Appendix 61
PROJECT CERTIFICATION GUIDE
REVISED EDITION
3/18/15
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TABLE OF CONTENTS
FOREWORD ........................................................................................................................ iv
CHAPTER 1 INTRODUCTION .............................................................................................. 1
Purpose of this Guide ............................................................................................. 1
About the Division of the State Architect (DSA) ....................................................... 1
Project Plan Review and Approval Phase ............................................................... 1
Project Construction Phase..................................................................................... 1
Project Closeout and Certification Phase ................................................................ 2
Project Closeout Letters .......................................................................................... 3
CHAPTER 2 DOCUMENTS REQUIRED FOR PROJECT CERTIFICATION ......................... 5
General ................................................................................................................... 5
Signatures on Documents ....................................................................................... 5
DSA-1 (Application for Approval of Plans and Specifications) ................................. 5
DSA-108 (Delegation of Responsibility) .................................................................. 8
DSA-102 (Contract Information) .............................................................................. 9
DSA-168 (Statement of Final Actual Project Cost) ................................................ 13
DSA-291 (Laboratory Verified Report) .................................................................. 13
DSA-292 (Special Inspector Verified Report) ........................................................ 13
DSA-293 (Geotechnical Verified Report)............................................................... 15
DSA-6 (Inspector, Contractor and Design Professional Verified Reports) ............. 17
Notice of Completion (NOC) ................................................................................. 20
Change Orders ..................................................................................................... 22
Construction Change Documents ......................................................................... 26
Deferred Approvals ............................................................................................... 27
Addenda ............................................................................................................... 29
Revisions .............................................................................................................. 31
Fees ..................................................................................................................... 33
CHAPTER 3 RE-EXAMINATION OF CLOSED FILES (RE-OPENING)............................... 37
General Information – Requirements and Process ................................................ 37
CHA
PTER 4 STRATEGIES FOR PROJECT CERTIFICATION ........................................... 39
General Discussion ............................................................................................... 39
Best Practices ....................................................................................................... 39
School District Participation .................................................................................. 40
Determining Project Certification Status ................................................................ 40
Obtaining Project Documents and Information ...................................................... 40
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CHAPTER 5 ALTERNATE PROCESSES AND DOCUMENTATION .................................. 42
I. Overview, Intent, Use and Limitations .................................................................... 42
II. Alternate Processes ................................................................................................. 42
Alternate Process Type A ..................................................................................... 42
Alternate Process Type B ..................................................................................... 44
Alternate Process Type C ..................................................................................... 45
Alternate Process Type D ..................................................................................... 45
Alternate Process Type E ..................................................................................... 45
III. Options and Concepts for Resolution ..................................................................... 48
Section 1: Change Orders, Addenda and Revisions ............................................ 48
Section 2: Deferred Approvals ............................................................................. 49
Section 3: Missing Documents that must be listed on form DSA-311 ................... 49
Section 4: Missing Documents not required to be listed on form DSA-311 ........... 50
Section 5: Incomplete Construction Scope ........................................................... 50
Section 6: Construction Deficiencies .................................................................... 51
Section 7: Missing or Incomplete Verified Reports ............................................... 51
Section 8: Other Missing Documents and Reports ............................................... 57
Section 9: Materials ............................................................................................. 62
Section 10: Voided and Cancelled Projects .......................................................... 64
Section 11: Relocatable Buildings ......................................................................... 65
APPENDIX A: Authority and Justifications ........................................................................... 69
APPENDIX B: Links to Referenced DSA Documents and Forms ........................................ 71
APPENDIX C: On-Line Resources ...................................................................................... 72
APPENDIX D: Relocatable Buildings ................................................................................... 77
APPENDIX E: DSA Project File Organization ...................................................................... 78
APPENDIX F: Glossary of Terms ........................................................................................ 80
APPENDIX G: DSA Staff Documents .................................................................................. 84
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FOREWORD
This document provides a foundational guide for successful certification of projects previously closed
without DSA certification. The goal of this guide is to provide information, procedures and concepts
that lead to project certification and that promote consistency between DSA Regional Offices.
This guide is intended to be used for projects that have been closed by the DSA without certification.
This guide cannot possibly address all scenarios or specific situations encountered during the
closeout process. In addition to the guidance this manual provides, experience and analytical skills
are essential when determining appropriate actions necessary to obtain project certification.
Note: This manual is designed to be printed double-sided in accordance with the DGS Sustainable
Copy Paper Policy (see the DGS Manual, Section 1801 and DGS Administrative Order 06-04
).
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CHAPTER 1
INTRODUCTION
PURPOSE OF THIS GUIDE
The purpose of this guide is to provide information, procedures and concepts that lead to project
certification and that promote consistency between DSA Regional Offices. It is the intent that this
guide will be used by all stakeholders involved with DSA project certification.
ABOUT THE DIVISION OF THE STATE ARCHITECT (DSA)
The DSA provides design and construction oversight for K–12 schools, community colleges and state-
owned essential services buildings. The DSA specifically regulates Building Code and Education
Code compliance for:
• Structural Safety (SS)
• Fire & Life Safety (FLS)
• Accessibility (ACS)
The DSA has four regional offices:
• Oakland (Area 01)
• Sacramento (Area 02)
• Los Angeles (Area 03)
• San Diego (Area 04).
PROJECT PLAN REVIEW AND APPROVAL PHASE
The plan review and approval process occurs before any construction takes place. As a result of the
plan review and approval process, DSA project files (physical files) are produced and e-Tracker and
electronic archive database records are created.
DSA Black and Red Files
Physical files are created and are organized as follows:
• The red file contains plan check documents and technical construction documents.
• The black file contains administrative forms and documents.
P
lan Check Review and Approval
T
he Plan Check process is initiated when the applicant files a DSA-1 application form and submits
plans for review and approval. After the plan check process is complete, an Approval of Plans letter is
issued and the construction phase can begin.
P
ROJECT CONSTRUCTION PHASE
The District Structural Engineer (DSE), also known as a Field Engineer, provides oversight during
construction by providing supervision of the Project Inspector, reviewing administrative and technical
documents and by making periodic visits to the construction site.
During the construction phase, many administrative and technical documents are generated and
submitted to the DSA, including:
• DSA-5: Inspector Qualification form
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• DSA-102: Contract Information form
• Addenda, deferred approvals, and revisions
• Inspector’s semi-monthly reports
• Construction deviation notices
• Lab test reports
• Special inspection reports
• CCDs (Construction Change Documents)
• Correspondence
P
ROJECT CLOSEOUT AND CERTIFICATION PHASE
What is Project Closeout?
• Project closeout is the process that the DSA uses to determine that the constructed project
complies with the codes and regulations governing school construction (the codes and
regulations being those used for the original design). Project closeout consists of examination
of specific project files for documents required to be submitted before, during and after
construction, and to determine if outstanding issues have been resolved. After the file is
examined, the project file is closed either with certification or without certification. After the
project is closed, the files are sent to State Archives.
What is Project Certification?
• Project certification is a letter issued by the DSA certifying that the building project has been
completed in accordance with the requirements as to the safety of design and construction
pursuant to Education Code Sections 17280-17316 and 81130-81147.
Why is Certification Important?
• Provides a method to determine the safety of school construction.
• School Board members may be personally liable for projects until certified.
• The DSA will be unable to approve new proposed projects associated with uncertified
construction (See DSA IR A-20 for in depth discussion).
Proof of Project Certification:
• Copy of DSA certification letter
• Copy of DSA history card showing certification
• DSA Tracker shows project is certified
I
nitiation of Project Closing
T
he DSA initiates the closing of projects. The following causes closing initiation (90 day closing letter
to be issued):
• The DSA District Structural Engineer (DSE) determines the project is essentially complete.
Essentially complete does not necessarily mean 100% complete. There may still be punch-list
items pending. If the contractor is not fully mobilized on the site, then the project may be
considered essentially complete.
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• The DSA received a final verified report from the Project Inspector and/or the design
professional in responsible charge of the project.
• The project becomes occupied. The DSE is expected to initiate the closing process within six
(6) months of occupancy.
• Construction stops for one year or more.
T
he DSA Generates a 90 Day Letter
A
fter the DSA examines a project file and determines documents required for certification are missing,
the DSA issues a 90 day letter to the Architect and School District. The letter requests that all
outstanding requirements and documents be submitted to the DSA within a 90 day period to allow the
DSA to certify the application. The letter includes a list of required documents that have been received
and those that are outstanding. The list may (or may not) include the following markers:
• RR which indicates the document is “required and received” by the DSA.
• RM which indicates the document is “required but missing” and therefore must be submitted in
order to certify the project.
The DSA Closes the Project File
W
hen the 90-day period has expired, the DSA again examines the project file to determine if the
missing documents have been submitted and all outstanding issues have been appropriately
addressed. All outstanding documents and issues must be resolved prior to the DSA’s issuance of a
letter of certification. The DSA then closes the project file either with certification or without
certification and issues a closeout letter to the District and copies to the Architect.
PR
OJECT CLOSEOUT LETTERS
Fi
nal project closeout options are as follows:
1. Closeout with Certification (#1 Letter)
2. Certificate of Compliance without Receipt of All Documents (#2 Letter)
3. Closeout without Certification – Exceptions or Unpaid Fees (#3 or #3a Letter)
4. Closeout without Certification – Safety Related Deficiencies (#4 Letter)
5. Resolution of Certification: Project no longer exists (removal of structure) (#5 letter)
6. Resolution of Certification : Project no longer used for school purposes (#5A letter)
7. Cancelled
8. Void
C
loseout with Certification (#1 letter)
U
pon satisfactory completion of construction, and receipt of all required documents, the DSA issues a
Certificate of Compliance to the school district. This letter is evidence that construction conforms to
applicable requirements of the Education Code. Any alternate documents submitted in lieu of the
“required documents” results in the issuance of a #2 letter.
C
ertificate of Compliance without Receipt of All Documents (#2 letter)
As per
mitted under Education Code, Sections 17315 and 81147, alternate procedures and/or
alternate documents may be utilized in the efforts to issue a certification of compliance. These
alternates may be utilized when it is deemed impossible to collect all the required documents due to
incapacitating illness, death or default of any persons responsible for filing reports. Chapter 5 of this
guide provides the process for certification of these types of projects.
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Closeout without Certification (Exceptions) (#3 or #3A letter)
When the DSA cannot verify that construction has been completed in accordance with the applicable
codes and regulations, the project is closed without certification. The typical causes for issuance of a
type 3 letter are:
• Reported deviations in the construction
• Unconstructed but required minimum scope
• Required documents were not received by the DSA or are otherwise missing
• Required documentation was not properly completed
• Missing testing and/or inspection reports
• Required further and/or additional fees owed to DSA have not been paid
• Unapproved documents such as change orders, deferred approvals, and addenda
Closeout without Certification (Deficiencies) (#4 letter)
When there are unresolved safety issues the project will be closed without certification. The type 4
letter is issued for unresolved SSS, ACS and/or FLS safety related deficiencies specifically identified
by the DSA, Inspector or Design Professional. These deficiencies would typically be identified in
inspection reports, testing reports, design professional reports and/or DSA field trip notes. Missing
documents are not considered as cause to issue a type 4 letter. Unconstructed scope, if resulting in a
potential unsafe condition, could cause a type 4 letter to be issued. Type 4 letters must be approved
by the DSA Regional Manager prior to being issued.
