.

B. The director may waive the requirement of competitive bids for construction projects when the director has determined that there exists a threat to life, property, public health, or public safety or when immediate projects are necessary for repairs to state property in order to protect against further loss of, or damage to, state property, to prevent or minimize serious disruption in state services or to ensure the integrity of state records. Emergency contracts for construction shall be made with as much competition as is practicable under the circumstances.

C. For emergency repair projects, firms that are available and competent to perform the necessary work will be invited to visit the site for examination and discussion of the work. Attending firms will be provided with available drawings, specifications, proposal forms, and instructions for submitting proposals. Telephone bids for an hourly rate with a “total not to exceed” amount may be accepted.

D. Work included in an emergency request for proposals shall be held to the minimum necessary to eliminate hazards and/or prevent further damage. Corrective work shall not be included in the emergency request, but incorporated into a separate project for later solicitation.

4. Project related equipment. If it is determined that it is necessary or expedient for project related equipment or materials to be separately procured, the Division of Facilities Management, Design and Construction will prepare the necessary specifications and procure the equipment using appropriate competitive bidding procedures.

(B) Pre-Bid Conference. When appropriate, a pre-bid conference will be held at the project site. Interested firms will be invited to inspect and discuss the project work.

Answers and clarification to substantive questions raised at the pre-bid conference will be published in an addendum distributed to all plan holders having made deposits.

(C) Addenda. Substantive changes or clarifications established between the times of solicitation and receipt of proposals will be issued as addenda to all plan holders who hold plans. Sufficient time, including an extension if necessary, will be allowed for addenda to be received, considered, and incorporated into proposals submitted for the work.

(D) Receipt and Opening of Proposals.

Unless otherwise approved by the director, all proposals will be received at the office of the division. Proposals received in response to a solicitation shall be held secure until the bid opening. If requested in writing and properly identified prior to the set date and time for opening, proposals may be returned to the firm making the submission. At the set date and time, all proposals received shall be opened and made public. Proposals received after the set date and time for openings shall be returned unopened to the firm making the late submission. For good and sufficient cause, in the best interest of Missouri, the director may reject any or all proposals.

(E) Evaluation of Proposals. Proposals received shall be evaluated based on the method of procurement as defined in the bid documents within the available appropriations. When several appropriation items are combined in a single lump sum bid item, the total price for the sin gle bid item shall not exceed the total of the amounts appropriated for all the included items.

(F) Contracts. Approval by the director of a contract for a project costing twenty-five thousand dollars ($25,000) or more will be granted only after review and approval of drawings and specifications in accordance with 1 CSR 30-3.030.

1. Award of contracts shall be made to the bidder successfully meeting the requirements of the bid documents within the available appropriations.

2. Intent to Award. An intent to award letter will be issued to the successful bidder upon approval by the director. The purpose of the intent to award letter is to notify the successful bidder of their selection so they may obtain the insurance, performance bond, and other documentation necessary to allow the notice to proceed to be issued.

3. Contract Documents. Contract documents may require, as appropriate, performance/payment bond, Workers’ Compensation insurance, comprehensive general liability and property damage insurance, automobile public liability and damage insurance, owner’s protection liability insurance, builder’s risk (or installation floater) insurance, and special hazard insurance. The director or his/her designee will determine the form and items required to provide the complete contract documents. Evidence of these items shall be furnished on the forms and in amounts determined by the director to be necessary and/or in compliance with current statutes. In addition, drawings and specifications on which proposals were submitted shall be incorporated by reference in the contract signed by the successful bidder. Contracts shall not be approved until these contract documents, properly executed, are received by the director. The director has discretion to reject any insurer for bond and insurance tendered.

Failure to perform on a prior contract may be cause for rejection of an insurer. Failure to furnish the mandatory contract documents in a reasonable time may be treated by the director as refusal to accept the contract and/or execute the contract.

4. Notice to Proceed. Notice to proceed with work on a project will be issued by the director, or his/her designee, and work on a project will not be authorized until a notice is issued. This notice shall be issued only after encumbrance of funds for the contract.

(3) Pre-qualification.

(A) Criteria. The division may require prequalification of bidders when the construction project to be bid— 1. Is highly specialized as to the work to be performed;

2. Requires significant experience in the method of construction specified;

3. Requires specialized equipment and experience with such equipment;

4. Requires specific expertise in the installation of sophisticated equipment, systems, or controls;

5. Requires a minimum level of training or certification from specified equipment manufacturers;

6. Must be completed within a critical time frame; or 7. Requires higher than “industry standard” quality control.

(B) Selection. The director will select those projects for which pre-qualification of bidders is appropriate.

(C) Procedure. The pre-qualification process will be a one- (1-) step process. The division shall prepare a request for qualifications for specific selected project with a description of the project, the rationale for the decision to pre-qualify bidders, the procedures for submittal and the selection crite ria to be 4CODE OF STATE REGULATIONS used. Notice of the request for qualifications shall be advertised in accordance with section 8.250, RSMo. The selection criteria to be used in the pre-qualification may include— 1. Experience of the bidder with similar projects;

2. Experience of key personnel proposed for project;

3. List of recent projects of similar scope and value;

4. Bonding capacity;

5. List of specified equipment available to bidder;

6. References;

7. Safety records;

8. Previous project completion schedules;

9. Previous project contract change rates; and 10. Qualifications of subcontractors proposed for specified areas of work.

(D) Evaluation. An evaluation team consisting of at least three (3) representatives of the division shall be selected by the director to evaluate the qualifications submitted by all potential bidders.

1. The evaluation team shall review the submittals of the potential bidders and assign points to each submittal in accordance with the criteria established for the project and as set out in the instructions of the request for qualifications.

2. All potential bidders obtaining a predetermined number of points shall be prequalified to submit a bid on the project on a date specified.

3. Only bids from pre-qualified bidders will be accepted and opened. Bid evaluation shall be on the basis of the lowest, responsive, responsible bidder.

(4) Project/Construction Management.

(A) Project/construction management services may be procured as provided in sections 8.675 to 8.687, RSMo.

(5) Design-Build.

(A) Criteria. The director will select those projects for which the use of design-build procurement is appropriate. In making that determination, the director should consider— 1. The likelihood of whether either method of procurement will serve the public interest by providing substantial savings of time or money over the traditional design/bid/build delivery process;

2. The time available to complete the project and meet the needs of the agency and any need to expedite the delivery process;

3. The type of project and its suitability of either method;

4. The size of the project;

5. The level of agency knowledge and confidence about the project scope and definition;

6. The availability of the using agency staff to manage the project; and 7. The availability of the division staff to manage the project. If a design-build process is selected, the director will determine the scope and level of detail necessary to permit qualified persons to submit proposals in accordance with the request for proposals given the nature of the project.

(B) Procedure. A design criteria consultant may be employed or retained by the division director to assist in preparation of the request for proposal, perform periodic site visits, prepare progress reports, review, and approve progress and final pay applications of the design-builder, review shop drawings and submittals, decide disputes, interpret the construction documents, perform inspections upon substantial and final completion, assist in warranty inspections, and to pro vide any other professional service where the director deems it to be in the public interest to have an independent design professional assisting with the project administration. The consultant will be selected and its contract negotiated in compliance with sections 8.285 to 8.291, RSMo.

1. Notice of requests for proposals shall be advertised in accordance with section 8.250, RSMo. The division shall publish a notice of a request for proposal with a description of the project, the rationale for the decision to use the design-build method of procurement, the procedures for submittal, and the selection criteria to be used.

2. The director shall establish in the request for proposal a time, place, and other specific instructions for the receipt of proposal. Proposals not submitted in strict accordance with those instructions shall be subject to rejection.

3. A request for proposals shall be prepared for each design-build contract containing at minimum the following elements:

A. The procedures to be followed for submitting proposals, the criteria for evaluation of proposals, and their relative weight and the procedures for making awards;

B. The proposed terms and conditions for the design-build contract;

C. The design criteria package;

D. A description of the drawings, specifications, or other information to be submitted with the proposal, with guidance as to the form and level of completeness of the drawings, specifications, or other information that will be acceptable;

E. A schedule for planned commencement and completion of the designbuild contract;

F. Budget limits for the design-build contract, if any;

G. Affirmative action and minority or women business enterprise requirements for the design-build contract, if any;

H. Requirements including any available ratings for performance bonds, payment bonds, and insurance; and I. Any other information that the division in its discretion chooses to supply, including, without limitation, surveys, soil reports, drawings of existing structures, environmental studies, photographs, or references to public records, or affirmative action and minority business enterprise requirements consistent with state and federal law.

4. The director will solicit proposals in a three- (3-) stage process. Phase I will be the solicitation of qualifications of the designbuild team. Phase II will be the solicitation of a technical proposal including conceptual design for the project, and Phase III will be the proposal of the construction cost.

5. The evaluation team shall consist of at least two (2) representatives of the division, two (2) representatives of the using agency, and a fifth member selected by the director who shall serve as chairman to facilitate the evaluation process and vote only in case of a tie. The evaluation team shall review the submittals of the proposers and assign points to each proposal in accordance with this regulation and the request for proposal.

6. In Phase I all proposers shall submit a statement of qualification that includes, but is not limited to— A. Demonstrated ability to perform projects comparable in design, scope, and complexity;

B. References of owners for whom design-build projects have been performed;

C. Qualifications of personnel who will manage the design and construction aspects of the project; and D. The names and qualifications of the primary design consultants and the contractors with whom the design-builder proposes to subcontract. The design-builder may only replace an identified subcontractor or subconsultant with the written approval of the director.

7. Architectural and engineering services on the project shall be evaluated in accordance with the requirements of sections 8.285 to 8.291, RSMo. Qualified proposers selected by the evaluation team may proceed to Phase II of the selection process. Proposers lacking the necessary qualifications to perform the work shall be disqualified and not allowed to proceed to Phase II of the process.

Under no circumstances shall price or fee be a part of the prequalification criteria. Points assigned in the Phase I evaluation process will not carry forward to Phase II of the process. All qualified proposers shall be ranked on points given in Phases II and III only.

8. The director has discretion to disqualify any proposer, which in the director’s opinion, lacks the minimal qualifications necessary to perform the work.

9. Once a sufficient number of qualified proposers have been selected, the proposers will be given a specified amount of time with which to assemble Phase II and Phase III proposals.

10. Phase II of the process shall be conducted as follows:

A. The director will invite the top qualified proposers to participate in Phase II of the process;

B. The design proposal should demonstrate compliance with the requirements set out in the request for proposal, including the level of detail requested for the design;

C. The ability of the proposer to meet the schedule for completing a project as specified by the owner may be considered as an element of evaluation in Phase II;

D. Up to twenty percent (20%) of the points awarded to each proposer in Phase II may be based on each proposer’s qualifications and ability to design, contract, and deliver the project on time and within budget of the Office of Administration;

E. Under no circumstances should the design proposal contain any reference to the cost of the proposal; and F. The design submittals will be evaluated and assigned points in accordance with the requirements of the request for proposal.

Phase II shall account for no less than forty percent (40%) of the total point score as specified in the request for proposal.

11. Phase III shall be conducted as follows:

A. The Phase III proposal must provide a firm, fixed cost of construction and be accompanied by bid security and any other submittals mandated by the request for proposals, such as statements of minority participation;

B. Cost proposals must be submitted in accordance with the request for proposal.

The director shall reject any proposal that is not submitted on time. Phase III shall account for not less than forty percent (40%) of the total point score as specified in the request for proposal;

C. Proposals for Phase II and Phase III shall be submitted concurrently at the time and place specified in the request for proposal. The Phase III cost proposals shall be opened only after the Phase II design proposals have been evaluated and assigned points;

D. Cost proposals will be opened and read aloud at the time and place specified in the request for proposal. At the same time and place, the evaluation team will make public its scoring of Phase II. Cost proposals will be evaluated in accordance with the requirements of the request for proposal. In evaluating the cost proposals, the low bidder shall be awarded the total number of points assigned to be awarded in Phase III. For all other bidders, cost points will be calculated by reducing the maximum points available in Phase III by two percent (2%) or more for each percentage point of the low bid by which the bidder exceeds the low bid and the points assigned will be added to the points assigned for Phase II for each proposer;

E. If the director determines that it is not in the best interest of the state to proceed with the project pursuant to the proposal offered by the proposer with the highest total number of points, the director may reject all proposals. In such event, all qualified proposers with lower point totals shall receive a stipend and the proposer with the highest total number of points shall receive an amount equal to two (2) times such stipend.

If the director determines to award the project, the responsive proposer with the highest number of points shall be awarded the contract; and F. If all proposals are rejected, the director may solicit new proposals using different design criteria, budget constraints, or qualifications.

12. As an inducement to qualified proposers, the division may pay a reasonable stipend, the amount of which shall be established in the request for proposal, to each prequalified design-builder whose proposal is responsive but not accepted. Upon payment of the stipend to any unsuccessful designbuild proposer, the state shall acquire a nonexclusive right to use the design submitted by the proposer, and the proposer shall have no further liability for its use by the state in any manner. If the design-build proposer desires to retain all rights and interest in the design proposed, the proposer shall forfeit the stipend.

(6) Standing Contracts.

(A) The minimum and maximum amounts of work to be performed under a standing contract shall be stated in the bid documents issued by the division. Once work reaches the maximum amount, no further work may be performed under the contract.

(B) The amount of each order for a job or project issued under a standing contract shall not exceed the amounts set forth in section 8.255, RSMo.

(C) The division shall advertise for, receive, and publicly open sealed proposals for standing contracts in accordance with the competitive bidding standards established by

Chapter 8, RSMo and these regulations.

(D) The division may require bidders on standing contracts to submit additional information besides rates, including experience, past performance, and proposed personnel and methodology.

(E) The division may award standing contracts to one (1) or more contractors in connection with each solicitation of bids or proposals.

(F) An order for a job or project under a standing contract must be signed by the division’s representative and the contractor. The order may be a fixed price, lump-sum contract based substantially on contractual unit pricing applied to estimated quantities, or may be a unit price order based on the quantities and line items delivered.

(G) The contractor shall provide payment and performance bonds as set forth in bid documents issued by the division.

(H) The base term of a standing contract is for the initial period and any renewal options that the division sets forth in the bid documents. The base term may not exceed two (2) years and is not renewable without further advertisement and solicitation of proposals.

(I) If a standing contract or an order issued under the contract requires services that constitute the practice of engineering or the practice of architecture, those services shall be provided in accordance with applicable law.

(7) Contractor Responsibility. The director has the authority to declare a contractor not responsible, and to either suspend or debar the contractor from performing work on any state project.

(A) Initial Decision.

1. Notice of the director’s decision to suspend or debar a contractor shall be sent to the contractor by certified mail, return receipt requested. The notice should contain a statement as to the factual basis for the contractor’s suspension or debarment, the length of the suspension, and an explanation of what the contractor must do to be found eligible to again submit bids on contracts.

2. Upon receipt of notice of suspension or debarment, the contractor may request a hearing in front of the director or his/her appointed designee. The hearing will be informally conducted and provide the contractor or affiliates an opportunity to present any facts that may tend to show that the con tractor is in 6CODE OF STATE REGULATIONS fact responsible.

3. Any request for a hearing must be postmarked within ten (10) consecutive calendar days of the date of receipt of the notice, as evidenced by the return receipt.

4. The director shall render a determination within sixty (60) consecutive calendar days of the hearing. The determination shall be sent to all parties by certified mail, return receipt requested. The determination shall set forth the basis for the suspension or debarment, the length of ineligibility, and the showing required for the contractor to once again be determined eligible to bid on contracts. The determination may affirm, reverse, or modify the preliminary determination.

(B) Appeal. The contractor may request that the director’s determination be reviewed by the commissioner of administration or his/her appointed designee.

1. Any request for review must be in writing and be filed with the commissioner within fourteen (14) consecutive calendar days of the date of receipt of the director’s final determination, as evidenced by the return receipt. The request must set forth specific reasons why relief should be granted.

2. A review under this section will be based solely on the documentation submitted by both the contractor and the director. No new hearing will be provided. The commissioner may set aside a determination only if it is found to be an abuse of discretion.

3. The commissioner’s determination shall be issued within sixty (60) consecutive calendar days of the date of the request for review and shall be mailed to all parties.

4. The decision of the director or the commissioner to suspend or debar a contractor is not a “contested case” as defined in

Chapter 536, RSMo.

(C) Effect of Suspension or Debarment.

During the period of suspension or debarment, a suspended or debarred contractor will not be eligible to receive invitations for bids or requests for proposals or to be awarded any contract by the division. A suspended or debarred contractor may also not participate in any contract with the division. This restriction includes being a subcontractor, consultant, sub-consultant, or supplier to any eligible contractor, as well as submitting a bid as part of a partnership or joint venture.

1. If a contractor enters into any contract to perform work on a state project during a period of suspension or debarment, the director may issue a determination extending the time of suspension, changing a suspension to a debarment, or changing the showing that the contractor must make to be determined eligible to perform work on future contracts.

2. Any eligible contractor who knowingly contracts with a suspended or debarred contractor to provide labor or materials on a contract with the division may be suspended or debarred.

3. A suspension or debarment may extend to any affiliate of the contractor who had actual or constructive knowledge of the preliminary determination of suspension or debarment.

4. The director may suspend a contractor for a period not to exceed one (1) year or debar a contractor indefinitely. After the stated period of suspension has expired or more than two (2) years has passed since the finding of debarment, the contractor may apply to the director to be declared eligible. The contractor must show that the contractor has complied with the terms set forth in the final determination of suspension or debarment. If the contractor applies for reinstatement but is unable to demonstrate responsibility to the director, the contractor shall continue to be ineligible until the required information is provided.

(D) Cause for Suspension or Debarment.

The director may suspend or debar a company or firm and their named principals for any or a combination of the following reasons:

1. Commission of a criminal offense related to obtaining or performing a government contract;

2. Violation of antitrust statutes;

3. Commission of fraud, embezzlement, theft, forgery, making false statements, or tax evasion;

4. Commission of any other offense or action indicating a lack of business integrity or business honesty that seriously and directly affects the present responsibility of the contractor;

5. Debarment of the contractor by another state, the federal government, another entity of the state of Missouri, or by a political subdivision of the state of Missouri; or 6. Violations of material contract provisions, which include, but are not limited to failure to, perform or negligent performance of any term or standard of one or more contracts. The failure to perform caused by acts beyond the control of the contractor, or a subcontractor, or material supplier, shall not be considered a basis for suspension or debarment.

Amended: Filed Nov. 30, 2018, effective July 30, 2019. *Original authority: 8.250, RSMo 1939, amended 1957, 1995, 2007; 8.255, RSMo 1995, amended 2005, 2007; 8.310, RSMo 1958, amended 1965, 1984, 1985, 1995, 2014; and 8.320, RSMo 1958, amended 1965, 2014.

History

• AUTHORITY: sections 8.250, 8.255, 8.310, and 8.320, RSMo 2016. Original rule filed Nov. 5, 2007, effective June 30, 2008.

1 CSR 30-3.030 Project Design {#sec-1-csr-30-3.030 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-3.030}

PURPOSE: This rule sets forth the procedure for design of projects.

(1) Selection of Designer.

(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.

(B) Design by Division of Facilities Management, Design and Construction. The director will examine projects remaining after selections for in-house department/agency design. Those projects that are cost prohibitive to be done by consultants or 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.

(C) Design by Consultants. Private consultants will be selected by the director for design of the balance of the projects.

1. The director will maintain a file and database of consultant firms who have expressed interest in performing work on projects. This file will include notations of specific areas of experience or expertise as expressed by each consultant firm and ratings of previous projects completed and evaluated by the division.

2. The department/agency may make recommendations for selections of consultants for design of projects not selected for inhouse design.

3. The selection of consultants will be based on the factors set forth in section 8.289, RSMo.

The director will approve the selected consultants after full consideration of the consultants’ professional and technical competence, experience, special expertise, and capacity necessary for studies and/or design of proposed projects.

A. 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.

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.

(2) Consultant Firm Design.

(A) Contracts. The division will negotiate contracts for consultant studies and/or design in accordance with section 8.291, RSMo.

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

(B) Communications. All official communication and direction to the consultant will be issued by the director or his/her designee, and all official communications for all designs and/or studies by the consultant will be with the director or his/her designee. 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.

This will not limit informal communication or coordination between consultants and department/agencies. Informal communication and working conferences between the department/agency, and the consultant are essential to successful completion of a project and are encouraged. Knowledgeable personnel shall be made available by the department/agency for consultations and site visits by the consultant. The consultant, by prior arrangement, shall have access to the project site at reasonable times. Records and conclusions reached at any working conference(s) between the department/agency and the consultant will be forwarded to the director or his/her designee by the consultant for review and approval.

(C) Consultant’s General Responsibilities.

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.

(D) Payments. Payment method and/or periods will be as stipulated in the consultant’s contract. The director is responsible for review and approval of a consultant’s requests for payment. Approval of payment to a consultant will be based on review and approval of work complet ed to the date of the payment request. Where there appear to be differences between the payment request and the demonstrated progress, those differences will be resolved by decision of the director or his/her designee.

(3) Design Review. Designs and/or studies will be submitted to the director or his/her designee for review and approval in all projects designed by a department/agency or a consultant. The director’s review will include examination of technical adequacy, as well as economy of materials and construction methods proposed.

In addition, the director will examine estimated costs to assure that projects remain within funding authorizations. The review will be commensurate with the scope, complexity, and cost of the work. In the case of design by a consultant, review will be coordinated with the department/agency concerned. 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 designee. Comments by the department/agency representative, if any, will be forwarded to the project manager.

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.

(A) Pre-Design Conference. For projects designed by a consultant, a pre-design conference will be scheduled by the project manager with the consultant 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 should 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 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 pre-design conference. After that, no changes will be made in the scope or funding of projects without written approval of the director.

(B) Design Review Submissions. For projects designed by a consultant, normally, a minimum of three (3) design review submissions will be made. These submissions will be made 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. Schematic. Initial submission (approximately twenty percent (20%)) should 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 should be presented in sufficient detail to permit a review in depth. An estimate should 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 department/agency that will occupy or use the completed project. Comments and/or recommendations of the department/agency will be forwarded to the project manager. The project scope and cost estimate should 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.

2. Design Development. The second submission (approximately fifty percent (50%)) should provide drawings and outline specifications to indicate general architectural, electrical, mechanical, and structural development of the approved concept. The development should clearly demonstrate sizes, capacities, and arrangement, and 8CODE OF STATE REGULATIONS include sufficient details 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 should 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 should 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 department/agency that will occupy or use the completed project.

Comments and/or recommendations of the end user will be forwarded to the project manager. When a project site is in a city or county that has adopted codes for regulation of work involved in a project, the designer will furnish 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 only, and that the code review authority, if it desires, may submit comments to the director’s representative for consideration.

3. Final Review. The final review submission 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 should 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 should 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 department/agency will be forwarded to the project manager.

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 project manager will finalize the bidding documents. The director’s designee performs an administrative review of the documents and, if acceptable, signs the documents as appropriate.

(4) Codes and Standards. The following are adopted as the codes and standards for work on state facilities, with the exception of facilities operated and maintained by agencies exempted from the requirements of this regulation as set forth below. The chief engineer/architect of the division is the authority for code determinations.

(A) International Building Codes(IBC– current edition);

(B) The Americans with Disabilities Act (ADAAG–current edition);

(C) National Fire Code (NFPA 70 - National Electrical Codeand NFPA 101–Life Safety Code–current editions);

(D) International Mechanical Code (IMC–current edition);

(E) International Plumbing Code(IPC– current edition);

(F) 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);

(G) American Society of Mechanical Engineers (ASME–current edition);

(H) American National Standards Institute (ANSI–current edition);

(I) American Concrete Institute (ACI–current edition);

(J) Sheet Metal and Air Conditioning Contractor’s National Association (SMAC- NA–current edition);

(K) Boiler and Pressure Vessel Act of the State of Missouri– (current edition).

(L) Local Codes. Current codes adopted by a Missouri city and/or county in which a project site is located are applicable only to the extent that they are not in conflict with the codes listed above or are otherwise required by statute. The State of Missouri and its contractors are exempt from paying license, inspection, or similar fees for work on state premises.

(5) Bidding.

(A) Prospective Bidders. Consultants retained for design work should assist the director in establishing a list of prospective bidders for projects they design. If necessary, consultants will contact prospective bidders to determine and/or solicit interest in bidding for the work. The department/agency will provide, within its capability, similar assistance.

(B) Bid Review and Recommendations. The project manager will notify the designer and the department/agency 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 department/agency 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 will forward its written recommendation for award to the director along with the encumbrance for the amount of the recommended award. If project bids are not within available funding or agreement on the low responsive bidder is not reached, the department/agency will forward to the director its written recommendation for subsequent action on the project. When requested by the director, the designer also will forward a recommendation on the bids received and/or subsequent action on the project.

(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.

(7) Exemptions. There are specific exempby the Missouri Constitutionand by the Revised Statutes of Missouri.

(A) Department of Transportation projects and highway maintenance are exempted from the provisions of this rule by Article IV,

Section 29, Missouri Constitutionof 1945.

(B) Institutions of higher learning, community junior colleges, and the Department of 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.

RSMo 2016.* 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. effective June 30, 2008. Amended: Filed Oct. 11, 2018, effective May 30, 2019. 1984, 1987, 1995, 2014 and 8.320, RSMo 1958, amended 1965, 2014.

1 CSR 30-3.035 Project Selection/Bidding Methods {#sec-1-csr-30-3.035 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-3.035}

2007. Original rule filed Nov. 5, 2007, effective June 30, 2008. Rescinded: Filed Aug. 31, 2018, effective April 30, 2019.

History

• AUTHORITY: section 8.291, RSMo Supp.

1 CSR 30-3.040 Project Contracts and Work Completion {#sec-1-csr-30-3.040 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-3.040}

PURPOSE: This rule establishes the procedures for accomplishing the work on projects under the supervision of the director of the Division of Facilities Management, Design and Construction.

(1) Project Supervision. The director is responsible for supervision of work on all projects with the exception of projects for agencies that are exempt from this rule as set forth below.

(A) Department/Agency/Site. The department/agency and personnel at the project site are responsible for providing the contractor with reasonable access to the project site, available utility connections, and authorized storage areas. These will be arranged to minimize interference between necessary operations at the facility and the project work.

Department/agency/site personnel shall:

1. Cooperate by exchanging information and coordinating with the contractor, but shall not assist the contractor with, or issue instructions on, project work;

2. Cooperate with and assist, to the extent possible, the director’s on-site representative and the designer in observing the work, equipment, and materials on the site; and 3. Report unusual occurrences or apparent problems to the director’s on-site representative at the earliest opportunity.

(B) Division of Facilities Management, Design and Construction. For each project, the director shall designate an on-site representative. The director’s on-site representative may be a division employee, a consultant, or a department/agency employee, as the director deems appropriate for that project.

