SUBCHAPTER 30E ‑ STATE BUILDING COMMISSION DESIGNER
OR CONSULTANT EVALUATION PROCEDURES
SECTION .0100 ‑ GENERAL PROVISIONS
01 NCAC 30E .0101 AUTHORITY
The State Building Commission, hereinafter referred to as
SBC, is a statutory body, empowered by Public Law to perform a multiplicity of
duties with regard to the State's Capital Facilities development and management
program. In the specific area of state capital improvement project designer
and consultant evaluation, the SBC is empowered to develop procedures for
accomplishment of such evaluation.
History Note: Authority G.S. 143‑135.25; 143‑135.26;
Eff. October 1. 1988;
Amended Eff. May 1, 1990.
01 NCAC 30E .0102 POLICY
It is the policy of the SBC to evaluate designers for
capital improvement projects as defined in G.S. 143‑135.27 based on
criteria contained herein. Further, it is considered of paramount importance
that every state capital improvement project receive a professional design
which is timely, of highest professional quality, and in keeping with the
project scope. It is to this end that individual designer's or consultant's
performance on state capital improvement projects should be fairly and
consistently evaluated and used as a factor in designer or consultant selection
for future work.
History Note: Authority G.S. 143‑135.25; 143‑135.26;
Eff. October 1, 1988;
Amended Eff. May 1, 1990.
01 NCAC 30E .0103 DEFINITIONS
For purposes of this Subchapter, the following definitions
shall apply:
(1) "Capital Projects Coordinator" means the
individual authorized by each funded agency to coordinate all capital
improvement projects and related matters with the State Construction Office and
to represent that agency on all matters presented to the SBC. The individual
so designated for purposes of these rules may have other titles within the
individual's agency but shall carry out the duties assigned herein to the
Capital Projects Coordinator. Whenever the Capital Projects Coordinator is
referenced herein, it shall be understood to include a designated assistant or
representative. Concerning evaluation of designers, or consultants the Capital
Projects Coordinator is responsible for the agency's evaluation of each phase
of the project as well as the overall designer's or consultant's evaluation.
(2) "Project Designer" means any individual,
firm, partnership, corporation, association or other legal entity licensed to
practice architecture, engineering, or landscape architecture in the State of
North Carolina. The designer or consultant shall be responsible for the
performance of all his consultants. Accordingly, the evaluation of the project
designer will include evaluation of the work of all consultants who are
included in the designer's contract with the funded agency.
(3) "Consultant" means any individual, firm,
partnership, corporation, association or other legal entity selected for
planning and studies of an architectural and engineering nature associated with
a capital improvement project. The consultant must be licensed to practice
architecture or engineering in the State of North Carolina.
(4) "Funded Agency" means the department,
agency, authority or office that is named in the legislation appropriating
funds for the design and/or construction project.
(5) "Owner's Representative" is an individual
appointed by the using agency to represent the using agency on all user‑related
matters. The owner is the representative of the using agency as defined in
Rule .0103(9) of Subchapter 30D ‑ State Building Commission Designer
Selection Procedures.
(6) "Professional Services" means those
services within the scope of the practice of architecture, engineering,
landscape architecture or surveying as defined by the public laws of North
Carolina.
(7) "Scope Statement" means a written
description of the capital project that is to be designed. Normally the scope
statement shall reflect the written project description as contained in the
project cost estimate validated by the State Construction Office.
(8) "Evaluation Form" is the form to be used
for all designers' or consultants' evaluations. The form shall be developed
and approved by the State Building Commission and is the only approved document
for this purpose; it may be reproduced by the agencies as required.
History Note: Authority G.S. 143‑135.25; 143‑135.26;
Eff. October 1, 1988;
Amended Eff. May 1, 1990.
SECTION .0200 ‑ PROJECT INFORMATION
01 NCAC 30E .0201 PROJECT DESCRIPTION
It shall be the responsibility of each Capital Projects
Coordinator, for each Capital Improvements project as defined in G.S. 143‑135.27
requiring professional services, to provide the State Construction Office with
a written description of the professional services desired, the scope of work,
schedule requirements, amount of authorized funds and other appropriate
information. Particular emphasis will be placed on a determination as to
whether the designer's or consultant's services are to include items such as
programming, modeling, special presentations or other requirements beyond
specific facility design. This requirement data shall be incorporated in the
designer's or consultant's professional services contract and will serve as key
elements against which the designer's or consultant's performance will be
evaluated.
History Note: Authority G.S. 143‑135.25; 143‑135.26;
Eff. October 1, 1988;
Amended Eff. May 1, 1990.