Resolution of Certification: Project no longer exists (removal of structure) (#5 letter)
The DSA issues this closeout letter upon request from the district for projects which no longer exist
due to removal of all the structures that were part of the project. The use is for project closed, not
certified and the issue of certification is resolved because the structures associated with the project no
longer exist. Usual use is for relocatable buildings that have been moved from their approved location.
This resolution may also be used for other projects for which all the structures in the project have
been demolished. The DSA requires evidence that the structures no longer exist in order to issue the
letter.
Resolution of Certification: Project no longer used for school purposes. (#5A letter)
The DSA issues this closeout letter upon request from the district for projects which are no longer
being used for school purposes. The use is for project closed, not certified and the issue of
certification is resolved because the project is no longer being and never will again be used for school
purposes. Typically this would occur if the district sold the project to non-district entities for use other
than public education. The DSA requires evidence the project meets the defined criteria.
Cancelled Projects (Cancelled letter)
The DSA issues cancellation of projects not constructed, when requested by the district. Cancelled
projects can be reinstated by filing a new application and fee. Plans, specifications and design shall
comply with the requirements of the current California Building Code.
Voided projects (Void letter)
The DSA voids projects under certain circumstances:
• More than six (6) months has passed from the date of return of checked plans to the
architect or engineer and the corrected plans or corrected original plans have not been
filed with the DSA for backcheck. The DSA may, upon request, approve a six month
extension. Backcheck must be completed within two months of initiation.
• More than four (4) years has passed from the date of DSA plan approval without the
start of construction (No extension are allowed).
Voided projects can be reinstated by filing a new application and fee. Plans, specifications and design
shall comply with the requirements of the current California Building Code.
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CHAPTER 2
DOCUMENTS REQUIRED FOR PROJECT CERTIFICATION
GENERAL
Each project has specific documents that are required to be completed and filed with the DSA in order
for the DSA to certify the project. This section provides general discussion of the various documents.
Not all documents discussed here are required for all projects.
Current DSA Forms
Many of the forms shown in this section are older versions of DSA forms, since most of the projects
for which this guide will be used are older projects. Current versions of all DSA forms are available on
line at the DSA website, forms page
. Also, Appendix B provides a link to the forms referenced in this
guide.
SIGNATURES ON DOCUMENTS
All documents that require signatures must be signed by the correct person. No person may sign for
any other person.
The DSA will accept reproduced documents in which the signatures are therefore also reproductions
(not “wet” signed).
DSA-1 (APPLICATION)
One of
t
he purposes of the DSA-1 (Application) or any amending document is to identify the specific
names of design professionals who are required to sign DSA-6A/Es (Verified Reports). Forms that
amend the DSA-1 include:
• DSA-1
• DSA-108 (Change in Delegation of Responsibility)
• Letters that request a change in the name of individuals on the DSA-1
Notes: 1. The information on DSA-108 and other forms that change the delegation of responsibility
supersede any information previously submitted on the DSA-1 form.
2. If a DSA-6A/E is submitted and signed by individuals that are not listed on a DSA-1 or any
amending document, then a DSA-108 needs to be submitted before the DSA-6A/E can be
accepted.
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DSA -1 - Example
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DSA-108 (CHANGE IN DELEGATION OF RESPONSIBILITY)
Form DSA-108 changes the delegation of responsibility from those persons listed on form DSA-1 to
others listed on form DSA-108. This is useful when those listed on the original DSA application (DSA-
1) are not able to complete their delegated responsibilities. The form provides the following critical
information:
• Project Name, Application Number and Date Signed.
• Delegated From
• Delegated To
DSA-108 – Example
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DSA-102 (CONTRACT INFORMATION)
The DSA-102 Contract Information form provides the contractor’s information. The following critical
information must be provided on DSA-102:
• Project Name and Application Number
• Start of Construction Date
• Contract Number
• Contract Amount
• Contractor Name
• Scope of Contract
• Signature of Architect
Notes: 1. If any of the above information is incorrect or incomplete, a revised or corrected DSA-
102 is required.
2. Volunteer projects need to list the name of an individual who is acting as a contractor
and the dollar amount would be based on an estimate of the fair market value.
Requirements
• The DSA-102 information must be received by the DSA before any Change Orders (or
Construction Change Documents) can be accepted by DSA.
• A separate DSA-102 must be filed for the Construction Manager.
• For projects with multiple prime contracts, a DSA-102 can be filed for each contract. However,
it is recommended to use a single DSA-102 with an attached list of prime contractors and their
respective contract amounts.
• If a single General Contractor or Construction Manager (Construction Manager is at risk) holds
contracts, then the DSA considers only one contract exists (that between General Contractor
and the district or the Construction Manager and the district). That prime contract is listed on
the DSA-102 and sub-contractor contract information is not listed.
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DSA-102 – Example (Annotated)
Below is a detailed description of required information. If a field in the form is not annotated (and
appears blank), the information in the field is not essential for closeout.
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DSA-102 – Example (with Multi-prime Attachment)
The multi-prime list must indicate the contractor’s name, respective contract amount, and bid package
#.
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DSA-168 (STATEMENT OF FINAL ACTUAL PROJECT COST)
The use of this form became effective July, 2012. Since fees paid to DSA are based on the cost of
the project, the DSA is required to determine the final project cost at the end of the project as part of
the closeout/certification process. The DSA-168 allows for districts to self-report the final construction
cost of the project so that the DSA can determine final fees owed.
DSA-291 (LABORATORY VERIFIED REPORT)
Mos
t (
but not all) projects require materials testing. Project testing requirements are shown on the
construction documents and summarized on the DSA testing and inspection (T&I) form (DSA-103).
The T&I form is filled out by the design professional and accepted by the DSA as a prerequisite to
plan approval. The T&I form is not required for project closing but is used to identify those tests and
special inspections required for the project.
At the conclusion of the project, the Testing Lab is required to provide evidence to the DSA that all
required tests have been completed.
• For older projects the Laboratory Manager would provide a signed affidavit (“Customized lab
verified report”) to the DSA stating that all required testing has been completed.
• The laboratory also may have filed a DSA-6 form.
• For more recent projects, the lab provides an executed DSA-291 (Laboratory Verified Report),
signed by the lab manager, evidencing all required testing has been completed. DSA-291
must be signed by the licensed civil engineer who supervised the testing.
All three of these methods are acceptable for project certification. However, for projects where
construction was completed after August 8, 2006, the DSA-291 form must be used.
DSA-292 (SPECIAL INSPECTOR VERIFIED REPORT)
Some (but not all) projects require special inspections. Project special inspection requirements are
shown on the construction documents and summarized on the DSA Testing and Inspection (T&I) list,
form (DSA-103).
The T&I form is filled out by the design professional at the time the plans are approved. The T&I form
is not required for project closing but is used to identify those tests and special inspections required
for the project.
At the conclusion of the project, each Special Inspector is required to provide evidence to the DSA
that all required special inspections have been completed and that the inspected construction
complies with the DSA approved construction documents.
• For older projects the Special Inspector would provide a signed affidavit (“Customized Special
Inspector verified report”) to the DSA stating that the specifically listed required special
inspection has been completed and the construction found to be in compliance with the
construction documents.
• The Special Inspector also may have filed a DSA-6 form.
• For more recent projects, the Special Inspector provides an executed DSA-292 (Special
Inspector Verified Report), signed by the Special Inspector.
All three of these methods are acceptable for project certification. However, for projects that
construction was completed after August 8, 2006, the DSA-292 form must be used.
• DSA-292 for masonry must be signed by a DSA approved masonry inspector.
• DSA-292 for shop or field welding must be signed by individuals who are AWS/CWI licensed.
• When DSA approves a specific individual (via form DSA-5) to perform any special inspection,
that individual must sign the DSA-292 form.
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DSA-292 - Special Inspection Verified Report - Example
The DSA is specifically looking at the circled information for completeness and accuracy.
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DSA-293 (GEOTECHNICAL VERIFIED REPORT)
Most (but not all) projects require earth work that is monitored by a Geotechnical Engineer.
• For older projects the Geotechnical Engineer would provide a signed affidavit (“Customized
geotechnical verified report”) to the DSA stating that all engineered fill tests and inspections
have been completed.
• The Geotechnical Engineer also may have filed a DSA-6 form.
• For more recent projects, the Geotechnical Engineer provides an executed DSA-293
(Geotechnical Verified Report), signed by the Geotechnical Engineer of Record, evidencing all
required engineered fill testing and inspection has been completed.
All three of these methods are acceptable for project certification. However, for projects that
construction was completed after August 8, 2006, the DSA -293 form must be used.
• DSA-293 must be signed by a licensed Geotechnical Engineer.
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Customized Narrative Letter Verified Report - Example
The example below is an acceptable Geotechnical Verified Report that pre-dates the standard DSA-
293 form. Geotechnical and Engineered Fill reports are equivalent.
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DSA-6 (INSPECTOR VERIFIED REPORT)
DSA-6 (CONTRACTOR VERIFIED REPORT)
DSA 6A/E (DESIGN PROFESSIONAL VERIFIED REPORT)
• The DSA-6 is used by each inspector and each contractor with a prime contract with the District to
state that construction either does or does not comply with DSA approved plans.
• The DSA-6A/E form is used by the architect, structural, mechanical, and/or electrical engineers to
state that construction either does or does not comply with DSA approved plans.
• DSA-6 forms have been used in the past by testing labs or special inspectors instead of DSA lab
verified reports.
• Forms DSA-6 and DSA-6A/E must be filled out completely and accurately. If any required
information is not correctly provided, then the form is rejected by the DSA.
• Change order dates should pre-date the date the DSA-6 or DSA-6 A/E was signed. In addition, all
Deferred Approvals, Change Orders (if required), Construction Change Documents, Revisions,
Addenda, etc. must be resolved prior to acceptance.
• DSE’s have the authority to accept a DSA-6 or DSA-6 A/E as final even if it does not meet all of
the requirements listed above.
Notes: 1. Construction Managers are not required to file a DSA-6 unless they are acting as general
contractors (i.e., they own the contracts and are at risk).
2. Assistant Inspectors are not required to file a DSA-6 unless requested to do so by the
DSE.
3. The DSA-6 submission requirements can differ depending upon the project or types of
construction.
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DSA-6 - Example
The DSA is specifically looking at the circled information for completeness and accuracy.