The director’s on-site representative is responsible for supervision and administration of the project, including the following:

1. Issuing, in coordination with the designer, official instructions to the contractor;

2. Providing coordination as necessary with site personnel and verifying work or materials included in payment estimates;

3. Assisting with coordinating and scheduling the work and providing coordination between contractors working at the project site;

4. Performing or arranging for testing when indicated by conditions or special requirements;

5. Providing periodic reports and/or recommendations to the director;

6. Notifying the department/agency of scheduled visits, meetings, and inspections; and 7. Maintaining records of payments, proposals, request for information, contract changes, etc. having to do with the progress of the work.

(C) Designer. The designer shall provide construction administration as set forth in the terms of the designer’s contract or, if the designer is a state employee, as follows:

1. Provide on-site observation to assure that the work is performed in accordance with the contract documents;

2. Issue, in coordination with the director’s on-site representative, official instructions to the contractor and verify work or materials included in payment estimates;

3. Assist the contractor in establishing the sequence and control for the several phases and trades involved in the project work;

4. Provide expeditious review and response for all submissions from the contractor and/or along with clarifications or interpretations of the intent of the contract documents;

5. Provide reports for all meetings called to review the work or progress or to resolve problems. Reports for periodic progress meetings should include a review of work to date, progress for the period, scheduled versus actual progress, and efforts to resolve differences between the schedule and actual progress;

6. Provide recommendations for resolving problems of unusual occurrences or unanticipated requirements; and 7. Provide a complete set of reproducible, as-built drawings for the project.

(D) Contractor. The contractor shall be responsible for providing all services set forth in the contractor’s contract.

(E) Preconstruction Conference. The director’s on-site representative shall call together the contractor, the designer, a department/agency representative, and other interested parties for a conference at the site prior to the start of work on the project. The administrative procedures, coordination of access, security, storage, utility connections, areas of responsibilities, and the authority for interpretations and/or issuance of instructions will be reviewed to assure understanding by all parties. The director’s on-site representative will provide instructions for any requirements or conditions requiring special attention.

(F) Construction Progress Meetings. The director’s on-site representative shall periodically call together the designer and the contractor to review progress of the work in addition to the review and verification of payment requests. Schedule versus actual progress will be examined. When actual progress has fallen behind scheduled progress, adjustments in work force, materials, equipment, or other factors, as appropriate, should be established at the progress meeting to assure completion within the time allowed.

(G) Contract Changes. Changes in the work shall be approved only when the director determines that it would be detrimental to bid the work separately. If possible, pricing for contract changes will be determined from unit prices stated in, or derived from, the contractor’s original bid proposal. Contract changes shall not be used to expand the scope of work beyond the intent of the appropriation. Contract changes will be submitted in such form as may be established by the director, and the proposed work shall not proceed until approved by the director or his/her designee. The designer will coordinate proposed changes with the director’s on-site representative and the department/agency and then prepare the contract change, including appropriate drawings and specifications.

After review and approval of the contractor’s proposal, the designer shall furnish the contract change and proposal to the director’s onsite representative. Submission and approval of an encumbrance in the amount of the contract change should proceed concurrently with approval and signature for the contract change. Notice to proceed with work under a contract change will be issued only after confirmation of available funding.

1. Pre-final inspection. When the contractor notifies the director’s on-site representative that the contractor has substantially completed the work, the on-site representative, with the designer and contractor, shall review this list, examine the work, and note any exceptions or additional items to be corrected or completed. After review of the items to be corrected and completed and considering the time necessary to accomplish these, a time and date will be set for final inspection.

2. Final inspection. Final inspection is an examination of the completed project, with particular emphasis on the items for correction and completion established in the prefinal 10CODE OF STATE REGULATIONS inspection. Representatives of the department/agency will be invited to participate in the final inspection along with the director’s on-site representative, the designer, and contractor. Any items remaining for correction and completion shall be noted and the contractor given a specific time to accomplish these items. Items of testing and adjustment that are incomplete due to seasonal requirements will be scheduled for completion in the appropriate season. Final acceptance may be made after completion of all items except for testing or adjusting seasonal equipment.

3. Warranty period. All equipment, materials, and work should be guaranteed or warranted for at least one (1) year after final acceptance, unless otherwise approved by the director. During the warranty period the facility operator shall inform the contractor of all deficiencies encountered needing correction. If not corrected within a reasonable period of time, the director’s on-site representative shall be notified.

4. Warranty inspection. During the tenth or eleventh month following completion, the designer shall schedule a meeting at the project site with the contractor, a representative of the department/agency/site, and a representative of the director. Performance of items under guaranty or warranty will be examined to assure that the contractor is providing satisfactory service. Deficiencies shall be noted and the contractor given a specific time for correction. Payment/performance bonds shall not be released until after the warranty inspection and correction of noted deficiencies. This warranty inspection shall not be construed to limit or relieve any contractual responsibility of the contractor to provide call-back or other service or correction of deficiencies during the warranty period for the equipment, materials, or work on the project.

(2) Exemptions. There are specific exempby the Missouri Constitutionor by the Revised Statutes of Missouri.

(A) Department of Transportation projects and highway mainte nance are exempted from provisions of this rule by Article IV, Section 29, Missouri Constitution of 1945.

(B) Institutions of higher learning, community junior colleges, and the Department of require coordination with or approval by the commissioner of administration, Division of Facilities Management, Design and Construction, or both, for soliciting and receipt of proposals, award of and payments for contracts and contract supervision.

RSMo 2016 and subsections 6 and 7 of section 15, 1974 Reorganization Act.* 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. Amended: Filed Nov. 30, 1993, effective July 10, 1994. Rescinded and readopted: Filed Nov. 5, 2007, effective June 30, 2008. Amended: Filed Oct. 11, 2018, effective May 30, 2019. 1984, 1987, 1995 and 8.320, RSMo 1958, amended 1965.

1 CSR 30-3.050 Project Payments, Acceptance and Occupancy {#sec-1-csr-30-3.050 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-3.050}

PURPOSE: This rule establishes the procedures for payments and acceptance and occupancy of projects.

(1) Payments. Payments to the contractor will be made after review and verification of work and materials in place and/or on-site. Review and verification will generally be accomplished as part of a periodic construction progress meeting. When possible, apparent differences between the requests for payment and work or material will be resolved so that the request for payment may be signed by the director’s on-site representative, the contractor and the designer prior to conclusion of the progress meeting. When necessary, the payment request will be transmitted to the department/agency. The department/agency shall sign and return the payment request to the division within five (5) working days after receipt of the payment request.

(A) Projects Costing One Hundred Thousand Dollars ($100,000) or More.

Payment for labor and material on projects costing one hundred thousand dollars ($100,000) or more shall be made in accordance with section 8.260, RSMo.

(B) Projects Costing Less Than One Hundred Thousand Dollars ($100,000).

Payment for labor and materials on projects costing less than one hundred thousand dollars ($100,000) shall be made in accordance with section 8.270, RSMo.

(C) Final Payment. Final payment will not be made until all work under the contract has been completed and accepted, documentation as required by the director has been furnished, and project records have been delivered to the director’s on-site representative.

After review and approval of the requests for payment, reports, records, and other documentation by the director or his/her designee, final payment may be made.

(D) Projects Supported with Non- Appropriated Funds. All payments for projects supported directly with donated, grant, or other funding not appropriated by the General Assembly shall be made in accordance with agreements established in the initial coordination of that project and after approval of the director or his/her designee.

(2) Acceptance and Occupancy.

(A) Acceptance. After completion of all work (including deficiencies or discrepancies noted in the final inspection) and delivery of project records, the director or his/her designee shall issue final payment acknowledging acceptance of the project.

(B) Occupancy. The employees of the department/agency shall not occupy the facility or area where the project work is performed until after acceptance by the director.

In exceptional circumstances, the director may establish conditions for occupancy prior to final acceptance.

(C) Project Records. The division shall deliver one (1) copy of project shop drawings, operation and maintenance manuals, record drawings, warranties, and all other pertinent files to a representative of the department/agency. The department/agency shall cause these records to be preserved and stored at the project site or other suitable location for reference in future work at the site.

(D) Reporting Changes in Facility Conditions. The department/agency shall report any substantive change in condition of the facility to the division. Substantive changes in condition of the facility resulting from accidents or acts of God shall be reported to the division at the time of occurrence.

(3) Exemptions. There are specific exempby the Missouri Constitutionor by statute.

(A) Department of Transportation projects and highway maintenance are exempt from the provisions of this rule by Article IV,

Section 29, Missouri Constitution of 1945.

(B) Institutions of higher learning, community junior colleges and the Department of requires coordination with or approval by the commissioner of administration, or both Division of Facilities Management, Design and Construction for approval of payments.

RSMo 2016.* Original rule filed July 9, 1981, effective Feb. 15, 1982. Emergency 12CODE OF STATE REGULATIONS amendment filed June 14, 1985, effective July 1, 1985, expired Oct. 29, 1985. Amended:

Filed June 14, 1985, effective Aug. 26, 1985. effective June 30, 2008. Amended: Filed Oct. 11, 2018, effective May 30, 2019. 1984, 1987, 1995, 2014 and 8.320, RSMo 1958, amended 1965, 2014.

1 CSR 30-3.060 Determination of Contractor Responsibility {#sec-1-csr-30-3.060 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-3.060}

(Rescinded July 30, 2019)

Original rule filed July 14, 1989, effective Oct. 16, 1989. Rescinded and readopted:

Filed Nov. 5, 2007, effective June 30, 2008.

Rescinded: Filed Nov. 30, 2018, effective July 30, 2019.

History

• AUTHORITY: section 8.320, RSMo 2000.

Chapter 4 Facility Maintenance and Operation

1 CSR 30-4.010 Objectives and Definitions {#sec-1-csr-30-4.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-4.010}

(Rescinded April 30, 2019)

RSMo 2000 and subsections 6 and 7 of section 15, 1974 Reorganization Act. Original 1982. Amended: Filed Nov. 30, 1993, effec- Rescinded: Filed Aug. 31, 2018, effective April 30, 2019.

1 CSR 30-4.020 Facility Management {#sec-1-csr-30-4.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-4.020}

PURPOSE: This rule establishes standards and procedures for management of buildings or facilities under the operational direction of the Division of Facilities Management, Design and Construction.

(1) Energy Conservation.

(A) General. Under the direction of the Division of Facilities Management, Design and Construction, each facility should implement energy conservation programs and initiatives that have the goal of more efficient use of energy and utilities. The program should include active management, supervision, and tracking in order to assure that energy conservation goals are achieved.

Revisions of operational practices and procedures should be incorporated to obtain revised goals and/or projects as conditions change or new requirements develop.

(B) Program Development.

1. New construction or alterations. New construction or alterations to existing facilities shall require that all major elements and systems which consume energy or utilities be evaluated to economically minimize energy use. Requirements shall be established for designers of new facilities or alterations to existing facilities to provide (at a minimum) a summary of the examination and conclusions which established the annual energy consumption, selection of each utility system, and each major item of energy consuming equipment. The energy conservation standards and criteria established by the director or the American Society of Heating, Refrigeration and Air Conditioning Engineers (ASHRAE) in the most current edition or Federal Energy Management Program (FEMP) standards whichever is more stringent and has been established as the energy standards and criteria for Missouri facilities.

These standards and criteria shall be utilized in designing and selecting systems and equipment which consume utilities or energy.

2. Existing facilities.

A. Energy audit. The Division of Construction should maintain energy information allowing for audits and benchmarking of each facility to determine where and how energy is used. The process should identify if energy usage can be reduced by changes in operating practices, equipment, or building systems or physical conditions.

B. Implementation. Those changes which can be made within current appropriations should be made immediately. Changes which require additional funding, for example, purchase of new equipment, energy saving capital improvements, should be implemented as soon as funds are available. Energy conservation measures shall be implemented which generate cumulative savings equal to their cost within the number of years considered by industry standards to be cost effective.

(2) Facility Records.

(A) General. Each facility should maintain the following records at the site:

1. As-built drawings reflecting current status, including significant changes resulting from construction or maintenance and repair work.

2. Equipment manuals and manufacturers’ literature, along with operational and maintenance logs.

3. A control diagram for each separate control system identifying the equipment and sequence of operation.

4. All warranties issued, which should be periodically reviewed by the facility operations personnel.

(3) Maintenance Programs and Standards.

(A) Facility systems. The Division of Construction is responsible for maintaining assets and assisting state entities in meeting their facility needs for the benefit of the public through preventive maintenance and repair of the facility systems. The mission is to provide a superior workplace environment to assure health and safety for state occupants and their visitors and protect the state’s investments in property assets.

(B) Planned Maintenance Program. An effective planned maintenance program provides for maintaining facilities and equipment in a safe and acceptable condition, promotes effective use of facility maintenance personnel, establishes a basis for determining budget requirements and long-range planning, and provides a means of evaluating the maintenance effort. The program includes inspections and/or evaluation of conditions or requirements, establishment of priorities, scheduling, servicing and operation of facility equipment, corrective work, and supervisory evaluation of the maintenance effort.

1. Inspection. Regular periodic condition assessment inspections of all facility elements and systems are essential for discovery of deficiencies before they deteriorate into major repair require ments. These assessments are to occur annually. Reports of deficiencies from facility occupants, or from preventative maintenance inspections, require verification and technically qualified examination to determine the cause and extent of the deficiency. Additional information may be necessary to determine corrective action or work, as well as to estimate the cost of materials, equipment, and labor for that action or work.

(C) Preventative Maintenance. Preventative maintenance will be accomplished on a regular schedule in order to substantially reduce the scope and cost of corrective maintenance/repair, emergency repairs, downtime, and overtime.

1. Inspection. Scheduled preventative maintenance for a facility element, system or equipment item should include inspection of the items as often as necessary to meet or exceed manufacturers’ recommendations.

The inspection may include, but is not limited to, conditions and appearance of materials, fastenings, seals, drive systems, lubrication, or other elements. Deficiencies should be noted each time an item is serviced. A work order system will be utilized to record necessary work, accomplished work or conditions, or both, noted for each element. The work order also serves to assure that no element is inadvertently omitted. Remarks should be included on the work order providing specific information concerning noted problems or deficiencies.

2. Minor Repairs. Normally, repair work is not a part of the regular scheduled service.

However, when the individual performing the servicing has the supplies and tools available, and the repair can be accomplished quickly, minor repairs can be performed during the scheduled servicing. This repair work should not be undertaken if it prevents completion of the servicing schedule. A condition requiring maintenance/repair discovered during scheduled servicing should be reported, so that needed work can be evaluated and performed as an emergency repair, if necessary, or as a programmed maintenance item.

(D) Emergency Repair. Emergency work may include some items previously programmed, but only to the extent necessary to restore service, correct imminent hazards, or prevent breakdowns. Because of the expense of emergency work, the scope of emergency work will be limited to the items that are necessary to correct the emergency condition. In many instances, this will limit the work to temporary repairs until a permanent solution can be achieved. Completion of any remaining corrective work will be programmed to provide the most cost-effective procedure.

(E) Repair versus Replacement. When repairs are estimated to cost more than fifty percent (50%) of the replacement cost of an item or system, the decision for repair or replacement should be supported by an analysis of the total cost of ownership. The total cost of ownership includes installed cost, operational cost, maintenance cost, salvage value, and life cycle considerations. The most economical method (repair or replacement) should be selected for programmed repairs.

(F) Equipment. Each item of facility equipment has a requirement for inspection and servicing after a specific interval of operation. The goal of inspecting and servicing equipment will be to maintain peak equipment efficiency during its expected life cycle to minimize downtime and equipment failure.

Equipment preventive maintenance will be scheduled and tracked through the appropriate software system.

(G) Backlog of Maintenance/Repair.

Facility managers are responsible for minimizing the maintenance/repair backlog through preventative maintenance, conservation, and effective use of available resources.

1. Operations Budget Items. Minor items in the backlog of maintenance/repair work that can be accomplished by in-house forces or with standing maintenance contracts should be specifically identified and included in the written justification for operations budget.

2. Capital Improvement Items. Major items in the backlog of maintenance/repair work should be specifically identified and included in the Capital Improvement Budget.

(H) Plans and Specifications. All work that involves the structural integrity of the facility, life safety modifications, or major revisions or major additions of elements in the utility systems shall have plans and specifications prepared under the supervision of a registered architect or registered professional engineer. The professional is required to affix a professional seal to those plans. These plans and specifi cations shall comply with the requirements, codes and standards listed in 1 CSR 30-3.030. This requirement applies to work performed by in-house personnel, as well as by contract. Emergency work that involves the facility structure, or major revisions or additions of elements or controls in the utility systems, when time will not permit preparation of plans and specifications, shall be performed under the supervision of a registered architect or registered professional engineer. Emergency work shall be documented and maintained as a part of the asbuilt drawings for the facility.

(I) Contracts. Maintenance and/or repair may be accomplished through the use of inhouse personnel, through the use of individual contracts, or through the use of standing contracts. Services, materials, equipment and supplies for maintenance and/or repair will be procured in accordance with the provisions of Chapter 8 or Chapter 34, RSMo, as amended. Personnel are not authorized to procure services, materials, equipment, or supplies exceeding twenty-five thousand dollars ($25,000) in value unless specific authority has been delegated to the employee for such procurement. Contracts exceeding twenty-five thousand dollars ($25,000) in value will be handled by Division of Facilities Management, Design and Construction contracts staff or by the Division of Purchasing, as appropriate.

(J) The Division of Facilities Management, Design and Construction uses software programs to track the maintenance and repairs needed and performed at facilities statewide, including to plan preventative maintenance activities/functions, to create, track, maintain, and schedule work orders for maintenance personnel to perform facility repairs, and to track maintenance inventory. Facility managers are responsible for familiarizing themselves with the software systems utilized by the Division of Facilities Management, Design and Construction and utilizing such systems as directed.

(4) Facility Safety.

(A) Safety Inspections. Fire systems, elevators, backflow preventers, emergency lighting, fire extinguishers, public address systems, as well as other life safety systems will be inspected according to all applicable local and state codes and ordinances, and as set forth herein.

(B) Emergency Planning. Preplanned response to emergencies is essential for the safety of personnel and for minimizing property damage. Therefore, plans for action in the event of emergencies will be prepared and include the following:

1. Actions and procedures to promote protection and safety of personnel and to minimize potential damage to property.

2. A listing of all current staff that are Federal Emergency Management Agency/State Emergency Management Agency (FEMA/SEMA) certified staff members.

3. Designation of knowledgeable personnel to coordinate actions to minimize or control potential damage.

4. Actions to be taken in the event of fires or other emergencies in adjacent facilities or areas. Liaison to allow notification to or from occupants in adjacent facilities will be established.

5. Actions for appropriate operation of electrical controls. This planning shall be coordinated with local emergency agencies to assure their awareness of these actions for their own operations in an emergency.

(C) Evacuation Plans. Evacuation plans will be established for each facility, and include clearly marked routes, exits, and assem bly areas for occupants, one (1) designated employee to ensure evacuation of the area, designation of fire lanes in drives adjacent to the facility, and actions to assure that these lanes remain clear. Evacuation plans will be posted in prominent locations throughout the facility. A line drawing floor plan of a minimum eight and one-half inches by eleven inches (8 1/2" × 11") size paper will be prepared for each floor to show evacuation routes, and posted in prominent locations on the corresponding floor.

(D) Coordination with Local Agencies and SEMA. All emergency and evacuation plans will be coordinated with local agencies for fire and police protection and for disaster planning to assure organized efforts by all parties when action is necessary. Local agencies will be consulted in the development of emergency plans for their recommended responses. State facilities may be used for shelter in cases of disasters. The use of state facilities for shelter will be coordinated and preplanned in the event other suitable local facilities are not available. The Continuity of Operations (COOP) and Continuity of Government (COG) emergency preparedness plan processes will be coordinated with the State Emergency Management Agency (SEMA) for all state entities to provide emergency contact information in the event of an emergency declaration.

(E) Emergency Drills.

1. Fire Drills. At least once annually, in addition to regular alarm system tests, a fire drill will be held. All personnel shall evacuate the facility by designated routes to designated assembly areas. One (1) or more employees, as appropriate, will be designated to assure that fire lanes have been cleared.

4CODE OF STATE REGULATIONS

(6/30/19) JOHNR. ASHCROFT

After each fire drill, the facility manager will obtain a report of actions and observations from each person assigned a fire emergency task. Reports may be formal or informal and will be considered in reviewing the effectiveness of the fire drill. After reviewing actions and results of fire drills, the facility manager will take action and/or make recommendations, as appropriate, to incorporate improvements into the plan.

2. Tornado Drills. Tornado drills will be held periodically to familiarize personnel with appropriate procedures. Each tornado drill will be evaluated by the agency to determine effectiveness and to make improvements.

(F) Fire Prevention and Protection.

1. Coordination with local fire department. Facility managers for each site will establish a liaison with the local fire department and invite the local fire personnel to make informal inspections and recommendations for fire prevention and protection. The visits by fire department also provide the opportunity for them to be familiar with the facility and contents, which will enhance the effectiveness of their operation if a fire occurs. The coordination will also address emergency actions that are appropriate for state employees at the facility, including limitations on actions by these employees.

2. Inspections by the Facilities Management Design and Construction.

Facility managers will designate one (1) or more persons to make regular scheduled fire prevention inspections, including fire extinguishers. The number of persons designated will depend on the area, the items to be inspected, and the interval between inspections. Each extinguisher will have a tag to record date and initials for each inspection.

In some locations, these inspections can be incorporated into preventative maintenance schedules. A report of deficiencies noted will be made to the facility manager, and corrective action will be initiated.

3. Installed alarm systems. Installed alarm systems will be included in preventative inspection and maintenance schedules and tested periodically on a regular schedule.

The date and results of each test will be entered into the system maintenance file record. Failure of an alarm system to function properly in a test is considered an emergency condition, and corrective action will be taken immediately.

4. Grounds maintenance should incorporate measures to minimize potential for trash, grass, or brush fires.

(G) Electrical System Safety.

1. Applicable code requirements will be met for all wiring and electrical equipment on maintenance or repair projects.

2. Inspections. Preventative inspection and maintenance schedules will include inspection (and servicing as appropriate) of electric wiring and equipment. Deficiencies noted in capacity or condition of electric wiring or equipment will be evaluated immediately to determine the potential as imminent hazards. Deficiencies determined to be imminent hazards will be scheduled for immediate correction. Other noted deficiencies will be scheduled by priority.

3. Repairs. Repairs to electrical wiring and equipment will be accomplished only by experienced personnel following procedures to assure minimum potential hazards. Repairs to electrical wiring or electrical equipment will be accomplished by using a lockout/tagout procedure with a team of two (2) or more persons. Materials and equipment installed during the electrical repairs will be in accordance with current International Building Code (IBC) electrical codes.

(H) Lighting. Safety and/or emergency lighting will provide minimum lighting levels to assure safe movement of personnel.

Emergency lighting, including exit lights, will be included in preventative inspection and maintenance programs, to assure proper functioning in accordance with current IBC electrical codes. Night lighting will be adequate to provide minimum essential light levels in all corridors or aisles.

(I) Floor loads. Floors are designed to carry specific loads. Normally these loads are expressed in terms of concentrated loads (such as file cabinets) on a small area or uniform loads (such as desks) spread over a wider area. Facility managers will become familiar with the design floor loads and ensure that equipment and/or rows of file cabinets or similar heavy loadings do not exceed the designed capacity. When expertise is not available in the department/agency, requests for assistance in establishing floor load capacities may be directed to the Project Management Unit of the Division of Facilities Management, Design and Construction.

(J) Floor and stair finishes. Floor and stair finishes will be maintained in a safe condition. Selection of floor waxes should include consideration for skid resistance and stairs should have nonskid surfaces or strips. Tiles on floors or stairs, stair nosing, nonskid surfaces, or strips will be maintained in a secure uniform surface. In corridors, aisles or stairs, loose, broken, or missing tile, stair nosing, or nonskid materials will be considered as imminent health and safety hazards and scheduled for immediate correction.

(K). Equipment, controls and moving elements. Equipment with exposed moving elements or drives will be in enclosed and/or locked spaces to prevent accidental contact by personnel. High voltage, high amperage, and high temperature equipment or controls will be in locked cabinets and/or spaces with access limited to authorized personnel. Main electrical control equipment, main valves, and other utility or equipment controls will be in locked spaces with access limited to authorized personnel.

(L) Storage of flammable materials and gases. Storage for flammable materials and gases will be limited to the minimum quantities, consistent with usage rates and available delivery schedules. Since these materials are especially hazardous to health, safety, and property, they will be stored and handled accordingly. Ventilated, secured storage accessible only to authorized personnel will comply with current codes, standards, and Missouri Emergency Response Commission (MERC) reporting requirements. The access to and storage or use of these materials will be carefully controlled in accordance with current codes and standards.

(5) Security.

(A) General. Security standards indicated in this section are minimal and apply to physical security of facilities. These standards do not address requirements for security personnel or security requirements for functions or activities of the facility occupants, since these are operational responsibilities of the various department/agencies.

(B) Locks and Access Control. The security of locks within a facility will be commensurate with the level of need for security of the area or element being secured. All access devices made for locking facilities or facility equipment will be numbered and identified (in records) with the locking device. Each access device for a facility locking mechanism will be issued by number to a specific individual, and the issue of all access devices will be recorded in a control register. All personnel leaving employment at the facility shall return all access devices issued for facility locking devices and the returns will be recorded in the register. A periodic inquiry will be made to determine the location of all access devices for facility locking devices. If an access device is missing, a determination of need for changing the locks and issuing new keys will be made.

(C) After Hours Access. After hours access to every facility shall be limited to an absolute minimum, consistent with requirements for accomplishing assigned functions or tasks. This access shall be documented.

(D) Security Lighting. Security lighting will be designed and used with consideration for minimum effective light levels and energy conservation. Controls for automatic turn-on and turn-off should be considered in all security lighting.

(E) Coordination with Local Law Enforcement. Coordination will be established with local law enforcement agencies to enhance the security of all state facilities.

Coordination will include providing names of persons to be notified in case of emergency or breach of physical security and a request for surveillance and/or patrols of the area. Local law enforcement authorities will be notified of the presence and/or location of items needing a high degree of security and items that may be likely targets for theft and vandalism.

Posted signs for notification in case of emergency will list only the telephone number of the local law enforcement or security office.

The local law enforcement or security office can then notify personnel who should respond for an emergency. This notification system avoids the danger of an employee being forced to provide entry for unauthorized persons.

(F) Video Surveillance. The Division of Construction and/or the Capitol Police currently use video surveillance in some state facilities as a security measure, including the Capitol Building, and may use video surveillance in other facilities, as determined to be necessary.

(G) Metal detector and/or security guards.