01 NCAC 30E .0202 DESIGN CONTRACT
It shall be the responsibility of the Office of State
Construction to insure that both the Capital Projects Coordinator and the
designer or consultant have a clear mutual understanding of design requirements
for the project and key elements of these requirements are included in the
professional services contract between the agency and the designer or
consultant.
History Note: Authority G.S. 143‑135.25; 143‑135.26;
Eff. October 1, 1988;
Amended Eff. May 1, 1990.
SECTION .0300 ‑ EVALUATION OF DESIGNERS OR CONSULTANTS
01 NCAC 30E .0301 DESIGN PHASES
Definitions:
(1) "Pre‑Design Phase" is the
description of the provision of professional services prior to actual design.
If a firm scope of the work is not known, the design agreement may be written
in such a manner as to require project programming assistance by the designer
or consultant, followed by agency approval of a designer‑proposed project
scope, prior to commencement of actual design. In evaluating design or
consultant services during this phase, the Capital Projects Coordinator may
wish to receive input from the Owner's representative.
(2) "Design Phase" involves preparation of
the actual design. The Capital Projects Coordinator must maintain active
involvement during the design process in order to be able to evaluate the
designer's or consultant's response to owner requirements, the consistency of
owner requirements, external design requirements driven by insurance or
environmental considerations, etc., the technical design itself, designer/owner
response to review comments, adherence to design schedule, and quality of cost
estimate, as well as adherence of the cost estimate to the project budget. In
general, the evaluation of this phase is to encompass the efficiency and
effectiveness of the designer in adherence to the project scope statement.
Included is an evaluation of subconsultants if utilized. The subconsultant
performance will also be considered in evaluation of the principal designer.
The Capital Projects Coordinator, in preparing the evaluation of the design
phase, may wish to receive input from the Owner's representative as well as the
State Construction Office.
(3) "Bidding‑Construction Phase"
encompasses the process for provision of professional services for bidding,
award, and construction of the project. As the job progresses past contract
award, the Capital Projects Coordinator must maintain a continuing awareness of
designer performance during the period of construction including the shop
drawing review process, payment processing, change order management, and field
administration including project cost control. The Capital Projects
Coordinator or owner's representative should attend the monthly construction
progress meetings. The Capital Projects Coordinator must be capable of
discerning the degree to which change orders are precipitated by design errors
or omissions. The Capital Projects Coordinator must be capable of determining
how well the designer provides general administration of the performance of
construction contracts, including inspection and continuous liaison of the work
to insure compliance with plans and specifications during the construction
process. At the completion of the project, the Capital Projects Coordinator must
ensure that the project designer has completed all required close‑out
actions. The Capital Projects Coordinator will be responsible for preparation
of the Bidding‑Construction Phase evaluation. Assistance will be sought
from the Owner's representative and the State Construction Office in
preparation of the evaluation for this phase of the project.
History Note: Authority G.S. 143‑135.25; 143‑135.26;
Eff. October 1, 1988;
Amended Eff. May 1, 1990.
01 NCAC 30E .0302 OVERALL JOB PERFORMANCE
The Capital Projects Coordinator shall determine the
designer's or consultant's overall performance for the completed project. The
overall rating is intended to reflect the effectiveness of the design in achieving
the predetermined project scope in a timely, cost effective manner. The
evaluation shall encompass the designer's or consultant's management approach
to the project including cooperation of the designer's staff, communication
with the Capital Projects Coordinator and Owner's representative, timeliness of
action, and performance of consultants. The Capital Projects Coordinator shall
invite input from the Owner's representative and the State Construction
Office. All prime contractors shall be offered the opportunity to provide an
assessment of the designer at job completion. The Capital Projects Coordinator
shall be responsible for the final overall rating. This summary evaluation
shall not necessarily reflect a precise numerical averaging of scores for the
Pre‑design, Design, and Bidding‑Construction phases but will be
generally representative of those scores. To be timely and useful, designer
evaluation data will be accumulated within 30 days of submission of the final
report. Prior to completion of the final designer evaluation, the Capital
Projects Coordinator shall submit the proposed evaluation to the designer for
comment. Comments received from designers or consultants shall be considered
by the Capital Projects Coordinator. At this stage, the Capital Projects
Coordinator shall prepare the final designer or consultant evaluation and
provide a copy to the designer or consultant. The form approved by the SBC
shall be used for this purpose.
History Note: Authority G.S. 143‑135.25; 143‑135.26;
Eff. October 1, 1988;
Amended Eff. May 1, 1990.