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DSA 6 A/E - Example
DSA is specifically looking at the circled information for completeness and accuracy.
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NOTICE OF COMPLETION (NOC)
A Notice of Completion (NOC) filed with the DSA by the School District/owner is required before the
DSA can issue a certification letter. If there are multiple contracts, then there may be multiple NOC
submitted (and multiple NOC dates).
Acceptable forms of NOC
NOCs can be submitted using:
• Notice on School District Letterhead
• Notice filed with County Recorder
Required information
The following information is required to be included as part of a “Notice of Completion”:
• School (Project) name and Application number
Identify the project to which the NOC applies.
• Contractor name(s)
• Completion date
• Signature of school district representative
Notes: 1. The term “substantially complete” is acceptable, when the NOC is signed by the school
district representative.
2. The AIA notice of substantial completion is not acceptable as a NOC because the AIA
notice is signed by the architect and not the school district’s representative.
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Notice of Completion - Example
The DSA is specifically looking at the circled information for completeness and accuracy.
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CHANGE ORDERS
For projects with construction complete or DSA 90 day letters issued prior to November 1,
2012:
All Change Orders incurred during the construction of a project are required to be submitted to and
approved by the DSA. The statutes and regulations governing school construction required that all
changes to approved construction documents be approved by the DSA prior to the construction of the
changes. Since construction usually proceeds faster than a District can obtain full change order
approval from their Boards, there existed regulations that allowed the technical portions of a change
order to be submitted and approved by the DSA prior to the submittal of the final and fully executed
change order. This method utilized the FCD or PCO process. Unfortunately, there are many instances
where this process was not followed and there exists change orders that have no DSA approval, yet
the construction has been completed. The following information is provided about change order
review and approval.
• Upon receipt and review, the DSA produces a Transmittal Memo. Therefore, each Change
Order should be accompanied by a DSA Transmittal Memo indicating the review status and
other information.
• If the technical aspects of a change order have been approved by the FCD (or PCO) process,
then attach a copy of the DSA approved FCD (PCO) to the Change Orders.
• All Change Orders must be approved or otherwise resolved by the DSA prior to project
certification.
• Change Orders must be consistent with DSA-102 regarding the contract number and contract
amount.
• The number of Change Orders submitted and approved must be consistent with the submitted
DSA-6s.
• If the Change Order is not DSA approved, then two sets of the Change Order must be
submitted to the DSA for review and approval (include DSA checked comments if the Change
Order had been previously submitted and checked but never approved).
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Change Order Transmittal Memo - Example
Each Change Order should be accompanied by a Transmittal Memo stamped by the DSE who
reviewed and approved it. Verify the Application ID on the Transmittal Memo is correct and that the
DSE has signed it.
Contract 2
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Change Order - Example
Verify the accuracy of the Application ID, Project Name, Change Order Number, Original Contract
Amount, Contractor’s Name, Total Dollar Amount of the Change Order, and DSA Approval Stamp with
App#, SS initials, and date.
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CHANGE ORDERS /DSA-102 / DSA-6 INTERDEPENDENCIES
Although DSA-102s, Change Orders, and DSA-6s are discussed
individually in this guide, the acceptability of each is dependent
upon the others.
If all documents have been submitted and completed correctly,
DSA-102s, Change Orders, and DSA-6s can be accepted.
Unfortunately, the correct submission and completion of
documents generally does not happen and therefore all or some
of these documents are rejected on a regular basis.
The following interdependencies must be analyzed to determine
if any DSA-102s, Change Orders, or DSA-6s must be rejected:
• DSA-102(s) should cover all contracts associated with the
scope being closed. Coverage is determined by
examining the scope portion of the DSA-102.
• DSA is required to approve ALL Change Orders
associated with each contract. Determining the presence
and number of Change Orders is accomplished by
examining the number of Change Orders indicated on the DSA-6 forms versus the number of
Change Orders in the file.
• The DSA-6 forms should cover the entire scope being closed and the number of change
orders approved should be indicated.
CONSTRUCTION CHANGE DOCUMENTS (CCD)
For projects in construction after November 1, 2012:
After a contract for the work has been let, changes to the approved construction documents shall be
made by means of Construction Change Documents (CCD) (see IR A-6).
It is the responsibility of the design professional in general responsible charge to determine if changes
affect the Structural, Access or Fire & Life Safety portions of the project.
The design professional in responsible charge shall prepare the CCD and is responsible for code and
process compliance.
The CCD process replaces the need to submit change orders. Thus for projects subject to the CCD
process, change orders are not required to be submitted to DSA.
Changes to the construction cost are reported to DSA using form DSA-168 at the conclusion of the
project.
Changes to or affecting the Structural, Access or Fire-Life Safety Portions of the Project:
• These changes shall be classified as CCD Category A.
• CCD Category A are required to be submitted to and approved by the DSA prior to
commencement of the affected work.
• CCD Category A must be submitted to the DSA using the CCD Category A form, DSA-140.
DSA-6s
DSA-102s
Change
Orders
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Changes not affecting the Structural Safety, Access Compliance or Fire & Life Safety portions:
• These changes shall be classified as CCD Category B.
• CCD Category B are not required to be submitted to the DSA unless specifically required,
in writing, by DSA.
• If DSA requires any CCD Category B to be submitted then they shall be submitted to the
DSA using the Category B form, DSA-141.
• If DSA requires a CCD Category B to be submitted then the DSA will review for
concurrence that it does not contain changes to, or affect the Structural, Access or Fire &
Life safety portions of the project. If necessary, and at its sole discretion, the DSA will re-
assign the CCD to Category A.
DEFERRED APPROVALS
A Deferred Approval represents a portion of the construction that cannot be fully detailed on the
originally approved drawings because of variations in product design and manufacture. Approval of
plans for such a portion may be deferred until the material suppliers are selected. All Deferred
Approvals identified during the plan approval phase are required to be submitted and approved by the
DSA. The statutes and regulations governing school construction require that all Deferred Approvals
be approved by the DSA prior to the construction of the deferred portion. Unfortunately, there are
many instances where these regulations were not followed and there exist Deferred Approvals that
have no DSA approval, yet the construction has been completed. The following information is
provided about Deferred Approval review and approval.
• Upon receipt and review, the DSA produces a Transmittal Memo. Therefore, each Deferred
Approval should be accompanied by a DSA Transmittal Memo indicating the review status and
other information.
• Required Deferred Approvals are shown on the DSA approved plans and original DSA approval
letter.
• See DSA IR A-19 for a full discussion about required design professional signatures on Deferred
Approvals.
• If the Deferred Approval is not DSA approved then two sets of the deferred construction
documents (drawings and supporting data such as calculations, manufacturer data, etc.) must be
submitted to the DSA for review and approval (include the DSA check set if the Deferred Approval
had been previously submitted and checked but never approved).
• All Deferred Approvals must be resolved prior to project certification.
• Types of Deferred Approvals must be consistent with those shown on the DSA approved project
plans. If changes to the plans have caused Deferred Approvals to be added or deleted then those
plan changes must be approved by the DSA.
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Deferred Approval Transmittal Memo Example
The DSA is specifically looking at the circled information for completeness and accuracy.
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ADDENDA
Prior to the award of a construction contract, changes to the DSA approved construction documents
may be implemented by means of Addenda. All Addenda that change the DSA approved plans
and/or specifications are required to be submitted and approved by the DSA. The statutes and
regulations governing school construction required that changes to approved construction documents
be approved by the DSA prior to the construction of those changes. Unfortunately, there are many
instances where these regulations were not followed and there exist addenda that have no DSA
approval, yet the construction has been completed. The following information is provided about
Addenda review and approval.
• Upon receipt and review, the DSA produces a Transmittal Memo. Therefore, each Addendum
should be accompanied by a DSA Transmittal Memo indicating the review status and other
information.
• If the Addendum is not DSA approved then two sets of the Addendum (Drawings and supporting
data such as calculations, manufacturer data, etc.) must be submitted to the DSA for review and
approval (include the DSA check set if the Addendum had been previously submitted and
checked but never approved).
• All Addenda must be prepared, written, and signed, by the architect (or engineer) in general
responsible charge of the project.
• Significant Addenda (revisions) to the drawings may result in a DSA request for additional fees
and/or for the submittal of a new separate application.
• All Addenda must be approved by the DSA prior to project certification.
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Addendum Transmittal Memo - Example
The DSA is specifically looking at the circled information for completeness and accuracy.
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REVISIONS
Prior to (or in some cases after) the award of a construction contract, changes to the DSA approved
construction documents may be implemented by means of Revisions. All Revisions that change the
DSA approved plans and/or specifications are required to be submitted to and approved by the DSA.
The statutes and regulations governing school construction required that changes to approved
construction documents be approved by the DSA prior to the construction of those changes.
Unfortunately, there are many instances where these regulations were not followed and there exist
Revisions that have no DSA approval, yet the construction has been completed. The following
information is provided about Revision review and approval.
• Upon receipt and review, the DSA produces a Transmittal Memo. Therefore, each Revision
should be accompanied by a DSA Transmittal Memo indicating the review status and other
information.
• If the Revision is not DSA approved then two sets of the Revision (drawings and supporting
data such as calculations, manufacturer data, etc.) must be submitted to the DSA for review
and approval (include the DSA check set if the Revision had been previously submitted and
checked but never approved).
• All Revisions must be prepared, written, and signed, by the architect (or engineer) in general
responsible charge of the project.
• Significant revisions to the drawings may result in a DSA request for additional fees and/or for
the submittal of a new separate application.
• All revisions must be approved by the DSA prior to project certification.
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Revision Transmittal Memo - Example
The DSA is specifically looking at the circled information for completeness and accuracy.
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FEES
Education Code, Sections 17300 and 81133, and California Code of Regulations (CCR), Title 24 Part
1 (the California Administrative Code), Sections 4-320 through 4-326 define project fees. At the
conclusion of construction, fees may be due to the DSA. In these instances, invoices are generated
by the DSA and fees are paid by the District. There are three (3) types of invoices generated by the
DSA.
• Original Project Application Fees (70/30 split)
• Additional Fees
• Further Fees
Original Project Application Fees (70/30 split)
Although a rare occurrence, Education Code Section 17300(b) allows school districts the option to
pay the original project application fees in two installments. The installments are 70% of the
Structural Safety Review (including FLS) fees at time of project submittal and the remaining 30%
within 5 days of acceptance of the project construction bid. (70/30) The 70/30 Split invoices are
generated for the remaining 30% fees, at the time any contractors have been awarded a contract.
The status of the payment of this fee is examined at project close out and the fee must be paid prior to
project certification.
Notes: 1. This split invoice arrangement only applies to SSR fees – ACS fees must be paid
in full at the time of application.
2. When the original DSA Application (DSA-1) is received, the DSA cashier invoices
the school district for the outstanding 30% and notifies them that payment is due
once any contractors have been awarded a contract. DSA then tags the file “30%
outstanding” and/or there is a letter requesting payment of “Field Review Fees” in
the file. (DSA will again invoice the 30% upon receipt of form DSA-102 if payment
has not yet been received.)