The Division of Facilities Management, Design and Construction and/or the Capitol Police currently use metal detectors and security guards in some facilities for added security. Metal detectors and/or security guards may be placed in additional facilities, as determined to be necessary.

RSMo 2016 and subsections 6 and 7 of section 15, 1974 Reorganization Act.* Original 1982. Amended: Filed Nov. 30, 1993, effec- Amended: Filed Nov. 30, 2018, effective July 30, 2019. *Original authority: 8.320, RSMo 1958, amended 1965, 2014 and 8.360, RSMo 1958, amended 1965, 2014.

1 CSR 30-4.030 Maintenance Program Standards and Procedures {#sec-1-csr-30-4.030 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-4.030}

(Rescinded July 30, 2019)

RSMo 2000 and subsections 6 and 7 of section 15, 1974 Reorganization Act. Original 1982. Amended: Filed Nov. 30, 1993, effec- Rescinded: Filed Nov. 30, 2018, effective July 30, 2019.

1 CSR 30-4.040 Facility Safety and Security {#sec-1-csr-30-4.040 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-4.040}

(Rescinded July 30, 2019)

RSMo 2000. Original rule filed July 9, 1982, effective Nov. 15, 1982. Rescinded and readopted: Filed Nov. 5, 2007, effective June 30, 2008. Rescinded: Filed Nov. 30, 2018, effective July 30, 2019.

1 CSR 30-4.050 Public Use of State Facilities {#sec-1-csr-30-4.050 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-4.050}

(Rescinded November 30, 1998)

6CODE OF STATE REGULATIONS

(6/30/19) JOHNR. ASHCROFT

History

• AUTHORITY: sections 8.100, 8.320 and 37.005, RSMo 1986. Original rule filed Nov. 16, 1987, effective May 2, 1988. Rescinded and readopted: Filed Aug. 20, 1991, effective Jan. 13, 1992. Rescinded: Filed April 23, 1998, effective Nov. 30, 1998.

Chapter 5 Minority/Women Business Enterprises

1 CSR 30-5.010 Minority/Women Business Enterprise and Service Disabled Veteran Business Enterprise Participation in State Construction Contracts {#sec-1-csr-30-5.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-5.010}

PURPOSE: This regulation establishes a uniform program by which Minority Business Enterprises (MBEs) and Women Business Enterprises (WBEs) that have been certified by the Office of Equal Opportunity (OEO) and Service Disabled Veteran Business Enterprises (SDVEs) listed with the Division of Facilities Management, Design and Construction (FMDC) may participate in construction contracts let by the FMDC.

(1) Definitions.

(A) “Bidder” means one who submits a response to a solicitation by FMDC for construction services.

(B) “Bid” means a bid proposal submitted to FMDC by a bidder.

(C) “Contract” means a mutually binding legal relationship or any modifications obligating the contractor to furnish construction supplies or services.

(D) “Contractor” means one who participates, through a contract, in any project covered by these regulations.

(E) “Commissioner” means the commissioner of the Office of Administration.

(F) “Director” means the director of the Division of Facilities Management, Design and Construction.

(G) “FMDC” means Division of Facilities Management, Design and Construction within the Office of Administration.

(H) “Joint venture” means an association of two (2) or more businesses to carry out a single business enterprise for profit for which

purpose they combine their property, capital, efforts, skills, and knowledge.

(I) “MBE” means Minority Business Enterprise.

(J) “Minority.” The definition in 1 CSR 10-17.010(1)(F) will be applied.

(K) “Minority Business Enterprise.” The definition in section 37.020.1(3), RSMo, will be applied.

(L) “OEO” means the Office of Equal Opportunity within the Office of Administration.

(M) “Service-disabled veteran” means any individual who is disabled as certified by the appropriate federal agency responsible for the administration of veterans’ affairs.

(N) “Service-Disabled Veteran Business Enterprise” (SDVE). The definition contained in section 34.074, RSMo, will be applied.

(O) “WBE” means Women Business Enterprise.

(P) “Women Business Enterprise” The definition in section 37.020(6), RSMo, will be applied.

(2) Contract Amount. This regulation applies to any Office of Administration, state of Missouri construction contract awarded to a successful bidder in a bid amount equal to or greater than one hundred thousand dollars ($100,000).

(3) Discrimination Prohibited. No person shall be excluded from participation in, or denied the benefits of, or otherwise be discriminated against in connection with the award and performance of any contract covered by this regulation, on the grounds of race, color, sex, or national origin.

(4) Commissioner, Duties, and Responsibilities. The commissioner shall, through the Office of Equal Opportunity (OEO) for M/WBEs and through FMDC for SDVEs— (A) Compile, maintain, and make available a directory of M/WBE and SDVE vendors along with their capabilities relevant to construction contracting requirements in general and to particular solicitations. OEO or FMDC shall make the directory available, upon request, to all bidders and contractors. The directory shall specify the name of the M/WBE or SDVE, the categories of work in which the firm is certified, if applicable, its address, phone number, email address, age of firm, and contact person;

(B) To the extent deemed appropriate, include all M/WBEs and SDVEs on open solicitation mailing lists;

(C) Annually report in writing to the commissioner concerning the awarding of contracts to M/WBEs or SDVEs; and (D) Certify the eligibility of M/WBEs and joint ventures involving M/WBEs and maintain listings of SDVEs.

(5) Contract Goals and Compliance with Program Requirements.

(A) For contracts bid and awarded by FMDC, the successful bidder shall have as the overall SDVE contract goal not less than three percent (3%) of the work to be performed by SDVEs.

(B) Executive Order 15-06 states that the State of Missouri’s Annual Aspirational Program Goal for Minority Business Enterprises is ten percent (10%) of all state annual procurement funds expended by executive branch agencies, and the State of Missouri’s Annual Aspirational Program Goal for Women Business Enterprises is ten percent (10%) of all such state annual procurement funds. These goals are a benchmark by which M/WBE opportunities to participate in state procurement are monitored and evaluated. These ten percent (10%) goals do not authorize or require FMDC to set M/WBE contract goals at the ten percent (10%) level, or any other particular level, or to take any special administrative steps if the contract goals are above or below ten percent (10%).

(C) FMDC may use individual contract goals to help meet the State’s Annual Aspirational Program Goals. FMDC may establish individual contract goals, with support from the Office of Equal Opportunity (OEO). FMDC shall set each contract goal by reviewing the type of project, elements of work to be performed, time for contract performance, and geographical location, history of M/WBE, and non-M/WBE utilization, and availability of ready, willing, and able M/WBEs certified by OEO. The goals will be expressed in the bid document as a percentage of the total contract value. Individual contract goals may be set higher or lower than the State’s Annual Aspirational Program Goals.

(D) Bidders must, in order to be responsive, make sufficient good faith efforts to meet M/WBE and SDVE contract goals. The bidder can meet the individual contract goals in either one (1) of two (2) ways. First, the bidder can meet the goals through documenting commitments for participation by M/WBEs and SDVEs sufficient to meet the M/WBE and SDVE contract goals. Second, the bidder can document adequate good faith efforts pursuant to section (6), Good Faith Efforts Waiver.

(E) M/WBE and SDVE individual contract goals can be met by a qualified M/WBE or SDVE vendor and/or through the use of qualified M/WBE and SDVE subcontractors, suppliers, joint ventures, or other arrangements that afford meaningful opportunities for M/WBE and SDVE participation. M/WBE vendors shall be certified by OEO on the opening date of a bid/proposal. If an M/WBE vendor’s certification has expired or otherwise ended, but the vendor has submitted its renewal application or other supporting documents to OEO prior to the bid/proposal opening and certification is reinstated prior to contract award, then the M/WBE vendor shall be considered certified for purposes of the responsiveness of the bid or proposal.

(F) If the bidder is awarded the contract, the amount of the M/WBE and SDVE vendor participation committed to by the bidder shall be a binding contractual requirement.

(G) A bidder that is certified as an MBE, WBE, or SDVE, or a combination thereof, can meet the MBE, WBE, or SDVE target participation percentages as long as the bidder is performing at least the total of the combined target MBE, WBE, or SDVE percentage of the contract value.

(H) Once the contract is awarded, it is the responsibility of the contractor to submit documentation to FMDC on a monthly basis, as required in the solicitation, that supports the utilization of M/WBE and SDVE subcontractors.

1. No dollar value of work performed under a contract may be counted toward the contract goal after the M/WBE has ceased to be certified.

2. The participation of a M/WBE or SDVE subcontractor toward a contract goal cannot be counted until the amount has been paid to the M/WBE or SDVE.

(I) If the contractor fails to fulfill its contractual responsibilities, and no M/WBE or SDVE waiver has been granted, the director may cancel the contract and/or suspend or debar the contractor from participating in future state procurements for a period of a minimum of six (6) months, up to permanent debarment or withhold payment to the contractor in an equal amount to the value of the participating commitment less actual payments made by the contractor to the participating entity. If the director determines that a contractor has met its contractual commitments, any withheld funds shall be released.

1. A contractor may appeal a suspension or debarment to the commissioner by filing a written appeal within twenty (20) days from the date on the notice of suspension or debarment. The suspension or debarment remains in effect pending the results of the appeal.

The commissioner may request additional documentation, information, or explanation when reviewing the appeal.

2. At the time of contract renewal, a contractor must verify it is meeting its contractual obligations. If the contractor is not meeting its obligations, the contract renewal shall not be processed unless and until the contractor fulfills its obligations satisfactorily or a waiver on the basis of good faith efforts is obtained from FMDC.

(6) Good Faith Efforts Waiver.

(A) A bidder is required to make a good faith effort to locate and contract with M/WBEs and SDVEs. If a bidder has made a good faith effort to meet the M/WBE or SDVE contract goal, the bidder may submit with its bid or proposal or at the time specified in the solicitation the information requested on forms provided with the solicitation documents. The director will review the bidder’s actions as set forth in the bidder’s submittal documents and other factors deemed relevant by the director, to determine if a good faith effort has been made to meet the applicable contract goal. If the bidder is judged not to have made a good faith effort, the bid shall be rejected.

(B) A bidder who demonstrates that it has made a good faith effort to meet the M/WBE and SDVE contract goal will not have its bid rejected regardless of the percent of M/WBE and SDVE participation, provided the bid is otherwise acceptable.

(C) In reaching a determination that the bidder has made a good faith effort to meet the contract goal, the director may evaluate, but is not limited to, the following factors:

1. The bidder’s attendance at pre-bid conferences for the solicitation;

2. The bidder’s efforts and methods to provide M/WBEs and SDVEs with full sets of plans, specifications, or appropriate information in a timely manner to assist the M/WBE or SDVE in responding to the bidder’s solicitation. This could include conducting market research to identify M/WBEs and SDVEs, and providing emails or written notices to all OEO certified M/WBEs listed in OEO’s directory and listed SDVEs that specialize in the areas of work desired and which are located in the applicable area or surrounding areas as early in the acquisition process as practicable. Pro formamailings to M/WBEs or SDVEs requesting bids are not alone sufficient to satisfy good faith efforts;

3. The bidder’s efforts to make initial contact with at least three (3) M/WBEs and SDVEs for each category of work to be performed, its follow up with those contacted, and whether the bidder received a proposal for those categories of work;

4. The bidder’s efforts to assist interested M/WBEs and SDVEs in obtaining bonding, lines of credit, or insurance as required by FMDC, or the efforts made to assist in obtaining necessary equipment, supplies, materials, or related assistance or services;

5. The extent to which the bidder divided work into projects suitable for subcontracting to M/WBEs and SDVEs including, where appropriate, breaking out contract work items into economically feasible units, for example, smaller tasks or quantities to facilitate M/WBE or SDVE participation, even when the bidder might otherwise prefer to perform the work with its own forces.

Prime contractors are not, however, required to accept higher quotes from M/WBEs or SDVEs if the price difference is excessive or unreasonable, but the fact that there may be some additional costs involved in finding and using M/WBEs or SDVEs is not in itself sufficient reason for a bidder’s failure to meet the contract M/WBE or SDVE percentage, as long as such costs are reasonable;

6. The bidder’s ability to provide sufficient evidence in the form of documentation that supports the information provided;

7. The reasons provided by the bidder for the inability to reach a contract percentage and the ability of other bidders to meet the percentages, if applicable;

8. Actual past participation of M/WBEs and SDVEs achieved by the bidder; and 9. The rejection of an M/WBE or SDVE solely because its quotation for work was not the lowest received is not a sufficient good faith effort. However, a bidder is not required to accept an excessive or unreasonable quote in order to satisfy contract percentages.

(D) When a non-M/WBE or non-SDVE subcontractor is selected over an M/WBE or SDVE, FMDC may require the bidder to submit copies of each M/WBE and SDVE and each non-M/WBE and non-SDVE quote to review whether M/WBE or SDVE prices were substantially higher, and FMDC may contact the M/WBE or SDVE subcontractor to inquire as to whether the firm was contacted by the prime bidder.

(7) Bidder’s Duties and Responsibilities.

(A) A bidder shall submit with its bid or proposal the information requested as required in the solicitation for each subcontractor, including M/WBEs and SDVEs the bidder intends to use on the contract work.

(B) If the M/WBE and SDVE is a joint venture, and one (1) or more parties of the joint venture is not certified or listed as an M/WBE and SDVE, the bidder shall submit with its bid proposal the information requested on the form provided.

(C) The bidder shall use M/WBEs certified or approved by OEO or listed SDVEs to meet the contract goal. Certified M/WBE vendors can be found at the OEO’s website and listed SDVE vendors can be found on the FMDC’s website.

(8) Termination or Substitution of an M/WBE or SDVE. If a contractor needs to substitute an M/WBE or SDVE subcontractor, the contractor, for good cause, must apply to the director for written approval to replace the entity.

(A) Before a contractor transmits to the director its request to terminate and/or substitute an M/WBE or SDVE, the contractor must give notice in writing to the M/WBE or SDVE subcontractor, with a copy to OEO and 4CODE OF STATE REGULATIONS (10/31/16) JASONKANDER FMDC, of its intent to request to terminate and/or substitute, and the reason for the request. The contractor must give the M/WBE or SDVE five (5) working days to respond to the contractor’s notice and advise OEO and FMDC and the contractor of the reasons, if any, why it objects to the proposed termination of its subcontract and why OEO and FMDC should not approve the contractor’s request. If required in a particular case as a matter of public necessity (e.g., safety), the contactor may provide a response period shorter than five (5) days.

(B) For purposes of this subsection, good cause for approval of a request for termination or substitution for an M/WBE or SDVE includes the following:

1. The listed M/WBE or SDVE subcontractor fails or refused to execute a written contract;

2. The listed M/WBE or SDVE fails or refuses to perform the work of its subcontract in a way consistent with normal industry standards. Provided, however, that good cause does not exist if the failure or refusal by the M/WBE or SDVE subcontractor to perform its work on the subcontract resulted from the bad faith or discriminatory action of the prime contractor;

3. The listed M/WBE or SDVE subcontractor fails or refuses to meet the prime contractor’s reasonable, nondiscriminatory bond requirements;

4. The listed M/WBE or SDVE subcontractor becomes bankrupt, insolvent, or exhibits credit unworthiness;

5. The listed M/WBE or SDVE subcontractor is ineligible to work on public works projects because of suspension or debarment proceedings;

6. The listed M/WBE or SDVE subcontractor is not a responsible contractor as determined by FMDC;

7. The listed M/WBE or SDVE subcontractor voluntarily withdraws from the project and provides the prime contractor written notice of its withdrawal;

8. The listed M/WBE subcontractor is ineligible to receive M/WBE credit for the type of work required;

9. The listed M/WBE or SDVE subcontractor owner dies or becomes disabled with the result that a listed M/WBE or SDVE prime contractor is unable to complete its work on the contract; and 10. Other documented good cause that FMDC determines compels the termination of an M/WBE or SDVE subcontractor.

Provided that good cause does not exist if the prime contractor seeks to terminate an M/WBE or SDVE it relied upon to obtain the contract so that the prime contractor can selfperform the work for which the M/WBE or SDVE contractor was engaged or so that the prime contractor can substitute another subcontractor after contract award.

(C) If approved, the contractor must make good faith efforts to meet the contractual commitment to the contract goal. These good faith efforts shall be directed at finding another M/WBE or SDVE to perform at least the same amount of work under the contract as the M/WBE or SDVE that was terminated, to the extent needed to meet the contract goal.

FMDC’s approval shall not be arbitrarily withheld. If the contractor cannot obtain a replacement M/WBE or SDVE, it may apply to FMDC for a waiver or reduction of the contract goal by providing documentation detailing all good faith efforts made to secure a replacement and a good cause statement establishing why the contract goal cannot be met. If the contractor has met its burden of proof, FMDC, after consulting with OEO regarding M/WBE waiver requests, may grant a waiver or reduction of the M/WBE or SDVE contract goal.

1. The good faith efforts shall be documented by the contractor. If FMDC requests additional documentation under this subsection, the contractor shall submit the additional documentation within seven (7) calendar days, which may be extended for an additional seven (7) days if necessary at the request of the contractor.

2. FMDC shall provide a written determination to the contractor, after consulting with OEO regarding M/WBE waiver requests, stating whether or not good faith efforts have been demonstrated.

(9) Counting M/WBE and SDVE Participation Towards Goals.

(A) M/WBE and SDVE participation will be counted towards the contract goal only for the value of the work actually performed by the M/WBE or SDVE including the cost of supplies and materials obtained or leased by the M/WBE or SDVE, but excluding supplies and equipment purchased or leased by the M/WBE or SDVE subcontractor from the prime contractor or its affiliate.

1. A contractor’s entire expenditure to be paid to an M/WBE or SDVE supplier or manufacturer for material furnished which becomes a permanent part of the contract work will be counted towards the contract goal. For the purpose of this regulation, a manufacturer shall be defined as an individual or firm that produces goods from raw materials or substantially alters them before resale.

2. The work an M/WBE or SDVE contractor commits to perform with its own forces as well as the work that it commits to perform with M/WBE or SDVE subcontractors and suppliers will be counted towards the contract goal.

3. When an M/WBE or SDVE performs as a participant in a joint venture, only the portion of the total dollar value of the contract equal to the distinct, clearly defined portion of the work of the contract that the M/WBE or SDVE performs with its own forces will be counted towards the contract goal.

(B) A bidder may count towards the contract goal only expenditures to certified M/WBE and listed SDVE vendors that perform a commercially useful function in the work of a contract.

1. An M/WBE and SDVE vendor is considered to perform a commercially useful function when it is responsible for executing a distinct element of the work or the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved.

2. To perform a commercially useful function, the M/WBE or SDVE must also be responsible, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and paying for the material itself.

3. To determine whether an M/WBE or SDVE is performing a commercially useful function, OEO and FMDC will evaluate the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is actually performing and the firm’s credit claimed for its performance of the work, and other relevant factors. A firm does not perform a commercially useful function if its role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance of M/WBE or SDVE participation. In determining whether a firm is such an extra participant, FMDC will examine similar transactions, particularly those in which M/WBEs or SDVEs do not participate.

4. If an M/WBE or SDVE does not perform or exercise responsibility for at least thirty percent (30%) of the total cost of its contract with its own work force, or the M/WBE or SDVE subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of work involved, the director will presume that it is not performing a commercially useful function.

5. When an M/WBE or SDVE is presumed not to be performing a commercially useful function as provided in paragraph (9)(B)4. of this rule, the M/WBE or SDVE may present evidence to rebut this presumption. The director may determine that the firm is performing a commercially useful function given the type of work involved and normal industry practices.

(C) The bidder may count its entire expenditures to M/WBE or SDVE suppliers provided that the M/WBE or SDVE supplier performs a commercially useful function in the supply process.

(10) Maintenance of Records and Reports.

The director shall maintain records identifying and assessing the contractor’s progress in achieving the contract goals of M/WBE and SDVE. These records shall show— (A) Procedures which have been adopted by the contractor to comply with the requirements of these regulations;

(B) The amount and nature of awards made by the contractor to M/WBE and SDVE vendors/suppliers/manufacturers; and (C) Monthly reports from the contractor on its progress in meeting the contract goals.

(11) Certification of M/WBE Vendors.

(A) OEO, which was created under Executive Orders 15-06 and 10-24, is responsible for the certification of M/WBE vendors for the state of Missouri by following state

regulation 1 CSR 10-17.040.

(12) Nothing in this regulation shall limit or affect the commissioner’s functions and rights to determine the qualification, responsibilities, and reliability of any individual, firm, or other entity to participate in state contracts.

Filed Dec. 10, 1985, effective April 11, 1986.

Amended: Filed Oct. 27, 2005, effective April 30, 2006. Rescinded and readopted: Filed Nov. 5, 2007, effective June 30, 2008.

Amended: Filed June 1, 2011, effective Nov. 30, 2011. Amended: Filed April 5, 2016, effective Nov. 30, 2016. *Original authority: 8.320, RSMo 1958, amended 1965, 2014.

6CODE OF STATE REGULATIONS

(10/31/16) JASONKANDER

History

• AUTHORITY: section 8.320, RSMo Supp. 2014. Original rule filed March 9, 1984, effective Aug. 11, 1984. Emergency amendment filed Dec. 10, 1985, effective Dec. 20, 1985, expired April 19, 1986. Amended:

Chapter 6 Leasing

1 CSR 30-6.010 Leasing of Space for the Various Agencies of State Government {#sec-1-csr-30-6.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-6.010}

(Rescinded November 30, 1998)

Original rule filed July 3, 1990, effective Dec. 31, 1990. Rescinded: Filed April 15, 1998, effective Nov. 30, 1998.

Rebecca McDowell Cook (10/31/98)

History

• AUTHORITY: section 34.030, RSMo 1986.

Chapter 7 Drug and Alcohol Testing Program Contractual Requirement

1 CSR 30-7.010 Drug and Alcohol Testing Program Requirements {#sec-1-csr-30-7.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 30-7.010}

PURPOSE: This rule sets forth the basis and legal requirements, contractual requirements, testing requirements, substance abuse testing protocols, threshold limits, consequences of refusal to submit to testing/confirmed positive results, reinstatement procedures, and compliance determination for a drug and alcohol program pursuant to section 161.371, RSMo Supp. 2010.

(1) Basis and Legal Requirements. In an effort to create safe and healthy schools and workplaces, the state of Missouri requires that contractors and subcontractors shall maintain and enforce a written substance abuse testing program for public works construction projects on public and charter elementary and secondary education construction projects that are subject to the control of the state of Missouri. This policy is not intended to be a substitute for the contractor’s or subcontractor’s complete written substance abuse policy. These requirements shall be the minimum requirements for complying with section 161.371, RSMo, and may be supplemented at the discretion of the contractor or subcontractor.

The state of Missouri has a vital interest in protecting the safety of students and maintaining safe, healthful, and efficient working conditions for both the state’s and its contractors’ and subcontractors’ employees; and has determined that the educational and work environment is safer and more productive without the presence of illegal or inappropriate drugs, alcohol, or other substances in the body or on state property on which any state elementary or secondary school is located or being constructed or improved.

The use of illegal drugs, on or off duty, is inconsistent with law-abiding behavior expected of all persons. The use of illegal drugs, or abuse of alcohol or prescription drugs, may impair the ability of employees to perform tasks that are critical to proper work performance. The result is an increase in accidents and failures that pose a serious threat to the safety of all students, employees, visitors, and the general public. Impaired employees also tend to be less productive, less reliable, and prone to greater absenteeism, resulting in the potential for increased cost and delays in the timely completion of contracts.

(2) Contractual Requirements.

(A) Each contract entered into for the performance of work on any public and charter elementary and secondary education construction project subject to the control of the state of Missouri shall require that each contractor or subcontractor have in place a drug and alcohol testing program consistent with this rule. These contractual requirements shall apply to contractor and subcontractor employees on public and charter elementary and secondary education construction projects that are subject to the control of the state of Missouri. The contractor and all subcontractors shall comply with this contractual requirement. The state of Missouri shall determine, in its sole discretion, when this contractual requirement shall be applicable; and in such instances, any bid submitted in response to a request for proposal shall comply with this contractual requirement.

(B) In order to be eligible to perform work on public and charter elementary and secare subject to the control by the state of Missouri, a contractor must have and enforce a written drug and alcohol testing program incorporating the following testing requirements and terms and conditions applicable to all its employees and subcontractors. No employee or prospective employee of a contractor or subcontractor shall be permitted to work on public and charter elementary and that are subject to this rule unless such employee submits to testing as required by the contractual requirement required by this

rule.

(C) Each contractor and each subcontractor subject to this rule shall train its supervisory employees in methods that will allow them to recognize the signs and symptoms of substance abuse and to take action provided by this contractual requirement in a manner consistent with generally accepted safety training procedures.

(D) Each contractor and each subcontractor subject to this rule is responsible for the cost of developing, implementing, and enforcing its drug and alcohol testing program, including the cost of drug and alcohol testing of its employees provided by the contractual requirement required by this rule.

(E) The contractor shall furnish a copy of its drug and alcohol testing program and certify that it and its subcontractors are in compliance with the provisions of this rule to the state of Missouri at the time it submits a bid for any contract with the state of Missouri for work on public and charter elementary and secondary education construction projects that are subject to the control of the state of Missouri. Each contract of the prime contractor with a subcontractor and each contract of a subcontractor of any tier with another subcontractor shall include as a condition of subcontracting a requirement that the subcontractor has an established drug and alcohol testing program as provided by this rule and that the subcontractor shall include the same contract condition in any subcontract it may enter with another subcontractor. Additionally, each subcontractor, and each subcontractor of any tier with another subcontractor, shall furnish a copy of its drug and alcohol testing program to the prime contractor prior to commencement of work on public and charter elementary and secondary education construction projects that are subject to this contractual requirement. The awarding contractor or the Division of Facilities Management, Design and Con-struction may reject a subcontractor’s program as noncompliant with the contractual requirement required by this rule.

(F) For purposes of this rule, performance of work on any public and charter elementary and secondary education construction project subject to the control of the state of Missouri shall mean construction projects contracted by the Division of Facilities Management, Design and Construction, or construction projects administered by the Division of Facilities Management, Design and Construction.

(3) Testing Requirements.

(A) Pre-Engagement Testing. Testing for all substances other than alcohol as described in this rule shall be conducted by each contractor and subcontractor for its employees within one hundred twenty (120) days prior to any employee’s appearance on a public and charter elementary and secondary education construction project that is subject to this contractual requirement. Contractors’ or subcontractors’ employees that can provide certification of a previous drug test occurring within one hundred twenty (120) days or employees that have been subject during the preceding consecutive two (2) years to a random and periodic selection program that meets the standards as set forth in this rule and, if the employee actually has been tested, that indicates a negative result for each of the substances listed herein, may be exempted from pre-engagement testing provided by this rule. If the employee was not employed by the contractor or subcontractor that is his or her current employer at the time of the previous test, the employee may be exempted from preengagement testing only upon certification of the non-negative test directly from the administrator of the testing program that conducted the previous test.