01 NCAC 30E .0303 POST OCCUPANCY EVALUATION
The designer evaluation process allows for a second
evaluation to be conducted within 36 months of the completion of a capital
project if design‑related latent defects are discovered. A separate
procedure of the State Building Commission may require a formal post‑occupancy
evaluation within 12 months of a building completion. The data from the 12
month post‑occupancy evaluation can be used as a substitute for the
follow‑up designer evaluation if the Capital Projects Coordinator so
determines.
History Note: Authority G.S. 143‑135.25; 143‑135.26;
Eff. October 1, 1988.
01 NCAC 30E .0304 INTERIM DESIGNER OR CONSULTANT
EVALUATION
The designer or consultant may request preparation of an
interim evaluation form by the Capital Projects Coordinator or the Coordinator
may elect to prepare an interim evaluation if so desired. This interim
evaluation is intended to reflect performance to date and should be used as a
guidance device for correction of performance prior to the final evaluation.
History Note: Authority G.S. 143‑135.25; 143‑135.26;
Eff. October 1, 1988;
Amended Eff. May 1, 1990.
01 NCAC 30E .0305 SUBMISSION OF FINAL REPORT
The Capital Projects Coordinator shall submit the completed
final evaluation to the Office of State Construction with a copy to the
designer or consultant. The designer or consultant shall have the opportunity
to comment on the evaluation to the Office of State Construction with a copy to
the Capital Projects Coordinator. Such comments on the final evaluation shall
become a part of the final evaluation record. It is imperative that the final
designer or consultant evaluation be completed and presented to the State
Construction Office for all capital projects within 60 days of the final
report. If the evaluation is not completed within the prescribed time frame,
the State Building Commission may elect to process no further design awards for
an agency until the evaluation is complete.
History Note: Authority G.S. 143‑135.25; 143‑135.26;
Eff. October 1, 1988;
Amended Eff. May 1, 1990.
01 NCAC 30E .0306 REPORT COMPILATION
The Office of State Construction will be responsible for
maintaining designer or consultant evaluation data. The data maintained shall
be on an individual job basis and also cumulative by the designer or
consultant. Data will be made available on request to individual designer or
consultant preselection committees. The data maintained by the State
Construction Office will reflect performance history for a period of five
years. All evaluation data on completed projects in excess of five years of
age will be removed from State Construction Office files and will not be used
as a factor in the cumulative evaluation.
History Note: Authority G.S. 143‑135.25; 143‑135.26;
Eff. October 1, 1988;
Amended Eff. May 1, 1990.
SECTION .0400 ‑ POST‑EVALUATION PROCEDURES
01 NCAC 30E .0401 AWARDS PROGRAM
Capital Projects Coordinators who consider that designer
performance on a completed Capital Improvement Project merits special
recognition may nominate the designer for a certificate of Design Merit.
Nominations will be made by the Capital Projects Coordinator to the Office of
State Construction which will screen the nominees and will in turn make
appropriate recommendations to the State Building Commission. The State Construction
Office may also initiate award recommendations. The SCB will consider all
nominations and make final approval of all awards. The State Building
Commission shall arrange for presentation of the certificates at a suitable
ceremony during a time and place of its own choosing; however, these
presentations will normally be made during the annual State Construction
Conference. The State Construction Office shall provide staff support to the
State Building Commission for this program.
History Note: Authority G.S. 143‑135.25; 143‑135.26;
Eff. October 1, 1988.
01 NCAC 30E .0402 APPEALS OF ASSIGNED EVALUATIONS
If a design or consultant firm considers that the assigned
evaluation is improper and the opportunity to provide rebuttal comments for the
record is insufficient to resolve the assigned rating, the designer or
consultant may appeal the rating to the Office of State Construction. The
State Construction Office will appoint and convene a rating panel of three
professional State employees of which at least one member is a licensed
professional architect or engineer to hear the appeal and render a decision.
The hearing shall involve at a minimum the Capital Projects Coordinator and the
Owner's representative as well as representatives of the designer or consultant
who shall appear before the panel and which is open to the public. The State
Construction Office hearing panel shall issue a report to the State Building
Commission of the hearing and the decision reached. If the Capital Projects
Coordinator or designer desires further recourse, the State Construction Office
panel decision may be formally appealed to the Office of Administrative
Hearings pursuant to N.C.G.S. 150B.
History Note: Authority G.S. 143‑135.25; 143‑135.26;
Eff. October 1, 1988;
Amended Eff. May 1, 1990.