Additional Fees
CCR, Title 24, Part I, Section 4-317(f) allows the DSA to invoice for additional fees when the original
contract amount of a project exceeds the estimated cost of a project by more than 30%.
The DSA-1 submitted at the beginning of a project contains an estimated cost statement. The
architect or engineer in responsible charge of the project is required to submit a DSA-102 Contract
Information form to the DSA as soon as a contract has been let. Unfortunately, this is not always
done. Additional Fees invoices are created when the contract amounts indicated on the DSA-102s are
30% or more than the estimated cost indicated on the DSA-1.
• For example, the estimated cost of a DSA Application Number is $1,000,000.00 ($1M) and the
DSA-102 form shows $2,000,000.00 ($2M) as the original contract amount. Because the
original contract amount exceeds the estimated cost by more than 30% an Additional Fee
invoice must be generated.
• The status of the payment of this fee is examined at project closeout and the fee must be paid
prior to project certification.
Notes: 1. An Additional Fee invoice can also be triggered by multiple DSA-102 forms for
multiple contracts because the cumulative amount would apply.
2. Additional Fee invoices do not include further fees due to Change Orders (see
Further Fees, below).
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Further Fees
CCR, Title 24, Part I, Sections 4-320 and 324(b) allows the DSA to invoice for further fees when the
actual cost of the project exceeds the estimated cost by 5 percent. The Further Fee for such projects
shall be based on the difference between the estimated cost (including any adjustments for additional
fees) and the actual cost.
• For example, the estimated cost is $1,000,000.00 ($1M) and the actual cost (the sum of the
DSA-102 and Change Orders amounts) is $1,999,998.00.
o Multiply the estimated cost by 1.05:
1,000,000 * 1.05 = 1,050,000
o The actual cost ($1,999,998.00) is higher than the above calculated amount; therefore
an invoice for Further Fees must be generated.
• Further Fees can be triggered by Change Orders, which increase the actual cost of the
project.
• The status of the payment of this fee is examined at project closeout and the fee must be paid
prior to project certification.
Fees for Prorated DSA Application Numbers
The above fee information is focused on typical invoices for projects. However, although uncommon,
it is possible for a single construction project to have multiple DSA application numbers, each with its
own contracts and Change Orders. A single project with multiple DSA application numbers is
commonly referred to as having “prorated DSA application numbers.”
In projects with multiple DSA application numbers, each application number must be evaluated
separately from the others in order to accurately calculate fees. DSA is not responsible for prorating
contract amounts. A complete proration (breakout) must be submitted by the architect and reported on
DSA-102s and Change Orders.
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Unpaid Invoice - Example
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Paid Invoice - Example
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Division of the State Architect Project Certification Guide Re-Examination of Closed Files (Re-Opening)
CHAPTER 3
RE-EXAMINATION OF CLOSED FILES (RE-OPENING)
GENERAL INFORMATION, REQUIREMENTS AND PROCESS
Once the DSA has closed a project file, it is sent to the State Archives. If the project has been closed
“not certified” then that status remains unaltered until such time that the project is certified by the DSA.
A project that is closed “not certified” may be re-opened for examination and certification at any time.
The following steps are involved in order to have a file “re-opened.”
Send a single, complete, comprehensive package to the DSA that includes the following:
• A letter, with the project name and DSA application number, requesting that the project files be
re-examined for certification.
• A copy of the “Closed Without Certification” letter issued by the DSA.
• All items, documents and issues listed on the DSA “Closed Without Certification” letter as
missing, outstanding or otherwise not resolved.
• Re-opening fee as necessary based on the following:
a) No fee required for a one-time project re-opening request that is received within 9 months
from the date the DSA 90-day letter expires.
b) After 9 months from the expiration of the DSA 90-day letter (or any 2
nd
or subsequent re-
opening request) the re-opening fee is based on the project construction cost as follows:
Projects less than $5 million: $500 re-opening fee
Projects between $5 million and $50 million: $750 re-opening fee
Projects greater than $50 million: $1000 re-opening fee
Partial or otherwise incomplete submittals will be accepted. The DSA will re-examine the
submittal and issue an updated “Closed Without Certification” letter or form DSA-311 to show the
remaining outstanding documents/issues.
The submitting party (usually Architect or the School/Community College District) then has 90
days from the date on the updated “Closed Without Certification” letter (or DSA-311) to completely
resolve and obtain DSA approval of the remaining outstanding documents/issues.
If more than 90 days pass without resolution or DSA approval, the project will again be closed
without certification and all the documents returned to the State Archives. The DSA will issue
another “Closed Without Certification” letter to show the remaining outstanding documents/issues.
To again re-open the project will require the above process to be followed including paying again
the noted re-opening fee.
• All Change Orders, Addenda, Revisions and Deferred Approvals should be fully approved or
otherwise resolved prior to submittal of a re-opening package. Note, merely submitting to the
DSA does not constitute approval. All construction documents must be fully approved or
otherwise resolved prior to re-opening.
• Re-opening packages that require approved Change Orders, Addenda, Revisions and
Deferred Approvals should include the DSA-143 Transmittal Memo indicating DSA approval.
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• Required documents sent to the DSA without a cover/transmittal letter and without the re-
opening fee will be discarded or returned without any review or DSA tracker updating. After
the 90 day letter expiration date, the project files are sent to the State Archives and therefore,
since the file is no longer in the regional office, individual additional closing documents cannot
be filed.
• Change Orders, Addenda, Revisions, Deferred Approvals and Construction Change
Documents (CCD, FCD, PCO) can be submitted after the 90 day letter expiration date. These
items may be sent in individually for approval. This type of construction document submittal for
approval does not constitute a re-opening.
• When required documents cannot be acquired, approval from the DSA for the omission of
required closing documents or alternate documents must be resolved and secured in writing
prior to the submittal of the re-opening package by means of completing the form
DSA-311:
Request for Examination for Certification Using Education Code 17315(b)/81147(b).
• When a re-opening package is submitted, complete with the re-opening fee, the project will be
assigned to a Project Closing Specialist and the appropriate District Engineer. The file will be
re-examined (it may need to be ordered from State Archives) and, if all documentation is
correct, the project will receive certification of compliance.
• Projects are re-opened in the order the complete package is received at the DSA for all school
districts. The only exception to this rule is if a delay in re-examination process will delay or
stop DSA approval of a currently submitted project.
• See DSA Policy PL 09-04: 90-Day Letter and Reopening of Files for Project Certification)
.
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CHAPTER 4
STRATEGIES FOR PROJECT CERTIFICATION
GENERAL DISCUSSION
P
roject certification is most readily obtained immediately following substantial completion of the
construction. The more time that passes, the more complicated, complex and problematic
certification becomes. As time passes, people involved in the process change employment, retire, die
or just disappear. Documents become lost, discarded, misfiled or otherwise unobtainable.
Project certification is about document control. Project testing and inspection along with the resulting
documentation as well as other required documentation must be established prior to construction and
collected during construction. Documents must be gathered and signed by responsible parties before
those persons are no longer able to be found. As a backup, copies of documents must be kept by
responsible parties (at least until project certification). Documents must be submitted to the DSA,
appropriately reviewed/approved, their existence and status accurately recorded, and then correctly
filed. Any breakdown in document control leads to uncertified projects.
Project certification for projects that have been previously closed without certification can be an
arduous task. It takes good old fashion hard work. A person must be willing to dig through old
records, boxes of files, make many phone calls, track down people, write letters, attend meetings,
discover and resolve issues and in some cases cause additional testing, inspections and maybe even
construction.
This section provides strategies for resolutions to problems encountered during the certification of
projects previously closed not certified. Not all problems and resulting strategies are able to be
identified and not all those identified are applicable to each project. All projects are unique and
unique issues and strategies are expected to be encountered.
BEST PRACTICES
So
me projects are very straight forward and easy to certify. While some effort may be required to
collect all the documentation, once collected and submitted the certification process proceeds rapidly
and smoothly. These projects usually have the following in common:
• Archived (DSA or District archives) plans and documents are available for review.
• The project has DSA approved plans and specifications (DSA approval of plans letter has
been issued).
• All construction has been completed in compliance with the approved construction documents.
• All Revisions, Addenda, Deferred Approvals, and Change Orders have been approved by the
DSA.
• Project Inspector and design professionals have signed final verified reports (DSA-6).
• All required tests and inspections have been completed with the necessary reports available.
• All DSA Field Trip Note issues, if any, are resolved.
• All fees owed DSA are paid.
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SCHOOL DISTRICT PARTICIPATION
For
projects that have been closed without certification and are to be re-examined for certification, the
school district should be prepared to do the following:
• Hire persons experienced in DSA project closeout (employees and/or consultants).
• Work as a team with the DSA to resolve issues.
• Provide approved plans (and other documents) if the DSA archive record set and/or archive
files are not available.
• Complete construction and/or otherwise resolve construction deficiencies/scope.
• Hire new project and/or special inspector as necessary.
• Hire design professionals as necessary to resolve issues.
• Hire a DSA approved Laboratory to perform tests (destructive and/or non-destructive).
• Pay additional fees due the DSA.
DETERMINING PROJECT CERTIFICATION STATUS
T
he certification status of projects in each individual school district should be determined such that
each district develops a list of their projects that are not DSA certified. A project’s certification status
is most easily determined from the DSA website (see Appendix C).
If the information is not obtainable from the website, then contact the DSA Regional Office and
request a Tracker list of uncertified projects be generated for that specific school district.
OBTAINING PROJECT DOCUMENTS AND INFORMATION
A
fter determining that a project is not DSA certified, the reasons for the lack of certification need to be
determined, information gathered and certain documents must be obtained. Information and
documents are usually obtained from a variety of sources. These sources include:
• The DSA
• The School District
• Design Professionals
• Inspectors
• Testing Laboratories
• Construction Managers
• Contractors
Obtaining Documents from the DSA
T
he DSA typically has information and documents that may be of value in pursuing project
certification.
• Closing Letter. For projects that are uncertified, the DSA closing letter lists those documents
that are missing and/or issues that are not resolved. The closing letter may be requested from
the DSA.
• Project plans and specifications may be obtained by making a request to retrieve them from
the DSA archives. The plans and specifications can be viewed at the regional office locations.
They cannot leave the custody of the DSA except by a licensed, bonded reprographic
company for copying.
• DSA project files may be obtained by making a request to retrieve them from the DSA
archives. The project files can be viewed at the regional office locations. They cannot leave
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the custody of the DSA except by a licensed, bonded reprographic company for copying. The
project files are split into “Red Files” and “Black Files.” See Appendix E for more discussion
about DSA project files and the organization of the documents in the files.