(B) Random Testing. All employees of the contractor and subcontractor shall be subject to random testing by the contractor or subcontractor. For employees holding a commercial driver’s license, the annualized drug and alcohol testing rate shall comply with 49 CFR Part 382, as may be amended from time-to-time, and similar applicable regulations of the Federal Highway Administration.

All other employees of the contractor or subcontractor shall be subject to testing for all substances other than alcohol at the random annualized selection rate of fifty percent (50%) of the contractor’s or subcontractor’s employees. Employees selected for random testing shall report in a timely manner to the drug and alcohol testing laboratory or collection site where directed for drug and/or alcohol testing.

(C) Periodic Testing. All employees working on public and charter elementary and secare subject to this rule shall be subject to periodic and random testing for all substances other than alcohol on at least a biannual basis.

Contractors’ or subcontractors’ employees that have been subjected to pre-engagement testing or randomly tested during the preceding consecutive two (2) years as provided by this rule and such testing indicates a negative result for each of the substances listed herein may be exempted from periodic testing provided by this rule. Employees subject to periodic testing shall report in a timely manner as directed to the drug and alcohol testing laboratory or collection site for drug testing.

(D) Reasonable Suspicion Testing. All employees of the contractor and each subcontractor on public and charter elementary and that are subject to this rule shall be subject to a drug and alcohol test when an employee is acting in an abnormal manner that leads a supervisory employee of the contractor or subcontractor to have reasonable suspicion that the employee is under the influence of alcohol or controlled substances. Reasonable suspicion means suspicion based on specific personal observations by the supervisory employee concerning the appearance, behavior, speech, or breath odor of the employee.

(E) Post-Accident/Incident Testing. All employees of contractors and subcontractors on public and charter elementary and secare subject to this rule shall be subject to a drug and alcohol test following an on-the-job injury requiring medical treatment or following a serious or potentially serious incident, including near misses, during which safety precautions were violated; persons were or could have been injured; unsafe instructions or orders were given; vehicles, equipment, or property was damaged; careless acts were performed; or when prescribed personal protective or safety equipment was not worn.

Employees involved or that may have contributed to the incident shall be subject to a drug and alcohol test. If it is impossible or impractical, because of the physical condition of the person involved in the accident to be subjected to drug and alcohol testing, and if in subsequent medical treatment that person’s blood or other bodily fluid will be drawn, then that blood or other bodily fluids may be analyzed for drugs and alcohol.

(4) Substance Abuse Testing Protocols.

(A) A contractor or subcontractor subject to the provisions of this rule shall perform pre-engagement, random, periodic, reasonable suspicion, and post accident/incident testing in the following manner:

1. Drug Testing— A. All urine samples collected under this program shall be analyzed by a laboratory certified by the National Institute on Drug Abuse/Substance Abuse and Mental Health Service Administration of the U.S.

Department of Health and Human Services and shall include an initial Enzyme Multiplied Immunoassay Screening Test (EMIT) and, when necessary, confirmed by a Gas Chromatography/Mass Spectrometry (GC/MS) confirmation test. All samples confirmed by the laboratory as non-negative shall be interpreted as positive or negative by a Medical Review Officer licensed by the American Association of Medical Review Officers, American College of Occupational and Environmental Medicine, Medical Review Officer Certification Council, or American Society of Addiction Medicine;

2. Alcohol Testing— A. The initial screening tests for alcohol shall be performed by using either a saliva test or a Department of Transportation (DOT) approved breathalyzer; and B. Alcohol confirmatory tests shall be performed by either a blood alcohol test or a DOT approved breathalyzer.

(B) Testing for the presence of drugs or alcohol in an employee’s system and the handling of test specimens shall be conducted in accordance with guidelines for laboratory testing procedures and chain-of-custody procedures established by the Substance Abuse and Mental Health Service Administration of the U.S. Department of Health and Human Services.

(C) The program shall require notification to the employer and employee of the results of any non-negative drug and alcohol test, and the Division of Facilities Management, Design and Construction shall be notified of the action taken to protect the safety of students as a result of such positive test, provided that no requirement of individual confidentiality of test results provided by federal law or regulation or state statute shall be violated in providing such notifications. The provisions of this rule shall not be construed to require the contractor or subcontractor or person conducting a drug or alcohol test to inform the Division of Facilities Management, Design and Construction of the name of an employee receiving a non-negative drug or alcohol test result.

(5) Threshold Limits. All samples collected shall be analyzed by a laboratory certified by the Substance Abuse and Mental Health Service Administration of the U.S.

Department of Health and Human Services and shall include an initial Enzyme Multiplied Immunoassay Screening Test (EMIT) and, when necessary, confirmed by a Gas Chromatography/Mass Spectrometry (GC/MS)

Confirmation Test. Said testing must screen, at a minimum, for the substances and levels of such substances provided by 49 CFR Part 40 and for alcohol as provided by 49 CFR Part 382, as may be amended from time-to-time. The levels that shall be deemed to result in a negative test result shall be defined by 49 CFR Part 40 and 49 CFR

Part 382, as may be amended from time-totime; provided that if such regulations shall no longer define substances and testing levels in the future, testing as required by this rule shall screen for the following substances that shall not exceed the following levels in order to be deemed a negative test result:

4CODE OF STATE REGULATIONS

(11/30/11) ROBINCARNAHAN

(6) Refusal to Submit to Testing/Confirmed Positive Results.

(A) Any employee of a contractor or subcontractor performing any duties or work that are subject to this rule who refuses to submit to testing or receives a confirmed positive test result for any of the substances indicated in

section (5) shall be required to immediately leave the construction site and be prohibited from returning to any construction site subject to control of the state of Missouri until evidence is provided of the completion of the reinstatement procedures as set forth in section (7).

(B) Determination for Violation of Policy.

1. A confirmed positive drug or alcohol test.

2. Failure to contact the Medical Review Officer as directed.

3. Failure to report as directed for random testing.

4. The use, possession, sale, or distribution of alcohol or a controlled illegal or unauthorized substance, or the presence of any employee with such ingested substances for non-medical reasons on a public and charter elementary and secondary education construction project subject to the control of the state of Missouri.

5. Working, reporting to work, being on a public and charter elementary and secondary education construction project that is subject to the control of the state of Missouri, or in a state or employer owned, leased, or rented vehicle, while under the influence of alcohol (0.04% BAC or greater).

6. Switching, adulterating, or attempting to tamper with any sample submitted for drug or alcohol testing or otherwise interfering or attempting to interfere with the testing process.

7. Refusal to submit a specimen for testing shall be deemed to be a positive test result and shall be subject to the same consequences as specimens tested and confirmed as positive.

8. The use of a controlled substance by an individual other than the individual for whom the controlled substance was prescribed or the abuse of a controlled substance by the individual for whom it was prescribed.

(7) Reinstatement Procedures. An employee receiving a confirmed positive test result for any of the substances indicated in section (5) may return to work on a public and charter elementary and secondary education construction project that is subject to the control of the state of Missouri only after the following conditions have been satisfied:

(A) Evidence is submitted to the contractor or subcontractor that the employee has completed or is actively participating in an approved drug/alcohol assessment, treatment, and/or counseling program. The costs of this assessment, treatment, or program contractor;

(B) Evidence is submitted of the employee passing a drug and alcohol test that meets the requirements of sections (4) and (5) of this

rule. The costs of this subsequent retesting contractor;

(C) The employee shall be subject to additional random drug and alcohol testing on a monthly basis while on any public and charter elementary and secondary education construction project that is subject to the control of the state of Missouri. The costs of this additional testing, treatment, or program contractor; and (D) An employee known by the contractor or subcontractor to have previously had a positive test result who receives a second or subsequent confirmed positive test result in connection with subsequent testing required by this section (7) of this rule shall be removed by the contractor or subcontractor from all public and charter elementary and that are subject to the control of the state of Missouri. The employee shall not return to work on any public and charter elementary and secondary education construction project subject to this rule until the employee has completed an approved drug/alcohol assessment, treatment, and/or counseling program and until after evidence is submitted of the employee passing a drug and alcohol test that meets the requirements of sections (4) and (5) of this rule and that indicates a blood alcohol concentration of less than 0.02 percent.

(8) Compliance Determination.

(A) The state of Missouri may audit any substance abuse testing program implemented pursuant to this contractual requirement to verify compliance, upon at least twenty-four (24) hours’ notice by the state to the contractor of its intent to audit. The state shall have free access to all relevant records of the contractor and its subcontractors for this purpose.

(B) Any portion of this program that is in violation of applicable federal or state law or

regulation shall be deemed unenforceable.

(EMIT) (GC/MS)

ConfirmedConfirmation Test Initial LevelCut-Off Level (ng/ml)(ng/ml)

Drugs tested:

Amphetamines (*See Note below) 500 250 Barbiturates 300 200 Benzodiazepines 300200 Cocaine Metabolite150100 Cannabinoids (Marijuana THC) 5015 Methadone 300200 Opiates:

Codeine/Morphine 20002000 Heroine Metabolite 1010 Phencyclidine (PCP) 25 25 Propoxphene 300 200 Breath/Blood Alcohol Content (BAC) .04% .04% Removal from jobsite.0200–.0399% .0200%–.0399% *Note—includes Amphetamines, Methamphetamines, and Ecstasy (MDMA).

6CODE OF STATE REGULATIONS

(11/30/11) ROBINCARNAHAN

History

• AUTHORITY: section 161.371, RSMo Supp. 2010. Original rule filed June 1, 2011, effective Dec. 30, 2011. Original authority: 161.371, RSMo 2010.

Division 35 Division of Facilities Management

Chapter 1 Facility Maintenance and Operation

1 CSR 35-1.050 Public Use of State Facilities {#sec-1-csr-35-1.050 omnilex-key=us-mo-regs-official--title-1--1 CSR 35-1.050}

PURPOSE: This rule establishes the standards and procedures concerning the public use of certain state facilities.

(1) Facilities Subject to this Rule; Definitions.

(A) This rule governs public use of the Capitol Building and grounds and other public buildings and grounds, as defined herein.

(B) As used in this rule, the term “Capitol Building” means all interior and exterior areas of the Missouri State Capitol Building, with the exception of the house and senate chambers, the house and senate committee rooms, the offices of members of the house and senate, the house and senate lounges, and the offices of the Governor, Lieutenant Governor, State Treasurer, Secretary of State, and State Auditor. The term “Capitol grounds,” means all lands adjacent to the Capitol, as shown on Appendix A included herein, with the exception of Parking Garage No. 2.

(C) As used in this rule, “common areas” include the meeting rooms, conference rooms, sidewalks, lawns, plazas, entrances, hallways, stairways, restrooms, and other public facilities inside public buildings.

(D) As used in this rule, the term “other public buildings and grounds” means all property that is owned, leased, or occupied by an agency of the State of Missouri, with the exception of the Capitol Building and grounds, the Governor’s Mansion and its grounds, and property that is owned, leased, or occupied by the Conservation Commission, the Highways and Transportation Commission, colleges or universities, or the Department of Natural Resources for use as a state park or historic site. In the case of multi-tenant buildings, the term “other public buildings and grounds” includes only the offices and common areas occupied exclusively by agencies of the State of Missouri.

(E) As used in this rule, the term “director” means the director of the Division of Facilities Management, Design and Construction or his/her designee.

(F) As used in this rule, the term “grounds” means the land lying between a public building and the property line of the land on which the building is situated.

(G) As used in this rule, the term “quasipublic governmental body” means any person, corporation, or partnership organized or authorized to do business in Missouri under the provisions of Chapters 352, 353, or 355, RSMo, or an unincorporated association which either:

1. Has as its primary purpose to enter into contracts with public governmental bodies, or to engage primarily in activities carried out pursuant to an agreement or agreements with public governmental bodies; or 2. Performs a public function, as evidenced by a statutorily based capacity to confer or otherwise advance, through approval, recommendation, or other means, the allocation or issuance of tax credits, tax abatement, public debt, tax-exempt debt, rights of eminent domain, or the contracting of leaseback agreements on structures whose annualized payments commit public tax revenues; or any association that directly accepts the appropriation of money from a public governmental body.

(H) As used in this rule, “unmanned aircraft” means a device that is used or intended to be used for flight in the air without the possibility of direct human intervention from within or on the device. This term includes all types of devices that meet this definition (e.g., model airplanes, quadcopters, drones) that are used for any purpose, including for recreation or commerce.

(2) Public Use of Other Public Buildings and Grounds Occupied by State Agencies (Non- Capitol).

(A) General Rule.

1. The use of other public buildings and grounds that are occupied by agencies of the State of Missouri is restricted to the conduct of state business and to other activities whose principal purpose is to improve the efficiency of a state agency in achieving its objectives or to promote the health, safety, welfare, morale, education, or training of state employees.

2. Such activities may include, but are not limited to, the usual business of state government, agency staff meetings, governmental task force meetings, safety meetings, employee education classes, seminars and training sessions sponsored by state institutions for the benefit of the public, employee recognition ceremonies, luncheons for state employees, state employees charitable campaign meetings, employee wellness programs, and the like.

(B) Prohibited Activities. The following activities and conditions are not permitted in any of the other public buildings and grounds that are occupied by a state agency:

1. Purely private social events, such as weddings, regardless of the type or content;

2. Commercial activities, including soliciting the sale of any goods or services and any other activities undertaken for the primary purpose of obtaining a financial return for the benefit of an individual or organization, whether organized for profit or not, except that this paragraph shall not prohibit vendors from soliciting state employees for the purpose of effecting sales of the vendors’ products or services to the state, or to employees through a state-sponsored program;

3. Solicitation of any kind, including the solicitation of contributions, gifts or donations, the solicitation of signatures on petitions, and the solicitation of support for any political candidate or cause. This rule shall not prevent state agencies from making solicitations in connection with charitable fundraisers or events;

4. The distribution of any leaflets or other materials, except for such materials as are distributed by the director, and except that certified employee bargaining units may distribute written materials in the common areas of the buildings where the members of their unit are employed, if authorized by the director to do so;

5. Any activity that obstructs the free ingress or egress of those wishing to enter or leave the public building;

6. A sound level, noise, or any other activity that disrupts the business of government in the public building;

7. Camping, which means the use of the grounds for living accommodation purposes such as sleeping, making preparations to sleep (including the placement of bedding), storing personal belongings, making any fire, using any tents or other shelters, doing any digging or earth-breaking, or carrying on cooking activities;

8. The service or consumption of alcoholic beverages;

9. Guns or weapons of any kind, except as authorized in section (7) of this rule;

10. Wood, metal, or plastic poles or standards including those used to support signs or banners;

11. Smoking, vaping, or the use of any tobacco products, except in those areas that have specifically been designated as “smoking areas,” or in a private vehicle;

12. Any other activity that presents a significant likelihood of damage to the public building;

13. Any activity that is a violation of federal, state, or local law.

(C) Conference Rooms and Meeting Rooms.

1. Permission required. Usage of the conference rooms and meeting rooms in other public buildings shall be restricted to entities and instrumentalities of the state, federal, and local governments and to quasi-public governmental bodies, as defined in this

rule. Usage of the conference rooms and meeting rooms in public buildings, other than those inside the office suite of an agency, require the permission of the director.

2. Application for permission. Applications for permission to use conference rooms and meeting rooms shall include the following information, if requested by the director:

A. The full name, mailing address, and telephone number of the person or organization sponsoring the proposed activity and of an individual who agrees to accept responsibility for supervising the proposed activity;

B. The purpose of the activity or meeting;

C. A description of the proposed activity and an estimate of the number of persons who will participate in the proposed activity;

D. The time and date requested for the activity;

E. Whether food or beverage will be consumed or permitted at the activity, and if so, a description of the food and beverage, and the methods used to serve it and to ensure cleanliness; and F. A description of the equipment and services that will be needed, such as chairs, podiums, microphones, easels, and audiovisual equipment.

3. Grant of permission. The director will respond to all requests for permission to use a conference room or meeting room as promptly as possible. The director will grant permissions, on a first-come, first-served

basis to those persons or organizations who comply with the requirements of this rule, except that state agencies may be given preference over other applicants. If permission is denied for any reason, the director will issue to the applicant a written denial, including an explanation of the reason for the denial.

4. Conditions for grants of permission to use conference rooms and meeting rooms.

The grants of permission to use conference rooms and meeting rooms are subject to the following conditions:

A. The director may impose such conditions, including a cleaning deposit, concerning the service of food and drink as are reasonably necessary to ensure the cleanliness of the facility and good sanitation practices;

B. Services normally provided at the building for which the permit is issued will be provided to the permittee without charge.

However, the director may impose reasonable charges for the cost of any food or drink, utilities, supporting physical arrangements, security or other personnel, or equipment over and above the services normally provided at the building during the time of the activity. The director may waive such costs for government entities or if it is not practicable to identify the amount of the additional costs or if the amount is insignificant. The director may require a deposit in the amount of the estimated additional costs before issuing a permit; and C. Permittees shall conduct their activity in strict compliance with this rule, the statements contained in their application for permit, and any restrictions on the activity that are imposed by the director and are listed on the permit.

5. The director may disapprove any application and may cancel an issued permit, even after the applicant has begun using the facility, and may remove the applicant from the facility if the application is false or incomplete or if the applicant fails to comply with the conditions specified in the permit or with the provisions of this rule.

6. The director has the authority to reserve conference rooms and meeting rooms for official government business on specified days, preempt an approved use of a conference room or meeting room to allow for official government business, and set conference rooms and meeting rooms aside for maintenance, construction, or repair on specified days.

(D) Other Common Areas.

1. The use of common areas other than meeting rooms and conference rooms shall be reserved for the employees, clients, and visitors of the agencies occupying the public building. Permitted activities in such other common areas include the operation of cafeterias, vending machines, newsstands, and similar facilities, if authorized by the director as part of the operation of the public building for the benefit of employees, clients, and visitors of the public agency. Permitted activities may also include special events, if authorized by the director.

2. The director has authority to bar or evict any persons who fail to comply with the requirements of this rule in any way.

(E) Agency Offices. The use of any agency office which is located within any public building is reserved exclusively for the employees, clients, and visitors of the agency and subject to the control of the agency’s office supervisor to the extent not inconsistent with this regulation.

(3) Public Use of Other Public Buildings and Grounds Not Occupied by State Agencies.

The use to be made of other public buildings and grounds or portions thereof that are occupied by individuals or organizations other than the State of Missouri, under a lease or sublease from the State of Missouri or otherwise, will be determined solely by the occupant of the facility, subject to any restrictions imposed by the lease or sublease or by any laws.

(4) Public Use of Carnahan Memorial Garden.

(A) The public use of Carnahan Memorial Garden shall be subject to the same restrictions as those for the Capitol Building and grounds as set forth below, except that weddings and private social events are permitted with approval of the director. Permits for use of Carnahan Memorial Garden are handled in the same manner as permits for use of the Capitol Building and grounds.

(5) Public Use of the Capitol Building and Grounds.

(A) The following activities and conditions are not permitted in or about the Capitol Building and grounds, as defined in this rule:

1. Purely private social events, such as weddings, regardless of the type or content;

2. The service or consumption of alcoholic beverages, except as part of a state government function and approved by the Board of Public Buildings;

3. The service of food or nonalcoholic beverages in the Capitol Building, except as

part of a state government function and approved by the Board of Public Buildings, or the service of food or nonalcoholic beverages on the Capitol grounds unless approved by the director and the food or beverage is served without charge;

4. Dance events, including demonstrations such as clogging, square dancing, and other such activities, in the rotunda, unless the events are part of a state government function and are approved by the Board of Public Buildings;

5. Commercial activities, including the sale of any goods or services and any other activities undertaken for the primary purpose of obtaining a financial return for the benefit of an individual or organization, whether organized for profit or not. This rule does not prohibit venders from soliciting state employees for the purpose of effecting sales of the vendors’ products or services to the state or to employees through a state-sponsored program. This restriction also shall not apply to souvenirs sold by the Department of Natural Resources;

6. The solicitation of contributions, gifts, or donations is prohibited in all common areas of the Capitol Building, and all 4CODE OF STATE REGULATIONS other forms of solicitation, including solicitation of support for any political candidate or cause, is prohibited in all common areas of the Capitol Building except in the rotunda and on the south steps;

7. Making any speech or conducting any organized activity involving two (2) or more persons without first obtaining a permit from the director;

8. Distributing leaflets or other materials that have not been provided to the director in conjunction with an application for a permit, or leaving leaflets or other materials unattended;

9. Any activity that obstructs the free ingress or egress of those wishing to enter or leave the rotunda or other portions of the Capitol;

10. A sound level, noise, or any other activity that disrupts the business of government in the Capitol;

11. The use of balloons of any kind in the common areas of the Capitol Building, including the rotunda;

12. Smoking, vaping, or the use of tobacco products, except in those areas that have specifically been designated as “smoking areas” or in a private vehicle;

13. Guns or weapons of any kind, except as authorized in section (7) of this rule;

14. The use of lighted candles or other devices that produce flames;

15. Signs, banners, and like material shall not be fastened in any way to the walls, surfaces, or railings. Wood, metal, or plastic poles or standards shall not be used to support signs or banners and shall not be brought into the Capitol Building or onto the Capitol grounds. Signs displayed during an activity shall not contain any obscene words or symbols;

16. Camping, as previously defined in this rule;

17. Any other activity that presents a significant likelihood of damage to the Capitol Building and grounds; and 18. Any activity that is a violation of federal, state, or local law.

(B) Permit System for Use of Capitol. No person or organization shall have the exclusive use of any portion of the rotunda or any other part of the Capitol Building and grounds, unless the director has issued to that person or organization a permit for the use of the facility. The terms and conditions for the issuance of permits are as follows:

1. Applications for Permits. Applications for permits shall be made through the Division of Facilities Management, Design and Construction website and shall include all information requested by the director including, but not limited to, the following:

A. The full names, mailing addresses, and telephone numbers of the person or organization sponsoring the proposed activity and of an individual who agrees to accept responsibility for supervising the proposed activity;

B. A description of the proposed activity and an estimate of the number of persons who will participate in the proposed activity;

C. A description of the part of the Capitol Building and grounds that the applicant wishes to use and a listing of the dates and hours during which the applicant wishes to use them; and D. A description of the sanitation facilities, utilities, security, and other equipment and services that will be needed for the proposed activity, such as chairs, podiums, and microphones, and a description of the means proposed for providing those items.

2. Issuance of permits. Permits will be issued by the director, on a first-come, firstserved basis to those persons or organizations who comply with the requirements of this

rule.

3. Conditions.

A. The director may impose reasonable limits on the duration of the activity and the space allocated to it, and may furnish materials, supplies, and equipment needed for the activity, if such are available, but may limit the amount furnished so that government property may remain accessible to other members of the general public. Generally, activities and events will be limited to a period of three (3) hours, including set up and clean up. All permits issued will require the permittee to comply with the restrictions described above.

B. The director may also impose such other conditions as are reasonably necessary to prevent damage to state government property, prevent disruption of the conduct of state business, provide for the safety and security of the public, provide adequate sanitation facilities, and protect the health and safety of those attending or participating in the activity covered by the permit.

C. The director may also impose reasonable charges for the cost of any food or drink, utilities, supporting physical arrangements, security or other personnel, or equipment over and above the services normally provided at the building during the time of the activity. The director may waive such costs for government entities, or if it is not practicable to identify the amount of the additional costs or if the amount is insignificant.

4. Disapprovals; cancellations. The director may disapprove any application and may cancel an issued permit, even after the applicant has begun using the facility, if the application is false or incomplete, if the applicant fails to comply with the conditions specified in the permit, or fails to comply with the provisions of this rule. In addition, the director may disapprove applications submitted by those who have repeatedly failed to comply with the terms and conditions of permits previously issued to them.

5. Exceptions. The Board of Public Buildings may make exceptions to this rule if it deems the exception to be in the best interest of the state. The Board of Public Buildings may delegate its authority to grant exceptions to this rule to the Commissioner of Administration.

(6) Parking Lots.

(A) Use on business days. Public use of the parking lots that are part of the Capitol Building and grounds and other public buildings and grounds occupied by state agencies shall not be permitted between the hours of 6:00 a.m. and 7:00 p.m. on business days.

During those times, parking lots are reserved for the use of the employees and clients of the occupying agencies and for visitors conducting business with the occupying agencies, unless contractual obligations of the state prohibit such use.

(B) Use at other times. Persons who wish to use a parking lot at times other than those set forth above must submit a written request to the director for permission to do so. Permission may be issued to applicants who hold a parade permit issued by the local governmental authority and who wish to use the parking lot as a staging area, to state or local governmental and quasi-governmental entities for their use in programs to promote public health and safety, or to others at the discretion of the director. Commercial activities and solicitation shall not be permitted in the parking lots at any time. The director may revoke permission to use the parking lot at his or her discretion, even after it has been granted.

(7) Weapons Capable of Lethal Use Prohibited; Exceptions.

(A) Carrying a firearm or any other weapon readily capable of lethal use into the Capitol Building and grounds or any other public building or grounds is prohibited, except that holders of a valid concealed carry permit may carry weapons into the Capitol Building and grounds to the extent allowed by sections 571.107 and 571.215, RSMo.

1. This prohibition shall not apply to the following persons acting in their official capacity: state and federal law enforcement officers, peace officers, probation and parole officers, wardens and superintendents of 6CODE OF STATE REGULATIONS prisons or penitentiaries, members of the armed forces and national guard, and persons vested with judicial authority by the state or federal court.

2. This prohibition shall not apply to any person who has a valid concealed carry endorsement issued pursuant to sections 571.101 to 571.121, RSMo while such person is servicing an automated teller machine (ATM) in a state-owned or leased building or gaining possession of a deposit from a state agency for transport to another location.

Employers of such persons must supply in writing to the director the names, addresses, and photographs of such persons at least five (5) business days before such persons start servicing the ATMs or providing such deposit services, and the employers must immediately advise the director in writing when any such employee is no longer working for said employer.

3. Possession of a firearm in a vehicle located in a parking area upon the premises of any area referenced in this rule is permitted so long as the firearm is not removed from the vehicle or brandished while the vehicle is on the premises.

(8) Use of Unmanned Aircraft.

(A) Launching, landing, or operating an unmanned aircraft from or on the Capitol Building and grounds, Carnahan Memorial Garden, and other public buildings and grounds, as defined in this rule, is prohibited except as pre-approved in writing by the director.

(B) Operators given permission by the director to operate an unmanned aircraft on state property identified above shall comply with all restrictions imposed by the director and all applicable state and federal laws and regulations, including, but not limited to, the regulations of the Federal Aviation Administration. This includes notifying and obtaining approval from all applicable state and federal entities, airports, air traffic control facilities, and helipads.

8CODE OF STATE REGULATIONS

10CODE OF STATE REGULATIONS

12CODE OF STATE REGULATIONS

14CODE OF STATE REGULATIONS

Filed Oct. 9, 2003, effective April 30, 2004.

Amended: Filed Oct. 27, 2005, effective April 30, 2006. Amended: Filed Oct. 11, 2018, effective May 30, 2019. *Original authority: 8.110, RSMo 1939, amended 1949, 1957, 1965, 1995, 2007, 2014; 8.320, RSMo 1958, amended 1965, 2014; and 37.005, RSMo 1973, amended 1983, 1986, 1987, 1991, 1996, 1997, 2006, 2008, 2010, 2011, 2012, 2014, 2017.

History

• AUTHORITY: sections 8.110 and 8.320, RSMo 2016, and section 37.005, RSMo Supp. 2017. Original rule filed April 23, 1998, effective Nov. 30, 1998. Emergency amendment filed Oct. 9, 2003, effective Oct. 19, 2003, expired April 15, 2004. Amended:

Chapter 2 Leasing

1 CSR 35-2.010 Rule Objectives {#sec-1-csr-35-2.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 35-2.010}

(Rescinded July 30, 2019). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

1 CSR 35-2.010 Rule Objectives {#sec-1-csr-35-2.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 35-2.010}

1 CSR 35-2.020 Definitions {#sec-1-csr-35-2.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 35-2.020}

1 CSR 35-2.030 Procurement and Management of Leased Real Property {#sec-1-csr-35-2.030 omnilex-key=us-mo-regs-official--title-1--1 CSR 35-2.030}

PURPOSE: This rule establishes the Office of Administration as the agency of authority and responsibility for procuring and managing leased real property, and establishes uniform procedures for procuring and managing leased real property.

(1) As used in this regulation— (A) “Agency” means any organizational unit of state government, with the exception of the General Assembly, elected officials, the judiciary, Missouri Department of Conversation, Missouri Department of Transportation, institutions of higher education, and bodies corporate and politic;

(B) “Leased premises” means the property being or to be leased;

(C) “Lessor” means the landlord, owner, or agent of the owner of the leased premises;

(D) “Lessee” means the state of Missouri;

(E) “Tenant/using agency” means the organizational unit of state government which occupies the leased premises;

(F) “Premises” means all land, buildings, and equipment furnished as part of the property leased to the state;

(G) “Request for Proposal (RFP)” means a document describing the particular specifications the facility must comply with and the terms and conditions of the contract; and (H) “Lease” means the documents formalizing and binding the lessor and the lessee. Contract documents include the signed request for proposal, any amendments thereto, and the countersigned award page.

(2) The Commissioner of Administration is the exclusive representative of the state of Missouri in all real estate leasing transactions except as otherwise provided in this

chapter. Neither the tenant/using agency nor any individual, organization or group, other than the Commissioner of Administration, shall have authority to obligate the state of Missouri in real estate leasing transactions in any form.

(3) The tenant/using agency has primary responsibility for managing the day-to-day operation of the leased premises, but has no authority to waive or modify provisions of the bid specifications or the terms and conditions of the lease.

The tenant/using agency shall provide the Commissioner of Administration with written documentation of any problems, complaints, or concerns that are contrary to the terms and conditions of the lease.

(4) The Commissioner of Administration may establish and maintain written guidelines to implement these regulations governing the leasing of real property. The guidelines may include, but not be limited to:

(A) Procedures and documents for identifying the amount and type of real property needed;

(B) Procedures and documents for procuring leased premises; and (C) Procedures and documents for administering the contracts.

(5) All acquisitions of leased property, including both newly executed leases and the extensions of existing leases after all renewal options have expired, will be procured through competitive proposals, unless the Commissioner of Administration deems it to be in the best interest of the state to negotiate a particular procurement.

(6) For each lease, the Commissioner of Administration, in conjunction with the tenant/using agency, may develop a Request for Proposal (RFP) for the property to be acquired.

(7) The Commissioner of Administration may suspend from bidding on state leases any individual or organization who— (A) Materially fails to comply with the provisions of an award from the state or a lease agreement with the state;

(B) Submits false or misleading information in response to an RFP;

(C) Takes actions that are intended to inhibit or prevent the operation of an open, competitive bid or proposal process; or (D) Acts in a manner contrary to sound or ethical business practice, or in a manner deemed by the Commissioner of Administration to be detrimental to state leasing practice.

(8) The Commissioner of Administration may require any bidder/lessor to submit a surety document payable to the state of Missouri to insure compliance with the RFP and/or lease.

(9) The Commissioner of Administration will conduct an evaluation of all proposals in accordance with the RFP, if applicable.

(10) The decision to award a lease to a lessor will be based upon the lowest and best proposal received in accordance with the terms of the RFP, if applicable.

(A) No individual, agency, or organization other than the Commissioner of Administration may obligate the state of Missouri in the procurement of leased real property.

(B) The Commissioner of Administration reserves the right to reject any and all proposals, and may waive any minor informality or irregularity in a proposal.

(C) The lessor will be required to comply with all terms and conditions stipulated in the proposal as accepted.

(11) The Commissioner of Administration may require the successful bidder/lessor to submit specified documents detailing any renovation and/or construction that is to occur on the premises to insure compliance with the proposal.

(12) The Commissioner of Administration may signify that the documents for major construction projects or renovations have (8/31/23) John R. Ashcroft FACILITIES MANAGEMENT 1 CSR 35-2—OFFICE OF ADMINISTRATION been reviewed and accepted by issuing a notice to proceed to the successful bidder/lessor.

(13) In order for any lease of real property to obligate the state of Missouri, the lease must be signed by the Commissioner of Administration or the director of the Division of Facilities Management, Design and Construction, or one of their designees.

(14) The rights and obligations of the lessor and the lessee will be as specified in the lease.

(15) The tenant/using agency will be responsible for the day-today operations of the rental facility.

(16) The Commissioner of Administration has the authority to make a one- (1-) time lump-sum payment to a lessor for improvements to a leased facility under the following conditions:

(A) The improvements would provide a direct benefit to the operations of the state’s programs but are not covered by the lease, such as maintenance, upkeep, or repair of the facility;

(B) The amount paid by the Commissioner of Administration for the construction of the improvements is no more than the reasonable cost to construct the improvements; and (C) The remaining term of the lease, including the lessee’s options to renew, exceeds twelve (12) months. A one (1)-time payment may only be made in the last one- (1-) year renewal period of a lease if necessary to meet unforeseen changes in program requirements.

(17) Monies to fund all payments due under lease agreements are appropriated annually by the Missouri General Assembly for one (1) fiscal year beginning July 1. No lease shall be binding on the lessee unless and until appropriations have been made by the Missouri General Assembly and, if applicable, funds have been received from the United States government for any payment therefor. This limitation applies to any fiscal year during the initial period and all renewal periods.

(18) All leases entered into by the Office of Administration will prohibit carrying a firearm or other weapon readily capable of lethal use into the leased premises, subject to the exceptions set forth in 1 CSR 35-1.050.

Filed Oct. 9, 2003, effective April 30, 2004. Amended: Filed Oct. 27, 2005, effective April 30, 2006. Amended: Filed Nov. 30, 2018, *Original authority: 8.110, RSMo 1939, amended 1949, 1957, 1965, 1995, 2007, 2014; 8.320, RSMo 1958, amended 1965, 2014; 34.030, RSMo 1939, amended 1945, 2017; and 37.005, RSMo 1973, amended 1983, 1986, 1987, 1991, 1996, 1997, 2006, 2008, 2010, 2011, 2012, 2017.

History

• AUTHORITY: sections 8.110 and 8.320, RSMo 2016, and sections 34.030 and 37.005, RSMo Supp. 2017. Original rule filed April 15, 1998, effective Nov. 30, 1998. Emergency amendment filed Oct. 9, 2003, effective Oct. 19, 2003, expired April 15, 2004. Amended:

1 CSR 35-2.040 Lease Acquisition {#sec-1-csr-35-2.040 omnilex-key=us-mo-regs-official--title-1--1 CSR 35-2.040}

1 CSR 35-2.050 Management of Leased Real Property {#sec-1-csr-35-2.050 omnilex-key=us-mo-regs-official--title-1--1 CSR 35-2.050}

1 CSR 35-2.060 Leases of Excess Property to Governmental and Private Entities {#sec-1-csr-35-2.060 omnilex-key=us-mo-regs-official--title-1--1 CSR 35-2.060}

PURPOSE: This rule establishes a uniform procedure for leasing excess property to other governmental and private entities.

(1) Definitions. As used in this rule, 1 CSR 35-2.060— (A) “FMDC” means the Office of Administration, Division of Facilities Management, Design and Construction;

(B) “State-owned property” means real property, either improved or unimproved, that is owned by the state of Missouri and vested in the governor. This does not include property owned or possessed by the State Highways and Transportation Commission, Conservation Commission, Department of Natural Resources, the University of Missouri, or other institutions of higher education;

(C) “Excess property” means state-owned property that is vacant or not fully utilized and not capable of being effectively utilized by any consolidated state agency;

(D) “Holding agency” means a consolidated state agency that is or was an occupant of excess property;

(E) “Non-state entity” means a private entity or governmental entity that is not part of the three (3) primary branches of state government;

(F) “Consolidated state agency” means an organizational unit of the primary branches of state government without legal authority to engage in leasing real estate transactions; and (G) “Non-consolidated state agency” means an organizational unit of the primary branches of state government with its own legal authority to engage in leasing real estate transactions.

(2) The commissioner of administration is the exclusive representative of the state of Missouri in all leasing transactions involving state-owned property. No consolidated state agency shall lease state-owned property to any non-consolidated state agency or to any non-state entity nor encumber stateowned property nor obligate the state of Missouri in any real estate leasing transaction in any form. Consolidated state agencies shall not authorize nor allow any other state agency (consolidated or non-consolidated) or non-state entity to possess or occupy state-owned property assigned to it without approval of the commissioner of administration.

(3) FMDC shall act as the designee of the commissioner of administration in all matters involving the leasing of real estate, unless otherwise directed by the commissioner.

(4) When FMDC becomes aware that state-owned property is vacant or under-utilized by a holding agency, FMDC will determine if such state-owned property may satisfy space needs of other consolidated state agencies. If FMDC determines that a state-owned property cannot be effectively utilized by any consolidated state agency, FMDC may make a determination that such property is excess property and offer such property for lease to non-consolidated state agencies or to non-state entities.

(5) Leases of Property to Non-Consolidated State Agencies.

(A) FMDC may lease state-owned property to non-consolidated state agencies on terms FMDC deems appropriate.

(6) Leases of Property to Non-State Entities.

(A) In leasing excess property to non-state entities, FMDC shall give preference to organizations that provide services related to the programs of a state agency or to the functions and objectives of state government.

(B) A non-state entity shall pay rent for the leasing of excess property from the state of Missouri at fair market value unless the commissioner of administration determines that reducing or waiving the rental payments is in the best interests of the state of Missouri and is for a public purpose.

(C) Leases of excess property shall be awarded by FMDC to the bidder or offeror who submits the highest and best bid or proposal in response to a publicly advertised invitation for bids or request for proposals; however, the commissioner of administration may waive the requirement for competitive bidding or proposals if the commissioner determines that it is in the best interest of the state to directly negotiate a lease with a non-state entity.

(D) The terms of any lease agreement (other than rent) with any non-state entity shall be determined by FMDC in its discretion.

(7) All agreements for the lease of state-owned real property to a non-consolidated state agency or to a non-state entity shall be signed by the commissioner of administration and the director of FMDC.

Filed Feb. 17, 2023, effective Sept. 30, 2023. *Original authority: 34.030, RSMo 1939, amended 1945, 2017, and 37.005, RSMo 1973, amended 1983, 1986, 1987, 1991, 1996, 1997, 2006, 2008, 2010, 2011, 2012, 2014, 2017.

History

• AUTHORITY: sections 34.030 and 37.005, RSMo Supp. 2022. Original rule filed April 15, 1998, effective Nov. 30, 1998. Amended:

Division 40 Purchasing and Materials Management

Chapter 1 Procurement

1 CSR 40-1.010 Organization {#sec-1-csr-40-1.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 40-1.010}

2000. Rescinded: Filed Oct. 2, 2018, effective April 30, 2019.

History

• AUTHORITY: sections 34.050 and 536.023, RSMo Supp. 1999. Original rule filed Oct. 20, 1997, effective May 30, 1998. Amended:

1 CSR 40-1.030 Definitions {#sec-1-csr-40-1.030 omnilex-key=us-mo-regs-official--title-1--1 CSR 40-1.030}

2000. Amended: Filed June 1, 2011, effective Nov. 30, 2011. Rescinded: Filed Oct. 2, 2018, effective April 30, 2019.

History

• AUTHORITY: section 34.050, RSMo 2000 and section 34.074, RSMo Supp. 2010. Original rule filed Oct. 15, 1992, effective June 7, 1993. Rescinded and readopted: Filed Oct. 20, 1997, effective May 30, 1998. Amended:

1 CSR 40-1.040 Authority Delegations {#sec-1-csr-40-1.040 omnilex-key=us-mo-regs-official--title-1--1 CSR 40-1.040}

1997. Original rule filed Oct. 15, 1992, effective June 7, 1993. Rescinded and readopted: Filed Oct. 20, 1997, effective May 30, 1998. Rescinded: Filed Oct. 2, 2018, effective April 30, 2019.

History

• AUTHORITY: section 34.050, RSMo Supp.

1 CSR 40-1.050 Procedures for Solicitation, Receipt of Bids, and Award and Administration of Contracts {#sec-1-csr-40-1.050 omnilex-key=us-mo-regs-official--title-1--1 CSR 40-1.050}

PURPOSE: This rule prescribes procedures for soliciting and receiving bids and for awarding contracts.

(1) The Division of Purchasing is responsible for the procurement of supplies, equipment, and services for state departments. The division is also responsible for the operation of the cooperative procurement program for political subdivisions of the state and any other activities assigned or delegated to it by the Commissioner of Administration. These regulations address formal, informal, and statutory procurements under Chapter 34, RSMo.

(2) As used in this chapter unless the content clearly indicates otherwise, the following terms are defined as:

(A) Bid/proposal security. A financial guarantee that the bidder/offeror, if selected, will accept the contract as bid;

(B) Commissioner. The commissioner of the Office of Administration;

(C) Contract. A legal and binding agreement between two (2) or more competent parties, for a consideration for the procurement of supplies;

(D) Debarment. An exclusion from contracting with the state for an indefinite period of time;

(E) Director. The director of the Division of Purchasing;

(F) Division. The Division of Purchasing within the Office of Administration;

(G) Minority. The definition contained in 1 CSR 10-17.010(1)(G) will be applied;

(H) Minority business enterprise (MBE).

The definition in section 37.020.1(3), RSMo, will be applied;

(I) Multiple award. A purchase order or contract awarded to two (2) or more bidders in order to meet the needs of agencies, or an award to the next lowest and best vendor where a contract is cancelled for breach or the contract award is rescinded;

(J) OA. The Office of Administration;

(K) Performance security. A financial guarantee that the successful bidder/offeror will complete the contract as agreed;

(L) Service-disabled veteran. The definition contained in section 34.074, RSMo, will be applied;

(M) Service-disabled veteran business enterprise (SDVE). The definition contained in section 34.074, RSMo, will be applied;

(N) Shortlisting. The process of narrowing down and selecting, from the offerors who responded to the solicitation, those offerors that are eligible for negotiations, further negotiations, or for demonstrations or testing, based upon the criteria specified in the solicitation;

(O) Solicitation. The process of notifying prospective bidders that the state wishes to receive bids or proposals to provide supplies.

The term includes request for proposal (RFP), request for quotation (RFQ), invitation for bid (IFB), single feasible source (SFS), and any other appropriate procurement method;

(P) State. The state of Missouri;

(Q) Suspension. An exclusion from contracting with the state for a temporary period of time;

(R) Vendor, bidder, offeror, or supplier.

Unless specifically defined in a solicitation, the entity or person who may, or who has, submitted a bid or proposal in response to a solicitation; and (S) Women’s business enterprise (WBE).

The definition in section 37.020.1(6), RSMo, will be applied.

All other terms will follow their relevant statutory or regulatory definitions.

(3) When the procurement is estimated to be less than one hundred thousand dollars ($100,000), an informal method of solicitation may be utilized. Informal methods of procurement may include Request for Quotation (RFQ), telephone quotes, etc.

(A) The division will establish a target date and time for submission of informal bids.

(B) The division may proceed with the evaluation and award anytime after the expiration of the target date and time. Bids received after the target date and time, but before the award of a contract, may be included in the evaluation at the discretion of the (4) When the procurement is estimated to be one hundred thousand dollars ($100,000), or more, a formal method of solicitation must be utilized. Formal competitive bidding may be accomplished by utilizing an Invitation for Bid (IFB). Pursuant to section 34.047, RSMo, information technology purchases estimated not to exceed one hundred and fifty thousand dollars ($150,000) may be completed under an informal process provided the procurement does not exceed twelve (12) months and it is posted on the division online bidding/vendor registration system website.

(A) When the division decides that all bids are unacceptable and circumstances do not permit a rebid, negotiations may be conducted with only those bidder/offerors who submitted bids in response to the IFB. No additional bidder/offerors may be solicited. Upon determination that negotiations will be conducted, the bids and related documents will be closed to public viewing in accordance with section 610.021, RSMo. All negotiations will be conducted in accordance with the competitive negotiation provisions provided for in these regulations, or as provided for in the solicitation, if applicable.

(5) When the procurement requires the utilization of competitive negotiation, the formal Request for Proposal (RFP) solicitation method should be utilized.

(6) Submission of bids or proposals. Formal bids/proposals should be received in the division or a secured electronic database in a sealed format by the time set for the opening of the bids/proposals.

(A) In the event that the division receives a container which is not identifiable as a specific bid/proposal, an authorized person within the division may open the container to determine the contents. If the contents are determined to be a bid/proposal, the container will be resealed and the solicitation number, opening date, and time will be noted on the outside. The container will then be filed until the official time for opening.

(B) Formal bids/proposals received after the time set for the opening of proposals shall be considered late and will not be opened, except in those circumstances described below.

(C) Under extraordinary circumstances, the director or designee may authorize the opening of a late proposal. In such cases, the proposal must have been turned over to the physical control of an independent postal or courier service with promised delivery time prior to the time set for the opening of proposal, or late delivery of the proposal must be attributable to an issue with the state’s electronic bid system that was out of the control of the submitting vendor. All such decisions are at the sole discretion of the director or designee. The following guidelines may be utilized to determine the criteria for an extraordinary circumstance:

1. State offices were closed due to inclement weather conditions;

2. Postal or courier services were delayed due to labor strikes or unforeseen “Acts of God”;

3. Postal or courier service did not meet delivery time promised to the bidder/offeror.

In such a case, the bidder/offeror must provide written proof from the delivery service that promised delivery time was prior to the time set for the opening of bids/proposals;

4. Evidence that the bid/proposal was in the division’s post office box or physical possession before the time of bid opening; or 5. Any other evidence relevant to the specific situation.

(D) Bids/Proposals received in response to a procurement will be disclosed in accordance with Missouri law.

(E) Bidders or Offerors who improperly obtain information concerning a competitor’s bid or proposal may be disqualified for consideration for a contract award.

(F) After the bid/proposal opening, a bidder/offeror may be permitted to withdraw a bid/proposal prior to award at the sole discretion of the division if there is a verifiable error in the bid/proposal, the bidder/offeror is unable to meet the commitments contained in the bid/proposal, or if enforcement of the bid would impose an unconscionable hardship on the bidder/offeror. This withdrawal will be considered only after receipt of a written request and supporting documentation from the bidder/offeror. Withdrawal is the bidder/offeror’s sole remedy for an error other than an obvious clerical error. Withdrawal of a bid/proposal may result in forfeiture of the bid/proposal security.

(7) When the supplies meet the criteria delineated in section 34.044, RSMo, the division may elect to utilize the Single Feasible Source procurement method. The following delineates additional guidelines and examples to determine satisfaction of the criteria:

(A) The following guidelines may be utilized to determine if supplies may be purchased as a single feasible source due to being proprietary, although the following list is not intended to be exhaustive:

1. The parts are specified to maintain validity of a warranty;

2. Additions to a system must be compatible with original equipment;

3. Only one (1) type of computer software exists for a specific application;

4. Factory authorized maintenance is specified in order to maintain validity of a warranty;

5. The materials are copyrighted and are only available from the publisher or a single distributor; and 6. The services of a particular provider are unique (e.g., entertainers, authors, etc.);

(B) If past procurement activity indicates that only one (1) bid has been submitted in a particular region, a single feasible source procurement may be authorized. In these situations the division will monitor the market for developing competition;

(C) The following guidelines will be utilized to determine if supplies may be purchased as a single feasible source due to being available at a discount for a limited period of time:

1. The discounted price must be compared to a price established through a reasonable market analysis (i.e., competitive solicitation for the same item under similar circumstances); and 2. The discounted price should normally be at least ten percent (10%) less than the current contract or other comparable price. A discount of less than ten percent (10%) may be acceptable under appropriate market conditions. The discount should be compared to a price which, where feasible, should be no more than twelve (12) months old; and (D) A vendor shall notify the division if, in his or her opinion, there is another feasible source for the supplies. Such notification shall be received by the division within the advertising requirement stated in section 34.044, RSMo. The Division will review the notification and its decision is final.

(8) When conditions meet the criteria outlined in section 34.045, RSMo, emergency procurement procedures may be utilized.

The requirement for formal competitive bids or proposals may be waived. However, the emergency procurement should be made with as much informal bidding as practicable.

Emergency procedures should only be utilized to purchase those supplies which are necessary to alleviate the emergency.

(9) When circumstances dictate that it would be most advantageous, the state may purchase supplies from, or in cooperation with, another governmental entity pursuant to section 34.046, RSMo.

(A) Supplies purchased from another governmental entity should be limited to those supplies which are provided directly by such entity.

(B) Supplies purchased in cooperation with another governmental entity may be purchased based on contracts established in accordance with that entity’s laws and regulations.

(10) Regardless of the solicitation method utilized, the following procedures apply:

(A) The division will develop standardized terms and conditions to be included with the solicitation documents;

(B) The division may request bids/proposals for new, used, rebuilt, or remanufactured equipment employing the trade-in of used equipment. The solicitation document may request pricing with a trade-in and without a trade-in;

(C) The division may require bid/proposal security and/or performance security.

1. The acceptable form and amount of the bid/proposal security will be stipulated in the solicitation document.

2. The bid/proposal securities of unsuccessful bidders/offerors may be returned after the finalization of the award. If the successful bidder/offeror fails to accept the contract, the amount of the bid/proposal security may be forfeited to the state.

3. If a performance security is specified in the solicitation, the bid/proposal security of the successful bidder/offeror may be returned after the receipt of the performance security. The acceptable form and amount of the performance security will be stipulated in the solicitation document. If the contractor fails to submit the performance security, the bid/proposal security may be forfeited to the state and the contract voided;

(D) In the event that the division receives a container which is not identifiable as a specific bid/proposal, an authorized person within the division may open the container to determine the contents. If the contents are determined to be a bid/proposal, the container will be resealed and the solicitation number, opening date, and time will be noted on the outside. The container will then be filed until the official time for opening;

(E) After the bid/proposal opening, a bidder/offeror may be permitted to withdraw a bid/proposal prior to award at the sole discretion of the division if there is a verifiable error in the bid/proposal and enforcement of the bid would impose an unconscionable hardship on the bidder/offeror. This withdrawal will be considered only after receipt of a written request and supporting documentation from the bidder/offeror. Withdrawal shall be the bidder/offeror’s sole remedy for an error other than an obvious clerical error.

Withdrawal of a bid/proposal may result in forfeiture of the bid/proposal security;

(F) In accordance with section 34.353, RSMo, for bids/proposals with a value of twenty-five thousand dollars ($25,000) or more, bidders/offerors who can certify that goods or commodities to be provided in accordance with the contract are manufactured or produced in the United States or imported in accordance with a qualifying treaty, law, agreement, or regulation are entitled to a ten percent (10%) preference as stated below over a bidder/offeror whose products do not qualify. Failure to provide a certification may result in forfeiture of any preference. All solicitation responses for the purchase of goods or commodities, except software, with an estimated value of twentyfive thousand dollars ($25,000) or more must include proof of compliance requirements as stated in the solicitation document. If the division has any questions regarding either the information submitted on the form or the lack of a submitted form by a bidder/offeror, the division may contact the bidder/offeror for clarification before completing the cost evaluation if under consideration for award. If the division determines that an Americanmade product is competing against a foreignmade product, the division will multiply the cost of the foreign-made product by ten percent (10%) and add this amount to the actual cost of the bid/proposal to reflect the Buy American preference in the cost evaluation.

The division will consider any applicable exceptions, including those set by statute or executive order, to the Buy American preference before awarding any contract;

(G) In addition to cost, subjective and any other criteria deemed in the best interest of the state may be utilized in the evaluation of bids/proposals provided that the criteria are published in the solicitation document;

(H) The division may request samples for evaluation purposes. Any samples requested must be provided free of charge. Samples which are not destroyed by testing will be returned at the bidder/offeror’s expense if return of the samples is stipulated in the bidder/offeror’s bid/proposal. Samples submitted by a bidder/offeror who receives the award may be kept for the duration of the contract for comparison with shipments received;

(I) During the course of a solicitation, a demonstration may be permitted to allow bidders/offerors to demonstrate proposed products or services. The division will coordinate such a demonstration;

(J) When bids/proposals are equal in all respects, any preferences will be applied in accordance with applicable statute. If all such bidder/offerors or none qualify for the statutory preference, the contract shall be awarded by a formal drawing of lot. Whenever practical, the drawing will be held in the presence of the bidders/offerors who are considered equal. If this is not practical, the drawing will be witnessed by at least two (2) disinterested persons;

(K) The division may make multiple awards from a single solicitation document when such awards are in the best interest of the state;

(L) After an award is made, the solicitation file or facsimile thereof will be made available to the public for inspection via the Internet;

(M) Neither a contractor nor a state agency shall assign any interest in a contract to another party without written permission from the division;

(N) Unless otherwise specified in the contract, substitution of items, personnel, or services shall require the approval of the division prior to shipment or performance;

(O) Employees of the division, evaluators, and any other persons involved in procurement decisions shall not accept for personal benefit gifts, meals, trips, or any other thing of significant value or of a monetary advantage, directly or indirectly, from a vendor;

(P) Bidders/offerors on a list of individuals, entities, and contractors excluded from federal procurement and sales programs, non-procurement programs, and financial and non-financial benefits as provided by the General Services Administration (GSA) are precluded from contracting with the state when the procurement involves federal funds.

(11) Contracts awarded as the result of a competitive solicitation may be amended when such an amendment is in the best interest of the state and does not significantly alter the original intent or scope of the contract.