• History Cards. For projects where the certification (or lack thereof) is not clear, especially for
projects prior to the year 1998, the DSA keeps project history cards and/or closing letter
binders. For single project requests, the DSA may search these cards and binders and send
the information via fax or e-mail. For multiple projects or district wide projects, the DSA may
require the search be made by the requesting party and make the cards and binders available
(at the regional office locations).
• Documents Required List. For newer projects there may exist an electronic Documents
Required List. This list specifies the documents required in order for a specific project to be
certified. This Documents Required List is found on our website (See Appendix C).
• DSA Electronic Document Storage System (ADM). Some project documents have been
scanned and uploaded into the DSA ADM. Since the ADM is part of the DSA computer
network, only DSA employees have access into the ADM. For documents that are known to
be previously submitted to DSA but are “missing” a search of the ADM may be requested.
Obtaining Documents from Others
Missing documents and/or alternate documents are frequently found in the files of other parties
involved in the design, construction, testing and inspection. Search of the files of the district, design
professionals, inspectors, testing laboratories, construction managers and contractors should be
made in an effort to locate documents.
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CHAPTER 5
ALTERNATE PROCESSES AND DOCUMENTATION
Ed Code Section 17315(b)/81147(b)
I. O
verview, Intent, Use and Limitations:
This chapter is intended to be used for projects closed without certification because final verified
reports required by Education Code, Section 17309/81141 have not been submitted, other required
documents have not been submitted, or fees owed to the DSA have not been paid.
The applicability of the alternate processes and documentation discussed in this chapter require
expert knowledge of structural engineering, Fire & Life Safety, and Access Compliance practices and
requirements; expert knowledge of California school construction; expert knowledge of Title 24 codes;
expert knowledge of DSA processes, policies, and procedures; and specific knowledge of each
individual project gained by a thorough detailed review of all available project documents.
The use of this chapter of the guide is limited to the following conditions:
• Projects must have been closed without certification.
• The specific project records must be individually examined by DSA staff.
• The applicability of each item listed in this guide must be documented to the file and finally
approved by a DSA Structural Engineer or Architect.
• The school/community college district must make a written request to DSA to examine the
project, for certification, using Education Code, Section 17315(b)/81147(b). Form DSA-311 is
used for this purpose.
• The school/community college district must provide written reasonable justification that indicates
why the final verified reports required by Education Code, Section 17309/81141 have not been
submitted. Form DSA-311 is used for this purpose.
II. Alternate Processes
This chapter describes five alternate process types (A, B, C, D and E). Alternate Processes A and B
may be used for any project type. Alternate Process C is limited to one story relocatable buildings.
Alternate Process D is for projects with complexities that may not be resolved using this guide.
Alternate Process E describes the process for certifying projects using a Post Construction Evaluation
Program developed by qualified licensed design professionals.
Below is an in-depth discussion of each alternate process type. Appendix A contains information
about the DSA authority and justification for alternate certification processes.
A. - Alternate Process Type A:
The Verified report from the Project Inspector is typically considered by the DSA to be the single
most important document in the file when certifying projects. Thus, for projects where required
reports have not been submitted to the DSA due incapacitating illness, death, or default of any
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person required to file such reports, DSA has determined a verified report from the Project
Inspector may be reasonable and sufficient evidence that the project was constructed in essential
compliance with the approved construction documents.
Alternate Process Type A is to be used to determine if these types of projects can otherwise be
certified as allowed by Education Code, Section 17315(b)/81147(b). If the following criteria are
met then, unless there is compelling evidence to the contrary, it is allowable and reasonable to
certify the project. The certification will be DSA Type 2 “Certification of Compliance without
Receipt of All Documents” (see page 3).
Criteria:
1. File contains a verified report (form DSA-6, or equivalent) from the Project Inspector. The
verified report must show the project is at least 95% complete and contains no identified
unresolved Structural, Access, or Fire & Life Safety issues. (Use Alternate Process Type B if
missing.)
2. Addenda, Revisions and construction change documents (Change Orders, PCO, FCD) are
DSA approved or otherwise resolved. (See Part III, Section 1 for possible resolutions.)
3. Critical Deferred Approval systems must have DSA approval. (See Section 2 for discussion of
which Deferred Approval systems have been determined to be critical and thus must be
resolved and those that have been determined to be not critical and thus do not require
resolution).
4. Verification, by review of the available records, that there is no compelling evidence indicating
the following:
• The Project Inspector did not provide adequate inspections. (Use Alternate Process Type
B if evidence is found.)
• Special inspectors did not provide adequate inspections. (Use Alternate Process Type B if
evidence is found. See also Part III, Section 9 for possible resolutions.)
• Necessary testing was not performed. (Use Alternate Process Type B if evidence is found.
See also Section 9 for possible resolutions.)
• Incomplete construction scope that was required for the project to be compliant with
applicable codes governing Structural, Access, or Fire & Life Safety. (See Section 5 for
resolution if evidence is found.)
• Unresolved Structural, Access, or Fire & Life Safety issues recorded in DSA Field Trip
Notes or recorded in other documentation. (Use Alternate Process Type B if evidence is
found. See also sections 6 and 9 for possible resolutions.)
• Unresolved defective materials associated with Structural, Access, or Fire & Life Safety
portions of the project. (Use Alternate Process Type B if evidence is found. See also
Sections 6 and 9 for possible resolutions.)
5. The District must submit a completed form DSA-311. The DSA-311 must include a list of all
the documents missing from the DSA files (as listed on the project “Closed Without
Certification” letter or discovered by review of the file). Part III, Section 3 provides a
comprehensive list of documents that, if required but missing, must be listed on the DSA 311.
Section 4 provides a list of documents that are not required to be included in the DSA-311.
DSA-311: Request for Examination for Certification Using Education Code 17315(b) /
81147(b) is available on the DSA website at http://www.dgs.ca.gov/dsa/Forms.aspx
.
6. The District must pay re-opening fees to the DSA in compliance with Chapter 2 and DSA
Policy PL 09-04: 90-Day Letter and Reopening of Files for Project Certification, which is
available on the DSA website at http://www.dgs.ca.gov/dsa/Resources/pubs.aspx
.
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7. The District must pay any further or additional fees if owed. If the fees owed are known to DSA
closing staff then an invoice can be generated. If fees owed to the DSA are not known then
the DSA closing staff will require the District to complete the form DSA-168: Statement of
Actual Final Project Cost and staff will use that information to generate an invoice. DSA-168:
Statement of Final Actual Project Cost is available on the DSA website at
http://www.dgs.ca.gov/dsa/Forms.aspx
.
8. Form DSA-102 must be in the file or the District can submit form DSA-168 as an alternate.
B. - Alternate Process Type B:
Alternate Process Type B is intended to be used when a verified report from the Project Inspector,
as described above in Alternate Process A, has not been submitted to the DSA due to
incapacitating illness, death, or default of the Project Inspector. Alternate Process Type B is to be
used to determine if these types of projects can otherwise be certified, as allowed by Education
Code, Section 17315(b)/81147(b). If the following criteria are met then, unless there is compelling
evidence to the contrary, it is allowable and reasonable to certify the project. The certification will
be DSA Type 2 “Certification of Compliance without Receipt of All Documents” (see page 3).
Criteria:
1. The issue of the missing (or less than 95%) verified report (form DSA-6, or equivalent) from
the Project Inspector must be resolved. (See Section 7 in Part III below for possible
resolutions.)
2. The issue of the missing verified reports from all others required to file verified reports must be
resolved. (See Section 7 for possible resolutions.)
3. The issue of other required but missing documents and reports must be resolved. (See
Section 8 for possible resolutions.)
4. Addenda, revisions and construction changes (Change orders, PCO, FCD) must be DSA
approved or otherwise resolved. (See Section 1 for possible resolutions.)
5. Critical Deferred Approval systems must have DSA approval. (See Section 2 for discussion of
which Deferred Approval systems have been determined to be critical and thus must be
resolved and those that have been determined to be not critical and thus do not require
resolution.)
6. Any incomplete construction scope that was required for the project to be compliant with
applicable codes governing Structural, Access, or Fire & Life Safety must be resolved. (See
Section 5 for resolution if evidence is found.)
7. Verification, by review of the available records, that there is no compelling evidence indicating
the following:
• Special inspectors did not provide adequate inspections. (See Sections 7 and 9 for
possible resolutions.)
• Necessary testing was not performed. (See Section 9 for possible resolutions.)
8. If there are Structural, Access, or Fire & Life Safety issues recorded in DSA Field Trip Notes or
recorded in other documentation, they must be resolved. (See Sections 6 and 9 for possible
resolutions.)
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9. If there are identified defective materials associated with the Structural, Access, or Fire & Life
Safety portions of the project, they must be resolved. (See Sections 6 and 9 for possible
resolutions.)
10. The District must submit a completed form DSA-311. The DSA-311 must include a list of all
the documents missing from the DSA files (as listed on the project “Closed Without
Certification” letter or discovered by review of the file) for which alternate methods are used to
resolve. In addition to listing the Verified Report from the Project Inspector as missing, Part III,
Section 3, below, provides a comprehensive list of documents that, if required but missing,
must be listed on the DSA-311. Section 4 provides a list of documents that are not required to
be included in the DSA-311. DSA-311: Request for Examination for Certification Using
Education Code 17315(b) / 81147(b) is available on the DSA website at
http://www.dgs.ca.gov/dsa/Forms.aspx
.
11. The District must pay re-opening fees to the DSA in compliance with Chapter 2 and DSA
policy PL 09-04: 90-Day Letter and Reopening of Files for Project Certification, which is
available on the DSA website at http://www.dgs.ca.gov/dsa/Resources/pubs.aspx
.
12. The District must pay any further or additional fees if owed. If the fees owed are known to DSA
closing staff, then an invoice can be generated. If fees owed to the DSA are not known, then
the DSA closing staff will require the district to complete the form DSA-168 and staff will use
that information to generate an invoice. DSA-168: Statement of Final Actual Project Cost is on
the DSA website at http://www.dgs.ca.gov/dsa/Forms.aspx
.
13. Form DSA-102 must be in the file or the District can submit form DSA-168 as an alternate.
C. - Alternate Process Type C: (Relocatable Buildings)
Alternate Process Type C is applicable to one story relocatable buildings of not more than 2,160
square feet and constructed in a manufacturer’s plant. This Alternate Process is for the
construction of the building superstructure only and is not applicable to the construction to place
the building on a site. For the construction placing the building at the site, Alternate Processes
Type A, B or D should be used. (See Part III, Section 11
for in-depth discussion of relocatable
buildings.)
Alternate Process Type C (building superstructure only) is the same as alternate process Type A
or B with the following clarification:
• For the superstructure construction, the Project Inspector is considered to be either the in-
plant inspector or the welding inspector. A verified report by either will be considered as a
verified report from the “Project Inspector.”