(12) A bid or proposal award protest must be submitted in writing to the director or designee and received by the division within ten (10) state business days after the date of award. A protest submitted after the ten (10) state business-day period shall not be considered. The written protest should include the following information:

(A) Name, address, and phone number of the protester;

(B) Signature of the protester or the protester’s representative;

(C) Solicitation number;

(D) Detailed statement describing the grounds for the protest; and (E) Supporting exhibits, evidence, or documents to substantiate claim.

A protest which fails to contain the information listed above may be denied solely on that

basis. All protests filed in a timely manner will be reviewed by the director or designee.

The director or designee will only issue a determination on the issues asserted in the protest. A protest, which is untimely or fails to establish standing to protest, will be summarily denied. In other cases, the determination will contain findings of fact, an analysis of the protest, and a conclusion that the protest will either be sustained or denied. If the protest is sustained, remedies include canceling the award. If the protest is denied, no further action will be taken by the division.

(13) Section 34.165, RSMo, provides for a five to fifteen (5–15) point bonus on bids/proposals submitted by qualified nonprofit organizations for the blind and qualified sheltered workshops, if the participating organization provides, at a minimum, the greater of two percent (2%) or five thousand dollars ($5,000) of the total contract value of bids/proposals for a purchase not exceeding ten (10) million dollars.

(A) The bonus points can apply if the bidder/offeror is a qualified organization for the blind or sheltered workshop or if the bidder/offeror is subcontracting with an organization for the blind or sheltered workshop.

(B) Supplies provided by an organization for the blind or sheltered workshop must provide a commercially useful function that offers added value to a contract. Supplies shall be provided exclusive to the performance of a contract, and the organization’s obligation outside of a state contract shall not be considered an added value. Services or supplies to be provided by an organization that are outside the usual and customary business of the organization may be considered not to offer added value.

(C) The bonus shall not apply if the solicitation is for a no-cost option to the state.

(D) The bidder/offeror shall submit documents as specified by the solicitation that: 1) describes the products or services the organization for the blind or sheltered workshop will provide and the percentage or dollar level of the participation which must meet or exceed the minimum participation amount specified in section 34.165, RSMo; 2) indicates the organization for the blind and sheltered workshop’s commitment to aid the bidder/offeror in the performance of the required services and the provision of the required products; 3) provides evidence of the organization for the blind and sheltered workshop qualifications such as a copy of the certification or certification number; and 4) includes affirmation from each organization for the blind and sheltered workshop that it is willing to participate in the contract in the kind and amount of work provided in the bidder/offeror’s response.

(E) If all requirements are met, the bidder/offeror shall receive a five to fifteen (5– 15) point bonus to a bid/proposal meeting specifications or bid/proposal that includes subjective or other criteria deemed in the best interest of the state and provided in the solicitation document.

1. A sliding scale for the award of points shall range from a minimum of five (5) points to a maximum of fifteen (15) points. The award of the minimum five (5) points shall be based on the bid/proposal containing a commitment that the participating nonprofit organization or workshop is providing the greater of two percent (2%) or five thousand dollars ($5,000) of the total contract value of bids for purchase not exceeding ten (10) million dollars.

2. Where the commitment in the bid/proposal exceeds the minimum level set forth in section 34.165 to obtain five (5) points, the awarded points shall exceed the minimum five (5) points, up to a maximum of fifteen (15) points. The formula to determine the awarded points for commitments above the two percent (2%) minimum shall be calculated based on the commitment in the bid/proposal (expressed as a number, not as a percentage) times two and one-half (2.5) points:

Vendor’s Commitment Number x 2.5 points = Awarded Points Examples: A commitment of 3% would be calculated as: 3 x 2.5 points = 7.5 awarded points. A commitment of 5.5% would be calculated as: 5.5 x 2.5 points = 13.75 awarded points. If an offeror’s bid/proposal lists a dollar figure, instead of a percentage, that is over the minimum amount, the dollar figure shall be converted into the percentage of the offeror’s total contract value for calculation of the awarded points. Commitments at or above six percent (6%) receive the maximum of fifteen (15) points.

(F) If the bid/proposal is awarded, the percentage or dollar level of the organization for the blind or sheltered workshop participation committed to by the bidder/offeror in required documentation is a binding contractual requirement.

(G) For procurements which utilize the award criteria of low bid meeting specifications, the following procedure will be followed in applying this preference:

1. If the low priced bidder qualifies for the preference, no further calculation is necessary;

2. If a bidder that qualifies for the preference is not low bid, the division will convert the pricing to a point comparison as outlined in the solicitation;

3. For procurements that utilize a combination of cost and subjective criteria for evaluation and award recommendation, ten (10) bonus points will be added to the evaluation points for any preference qualified bidders/offerors; and 4. The bidder/offeror with the most total points is recommended for contract award.

(H) Once a contract is awarded, a contractor shall submit on or before the fifteenth of the month immediately following the reporting period, unless another timeframe is made a report detailing all payments it made to all organizations for the blind and sheltered workshops participating in the contract. This is not required if the organization for the blind or sheltered workshop is acting as a prime contractor. However, it may be required if the prime contractor is also using other subcontractors to meet the goals outlined in the contract. The report shall be submitted to the division on a division form. The division may waive this reporting requirement at any time for good cause.

1. No dollar value of work performed under a contract by an organization for the blind and sheltered workshop after it has ceased to be certified can be counted.

2. The participation of a sheltered workshop on a contract cannot be counted until the amount being counted has actually been paid to the organization for the blind and sheltered workshop.

(I) An organization for the blind and sheltered workshop participation will be credited by the division only for the value of the work actually performed by the entity toward the division individual contract percentage or dollar level, including cost of supplies and materials obtained or leased by the entity.

The total dollar value of the work granted to the entity by the prime contractor is counted toward the applicable contract requirement.

When counting an entity for the organization for the blind and sheltered workshop participation, the division will consider the following:

1. A contractor’s entire expenditure to be paid to an organization for the blind and sheltered workshop supplier or manufacturer for material furnished which becomes a permanent part of the contract work. For the

purpose of this regulation, a manufacturer is defined as an individual or firm that produces goods from raw materials or substantially alters them before resale and is a qualified organization for the blind and sheltered workshop;

2. By counting the work an organization for the blind and sheltered workshop contractor commits to perform with its own labor as well as the work that it commits to perform with organization for the blind and sheltered workshop subcontractors and suppliers; and 3. When an organization for the blind and sheltered workshop performs as a participant in a joint venture, only the portion of work of the contract that the organization for the blind and sheltered workshop performs with its own forces shall count toward individual contract percentages or dollar levels.

(J) If a participating entity is unable to satisfactorily perform its organization for the blind and sheltered workshop participation level, or if there are other reasons the contractor needs to replace an entity, the contractor must obtain written approval from the division prior to replacing the entity. If approved, the contractor must obtain other participation in compliance with its original commitment as approved by the division. The division’s approval will not be arbitrarily withheld. If the contractor cannot obtain a replacement, it may apply to the division for a participation waiver by providing documentation detailing all efforts made to secure a replacement and a good cause statement establishing why the participation level cannot be obtained. If the contractor has met its burden of proof, the division may grant a waiver for good cause.

(K) If the contractor’s participation level or payment to a participating organization for the blind and sheltered workshop entity is less than the amount committed, and no waiver for good cause has been obtained, the division may cancel the contract and/or suspend or debar the contractor from participating in future state procurements or withhold payment to the contractor in an equal amount to the value of the participating commitment less actual payments made by the contractor to the participating entity. If the division determines that a contractor has become compliant with the commitment amount, any withheld funds will be released.

(L) At the time of contract renewal, a contractor must verify it is meeting its participation level and required payment to all organi zations for the blind and sheltered workshop entities, or the contractor must submit a statement of when such blind and sheltered participation is scheduled to occur.

If the contractor is not meeting said requirements, the contract renewal may not be processed unless and until said requirements are satisfactorily met, a cure plan is approved, the statement is accepted by the division, or a waiver for good cause is obtained from the (14) The division will encourage participation in the procurement process and fairness in consideration of bids/proposals submitted by Missouri Service-Disabled Veteran Business Enterprises (SDVEs). Programs/procedures designed to accomplish these objectives may include inclusion of SDVE subcontractor goals in solicitation documents; close review of requirements for bonding; notice of procurement opportunities on the division’s website; access to bid history and pricing abstracts on the division’s website; access to the division’s procurement staff; utilization of service-disabled personnel on evaluation committees, if available; etc.

(A) The Office of Administration will compile, maintain, and make available a listing of SDVEs to all bidders/offerors and contractors on an Office of Administration website. The listing may include the following: name; address; contact information of SDVE; the general area of commodities or services it provides; etc. The Office of Administration will also maintain statistics and issue periodic reports about SDVE participation.

(B) The following expenditures may be counted toward meeting established SDVE goals:

1. The total dollar value of a contract awarded to an SDVE;

2. The total dollars paid by a prime contractor to an SDVE for supplies and materials provided to the state in fulfillment of the contract;

3. The total dollar value of work subcontracted to an SDVE by a prime contractor;

4. That portion of the total dollar value subcontracted to a joint venture by a prime contractor equal to the percentage of the ownership and control of the SDVE partner in the joint venture.

(C) Section 34.074, RSMo, established a goal of awarding three percent (3%) of all contract value to service-disabled veteran businesses.

(D) The following standards are used by the Office of Administration in determining whether an individual, business, or organization is eligible to be listed as a Service-Disabled Veteran Business Enterprise (SDVE):

1. Doing business as a Missouri firm, corporation, or individual or maintaining a Missouri office or place of business, not including an office of a registered agent;

2. Having not less than fifty-one percent (51%) of the business owned by one (1) or more service-disabled veterans (SDVs) or, in the case of any publicly-owned business, not less than fifty-one percent (51%) of the stock of which is owned by one (1) or more SDVs;

3. Having the management and daily business operations controlled by one (1) or more SDVs;

4. Having a copy of the SDV’s Certificate of Release or Discharge from Active Duty (DD Form 214), and a disability rating letter issued by the Department of Veterans Affairs establishing a service connected disability rating, or a Department of Defense determination of service connected disability, unless the SDVE is listed with the Office of Administration on its website as previously certified in which case said documentation is not required;

5. The SDV(s) possesses the power to make day-to-day as well as major decisions on matters of management, policy, and operation;

6. All SDVE listings and renewals are effective for a period not to exceed three (3) years, unless otherwise found inapplicable;

7. If it has been determined that the SDVE at any time no longer meets the requirements stated above, it is removed from the listing.

(E) If the bidder/offeror meets the requirement of an SDVE, the bidder/offeror will receive the Missouri service-disabled veteran business preference of a three- (3-) point bonus on bids/proposals for the performance of any job or service, except for a no cost contract and any other exception provided for in this regulation as approved by the director.

(F) The three percent (3%) goal can be met, and the bonus points obtained, by a qualified SDVE vendor and/or through the use of qualified subcontractors or suppliers that provide at least three percent (3%) of the total contract value.

(G) An SDVE must provide a commercially useful function that offers added value to a contract.

(H) If a bidder/offeror is proposing SDVE vendor participation, it must provide to the division all documents specified by the solicitation including:

1. Complete information as specified by the solicitation document including a list of each proposed SDVE vendor, the committed percentage of participation for each SDVE with the corresponding dollar amount of the participation of each SDVE, and the commercially useful supplies to be provided by each listed SDVE. If the bidder/offeror is a listed SDVE vendor, then the bidder/offeror must also list itself;

2. A copy of the SDVE’s certification as a SDVE unless the SDVE is listed with the Office of Administration on its website as previously certified in which case said documentation is not required; and 3. Written documentation as specified in the solicitation from each listed SDVE that it is willing to participate in the contract in the kind and amount of work provided in the bidder/offeror’s response.

(I) If the bid/proposal is awarded, the percentage level of the SDVE participation committed to by the bidder/offeror in required documentation is a binding contractual requirement.

(J) If the solicitation will not include subjective criteria, the division will convert the pricing to a point comparison as outlined in the solicitation and add the bonus points to the cost points calculated. If the solicitation will include subjective criteria, the division must include the SDVE requirements in the solicitation document, except when a solicitation is for a no cost contract. Any other exception must be approved at the discretion of the director.

(K) Once a contract is awarded, a contractor shall submit on or before the fifteenth of the month immediately following the reporting period, unless another timeframe is made a report detailing all payments it made immediately following the reporting period to all SDVEs participating in the contract. The report shall be submitted to the division on a division form.

1. No dollar value of work performed under a contract with a firm after it has ceased to be certified can be counted toward the SDVE overall goal.

2. The participation of an SDVE subcontractor toward a contractor’s final compliance with its SDVE obligations on a contract cannot be counted until the amount being counted has actually been paid to the SDVE.

(L) SDVE participation will be credited by the division only for the value of the work actually performed by the SDVE toward the individual contract percentage, including cost of supplies and materials obtained or leased by the SDVE. The total dollar value of the work awarded to the SDVE by the prime contractor is counted toward the contract goal.

When counting SDVE participation, the division may consider the following:

1. A contractor’s entire expenditure to be paid to an SDVE supplier or manufacturer for material or services furnished which becomes a permanent part of the contract work. For the purpose of this regulation, a manufacturer shall be defined as an individual or firm that produces goods from raw materials or substantially alters them before resale;

2. By counting the work an SDVE contractor commits to perform with its own labor as well as the work that it commits to perform with SDVE subcontractors and suppliers; and 3. When an SDVE performs as a participant in a joint venture, only the portion of work of the contract that the SDVE performs with its own forces will count toward SDVE individual contract percentages.

(M) If a contractor is unable to satisfactorily meet its SDVE contractual commitment, or if there are other reasons the vendor needs to replace an SDVE, the contractor must replace the business per the terms of the contract. If the contractor cannot obtain a replacement per the terms of the contract, it may apply to the division for a participation waiver by providing documentation detailing all efforts made to secure a replacement and a good cause statement establishing why the participation level cannot be obtained. If the contractor has met its burden of proof, the division may grant a waiver of the contractual obligation for good cause.

(N) If the contractor’s payment to a committed SDVE is less than the amount committed, and no waiver of the contractual obligation for good cause has been obtained, the state may cancel the contract and/or suspend or debar the contractor from participating in future state procurements or withhold payment to the contractor in an equal amount to the value of the participating commitment less actual payments made by the contractor to the participating business. If the division determines that a contractor has become compliant with the commitment amount, any withheld funds will be released.

(O) At the time of contract renewal, a contractor must verify it is meeting its participation level and required payment to all SDVEs, or the contractor must submit a statement of when such SDVE participation is scheduled to occur. If the contractor is not meeting said requirements, the contract renewal may not be processed unless and until said requirements are satisfactorily met, a cure plan is approved, the statement is accepted by the division, or a waiver for good cause is obtained from the division.

(15) The division director or designee will evaluate each recommendation in conjunction with each agency designee. The division will either accept or reject each recommendation or request additional clarification from each evaluation team.

(16) For solicitations using weighted criteria evaluations, the evaluation criteria and point assessment assigned to each criterion, as well as the award process, will be specified in the solicitation documents. The point assessment assigned to each evaluation criteria will not be changed after the final end date and time for submission of the initial bids/responses has passed. The division will consult with the applicable agency to determine which criteria are most important. Points assigned to cost do not have to be fifty percent (50%) or more of the assigned points.

(17) Any clerical error, apparent on its face, may be corrected by the division before contract award. Upon discovery of an apparent clerical error, the division will contact the bidder/offeror to request clarification of the intended bid/proposal and the correction will be incorporated in the notice of award, if applicable. Examples of apparent clerical errors are misplacement of a decimal point and obvious mistake in designation unit.

(18) Minor technicalities or irregularities in bid/proposals can be waived by the division if the waiver does not create a competitive advantage for any bidder/offeror. Such waiver is appropriate for a condition that does not conform with a mandatory requirement of the solicitation document, and therefore could otherwise be considered non-responsive, but is so minor in nature, or cannot otherwise be met by all bidders/offerors, that to determine non-responsiveness could be considered unreasonable and would not be to the state’s advantage.

(19) The division has the right to request clarification of any portion of the bidder/offeror’s response in order to verify the intent of the bidder/offeror.

(20) When evaluating a bid/proposal, the division has the right to consider relevant information and fact, whether gained from a bid/proposal response, from a bidder/offeror, from a bidder/offeror’s references, or from any other source. Any information submitted with a bid/proposal response, regardless of the format or placement of such information, may be considered in making decisions related to the responsiveness and merit of a bid/proposal and the award of a contract.

(21) Awards are to be made to the bidder/offeror whose bid/proposal complies with— (A) All mandatory specifications and requirements of the bid/proposal;

(B) Is the lowest and best bid/proposal in accordance with the evaluation methodology outlined in the bid/proposal; and (C) Complies with Chapter 34, RSMo, other applicable Missouri statutes, and all applicable Executive Orders.

(22) With regard to competitive negotiation procurements, the basic steps of the evaluation should generally include the following:

(A) Proposals are reviewed for non-responsiveness (non-compliance) with mandatory requirements in the solicitation document. In conjunction with the evaluation committee, if applicable, the division will obtain any clarifications to a response necessary to make a determination of compliance or non-responsiveness. A proposal which contains nonresponsiveness issues which could never be expected to be brought into compliance, even if given an opportunity for competitive negotiations, is considered unacceptable or nonresponsive and eliminated from further consideration in the evaluation. Proposals with non-responsiveness issues which could be corrected during competitive negotiations, if conducted, are considered potentially acceptable and remain in the evaluation process until a decision is made in regard to competitive negotiations. If competitive negotiations are not conducted, proposals with nonresponsiveness issues are considered nonresponsive and are eliminated from further consideration in the evaluation. If competitive negotiations are conducted, the non-responsiveness issues are identified as deficiencies in the best and final offer request;

(B) Unless shortlisting of proposals has been determined to be appropriate, when competitive negotiations are necessary regarding the Request for Proposal, the division will request a written best and final offer (BAFO) from each potentially acceptable offeror. Although not required, the BAFO letter should identify all proposal deficiencies that may make the proposal unacceptable.

The BAFO request letter should provide the offeror the opportunity to reconsider any other aspect of its proposal, including pricing. All offerors will be given the same amount of time to respond to the BAFO request, but the issuance of a request letter does not necessarily have to be simultaneous.

1. Negotiations may be conducted with only a shortlist of offerors who have submitted proposals if the solicitation permits shortlisting and if the solicitation identifies the method by which the shortlist of offerors will be determined. Shortlisting may also be used to limit the number of offerors demonstrating their products or solutions, or having their products or solutions examined or tested by the agency. Even if shortlisting is permitted, negotiations may still be conducted with all potentially acceptable offerors;

(C) Request for Proposal revisions may be permitted for the purpose of obtaining best and final offers and making changes to the proposal that are in the best interest of the state;

(D) The division may issue more than one (1) round of negotiations via the BAFO process; and (E) When conducting competitive negotiations, there shall be no disclosure of any information submitted by competing offerors.

(23) The division will encourage participation in the procurement process and fairness in consideration of bids/proposals submitted by Minority Business Enterprises (MBEs) and Women’s Business Enterprises (WBEs).

Programs/procedures designed to accomplish these objectives may include: inclusion of M/WBE requirements in solicitation documents, close review of requirements for bonding, experience and insurance requirements, contract unbundling, targeted notice of procurement opportunities, utilization of minority and women personnel on evaluation committees, if available, etc.

(A) Percentage Requirements and Compliance. Executive Order 15-06 states that the State of Missouri’s Annual Aspirational Program Goals for Minority- and Women- Business Enterprises (M/WBE) are both ten percent (10%) of all state annual procurement funds expended by executive branch agencies.

These goals are a benchmark by which M/WBE opportunities to participate in state procurement are monitored and evaluated.

These ten percent (10%) goals do not authorize or require the division to set M/WBE individual contract percentages at the ten percent (10%) level, or any other particular level, or to take any special administrative steps if the percentages are above or below ten percent (10%).

1. The division may use individual contract percentages to help meet the State’s Annual Aspirational Program Goals. The division may establish individual contract percentages, with support from the Office of Equal Opportunity (OEO). The division may set each contract percentage by reviewing the type of goods or services being procured, elements of work to be performed, time frame, and geographical location, history of M/WBE and non-M/WBE usage, and availability of ready, willing, and able M/WBEs certified by OEO. The percentages will be expressed in the bid document as a percentage of the total contract value. Individual contract percentages may be set higher than the State’s Annual Aspirational Program Goals where availability of M/WBEs has been demonstrated to be higher. Likewise, individual contract percentages may be set lower in areas where availability of M/WBEs has been demonstrated to be lower.

2. Bidders/Offerors must, in order to be responsive, make sufficient good faith efforts to meet M/WBE contract percentages. The bidder/offeror can meet the individual contract percentages in either one (1) of two (2)

ways. First, the bidder/offeror can meet the percentages through documenting commitments for participation by M/WBEs sufficient to meet the M/WBE contract percentages. Second, the bidder/offeror can document adequate good faith efforts pursuant to subsection (23)(I) by demonstrating the bidder/offeror took all necessary and reasonable steps to achieve the M/WBE contract percentages, but was unable to achieve it.

(B) M/WBE individual contract percentages can be met by a qualified M/WBE vendor and/or through the use of qualified M/WBE subcontractors, suppliers, joint ventures, or other arrangements that afford meaningful opportunities for M/WBE participation. The M/WBE vendor shall be certified by OEO on the opening date of a bid/proposal. If an M/WBE vendor’s certification has expired or otherwise ended, but the vendor had submitted its renewal application or other supporting documents to OEO prior to the bid/proposal opening and certification is reinstated prior to contract award, then the M/WBE vendor shall be considered qualified.

(C) Supplies provided by M/WBE vendors must provide a commercially useful function that provides added value to a contract. Supplies shall be provided exclusive to the performance of a contract, and an M/WBE vendor’s obligation outside of a state contract shall not be considered an added value to the contract.

(D) M/WBE Participation Computed.

M/WBE participation will be credited by the division only for the value of the work actually performed by the M/WBE toward the division individual contract percentage, including cost of supplies and materials obtained or leased by the M/WBE. The total dollar value of the work granted to the M/WBE by the prime contractor is counted toward the applicable goal of the entire contract. When counting M/WBE participation, the division may consider the following:

1. A contractor’s entire expenditure to be paid to an M/WBE supplier or manufacturer for supplies furnished which becomes a permanent part of the contract work. For the

purpose of this regulation, a manufacturer is defined as an individual or firm that produces goods from raw materials or substantially alters them before resale and is an OEO certified M/WBE;

2. By counting the work an M/WBE contractor commits to perform with its own labor as well as the work that it commits to perform with M/WBE subcontractors and suppliers; and 3. When an M/WBE performs as a participant in a joint venture, only the portion of work of the contract that the M/WBE performs with its own forces shall count toward M/WBE individual contract percentages.

(E) If a bidder/offeror is proposing M/WBE vendor participation it must provide to the division all documents specified by the solicitation, which may include:

1. Bid/proposal forms outlining the name, address, and telephone number of each and the M/WBE commitment percentage with the corresponding dollar amount of the participation of each M/WBE;

2. Bid/proposal forms outlining M/WBE participation and a description of what services or supplies the vendor will supply;

3. M/WBE vendor certification number or copy of certification issued by OEO; and 4. Written documentation as required in the solicitation from each listed M/WBE that it is willing to participate in the contract in the kind and amount of work provided in the bidder/offeror’s response.

(F) If the bidder/offeror’s bid/proposal is awarded, the percentage level of the M/WBE vendor participation committed to by the bidder/offeror is a binding contractual requirement.

(G) A bidder/offeror that is certified as both an MBE and WBE can meet both MBE and WBE individual contract percentages as long as the bidder/offeror is performing at least the total of the target MBE and WBE percentage of the contract value.

(H) If the solicitation will not include subjective criteria, the division is not required to address M/WBE contract percentages in the solicitation. If the solicitation will include subjective criteria, the division must include the M/WBE individual contract percentages in the solicitation document, except when a solicitation is for a no cost contract. Any other exception must be approved at the discretion of the director.

(I) Good Faith Waiver. A bidder/offeror is required to make a good faith effort to locate and contract with M/WBEs. If a bidder/offeror has made a good faith effort to secure the required M/WBE participation and has failed, the bidder/offeror may submit with its bid proposal the information requested on forms provided with the bid documents. The division will review the bidder/offeror’s actions as set forth in the bidder/offeror’s submittal documents and other factors deemed relevant by the division, to determine if a good faith effort has been made to meet the applicable contract percentages. If the bidder/offeror is judged not to have made a good faith effort, the bid will be rejected.

1. Bidders/offerors who demonstrate that they have made a good faith effort to include M/WBE participation will not have their bids/proposals rejected regardless of the percent of M/WBE participation, provided the bids/proposals are otherwise acceptable.

2. In reaching a determination of good faith, the director may evaluate, but is not limited to, the following factors:

A. The efforts to develop and sustain a working relationship with M/WBEs, including attending pre-bid conferences and matchmaking meetings and events;

B. The bidder’s/offeror’s efforts and methods to provide M/WBEs with full sets of plans, specifications, or appropriate information in a timely manner to assist the M/WBE in responding to the bidder’s/offeror’s solicitation. This could include conducting market research to identify M/WBEs, and providing emails or written notices to relevant OEO certified M/WBEs listed in OEO’s directory, and which are located in the applicable area or surrounding areas as early in the acquisition process as practicable;

C. The bidder’s/offeror’s efforts to make initial contact with at least three (3) relevant OEO-certified M/WBEs, its follow-up with the contacted M/WBEs, and whether the bidder/offeror received a proposal from a certified M/WBE for the relevant categories of work;

D. The bidder’s/offeror’s efforts to assist interested M/WBEs in obtaining bonding, lines of credit, or insurance as required by the division, or the efforts made to assist in obtaining necessary equipment, supplies, materials, or related assistance or services;

E. The extent to which the bidder/offeror divides work into projects suitable for subcontracting to M/WBEs, including, where appropriate, breaking out contract work items into economically feasible units, for example, smaller tasks or quantities to facilitate M/WBE participation, even when the bidder/offeror might otherwise prefer to perform the work with its own forces. Prime contractors are not, however, required to accept higher quotes from M/WBEs if the price difference is excessive or unreasonable, but the fact that there may be some additional costs involved in finding and using M/WBEs is not in itself sufficient reason for a bidder’s/offeror’s failure to meet the individual contract M/WBE percentages, as long as such costs are reasonable;

F. The bidder’s/offeror’s ability to provide sufficient evidence in the form of documentation that supports the information provided;

G. Actual past participation of M/WBEs achieved by the bidder/offeror with contracts established by the division;

H. The reasons provided by the bidder/offeror for the inability to reach the individual contract percentages, and the ability of other bidders/offerors to meet the percentages, if applicable;

I. An insufficient good faith effort is the rejection of an M/WBE because its quotation for the work was not the lowest received. However, as noted above, a bidder/offeror is not required to accept an excessive or unreasonable quote in order to satisfy contract percentages; and J. When a non-M/WBE subcontractor is selected over an M/WBE subcontractor, the division may require the bidder/offeror to submit copies of each M/WBE and non- M/WBE subcontractor quote to review whether the M/WBE prices were substantially higher; and the division may contact the M/WBE subcontractor to inquire as to whether the firm was contacted by the prime bidder/offeror. Pro forma mailings to M/WBEs requesting bids are not alone sufficient to satisfy good faith efforts.