D. - Alternate Process Type D:
Alternate Process Type D is for projects not likely to be certified using Process Types A, B or C
and special consideration is required for resolution that is beyond the intent of this guide. These
types of projects could include projects constructed without DSA approval. Sections 1 through 11
of Part III, below, can provide options and concepts for resolutions.
E. - Alternate Process Type E: (A/E Certification Program)
The A/E Certification Program is intended to be used for those projects that are missing the
project inspector’s verified report or cannot be certified by other means.
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Education Code, Section 17315(b)/81147(b) allows for alternate means and methods to otherwise
certify a project without receipt of all the required documents. When a school building, constructed
in accordance with approved plans and specifications, is completed but final verified reports have
not been submitted due to incapacitating illness, death, or the default of any persons required to
file such reports, then the school district can make a written request to DSA to review all the
project records and make such examinations as it deems necessary. DSA may request the school
district to cause any other tests and/or inspections which DSA deems necessary to complete its
examinations of the construction.
The A/E Certification Program
1) Criteria
1.1 A California licensed architect or structural engineer must be in responsible charge of the
certification program. This person is defined as the “Responsible Design Professional for the
A/E Certification Program.”
1.2 The program is split up into the three areas that DSA regulates: Structural Safety, Fire/Life
Safety and Accessibility. All three areas must be reported compliant to DSA in order to
certify the project. Areas determined noncompliant may be mitigated through a DSA-
approved construction project specific to the mitigation or as part of a larger DSA-approved
construction project.
1.3 The following describes the three areas that must be reported as compliant and the
corresponding design professionals that may report compliant construction:
• Structural Safety for projects with minor structural scope (DSA determines this on a
case-by-case basis): Architect or Structural Engineer
• Structural Safety for projects that the original design professional in general responsible
charge is also the responsible design professional for the A/E certification program:
Same design professional (architect or engineer)
• Structural Safety other than above: Structural Engineer
• Fire/Life Safety: Architect or Structural Engineer
• Accessibility: Architect or Structural Engineer
1.4 The Responsible Design Professional for the A/E Certification Program is required to do a
post-construction evaluation program (including testing and inspections) to the extent he or
she determines necessary in order to:
• Certify to DSA that the as-built conditions relating to structural safety, fire/life safety and
accessibility are in essential compliance with the DSA-approved plans or
• If the approved plans were not available, certify to DSA that the as-built conditions
relating to structural safety, fire/life safety and accessibility are in essential compliance
with the California Building Codes in effect at the time the project was originally
submitted to DSA or
• Identify noncompliant areas and how they will be resolved/mitigated.
1.5 The proposed post-construction evaluation program must be submitted to and approved by
DSA prior to its commencement using forms DSA 312 and 313.
1.6 The post-construction evaluation program must include the following minimum tasks:
• The project plans, specifications and project file must be requested from DSA.
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• All construction-related project documents must be requested from the district.
• All construction-related project documents must be requested from the original design
team, inspector and laboratory to the extent those parties are known and still in business.
• All plans, specifications and documents made available must be reviewed by the
responsible design professional for the A/E certification program.
• At least one site visit for observations of existing construction and conditions must be
made by the responsible design professional for the A/E certification program.
• Inspections (to the extent described in the DSA-approved testing and inspection
program) must be performed by qualified personnel supervised by the responsible
design professional for the A/E certification program.
• Material and system testing (to the extent described in the DSA-approved testing and
inspection program) must be performed by qualified personnel supervised by the
responsible design professional for the A/E certification program.
• Identification of noncompliant areas and how they have been or will be
resolved/mitigated must be documented.
1.7 At the conclusion of the post-construction evaluation program, the responsible design
professionals for the A/E certification program can submit form DSA 314: A/E Certification
Program Verified Report for DSA to examine for project certification.
2) Process:
2.1 The district retains one or more responsible design professional(s) for the A/E certification
program.
2.2 The responsible design professional for the A/E certification program develops and submits
to DSA a post-construction evaluation program; submit the form DSA 312: Application for
Approval of A/E Certification Program to the DSA regional office with construction oversight
authority for the project.
2.3 Upon receipt of form DSA 312, the DSA office will:
• Examine its archives to determine the availability of the project plans, specifications and
files and obtain available documents for the applicants review.
• Determine the design professionals that may report compliant construction as identified
in section 1.3 above.
• Determine if there is evidence or knowledge of potential construction defects affecting
Structural Safety, Fire/Life Safety or Accessibility.
• Review the proposed post-construction evaluation program and either approve it or make
comments and return it for resubmittal.
• Complete form DSA 313: DSA Report for A/E Certification Program and send complete
form to applicant.
2.4 The responsible design professional for the A/E certification program implements the DSA-
approved post-construction evaluation program.
2.5 Upon conclusion of the post-construction evaluation program, the responsible design
professional for the A/E certification completes form DSA 314: A/E Certification Program
Verified Report and submits it to DSA. This step also requires:
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• The District must complete form DSA 311: Request for Examination for Certification
Using Education Code 17315(b)/81147(b). The DSA 311 must include a list of all the
documents missing from the DSA files (as listed on the project “Closed Without
Certification” letter or discovered by review of the file).
• The District must pay re-examination fees to DSA in compliance with DSA Policy PL 09-
04.
• The District must complete the form DSA 168: Statement of Actual Final Project Cost
and pay any further or additional fees if owed.
2.6 Upon receipt of the completed form(s) and Request for Examination, DSA staff will review for
certification. If the project can be certified, a Certification of Compliance per Education Code
17315(b)/81147(b) letter will be issued. If the project cannot be certified, a DSA 301-P:
Notification of Requirement for Certification will be issued.
III. Options and Concepts for Resolution.
Section 1: Change Orders, Addenda, and Revisions
1.1 Change Orders
The issue of missing and/or unapproved change orders must be resolved on a case-by-case
basis. Change orders may contain construction elements that have not been approved by the
DSA and therefore the DSA has no evidence that the changed elements have been designed
compliant with the codes:
1.1.1. Change orders affecting Structural Safety, Fire & Life Safety or Access Compliance
systems or components. These types of change orders require DSA approval prior to
project certification and therefore must be completely resolved prior to certifying the
project.
1.1.2. Change orders not affecting Structural Safety, Fire & Life Safety or Access Compliance
systems or components. These types of change orders will be considered resolved
(not requiring DSA approval) for the purpose of certification. Form DSA-310 may be
submitted for this purpose.
1.1.3. Change orders that have DSA approval but DSA records and/or DSA Tracker does not
show the approval. DSA will accept a copy of the approved change order or a copy of
the DSA-143 showing the change order was approved.
1.1.4. Change orders that are shown as existing but in fact never occurred (or were
cancelled). DSA will accept a letter signed by the design professional in general
responsible charge of the project attesting that the change order never occurred (or
was cancelled).
1.2 A
ddenda/Revisions
The
issue of missing and/or unapproved Addenda/Revisions must be resolved on a case-by-
case basis. Addenda/Revisions may contain construction elements that have not been
approved by the DSA and therefore DSA has no evidence the changed elements have been
designed compliant with the codes:
1.2.1 Addenda/Revisions to or affecting Structural Safety, Fire & Life Safety or Access
Compliance systems or components. These types of Addenda/Revisions require DSA
approval prior to project certification and therefore must be completely resolved prior to
certifying the project.
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1.2.2 Addenda/Revisions not affecting Structural, Safety, Fire & Life Safety or Access
Compliance systems or components. These types of addenda/revisions will be
considered resolved (not requiring DSA approval) for the purpose of certification. Form
DSA-310 may be submitted for this purpose.
1.2.3 Addenda/Revisions that have DSA approval but DSA records and/or DSA Tracker
does not show the approval. DSA will accept a copy of the approved
Addendum/Revision or a copy of the DSA-143 showing the Addendum/Revision was
approved.
1.2.4 Addenda/revisions that are shown as existing but in fact never occurred (or were
cancelled). The DSA will accept a letter signed by the design professional in general
responsible charge of the project attesting that the addendum/revision never occurred
(or was cancelled).
Section 2: Deferred Approvals
2.1 Deferred Approvals required to be approved/resolved: The following Deferred
Approvals have been determined by the DSA to be critical to the safety of the facilities
and must be approved or otherwise resolved prior to project certification:
• Fire Sprinklers
• Fire Alarms
• Fire Pumps and Water Tanks
• Store Front Systems greater than 15 ft. in height between supports
• Bleachers
• Stage Rigging
• Trusses
• Exterior Wall Systems
• Skylights
• Lunch/Shade Shelters/any other building type structure
2.2 Deferred Approvals not required to be approved/resolved: The following Deferred
Approvals have been identified by the DSA as minor in nature, operationally tested by
the virtue of time passed since installation and thus may be considered as resolved
(not required for certification) when examining projects using this alternate process
guide:
• Basketball backstops
• Storefront systems 15 ft. and less in height between supports
• Elevator guide rails
• Bookshelves 6 ft. and less in height
• Access flooring 2 ft. and less in height
• Kitchen hoods
Section 3: Missing Documents that must be listed on form DSA-311
3.1 Missing Verified Reports from any of the following must be listed on the form DSA-311:
• Form DSA-6A/E from Architects
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• Form DSA-6A/E from Structural Engineers
• Form DSA-6A/E from Electrical Engineers
• Form DSA-6A/E from Mechanical Engineers
• Form DSA-293 (or affidavit) from Geotechnical Engineers
• Form DSA-292 (or DSA 6) from Special Inspectors
• Form DSA-6 from In-plant inspectors
• Form DSA-291 (or affidavit) from Testing Laboratories
• Form DSA-6 from Contractors
3.2 Other missing Documents that must be listed on the form DSA-311:
• Weighmaster certificate
• Batch Plant report
• Epoxy and Expansion Anchors inspection/test report
• High Strength Bolt test report
• Masonry Core test reports
• Masonry Block test reports
• Field Bolting inspection report
• Concrete Compression tests reports
• In-plant Precast Concrete inspection reports
• Glu-Lam Fabrication certificates
• Soil Compaction report
• Bleacher affidavits/certificates
• Open Web Wood Trusses reports
• Bleacher affidavits/certificates
• Reinforcing Steel test reports
• Unidentified Steel test reports
Section 4: Missing Documents not required to be listed on DSA-311
4.1 Various missing documents, forms, reports not required to be listed on form DSA-311:
• Notice of Completion
• Grounding test reports
• Form DSA-5
• Shot Pin test report
Section 5: Incomplete Construction Scope
5.1 Incomplete scope that was required for the project to be compliant with applicable
codes governing Structural, Access, or Fire & Life Safety must be completed or
otherwise resolved in order to certify the construction. Samples of incomplete scope
could involve the following:
• Accessible restrooms
• Accessible features (ramps, handrails, signs, parking, doors, thresholds, etc.)
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• Fire & Life Safety features (alarms, sprinklers, devices, gates, etc.)
• Structural components (rare but does occur at times)
5.2 Completion of Scope:
There are various ways project scope can be completed:
• If not more than 4 years have passed from the time of the DSA original
approval of the project, then the project scope may be completed under the
original application number.
• Submit completion of the incomplete work to the DSA as a “new project” under
a new application number. The DSA will then link this new application number
with the old, uncertified application number and, when all work is complete and
all issues resolved, certify both projects together.
• Include completion of the incomplete work as part of a new, different project
occurring on the campus. The new DSA application will then include this old,
incomplete work as part of the required scope of the new project. DSA will then
link this new application number with the old, uncertified application number
and, when all work is complete and all issues resolved, certify both projects
together. DSA will not continue this linking beyond two projects (in this case the
district will need to complete the work as a specific project under an application
for which the scope is limited to the incomplete work).
Section 6: Construction Deficiencies
6.1 Resolving the issues of construction deficiencies could include the following:
• Submit documentation to the DSA to show that the construction is compliant
with applicable codes and/or regulations. Documents may present alternate
methods and materials (as allowed by code) and may include calculations,
drawings, research papers, professional papers, testing data, manufacturer
literature and/or other documents necessary to present and justify that the as-
built condition is appropriate.
• Re-construct the deficient/noncompliant construction under the original
application number.
• Submit correction of the deficient/noncompliant work to the DSA as a “new
project” under a new application number. The DSA will then link this new
application number with the old, uncertified application number and, when all
work is complete and all issues resolved, certify both projects together.
• Include correction of the deficient/noncompliant work as part of another new,
different project occurring on the campus. The new DSA application will then
include this old, incomplete work as part of the required scope of the new
project. DSA will then link this new application number with the old, uncertified
application number and, when all work is complete and all issues resolved,
certify both projects together. DSA will not continue this linking beyond two
projects.
Section 7: Missing or Incomplete Verified Reports
7.1 DSA-6 (Project Inspector)
The DSA-6 for the Project Inspector is one of the most important close-out documents.
With this document missing or incomplete (less than 95%), certification of the project
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becomes complex. Below are some possible strategies for resolution that can be
pursued.
• If the Project Inspector is refusing to provide a signed DSA-6, then contact the
DSA Regional Office Supervisor for the Field Unit. DSA can order the Project
Inspector to submit the form.
• Develop an A/E Certification Program (see Alternate Process Type E). The
District can hire a California licensed Architect and/or Structural Engineer to
produce and submit a report that provides reasonable evidence that appropriate
inspections have been performed and that, based on their research, document
review and professional judgment, the materials and construction were found to
be in essential compliance with the approved construction documents and
applicable building codes. With such evidence, the DSA can make the
reasonable conclusion that, if it were possible, the Project Inspector would have
signed a DSA-6 form. Acceptance of this alternative by the DSA will be
predicated on many factors including project type, construction type, material
type, other project documentation, structural significance, life/safety hazards,
professional judgment, and professional experience. The evidence and report
must include:
o Written concurrence by the DSA that this alternative is acceptable for the
subject project.
o Daily special inspection logs, semi-monthly reports or quarterly reports
showing that the Project Inspector was present at the site, performing
inspections, the inspection results and a time comparison correlation that
makes it reasonable to assume the logs and/or reports cover the entire
construction period.
o DSA Field Trip Notes, if any.
o A DSA-6 signed by the Architect and/or Structural Engineering preparing
the report stating that, based on their research, document review, and
professional judgment, the materials and construction were found to be in
essential compliance with the approved construction documents and
applicable building codes (Structural, Fire Life Safety and Accessibility) in
effect at the time of construction.
• Develop a post construction inspection program. The program must include the
following components:
o The program must be developed by a California licensed Architect and/or
Structural Engineer.
o The program must be submitted to and approved by the DSA.
o The inspector involved in the program must be DSA approved.
o The inspector involved in the program must file a DSA-6 at the conclusion of
the program inspections.
o The person who developed the program must file a DSA-6A/E specifically
stating the inspection was conducted in accordance with the DSA approved
program.
7.2 DSA-6A/E (Design Professional in General Responsible Charge)
This is the person listed on the DSA-1 project application as the person responsible for
the preparation of the plans and specifications and observations of construction.
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Usually this is the project Architect, but is sometimes listed as a Structural Engineer,
Mechanical Engineer or Electrical Engineer.
• Alternate resolution to missing or incomplete form DSA 6A/E may be for the
District to hire a California licensed Architect or Structural engineer to develop
an A/E Certification program (see Alternate Process Type E). This responsible
design professional would produce and submit a report that provides
reasonable evidence that, based on their research, document review, site visits,
and professional judgment, the materials and construction were found to be in
essential compliance with the approved construction documents and applicable
building codes (Structural, Fire Life Safety and Accessibility). With such
evidence, DSA can make the reasonable conclusion that, if it were possible, the
original design professional in responsible charge would have signed a DSA-
6A/E form. The evidence and report must include:
o Forms DSA-291, DSA-292, DSA-293 and DSA-6 as applicable (or
alternates as discussed in this guide),
o DSA Field Trip Notes, if any,
o DSA-108,
o A DSA-6A/E signed by the Architect or Structural Engineering preparing
the report stating that, based on their research, document review, site
visits, and professional judgment, the materials and construction were
found to be in essential compliance with the approved construction
documents and applicable building codes in effect at the time of
construction.
7.3 DSA-6A/E (Other Design Professionals)
These are the design professionals listed on the DSA-1 project application that have
been delegated the responsibility for the preparation of specific portions of the plans
and specifications and observations of construction. Usually these design professionals
are the Structural Engineer, Mechanical Engineer, Electrical Engineer (and sometimes
Architects).
• Alternate resolution to missing or incomplete DSA-6A/E may consist of the
following:
o A DSA-6A/E (or alternate as described above) from the design
Professional in responsible charge. The DSA-6A/E must include a
statement (or attached letter) that states that, based on their research,
document review, site visits, and professional judgment, the materials
and construction for those portions of the project (actually list the
portion) delegated to other design professionals (actually list the design
professional) were found to be in essential compliance with the DSA
approved construction documents and applicable building codes in
effect at the time of the construction.
7.4 DSA-6 (Contractors)
If the required reports have not been submitted to DSA due incapacitating illness,
death or default of any contractor required to file such reports, then list those missing
documents on the form DSA-311 and no other action is required.
7.5 DSA-291 (Testing Laboratory)
If the DSA-291 is missing and/or there are missing tests, then a new form must be
submitted, and/or additional tests must take place, and/or alternate methods must be
presented to and approved by the DSA. The following options are available:
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• The DSA will accept an affidavit (“Customized lab verified report”), signed by
the lab manager, stating that all required testing has been completed (only for
projects that construction was completed prior to January 1, 2006. Otherwise
use form DSA-291).
• The DSA will accept a DSA-6 form signed by the lab manager stating that all
required testing has been completed (only for projects that construction was
completed prior to January 1, 2006. Otherwise use form DSA-291).
• If the laboratory engineer is refusing to provide a signed DSA-291, then contact
the DSA Regional Office Supervisor for the Field Unit. The DSA may be able to
assist by ordering the laboratory to issue the form.
• Submit evidence that all testing has been performed and that the
materials/construction was found to be in compliance with the construction
documents. With such evidence, the DSA can make the reasonable conclusion
that if it were possible, the laboratory engineer would have signed a DSA-291
form. The evidence must include:
o Laboratory tests and their results,
o Proof that the tests submitted included all the required testing for the
project. Such proof could be a comparison between the submitted
documentation and the project approved T& I sheet or a statement from
the design professional that describes the construction, the materials
used, all code required testing and comparison of the submitted
documentation with the code required testing.
• Perform in-situ tests for some or all the testing missing. After which, submit the
DSA-291 form.
• Develop a testing program for the missing tests. The program must include the
following components:
o The program must be developed by a California licensed Architect
and/or Structural Engineer.
o The program must be presented to and approved by DSA.
o The Testing Laboratory involved in the program must be currently on the
LEA accepted laboratory list
.
o The Laboratory Manager for the Testing Laboratory involved in the
program must file a DSA-291 at the conclusion of the testing program.
o The person who developed the program must file a DSA-6A/E (or DSA
314 if part of an A/E certification program – see Alternate Process Type
E) specifically stating that the testing was conducted in accordance with
the DSA approved program.
• Submit documentation to the DSA to show the identified tests are not
necessary in order to provide proof that the materials used and/or construction
were reasonably compliant with the applicable codes and/or regulations.
Acceptance by the DSA will be predicated on many factors including project
type, construction type, material type, other project documentation, structural
significance, life/safety hazards, professional judgment, and professional
experience. The documents presented must be prepared by a California
licensed Architect or Structural Engineer and must include written narrative.
These documents may include:
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o Evidence that the materials did not occur in the construction and
therefore the testing was not required.
o Alternate methods (as allowed by code) which may consist of
calculations, drawings, research papers, professional papers, testing
data, manufacturer literature and/or other documents necessary to
present and justify the as-built condition is appropriate.
o Structural calculations showing capacity versus demand stress levels
are very low (1/2 stress). This is very problematic for the DSA to accept
and is very much tied into structural significance and/or potential
structural hazards present.
• If testing was performed by a laboratory that was not an LEA laboratory, then
the DSA will not accept a verified lab report from that facility. One resolution to
this issue is for the district to hire an LEA Laboratory (the “assuming”
laboratory) to review the non-approved lab records, project records, test results,
and any other documentation necessary to determine if all testing required for
the project was completed and if the testing results show the tested materials
were in compliance with the approved construction documents. The assuming
laboratory may need to perform additional tests and/or inspections to reach
such a conclusion. Upon reaching the said conclusion, the assuming laboratory
shall then submit a fully executed DSA-291 form to the DSA.
7.6 DSA-292 (Special Inspectors)
If the DSA-292 is missing and/or there are missing special inspections, then a new
form must be submitted, and/or additional inspections must take place, and/or alternate
methods must be presented to and approved by the DSA. The flowing options are
available.
• The DSA will accept an affidavit (“Customized special inspection verified
report”), signed by the Special Inspector, stating that the specifically listed
required special inspection has been completed and the construction found to
be in compliance with the construction documents (only for projects that
construction was completed prior to January 1, 2006. Otherwise use form DSA-
292).
• DSA will accept a DSA-6 form signed by the Special Inspector, stating that the
specifically listed required special inspection has been completed and the
construction found to be in compliance with the construction documents (only
for projects that construction was completed prior to January 1, 2006.
Otherwise use form DSA-292).
• If the special inspector is refusing to provide a signed DSA-292, then contact
the DSA Regional Office Supervisor for the Field Unit. The DSA may be able to
assist by ordering the special inspector to issue the form.
• Submit evidence the special inspection has been performed and the
materials/construction was found to be in compliance with the construction
documents. With such evidence, the DSA can make the reasonable conclusion
that, if it were possible, the special inspector would have signed a DSA-292
form. The evidence must include:
o Daily special inspection logs and/or reports showing the inspections, the
results, and a time comparison correlation that makes it reasonable to
assume the logs/reports cover the entire period that encompassed the
construction that required the special inspection(s).