(J) Once a contract is awarded, a contractor shall submit on or before each fifteenth of the month, unless another timeframe is made, a report detailing all payments it made immediately following the reporting period to all M/WBEs participating in the contract.

The report shall be submitted to the division on a division form. The division may waive this reporting requirement at any time for good cause. The amounts submitted may be verified by the division, OEO, or the Contract Oversight Office.

1. No dollar value of work performed under a contract with a firm after it has ceased to be certified can be counted toward the M/WBE overall goal.

2. The participation of a M/WBE subcontractor toward a contractor’s final compliance with its M/WBE obligations on a contract cannot be counted until the amount being counted has actually been paid to the M/WBE.

(K) The director will maintain records identifying and assessing the contractor’s progress in achieving and maintaining M/WBE contract percentages. These records should show— 1. The amount and nature of awards made by the contractor to M/WBE vendors/suppliers/manufacturers; and 2. Monthly reports from the contractor on its progress in meeting M/WBE percentages, unless a different interval for reporting has been approved.

(L) Termination or Substitution of an M/WBE. If an M/WBE is unable to satisfactorily perform its participation level, or if there are other reasons the contractor needs to replace an M/WBE, the contractor for good cause can obtain written approval from the division prior to replacing the entity.

1. Before a contractor transmits to the division its request to terminate and/or substitute an M/WBE, the contractor must give notice in writing to the M/WBE subcontractor, with a copy to OEO and the division, of its intent to request to terminate and/or substitute, and the reason for the request. The contractor must give the M/WBE five (5) business days to respond to the contractor’s notice and advise the OEO and the division and the contractor of the reasons, if any, why it objects to the proposed termination of its subcontract and why OEO and the division should not approve the contractor’s action. If required in a particular case as a matter of public necessity (e.g., safety), the contractor may reduce or waive the response period as approved by the division.

2. For purposes of this subsection, good cause for approval of a request for termination or substitution for an M/WBE includes, but is not limited to, the following:

A. The listed M/WBE subcontractor fails or refuses to execute a written contract;

B. The listed M/WBE fails or refused to perform the work of its subcontract in a way consistent with normal industry standards, provided, however, that good cause does not exist if the failure or refusal by the M/WBE subcontractor to perform its work on the subcontract resulted from the bad faith or discriminatory action of the prime contractor;

C. The listed M/WBE subcontractor fails or refuses to meet the prime contractor’s reasonable, nondiscriminatory bond requirements;

D. The listed M/WBE subcontractor becomes bankrupt, insolvent, or exhibits credit unworthiness;

E. The listed M/WBE subcontractor is ineligible to work on projects because of suspension or debarment proceedings;

F. The listed M/WBE subcontractor is not a responsible contractor as determined by the division;

G. The listed M/WBE subcontractor voluntarily withdraws from the project and provides the prime contractor written notice of its withdrawal, or the withdrawal is otherwise confirmed by the division;

H. The listed M/WBE subcontractor is ineligible to receive M/WBE credit for the type of work required;

I. The listed M/WBE subcontractor owner dies or becomes disabled with the result that a listed M/WBE prime contractor is unable to complete its work on the contract; and J. Other documented good cause that the division determines compels the termination of an M/WBE subcontractor. But good cause does not exist if the prime contractor seeks to terminate an M/WBE it relied upon to obtain the contract so that the prime contractor can self-perform the work for which the M/WBE subcontractor was engaged or so that the prime contractor can substitute another M/WBE or non-M/WBE after contract award without good cause.

3. If approved, the contractor must make good faith efforts to meet the contractual commitment to the contract goal. These good faith efforts shall be directed at finding another M/WBE to perform at least the same amount of work under the contract as the M/WBE that was terminated, to the extent needed to meet the contract goal. OEO and the division’s approval shall not be arbitrarily withheld. If the contractor cannot obtain a replacement, it may apply to the division for a participation waiver by providing documentation detailing all good faith efforts made to secure a replacement and a good cause statement establishing why the participation level cannot be obtained. If the contractor has met its burden of proof, the division, after consulting with OEO, may grant an M/WBE waiver for good cause.

4. The good faith efforts shall be documented by the contractor. If the division requests documentation under this subsection, the contractor shall submit the documentation within seven (7) business days, which may be extended for an additional seven (7) business days, if necessary, at the request of the contractor.

5. The division will provide a written determination to the contractor stating whether or not good faith efforts have been demonstrated.

(M) If the contractor’s participation level or payment to a participating M/WBE entity is less than the amount committed, and no M/WBE waiver for good cause has been obtained, the division may cancel the contract and/or suspend or debar the contractor from participating in future state procurements for a period of six (6) months or longer, up to permanent debarment, or withhold payment to the contractor in an equal amount to the value of the participating commitment less actual payments made by the contractor to the participating entity. If the division determines that a contractor has become compliant with the commitment amount, any withheld funds are to be released. Any suspension or debarment based on such noncompliance may be rescinded by the division at its discretion.

1. A contractor may appeal a suspension or debarment to the commissioner by filing a written appeal no later than twenty (20) calendar days from the date on the notice of suspension or debarment issued by the division.

The suspension or debarment remains in effect pending the results of the appeal.

(N) At the time of contract renewal, a contractor must verify it is meeting its participation level and required payment to all M/WBE entities, or the contractor must submit a statement of when such M/WBE participation is scheduled to occur. If the contractor is not meeting said requirements, the contract renewal shall not be processed unless and until said requirements are satisfactorily met, a cure plan is approved, the statement is accepted by the division, or an M/WBE waiver for good cause is obtained from the (24) For a delegation of authority by the division to a state agency, the delegation will contain any restrictions on the agency’s management of the solicitation, including those related to use of weighted criteria, M/WBE participation, and competitive negotiations.

(A) A “department” as defined in section 34.010, RSMo may be delegated general procurement authority. This delegated authority may stipulate dollar limits and other limits for specific types of purchases, and list the procedures to be followed for procurements processed by the “department.”

(B) A “department” as defined in section 34.010, RSMo may be delegated authority for special types of procurements on an individual basis for a limited time period, with the written authorization listing the procedures to be followed in making such procurements.

(C) Procurements not delegated to a “department” as defined in section 34.010, RSMo are to be referred to the division for processing.

(D) The Commissioner of Administration has determined that the Department of Mental Health’s services for its patients, residents, and clients can best be purchased by the department with funds appropriated for that purpose and waives procedures of Chapter 34, RSMo, related to cost and pricing, so that the department may evaluate competitive proposals on the basis of quality and other variables exclusive of price.

(25) Commercially Useful Function. For a bid or proposal that contains a commitment to use a blind or sheltered workshop, service disabled veteran enterprise, or a minority or women business enterprise, those activities must provide a commercially useful function that offers added value to the contract.

(A) An entity performs a commercially useful function when it is responsible for executing a distinct element of the work of the contract and is carrying out its responsibilities by actually performing, managing, or supervising the work involved. To perform a commercially useful function, the entity must also be responsible, when applicable, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material, installing (where applicable), and paying for the material itself. Materials and supplies shall be provided exclusive to the performance of a contract, and an entity’s obligation outside of a state contract shall not be considered an added value. Services or supplies to be provided by an entity that are outside the usual and customary business of the entity may be considered not to offer added value.

(B) To determine whether an entity is performing a commercially useful function, the division may evaluate the amount of work subcontracted, whether the amount the entity is to be paid under the contract is commensurate with the work it is actually performing and the entity’s credit claimed for its performance of the work, and other relevant factors.

(C) An entity does not perform a commercially useful function if its role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance of participation by the entity. In determining whether an entity is such an extra participant, the division may examine similar transactions, particularly those in which such entities do not participate.

(D) If an entity does not perform or exercise responsibility for at least thirty percent (30%) of the total cost of its contract with its own work force, or the entity subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of work involved, the director will presume that it is not performing a commercially useful function.

(E) When an entity is presumed not to be performing a commercially useful function as provided in this rule, the entity may present evidence to rebut this presumption. The director may determine if the entity is performing a commercially useful func tion given the type of work involved and normal industry practices.

(26) Reverse Auctions. A procurement involving a reverse auction process shall include:

(A) The qualifications, if any, for the prospective vendors;

(B) The process to be followed for the reverse auction, including that of the vendors;

(C) The merchandise, supplies, raw materials, or finished goods to be procured; and (D) The evaluation criteria to determine the winning vendor, with price as the primary factor in evaluating bids. A reverse auction shall not be used for supplies covered by section 34.047, RSMo.

Rescinded and readopted: Filed Oct. 20, 1997, effective May 30, 1998. Amended:

2000. Amended: Filed June 1, 2011, effective Nov. 30, 2011. Amended: Filed April 5, 2016, effective Nov. 30, 2016. Amended: Filed Oct. 2, 2018, effective April 30, 2019. Amended:

Filed March 15, 2022, effective Sept. 30, 2022. *Original authority: 34.050, RSMo 1939, amended 1945, 1993, 1995; 34.074, RSMo 2008, amended 2010; and 630.405, RSMo 1980, amended 1993, 1995, 2001, 2011.

History

• AUTHORITY: sections 34.050, 34.074, and 630.405.5, RSMo 2016. Original rule filed Oct. 15, 1992, effective June 7, 1993.

1 CSR 40-1.060 Vendor Registration, Notification of Bidding Opportunities, Suspension, and Debarment {#sec-1-csr-40-1.060 omnilex-key=us-mo-regs-official--title-1--1 CSR 40-1.060}

PURPOSE: This rule describes procedures for vendor registration, vendor notification of bidding opportunities and procedures for suspension and debarment of vendors.

(1) Any individual, business or organization may complete a vendor registration in order to be added to the official vendor data base.

It is the vendor’s sole responsibility to update their vendor registration information.

(2) A person, business, or corporation contracting with the state shall be considered as an independent contractor and shall not be considered nor represent him/herself as an employee or agency of the state. A corporation must be authorized to do business in Missouri by registering with the Office of the Secretary of State before proceeding with work under a contract unless specifically exempt pursuant to section 351.572, RSMo.

(3) The division may institute an annual fee to allow registered vendors the ability to receive automatic email notification of bidding opportunities for their selected commodity/service codes through the online registration system and the ability to submit electronic bids.

(4) Email notification and online bidding capabilities will be limited to those vendors that have properly registered and paid the annual fee, if required.

(5) The division may include contract clauses requiring the awarded contractor to issue a payment to the state or the state’s designee for a stated percentage as outlined in the contract.

(6) The director, or designee, may suspend a vendor for cause. The vendor shall be mailed a formal notice of suspension outlining the reasons for, the specific conditions of, and the effective period of the suspension. Upon completion of the suspension period it shall be the responsibility of the vendor to request reinstatement if desired. A request for reinstatement should be made in writing.

(A) Any bids/proposals submitted by the suspended vendor shall not be considered.

(B) The suspension of a vendor may be for a period of up to one hundred eighty (180) days for a first violation and for not more than a year for subsequent violation(s).

(C) The vendor may appeal suspension by submitting a written request to the director or commissioner within fourteen (14) calendar days after receipt of the formal notice. The vendor must provide specific evidence and reasons why suspension is not necessary. On the basis of this information, the suspension may be modified, rescinded, or affirmed.

The decision shall be final and mailed to all parties.

(7) The director may debar a vendor whenever, in the director’s sole discretion, it is in the best interest of the state to do so. A vendor may be debarred for a single incident of serious misconduct or after multiple less serious incidents. The director shall notify the vendor of the reason for debarment and any action the vendor must take in order to be found eligible to contract again.

(A) Any bids/proposals submitted by the debarred vendor shall not be considered.

(B) The vendor may appeal the debarment by requesting that the determination be reviewed by the commissioner of administration or the commissioner’s designee. Any request for review must be in writing and filed with the commissioner within fourteen (14) calendar days after the date of receipt of the notice of debarment. The request must set forth specific evidence and reasons why debarment should be reversed. The commissioner’s determination shall be final and shall be mailed to all parties involved.

(8) The following shall be sufficient cause for suspension or debarment. The list is not meant to be all inclusive but shall serve as a guideline for vendor discipline and business ethics— (A) Failure to perform in accordance with the terms and conditions and requirements of a contract/purchase order;

(B) Violating any federal, state, or local law, ordinance, or regulation in the performance of a contract/purchase order;

(C) Providing false or misleading information on an application, in a bid/proposal, or in correspondence to the division or a state agency;

(D) Failing to honor a bid/proposal for the length of time specified;

(E) Colluding with others to restrain competition;

(F) Obtaining information, by whatever means, related to a proposal submitted by a competitor in response to a Request for Proposal in order to obtain an unfair advantage during the negotiation process;

(G) Contacting proposal/bid evaluators or any other person who may have influence over the award, without authorization from the division, for the purpose of influencing the award of a contract; or (H) Giving gifts, meals, trips, or any other thing of value or a monetary advantage for personal benefit, directly or indirectly, to an employee of the division or to any evaluator of bids/proposals.

Filed Oct. 20, 1997, effective May 30, 1998.

Amended: Filed March 24, 2000, effective Oct. 30, 2000. Amended: Filed June 14, 2005, effective Dec. 30, 2005. Amended:

Filed June 1, 2011, effective Nov. 30, 2011. *Original authority: 34.050, RSMo 1939, amended 1945, 1993, 1995.

History

• AUTHORITY: section 34.050, RSMo 2000. Original rule filed Oct. 15, 1992, effective June 7, 1993. Rescinded and readopted:

1 CSR 40-1.070 Minority/Women Business Enterprise Participation in Procurement Process {#sec-1-csr-40-1.070 omnilex-key=us-mo-regs-official--title-1--1 CSR 40-1.070}

(Moved to 1 CSR 10-17.050)

1 CSR 40-1.080 Minority/Women Business Enterprise Certification {#sec-1-csr-40-1.080 omnilex-key=us-mo-regs-official--title-1--1 CSR 40-1.080}

(Moved to 1 CSR 10-17.040)

1 CSR 40-1.090 Waiver of Procedures Contained in Chapter 34, RSMo, Related to Cost and Pricing {#sec-1-csr-40-1.090 omnilex-key=us-mo-regs-official--title-1--1 CSR 40-1.090}

Filed Oct. 2, 2018, effective April 30, 2019.

History

• AUTHORITY: section 630.405.5, RSMo Supp. 2001. Original rule filed Nov. 26, 2002, effective May 30, 2003. Rescinded:

Division 50 Missouri Ethics Commission

Chapter 1 Organization

1 CSR 50-1.010 General Organization {#sec-1-csr-50-1.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-1.010}

PURPOSE: This rule describes the general organization of the commission and the methods and procedures people may use to obtain information about the commission, as required by section 536.023, RSMo.

(1) The Missouri Ethics Commission was created by section 105.955, RSMo. Section 105.955.14, RSMo sets forth the commission’s duties and responsibilities relevant to the impartial and effective enforcement of sections 105.450 to 105.498 and Chapter 130, RSMo.

(2) The commission consists of six (6) members. Not more than three (3) members of the commission shall be members of the same political party, nor shall more than one (1) member be from any one United States congressional district. All members shall be appointed by the governor without compensation. The commission shall biannually elect one (1) of its members as chairperson of the commission.

(3) The commission shall appoint an executive director who shall serve subject to the supervision of and the pleasure of the commission, but in no event for more than six (6) years. The executive director shall be responsible for the administrative operations of the commission and perform such other duties as may be delegated or assigned to him/her by law or by rule of the commission. The executive director shall employ staff and retain such contract services as s/he deems necessary, within the limits authorized by appropriations of the general assembly.

(4) The general public may obtain information about the commission or make submissions to the commission at the commission’s offices in Jefferson City, Missouri.

(5) The commission holds periodic meetings, a part of which are open to the public, in Jefferson City or in other cities as designated by the commission. Notice of these meetings appear at the commission’s offices or by mail to persons requesting this notice.

ROBINCARNAHAN(1/30/08)

History

• AUTHORITY: section 105.955.14(7), RSMo 2000. Original rule filed March 24, 1997, effective Sept. 30, 1997. Amended: Filed Sept. 4, 2007, effective Feb. 29, 2008. Original authority: 105.955, RSMo 1991, amended 1994, 1995, 1996, 1997, 1999.

Chapter 2 Hearing Procedures for Enforcement Cases

1 CSR 50-2.015 Initiation of Enforcement Case {#sec-1-csr-50-2.015 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.015}

PURPOSE: This rule sets forth the manner in which a case is initiated.

(1) A case initiated pursuant to subsection 3 of

section 105.961, RSMo, shall be commenced after the commission has received and reviewed a report from a special investigator made pursuant to subsection 1 of section 105.961, RSMo, or an audit conducted pursuant to section 105.959, RSMo, and the commission has concluded, based upon such report or upon such audit, that there are reasonable grounds to believe that a violation of any law has occurred which would authorize the commission to take action pursuant to section 105.961, RSMo. Upon such conclusion— (A) A complaint, directed to the object(s) of the special investigator’s report or audit, shall be prepared as provided by section 536.063, RSMo;

(B) Such complaint shall be filed with the commission and shall affirmatively request relief within the jurisdiction of the commission should the commission determine, after conducting a hearing, that probable cause exists to find the person named in the complaint in violation of the provisions of law set forth in the complaint;

(C) If any commissioner, the attorney general or any member of their staff is the subject of any investigation or complaint, or is in any manner related or connected to the subject of any investigation or com plaint to a degree indicative or suggestive of a conflict of interest, neither the commissioner nor commission staff members, the attorney general, nor any assistants shall participate in any manner in the handling or disposition of the investigation and complaint; and (D) An amended complaint may be filed without the commission’s leave any time before the respondent serves a responsive pleading, but no later than ten (10) days before a scheduled hearing. An amended complaint may be filed with the commission’s leave at any time before the hearing by the requesting party filing a motion to amend the complaint with the commission. The motion shall include the amended complaint proposed to be filed. Nothing in this rule shall prevent an amendment of the complaint to conform to the evidence.

(2) The executive director shall issue and serve in the name of the commission, a written notice, together with a copy of the complaint, requiring the person named in the complaint, hereafter referred to as “respondent,” to answer the charges at a hearing before the commission, at a time and place as specified in the notice. Such written notice shall be given at least ten (10) days before a hearing unless otherwise consented to by the parties.

(3) The commission shall be a party to the action and shall be represented as provided in

section 105.955.15(4), RSMo.

(4) The hearing shall be conducted in the manner provided by sections 536.063 to 536.090, RSMo.

(5) Any period of time prescribed or allowed by these rules or by other order of the commission, which is not otherwise specifically provided for, shall be computed as provided by the Missouri Rules of Civil Procedure and Chapters 105 and 536, RSMo.

(A) The commission may extend the time set by these rules or set by the commission either before or after the time period has expired.

(B) A party may move for an extension of the time set by these rules or set by the commission. The motion shall be in writing and shall state whether any party objects to the extension or that efforts to contact the nonmoving party have been futile.

(6) A licensed attorney who has not previously entered an appearance on behalf of a person before the commission pursuant to

rule 1 CSR 50-4.010 shall enter an appearance in writing with the commission as provided in that rule.

Supp. 2015, and section 105.961.3, RSMo Supp. 2013.* Original rule filed March 24, Filed Sept. 4, 2007, effective Feb. 29, 2008.

Amended: Filed Sept. 1, 2015, effective Feb. 29, 2016.

1 CSR 50-2.020 Pleadings {#sec-1-csr-50-2.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.020}

PURPOSE:

This rule defines the form and procedures for the filing of pleadings during the enforcement case hearing process.

(1) Once a complaint has been filed under 1 CSR 50-2.015 an answer to the complaint shall not be required. If no answer is filed, the allegations in the complaint shall be deemed denied. However, if an answer is filed, any allegation in the complaint not answered shall be deemed admitted. If an answer is filed, it shall be filed within the time limits and in the same manner specified for filing an answer under the Missouri Rules of Civil Procedure, unless the commission grants an extension of time for filing for good cause shown upon written motion. Any affirmative allegation and any allegation of new matter contained in an answer shall be deemed denied without the necessity of a reply.

(2) All papers and copies for filing and service shall be typewritten on good-quality white paper eight and one-half by eleven inches (8 1/2 × 11") in approximate size.

Copies may be reproduced by any printing or duplicating process providing a clear image.

(3) Each document shall bear on the first page the caption, descriptive title, and number of the matter in which it is filed and shall identify the party on whose behalf it is filed.

Each document shall contain on the final page the name, address, and telephone number and Missouri bar number of the attorney in active charge of the case, or name, address, and telephone number of the party if appearing pro se.

(4) When filing a pleading, the following process applies:

(A) Any person filing any pleading or documents with the commission with respect to a complaint shall file an original with the commission, and shall provide one (1) copy to each of the other parties at the time the document is filed. The person filing the pleading or document shall certify that s/he has mailed, delivered, or otherwise provided a copy of the pleading or document to all other parties, or the commission shall not accept the pleading or document for filing. Copies of all written communications to the commission shall be served on all other parties;

(B) For purposes of the rule, the parties may agree to electronic transmission of a pleading or motion by means of facsimile or e-mail. If filing by electronic transmission, any pleading or motion shall have the same effect as the filing of an original document. A facsimile or electronic signature shall have the same effect as an original signature. The person filing a pleading or other filing by electronic transmission shall retain the signed filing and make it available upon order of the commission; and (C) Electronic filings received at the commission at or before 5:00 p.m. of a regular workday are deemed filed as of that day.

Filings received after 5:00 p.m. are deemed filed on the next day not a Saturday, Sunday, or legal holiday. Time of receipt shall be determined by the commission machine or computer receiving the filing. If a document filing is not received by the commission or if it is illegible, it is deemed not filed.

Supp. 2015, sections 105.961.3 and 536.063, RSMo Supp. 2013, and section 536.068.1, RSMo 2000.* Original rule filed March 24, Filed Sept. 4, 2007, effective Feb. 29, 2008.

Amended: Filed Sept. 1, 2015, effective Feb. 29, 2016. 1995, 1996, 1997, 1999, 2010, 2015; 105.961, RSMo 1991, amended 1997, 2010; and 536.068, RSMo 1957, amended 2011.

1 CSR 50-2.030 Ex Parte Communications {#sec-1-csr-50-2.030 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.030}

PURPOSE: This rule indicates inappropriate communications between the parties or their representatives and commission members.

(1) A party or the party’s representative shall not communicate, directly or indirectly, with any member of the commission in connection with any issue of fact or in connection with any other substantive issue relating to a specific case except upon notice and opportunity for all parties to participate.

(2) The commission staff may communicate with the commission in an effort to settle cases pending before the commission without providing notice and an opportunity to be heard by all parties.

Supp. 2015.* Original rule filed March 24,

1 CSR 50-2.040 Prehearing Conferences dures and scope of prehearing conferences. {#sec-1-csr-50-2.040 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.040}

(1) Requests for a prehearing conference shall be in writing and shall plainly state the requested purpose(s) for the prehearing conference, consistent with the purposes identified in 1 CSR 50-2.040(4). Requests should be submitted no later than seven (7) days before a scheduled hearing.

(2) The commission, or a presiding commissioner designated for that purpose, may hold one (1) or more prehearing conferences for the purpose of facilitating the hearing process, ruling on procedural motions, and making other determinations as may be necessary for the efficient function of the hearing process.

(3) The prehearing conference shall be held by teleconference, or videoconference if available, unless the commission or presiding commissioner shall decide an in-person conference is required.

(4) The purpose of the prehearing conference may be to— (A) Determine the date, location, and length of the hearing;

(B) Simplify the issues;

(C) Obtain admissions as to, or stipulations of, facts not in dispute or authenticate documents which might properly shorten the hearing;

(D) Determine and discuss the status of discovery; and (E) Determine other matters as may be properly dealt with to aid in expediting the orderly conduct and disposition of the proceeding.

(5) All parties participating in a prehearing conference are expected to be fully prepared for useful discussion of all problems involved in the proceeding, both procedurally and substantively and be fully authorized to make commitments with respect to all problems.

This preparation should include, among other things, advance study of all relevant material and advance informal communication between the participants, including the request for additional data and information, to the extent it appears feasible and desirable.

Failure of a party to participate in a prehearing conference, after being served with due notice of the time and place of the conference shall preclude the party from objecting to any order or ruling with respect to the subjects discussed in the prehearing conference.

Agreements, orders, or rulings, for good cause shown, may be set aside at any time before the date of the hearing of the case, upon terms as shall be just.

(6) The commission or presiding commissioner at any time may determine and rule upon any procedural matters which the commission is authorized to rule upon during the course of the proceeding. In addition, where it appears that the proceeding would be substantially expedited by distribution of proposed exhibits reasonably in advance of the hearing, the commission or presiding commissioner at his/her discretion and with due regard for the convenience and necessity of the parties, may direct advance distribution by a prescribed date. 2016.* Original rule filed March 24, 1997, Sept. 1, 2015, effective Feb. 29, 2016.

Amended: Filed Aug. 8, 2019, effective March 30, 2020.

1 CSR 50-2.050 Prehearing Discovery dures and scope of prehearing discovery. {#sec-1-csr-50-2.050 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.050}

(1) The commission shall follow the procedural rules as set out in these rules as well as the Missouri Rules of Civil Procedure and Chapters 105 and 536, RSMo.

(2) Any party to a hearing may take and use depositions in the same manner, upon the same notice as is or may be hereafter provided in section 536.073, RSMo and the Missouri Rules of Civil Procedure. No part of a deposition shall constitute a part of the record in a proceeding, unless received as evidence by the commission. Objection may be made at the hearing in the proceeding to receiving in evidence any deposition or part of the deposition for any reason which would require the exclusion of the evidence if the witnesses were then present and testifying.

(3) The original of all depositions shall be filed with the commission with a copy being served on each party.

(4) Discovery subpoenas and subpoenas duces tecum shall be issued in the same manner and under the same conditions as stated in 1 CSR 50-2.060. The commission shall have the authority to impose sanctions for failure to comply with reasonable discovery requests in the same manner as set forth in the Missouri Rules of Civil Procedure, except that the commission shall not have the authority to issue an order treating as a contempt of court the failure to obey any subpoena to comply with any discovery.

(5) The commission shall have the authority to impose sanctions for failure to comply with reasonable discovery requests in the (2/29/20) JOHN R. ASHCROFT same manner as set forth in the Missouri Rules of Civil Procedure, except that the commission shall not have the authority to issue an order treating as a contempt of court the failure to obey any subpoena to comply with any discovery.

(Cum. Supp. 1996).* Origi nal rule filed March 24, 1997, effective Sept. 30, 1997. *Original authority 1991, amended 1994, 1995, 1996.

1 CSR 50-2.060 Subpoenas and Subpoenas Duces Tecum dure for the issuance of subpoenas and subpoenas duces tecum. {#sec-1-csr-50-2.060 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.060}

(1) The commission shall issue subpoenas upon the request of any party. Subpoenas shall be processed in accordance with the provisions of section 536.077, RSMo.

(2) The commission, in appropriate circumstances, shall issue subpoenas duces tecum upon the request of any party. Requests for issuance of a subpoena duces tecum shall be in writing and shall include the name of the person to be served; the date for his/her appearance; and the description of books, papers, records or documents sought to be subpoenaed.

(3) Requests for the issuance of subpoenas and subpoenas duces tecum shall be directed to the commission.

(4) Where a subpoena or a subpoena duces tecum is requested and issued at the instance of any party to a hearing or other proceeding, the responsibility for service and the cost of the subpoena, witness and mileage fees shall be borne by the party at whose instance it has been requested and issued, unless otherwise ordered by the commission for good cause shown. Witness and mileage fees shall be paid in the same manner as paid in civil actions before the circuit courts.

(5) Subpoenas and subpoenas duces tecum shall be enforced as provided in section 536.077, RSMo.

Sept. 4, 2007, effective Feb. 29, 2008.

1 CSR 50-2.070 Continuances {#sec-1-csr-50-2.070 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.070}

PURPOSE: This rule describes the process of requesting continuances of public hearings.

(1) The commission may continue a hearing or prehearing conference upon a showing of good cause. Requests for a continuance should be in writing and should be filed with the commission no later than seven (7) days before the scheduled hearing or prehearing conference. Requests filed after this deadline should state a good cause basis for the continuance as well as a good cause basis for the untimely request.

(2) Before a party requests a continuance, the requesting party shall contact the other parties to determine whether they object to the continuance and to determine mutually acceptable dates to which the hearing or conference may be rescheduled and the information shall be included in the party’s motion for continuance.

(3) The commission, or a presiding commissioner designated for that purpose, may take up the request to continue a hearing or prehearing conference.

(4) When a hearing or prehearing conference is continued, the parties shall be promptly notified by the executive director. Any order granting a continuance shall be mailed to the parties by regular first class mail, postage prepaid. 2016.* Original rule filed March 24, 1997, Sept. 4, 2007, effective Feb. 29, 2008.

Amended: Filed Aug. 8, 2019, effective March 30, 2020.

1 CSR 50-2.075 Motions {#sec-1-csr-50-2.075 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.075}

PURPOSE: This rule describes how the commission handles motions filed in enforcement cases.

(1) The commission may rule upon any motion filed with it. The commission shall not hear oral argument or evidence on the motion unless a party files a written motion requesting oral argument with good cause shown or upon the commission’s own motion. The commission need not rule on a motion that does not clearly request action by the commission.

History

• AUTHORITY: sections 105.959 and 105.961, RSMo Supp. 2013. Original rule filed Sept. 1, 2015, effective Feb. 29, 2016. Original authority: 105.959, RSMo 1991, amended 1997, 2006 and 105.961, RSMo 1991, amended 1997, 2010.

1 CSR 50-2.080 Conduct of the Hearing {#sec-1-csr-50-2.080 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.080}

PURPOSE: This rule describes the conduct of a contested case hearing.

(1) A hearing will be conducted by a quorum consisting of at least four (4) commission members.

(2) Only the commission may make a final disposition of the case. A presiding commissioner may be appointed by the commission, who shall have full power and authority to control the procedure of the hearing, to admit or exclude testimony or other evidence, or

rule upon all motions or objections, to call and examine witnesses, to issue subpoenas and subpoenas duces tecum in accordance with 1 CSR 50-2.060, to direct the production of papers or other matters during the hearing and to take such other actions necessary and proper in expediting the order, conduct and disposition of the proceeding. Any decision of the presiding commissioner may be overruled by a vote of at least four (4) members of the commission, upon either motion of any party or of any commissioner.

(3) The commission may make full inquiry into all facts and issues and obtain a full and complete record of all facts necessary for a fair determination of the issues. All commissioners may inquire into all facts and issues at the hearing.

(4) No cameras, lights or mechanical recording devices shall be operated in the hearing room while the hearing is in progress, other than by personnel of the commission or by a court reporter with the permission of the commission.

(5) No person shall be allowed to be present during the hearing, except for members and personnel of the commission subject to sub-

section 15 of section 105.961, RSMo, the attorney who shall present evidence in support of the complaint; any attorney or attorneys acting as legal counsel to the commission; all respondents and their counsel; a court reporter; and any other with permission of all respondents to the proceeding.

Witnesses shall remain outside of the hearing except during the time that s/he offers testimony or evidence.

(6) The commission may exclude from the hearing room or otherwise prevent further participation during a hearing. Contempt before the commission shall be resolved in the manner provided in section 536.095, RSMo.

Sept. 4, 2007, effective Feb. 29, 2008.

1 CSR 50-2.090 Evidence {#sec-1-csr-50-2.090 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.090}

PURPOSE: This rule describes the introduction of evidence at a public hearing.

(1) Rulings on evidence offered at hearings shall be made in accordance with sections 536.063 to 536.090, RSMo. Objections or motions not ruled on at the hearing shall be considered with the record. Evidence concerning terms or offers of settlement made during endeavors to conciliate shall not be admitted into the record.

(2) When objections to the admission or exclusion of evidence before the commission are made, the grounds relied upon shall be stated briefly.

(3) All testimony to be taken at the hearing, except matters officially noticed or entered by stipulation, shall be sworn or affirmed. This may include testimony given on deposition or by affidavit.

(4) Expert Witnesses.

(A) The commission may require, at least ten (10) days prior to the hearing, that the parties to the hearing— 1. Identify each person expected to be called as an expert witness at the hearing;

2. State the subject matter on which the expert is expected to testify; and 3. State the substance of the facts and opinions to which the expert is expected to testify.

(B) Where the presiding commissioner determines that a party failed to timely comply in providing the information required under subsection (4)(A) of this rule, the witnesses and any previously offered evidence by the witnesses may be excluded from the (5) Interpreter.

(A) When a disabled person, or person who cannot speak or understand the English language, is a respondent in a hearing, the party is entitled to a qualified interpreter. In order to obtain the services of an interpreter, a party shall notify the commission at least ten (10) days prior to the date the interpreter will be needed.

(B) Upon receipt of the request, the executive director at the direction of the commission shall arrange for the services of an interpreter and shall notify the parties of the identity of the interpreter. The commission shall compensate the interpreter where necessary.

(C) A member of the commission staff may serve as an inter preter where all parties consent on the record.

(6) Exhibits.

(A) Exhibits shall be marked upon receipt by the commission and the marking shall identify the party offering the exhibit.

Admitted and excluded exhibits shall be preserved by the commis sion as part of the record of the proceedings. Excluded exhibits shall be retained by the commission only if the party seeking to introduce the document as an offer of proof specifically requests the document to be placed in an excluded exhibit file.

(B) All paper exhibits shall be no longer than eight and one-half by eleven inches (8 1/2 × 11") in size and the party presenting an exhibit must submit the exhibit and seven (7) copies to the commis sion and must provide one (1) copy to each of the other parties at the time the exhibit is marked.

(C) Larger exhibits are allowed; however, in order to be in cluded in the record, the information contained in the exhibit must be reduced to paper eight and one-half by eleven inches (8 1/2 ×11") in size by the party offering the exhibit.

(D) Variation from the requirements in section (7) will be allowed with leave of the commission only in cases where there is no reasonable alternative.

(7) The commission may take notice of judicially recognizable facts and of general, technical or scientific facts. The parties shall be notified at any time during a proceeding of material officially noticed and they will be afforded the opportunity to contest the facts so noticed. The notice required by this section shall be given to the party prior to the issuance of decision and order in the matter.

Sept. 4, 2007, effective Feb. 29, 2008.

1 CSR 50-2.100 The Record at the Hearing {#sec-1-csr-50-2.100 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.100}

PURPOSE: This rule defines what constitutes the record of the public hearing.

(1) The record of the hearing shall include the notice of hearing; the complaint filed pursuant to 1 CSR 50-2.015 and any amendments; the answer, if any, and any amendments; the transcript of the testimony taken at the hearing; the exhibits and depositions admitted into evidence; an offer of proof made by any party; written motions and stipulations; decisions of the presiding commissioner pursuant to 1 CSR 50-2.080; the final findings of fact, conclusions of law, and decision and order of the commission; and all other pleadings. Prehearing discovery filed with the commission shall not be a part of the record unless specifically received into evidence at the hearing. Unless a party specifically and in writing requests otherwise before the commission has certified the record, the record shall not include briefs and proposed findings of fact and conclusions of law.

(2) A transcript of the hearing shall be made and kept by the commission. The testimony may be recorded by stenographer, by videotape, by audiotape, or by any other means which would ensure that a verbatim record of the hearing is made. A copy of the transcript of such a proceeding shall be made available to any party upon the payment of a fee which shall in no case exceed the reasonable cost of preparation and supply.

Supp. 2015, and section 536.130.1, RSMo Sept. 1, 2015, effective Feb. 29, 2016. 1995, 1996, 1997, 1999, 2010, 2015 and 536.130, RSMo 1945.

1 CSR 50-2.110 Stipulation {#sec-1-csr-50-2.110 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.110}

PURPOSE: This rule describes the scope of stipulations and possible waiver of a case (1) Upon written motion of the parties and with approval of the commission, the parties may stipulate to all or any portion of the facts upon which the commission shall base its decision, and may waive a hearing.

(2/29/20) JOHN R. ASHCROFT

Supp. 2015, and section 105.961.3, RSMo Sept. 1, 2015, effective Feb. 29, 2016.

1 CSR 50-2.120 Default dures when a party fails to appear at a case hearing and for requesting relief from that default. {#sec-1-csr-50-2.120 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.120}

(1) A party who has been served with notice of hearing and fails to appear at the scheduled hearing shall be in default.

(2) Unless previously notified by the party, the commission shall wait thirty (30) minutes from the time set in the notice of hearing to commence the hearing.

(3) When the respondent fails to appear for the hearing within the time specified in section (2), evidence shall be presented in sup port of the complaint, which shall constitute the sole evidentiary basis for disposition and the respondent shall be deemed to have waived any evidentiary and other objections at the (4) The commission, in its discretion and upon such terms as may be just, may set aside its findings of fact, conclusions of law, and order and reopen the hearing if the respondent files a written motion which establishes that the default was the result of an excusable mistake or circumstance beyond his/her control. The motion shall be filed within five (5) business days after the respondent defaults and accompanied by— (A) A sworn written statement(s), together with supporting documentation, setting forth the facts of the alleged excusable mistake or the circumstances beyond the control of the party; and (B) The opposing party shall have ten (10) days to reply to the motion to reopen the Supp. 2015.* Original rule filed March 24,

1 CSR 50-2.130 Post-Hearing Procedure {#sec-1-csr-50-2.130 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.130}

PURPOSE: This rule describes the procedures to be followed after a hearing has been held.

(1) The parties may file, or the commission may order the parties to file, suggested findings of fact and conclusions of law and briefs within the time limits as the commission may determine prior to the commission issuing its final decision and order. Any request to file suggested findings of fact and conclusions of law and briefs shall be made on the record and prior to the close of the hearing.

Supp. 2015, and section 536.080, RSMo Sept. 1, 2015, effective Feb. 29, 2016. 1995, 1996, 1997, 1999, 2010, 2015 and 536.080, RSMo 1945, amended 1957.

1 CSR 50-2.140 Orders {#sec-1-csr-50-2.140 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.140}

PURPOSE: This rule establishes the content, issuance, service, and filing of orders.

(1) Copies of orders shall be served by certified mail or by personal service on all parties, accompanied by a notice of the statutory right to judicial review.

Supp. 2015, and section 105.961.5, RSMo Supp. 2013.* Original rule filed March 24,

1 CSR 50-2.150 Certification of Record {#sec-1-csr-50-2.150 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.150}

PURPOSE: This rule stipulates who is authorized to certify commission documents.

The chairperson, the executive director, or other person as may be designated by the commission is authorized and empowered to certify and transmit all documents or records which are part of the files and records of the commission.

Sept. 4, 2007, effective Feb. 29, 2008.

1 CSR 50-2.160 Separability, Amendments and Availability of Rules {#sec-1-csr-50-2.160 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-2.160}

PURPOSE: This rule establishes the procedure by which amendments are made to the commission’s rules, where to obtain copies of these rules and that, if any provision or term of these rules is held invalid, the remaining provisions remain valid.

(1) In the event any provision of these rules is determined by a court or other authority of competent jurisdiction to be invalid, the determination shall not affect the remaining provisions which shall remain in full force and effect.

(2) New rules may be adopted and any rule may be amended or rescinded by the commission at regular or special meetings pro vided that the amendment or rescission shall require the approval of at least four (4) members of the commission. Notice of the proposed adoption, amendment or rescission shall be given in writing to all members of the commission at least ten (10) days before the meeting at which action is to be taken; except that ten (10) days’ notice shall not be required when all members of the commission shall approve in writing the adoption, amendment or rescission.

(3) The amendment of any existing rule or the adoption of any new rule shall be made in accordance with Chapter 536, RSMo.

(4) The rules of the commission and any amendments, additions or modifications of the rules, shall be available to the public at the commission’s office in Jefferson City.

(Cum. Supp. 1996).* Original rule filed March 24, 1997, effective Sept. 30, 1997. *Original authority 1991, amended 1994, 1995, 1996.

Chapter 3 Late Fee

1 CSR 50-3.010 Late Fee {#sec-1-csr-50-3.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-3.010}

PURPOSE: This rule establishes a procedure by which a campaign finance late fee may be appealed per section 105.963.7, RSMo.

(1) When the executive director assesses a late filing fee against a candidate committee for failure to timely file a campaign finance disclosure report, the candidate, candidate committee treasurer, or candidate committee deputy treasurer, as provided by section 105.963.7, RSMo, may make a written appeal of late filing fees assessed by the executive director of the Missouri Ethics Commission.

(2) Any candidate, candidate committee treasurer, or deputy treasurer shall file the written appeal with the commission within ten (10) days of the receipt of notice of the assessment of the late filing fee and shall set forth in writing the reasons for the appeal, including the facts which are alleged to constitute good cause for the failure to timely file the report.

(3) Failure to timely file an appeal under the requirements of section (2) of this rule shall waive the right to appeal the late fee assessment in question before the commission.

(4) The sole issue of the appeal shall be whether the failure to timely file a campaign finance disclosure report was due to good cause as determined by the commission.

(5) When the executive director receives an appeal, the director shall include such appeal on the agenda of a future commission meeting and shall provide written notice to the party bringing the appeal of the date and time of such meeting. The executive director shall have discretion in scheduling the commission’s consideration of the appeal.

(6) The director may contact the party filing the appeal to obtain additional background on the appeal. When the director places the appeal on the commission agenda, the director shall also make a recommendation to the commission regarding the appeal.

(7) The commission shall consider the written appeal at a meeting of the commission.

The party bringing the appeal shall have the opportunity to appear before the commission upon filing a written request with the commission no less than two (2) business days before the scheduled meeting. At the commission’s discretion, the party timely filing the written request to appear may appear by telephone or, if the commission is conducting an in-person meeting, the commission may allow the party to appear in person.

(8) The party requesting an appeal of a late fee assessment may be represented by an attorney.

(9) Notice of the commission’s consideration of the appeal, including place, date, and time, shall be sent concurrently to the person requesting an appeal of a late fee assessment and to any attorney of record.

(10) If the party filing an appeal has previously and timely filed a written request to appear at a meeting of the commission under

section (7) of this rule, the commission may grant a continuance upon receiving a written request by the party filing the appeal.

(11) After considering the appeal, the commission shall render a final decision. The executive director shall send a copy of the commission’s decision to the party who requested the appeal or, if an attorney is on record as representing the appealing party, the executive director shall send a copy of the commission’s decision to the attorney of record.

Amended: Filed Aug. 30, 2010, effective March 30, 2011. Amended: Filed Feb. 27, 2015, effective Aug. 30, 2015. *Original authority: 105.955, RSMo 1991, amended 1994, 1995, 1996, 1997, 1999, 2010.

JASONKANDER(7/31/15)

History

• AUTHORITY: section 105.955.14(8), RSMo Supp. 2013. Original rule filed Oct. 4, 2001, effective April 30, 2002. Emergency amendment filed Aug. 30, 2010, effective Sept. 9, 2010, expired March 7, 2011.

Chapter 4 Investigative Process

1 CSR 50-4.010 Representation by a Licensed Attorney; When Required {#sec-1-csr-50-4.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-4.010}

PURPOSE: This rule states when and how a party must be represented by a licensed attorney.

(1) Upon receiving notice of a complaint filed with the commission pursuant to section 105.957, RSMo, or a notice of investigation pursuant to section 105.959, RSMo, any person is entitled to be represented by counsel before the special investigator or the commission.

(2) A licensed attorney shall file a written entry of appearance on behalf of any person with the commission prior to any contact between the attorney and the special investigator or commission staff regarding the substance of an investigation. The entry of appearance shall state the persons and entities represented before the commission. An attorney filing a written entry of appearance for limited purposes shall adhere to Missouri Supreme Court Rules of Civil Procedure regarding entries of limited appearance.

(3) An entry of appearance filed with the commission shall be deemed to continue during any proceeding before the commission initiated pursuant to subsection 3 of section 105.961, RSMo.

(4) An attorney not authorized to practice in Missouri shall enter an appearance in accordance with Missouri Supreme Court Rules.

History

• AUTHORITY: sections 105.959 and 105.961, RSMo Supp. 2013. Original rule filed Sept. 1, 2015, effective Feb. 29, 2016. Original authority: 105.959, RSMo 1991, amended 1997, 2006 and 105.961, RSMo 1991, amended 1997, 2010.

Chapter 5 Committee Registration and Reporting

1 CSR 50-5.020 Registration Requirements for Committees Domiciled Outside the State ADMINISTRATION Reporting {#sec-1-csr-50-5.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-5.020}

1 CSR 50-5.010 Definitions {#sec-1-csr-50-5.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-5.010}

PURPOSE: This rule sets out the definitions of terms used in Chapter 1 CSR 50-5 of Missouri Ethics Commission to clarify registration and reporting requirements for certain types of committees.

(1) As used in this chapter, the following terms mean:

(A) Committee domiciled outside of this state—a campaign finance committee registered according to the campaign finance disclosure laws of a state, other than the State of Missouri, or as a federal political action committee, as defined in this rule, which is registered and reporting with the Federal Election Commission and makes contributions or expenditures to support or oppose candidates and ballot measures in this state;

(B) Federal political action committee—a political committee under 52 U.S.C. 30101(4) that is not an authorized committee of a federal candidate under 52 U.S.C. 30101(6) or a federal committee of a national, state, or local political party under 52 U.S.C.

30101(4)(C),

(14), or (15);

(C) Commission—The Missouri Ethics Commission;

(D) Continuing committee/Political action committee—a committee defined as a continuing committee under Mo. Const. Art. VIII,

section 23.7(6)(c) and section 130.011(10), RSMo, and Mo. Const. Art. VIII, section 23.7(20), or a political action committee under Mo. Const. Art. VIII, section 23.7(20);

(E) Domicile—the address of a committee listed on a statement of organization as defined in section 130.026.6, RSMo; and (F) Out-of-state committee—a campaign finance committee registered according to the campaign finance disclosure laws of a state, other than the State of Missouri, or a federal political action committee as defined in this

rule, which is registered and reporting with the Federal Election Commission and makes contributions or expenditures to support or oppose candidates and ballot measures in this state.

History

• AUTHORITY: section 105.955.14(7), RSMo 2016, and section 105.961.3, RSMo Supp. 2019. Original rule filed Feb. 7, 2018, effective Aug. 30, 2018. Amended: Filed Aug. 8, 2019, effective March 30, 2020. Original authority: 105.955, RSMo 1991, amended 1994, 1995, 1996, 1997, 1999, 2010, 2015 and 105.961, RSMo 1991, amended 1997, 2010, 2018.

1 CSR 50-5.020 Registration Requirements for Committees Domiciled Outside the State of Missouri and Out-of-State Committees {#sec-1-csr-50-5.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 50-5.020}

PURPOSE: This rule clarifies and makes consistent the rules requiring committees domiciled outside the state of Missouri and out-of-state committees, including certain federal committees, to register and file campaign finance disclosure reports with the Missouri Ethics Commission. The rule also clarifies federal committees which qualify as federal political action committees for purposes of contributions to Missouri committees under the Missouri Constitution.

(1) Committees domiciled outside the State of Missouri and out-of-state committees shall be required to register as a Missouri continuing committee/political action committee with the commission when contributions from Missouri residents exceed twenty percent (20%) of the total dollar amount of all funds received by the committee in the preceding twelve (12) months.

(2) Committees domiciled outside the State of Missouri and out-of-state committees shall be required to register as a Missouri continuing committee/political action committee with the commission when the aggregate of all contributions and expenditures made by the committee to support or oppose candidates and ballot measures in Missouri exceeds one thousand five hundred dollars ($1,500) during a calendar year.

(3) Notwithstanding the requirements in sections (1) and (2), federal political action committees shall be required to register as a Missouri continuing committee/political action committee with the commission when contributions are made to a candidate for the Missouri General Assembly.

(4) Committees falling within the requirements of sections (1), (2), or (3) shall be required to— (A) Appoint a treasurer who is a resident of the State of Missouri;

(B) Have a single official fund depository within the State of Missouri as defined in section 130.021.4(1), RSMo and shall maintain at least one (1) official depository account in the committee’s name; and (C) File a statement of organization identified as a continuing/political action committee no later than sixty (60) days prior to the election for which the committee receives contributions or make expenditures, and prior to making a contribution or expenditure in the State of Missouri.

(5) A committee domiciled outside the State of Missouri or an out-of-state committee which does not meet the conditions of section 130.021.10, RSMo shall be required to comply with out-of-state reporting requirements under sections 130.049 and 130.050, RSMo.

(6) Federal political action committees domiciled within the State of Missouri shall be required to follow the requirements of section (4) if they meet the definition of a continuing committee/political action committee under Mo. Const. Art. VIII, Section 23.7(6)(c) and Mo. Const. Art. VIII, Section 23.7(20); and

section 130.011(10), RSMo.

(7) Any committee required to file statements of organization under this rule shall be required to follow all reporting and recordkeeping requirements under Chapter 130, RSMo.

section 105.955.14(7), RSMo 2016, and sections 105.961.3, 130.011(10), 130.021.4, and 130.021.5, RSMo Supp. 2019.* Original rule filed Feb. 7, 2018, effective Aug. 30, 2018.

Amended: Filed Aug. 8, 2019, effective March 30, 2020. *Original authority: 105.955, RSMo 1991, amended 1994, 1995, 1996, 1997, 1999, 2010, 2015; 105.961, RSMo 1991, amended 1997, 2010, 2018; 130.011, RSMo 1978, amended 1979, 1985, 1986, 1990, 1991, 1994, 1995, 1997, 2006, 2010, 2018; and 130.021, RSMo 1978, amended 1979, 1985, 1990, 1997, 2008, 2009, 2010, 2016, 2018.

History

• AUTHORITY: Mo. Const. Art III, Section 2(f), Mo. Const. Art VIII, Section 23.7(6)(c), Mo. Const. Art. VIII, Section 23.7(20), and

Division 60 Joint Oversight Task Force for Prescription Drug Monitoring

Chapter 1 Registration

1 CSR 60-1.010 Registration for Prescription Drug Monitoring Program {#sec-1-csr-60-1.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 60-1.010}

PURPOSE: This rule provides for the registration of dispensers and health care providers to receive access to the Missouri prescription drug monitoring program (PDMP) administered by the Joint Oversight Task Force for Prescription Drug Monitoring.

(1) As used in this section, the following terms shall mean— (A) “Prescriber,” a licensed health care professional with controlled substance authority per section 195.070, RSMo;

(B) “Dispenser,” as defined in section 195.600.1(2), RSMo; and (C)

“Other Health Care Provider” or “Delegate,” a health care professional licensed, accredited, or certified by the state of Missouri acting under the supervision of a prescriber or dispenser, employed by, or under the same professional practice as the prescriber or dispenser.

(2) Prescribers and dispensers include the following:

(A) Advanced Practice Registered Nurse;

(B) Assistant Physician;

(C) Dentist;

(D) Optometrist;

(E) Pharmacist;

(F) Physician;

(G) Physician Assistant; and (H) Podiatrist.

(3) Other health care providers or delegates include the following:

(A) Clinical Nurse Specialist;

(B) Dental Hygienist;

(C) Licensed Practical Nurse;

(D) Medical Assistant;

(E) Medical Intern;

(F) Medical Resident;

(G) Pharmacy Intern;

(H) Pharmacy Technician; and (I) Registered Nurse.

(4) Each dispenser required by section 195.600.5, RSMo, to submit dispensation information for Schedules II, III, and IV controlled substances shall register with the PDMP.

(5) All prescribers may register with the PDMP.

(6) Registration is to be completed by following the process provided by the Joint Oversight Task Force for Prescription Drug Monitoring.

(7) Prescribers and dispensers with approved access to the PDMP may authorize other health care providers or delegates to utilize their access to the PDMP.

(8) Prescribers, dispensers, and delegates with access to the PDMP shall follow all applicable state and federal laws, including but not limited to the Health Insurance Portability and Accountability Act (HIPAA) as provided for under section 195.600.7(1), RSMo, and the Health Information Technology for Economic and Clinical Health Act (HITECH).

History

• AUTHORITY: section 195.600, RSMo Supp. 2022. Original rule filed Feb. 2, 2023, effective Aug. 30, 2023. Original authority: 195.600, RSMo 2021.

Division 70 Missouri Assistive Technology Advisory Council

Chapter 1 Assistive Technology Programs (moved to 5 CSR 110-1)

1 CSR 70-1.010 Telecommunications Access Program {#sec-1-csr-70-1.010 omnilex-key=us-mo-regs-official--title-1--1 CSR 70-1.010}

(Moved to 5 CSR 110-1.010)

1 CSR 70-1.020 Assistive Technology Loan Program {#sec-1-csr-70-1.020 omnilex-key=us-mo-regs-official--title-1--1 CSR 70-1.020}

(Moved to 5 CSR 110-1.020)

ROBINCARNAHAN(6/30/08)