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• If the Special Inspector cannot be located and was employed (by contract or
direct employee) by an LEA laboratory, then the DSA may consider the special
inspection work to have been performed under the direct supervision of a
California Licensed Civil Engineer (the laboratory managing civil engineer) and
therefore will accept a letter (stamped and signed) from that Civil Engineer (the
laboratory managing civil engineer) that states the following:
o “I (the Civil Engineer) certify under penalty of perjury that the special
inspections (list what inspections) were performed under my direct
supervision; that I am sufficiently experienced in the technical aspects of
the subject inspections to provide professional engineering opinions on
the subject; and that I have reviewed the special inspection records and
I find that the special inspections were properly executed and the
inspected construction complies with the approved construction
documents.”
• Develop an inspection program for the missing inspections. The program must
include the following components:
o The program must be developed by a California licensed Architect
and/or Structural Engineer.
o The program must be presented to and approved by the DSA.
o The inspector involved in the program must be DSA approved.
o The inspector involved in the program must file a DSA-292 at the
conclusion of the inspections program.
o The person who developed the program must file a DSA-6A/E (or DSA
314 if part of an A/E certification program – see Alternate Process Type
E) specifically stating the inspection was conducted in accordance with
the DSA approved program.
• Submit documentation to the DSA to show the identified inspections are not
necessary to provide proof that the materials used and construction were
reasonably compliant with the applicable codes and/or regulations. Acceptance
by the DSA will be predicated on many factors including project type,
construction type, material type, other project documentation, structural
significance, life/safety hazards, professional judgment, and professional
experience. The documents presented must be prepare by a California licensed
Architect or Structural Engineer and must include written narrative. These
documents may include:
o Evidence that the construction identified as requiring special inspection
did not occur and therefore the special inspection was not required.
o Alternate methods (as allowed by code) which may consist of
calculations, drawings, research papers, professional papers, testing
data, manufacturer literature, and/or other documents necessary to
present and justify that the as-built condition is appropriate.
o Structural calculations showing capacity versus demand stress levels
are very low (1/2 stress). This is very problematic for the DSA to accept
and is very much tied into structural significance and/or potential
structural hazard present.
7.7 DSA-293 (Geotechnical Verified Report)
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Soil compaction issues for the older projects, being examined using Alternate Process
B, should have manifested over the elapsed period of time. In addition, the soil
compaction was performed under the observation of the Project Inspector. The
following provides three alternate means of resolution:
• A California licensed Architect ,Structural Engineer or Geotechnical Engineer
provide site investigations and review all available geotechnical documents and
test results as necessary to provide to the DSA a report of their efforts and
findings. The report must include:
o A description of and findings of the site investigations and review of all
available geotechnical documents, and test results.
o A statement from the Architect, Structural Engineer, or Geotechnical
Engineer that, in his/her professional opinion, the as-constructed
geotechnical conditions are appropriate for the intended use.
• Develop an inspection and testing program for the missing geotechnical tests
and inspections. The program must include the following components:
o The program must be developed by a California licensed Geotechnical
Engineer.
o The program must be presented to and approved by the DSA.
o The Geotechnical Engineer, laboratory and inspector involved in the
program must be DSA approved.
o The Geotechnical Engineer involved with the program must file a DSA-
293 at the conclusion of the program.
• Submit documentation to the DSA to show geotechnical tests and inspections
(engineered fill) were not necessary and the earthwork constructed was
reasonably compliant with the applicable codes and/or regulations. Acceptance
by the DSA will be predicated on many factors including project type,
construction type, soil type, other project documentation, structural significance,
geotechnical hazards, professional judgment, and professional experience. The
documents presented must be prepare by a California licensed Geotechnical
Engineer and must include written narrative.
Section 8: Other Missing Documents and Reports
The follow provides guidance on the necessity of other documents or reports to be in the
DSA file in order to certify the project using process Type B.
8.1 Notice of Completion
A Notice of Completion provides no information about compliant construction. A
missing Notice of Completion is not considered by the DSA to result in a health or
safety concern. The document is not required for certification of projects when using
the alternate processes discussed in this chapter.
8.2 Grounding Test
A Project Inspector Verified Report (or resolution thereof) is considered to provide
adequate confirmation of the installation of the grounding components. Typical school
building construction does not require an independent report for grounding test.
Modular buildings and other miscellaneous structures have no unique characteristics
compared to typical school construction that would lead to a specific need to provide
the test. The report is not required for certification of projects when using the alternate
processes discussed in this chapter.
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8.3 Form DSA-5
This is a document that inspectors use to obtain approval to provide inspections for the
project. Since these projects are already complete, inspections have already taken
place and thus proof of the approval of the inspector is not at question and provides no
information about compliant construction. The document is not required for certification
of projects.
8.4 Weighmaster Certificate
Concrete delivery is considered by the DSA to be essentially compliant with
construction standards used in the State of California without being evidenced by a
Weighmaster Certificate. In addition, for structural concrete, testing for compressive
strength is conducted, thus verifying the concrete strength. If the required report has
not been submitted to the DSA due to incapacitating illness, death or default of any
person required to file such reports, then list that missing document on the form DSA-
311 and no other action is required.
8.5 Batch Plant Report
Concrete batching and delivery is considered by the DSA to be essentially compliant
with construction standards used in the State of California without being evidenced by
a Batch Plant Report. In addition, for structural concrete, testing for compressive
strength is conducted thus verifying the concrete strength. If the required report has not
been submitted to DSA due to incapacitating illness, death or default of any person
required to file such reports, then list that missing document on the form DSA-311 and
no other action is required.
8.6 Epoxy and Expansion Anchors Test Report
The issue of missing epoxy/expansion installation testing reports must be resolved.
The importance of the use dictates the necessity of obtaining the missing reports.
Below are listed those uses that, when examining projects using this Alternate
Process, may result in the need for a testing report to be submitted to the DSA prior to
project certification and those for which report submittal will not be necessary.
8.6.1 Uses that may result in the need for a report to be submitted:
For project scope other than mechanical, electrical, plumbing (MEP) and non-
structural, as shown in Sections 8.6.2.1 and 8.6.2.2, the issue of missing
epoxy/expansion anchor testing report must be resolved on a case-by-case
basis. Structural use of these anchors requires submitted reports or other
resolution.
8.6.2 Use that may result in the DSA not requiring a report to be submitted:
8.6.2.1 For project scope of MEP.
It has been determined by the DSA that epoxy and expansion anchors are
used for attachment of non-structural elements. The project should be
examined for this use and a case by case determination made. The
installation of these fasteners is inspected by the Project Inspector. Test
reports for load testing these fasteners have been determined by the DSA to
be redundant to the inspection and not necessary for non-structural
applications. For the scope of MEP, the lack of this report is not considered by
the DSA to result in a health or safety concern. The issue of missing
epoxy/expansion anchor test report for MEP scope is thus considered
resolved (not required for certification) when examining projects using
Alternate Process B.
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8.6.2.2 For project scope involving non-structural use of epoxy/expansion anchors
(such as for the connection of non-bearing/non-structural walls and other
similar use).
The project should be examined for this use and a case by case
determination made. The installation of these fasteners is inspected by the
Project Inspector. Test reports for load testing these fasteners have been
determined by the DSA to be redundant to the inspection and not necessary
for non-structural applications. For the scope of non-structural use, the lack of
this report is not considered by the DSA to result in a health or safety
concern. If the required report has not been submitted to the DSA due
incapacitating illness, death or default of any person required to file such
reports, then list that missing document on the form DSA-311 and no other
action is required.
8.7 Shot Pin Test Report
Shot pins (air or powder driven fasteners) are used for attachment of minor non-
structural elements. The installation of these fasteners is inspected by the Project
Inspector. Test reports for load testing these fasteners have been determined by the
DSA to be redundant to the inspection and not necessary for non-structural
applications. The report is not required for certification of projects when using the
alternate processes discussed in this chapter.
8.8 High Strength Bolt Test Report
High strength bolts provided for construction in California are considered by the DSA to
be essentially compliant with the ASTM material standards without being evidenced by
a specific testing report (except when the bolts are determined to be unidentified by
lacking the required markings). For typical building construction other than schools and
hospitals, testing of properly identified bolts is not required. If the required report has
not been submitted to the DSA due to incapacitating illness, death or default of any
person required to file such reports, then list that missing document on the form DSA-
311 and no other action is required. Where there is evidence unidentified bolts were
used, test reports are required.
8.9 Masonry Core Test Reports
Reinforced, solid grouted masonry construction is considered by the DSA to be
essentially compliant with construction standards used in the State of California without
being evidenced by a masonry core test report. For typical building construction other
than schools and hospitals, a masonry core test is not required. If the required report
has not been submitted to the DSA due to incapacitating illness, death or default of any
person required to file such reports, then list that missing document on the form DSA-
311 and no other action is required.
8.10 Masonry Block Test Reports
The issue of missing masonry block testing reports must be examined. The importance of the
use dictates the necessity of obtaining the missing reports. Below are listed those uses that,
when examining projects using Alternate Process B, may result in the need for a testing report
to be submitted to the DSA prior to project certification, and those that report submittal will not
be necessary.
8.10.1 Uses that usually result in the need for a report to be submitted:
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For project scope other than non-occupied minor structures as shown below,
the issue of missing masonry block test report (prism or unit strength) must be
resolved on a case by case basis. Typically, missing test reports can be waived
where the masonry use is incidental or where it is determined that the masonry
is designed at, or less than, half stress. Otherwise, resolution is necessary.
8.10.2 Uses that result in the DSA not requiring a report to be submitted:
For the project scope of non-occupied, minor structures it has been determined
by the DSA that the testing of the masonry block to verify F’
m
does not add
significantly to evidence of structural safety and is thus is not required for the
purpose of certification for these types of structures. These types of structures
include (but are not limited to):
• fence walls less than 10 feet in height,
• retaining walls less than 12 feet in height,
• ball walls,
• trash enclosures, and
• non-occupied single story buildings.
The project should be examined for this use and a case-by-case determination
made. If the required report has not been submitted to the DSA due to
incapacitating illness, death or default of any person required to file such
reports, then list that missing document on the form DSA-311 and no other
action is required.
8.11 Field Bolting Inspection Report
Field bolting is inspected by the Project Inspector or in some cases by a special
inspector. If the required report has not been submitted to the DSA due to
incapacitating illness, death or default of any person required to file such reports, then
list that missing document on the form DSA-311 and no other action is required.
8.12 Concrete Compression Tests Reports
The issue of missing concrete compression test reports must be examined. The
importance of the use dictates the necessity of obtaining the missing reports. Below
are listed those uses that, when examining projects using Alternate Process B, may
result in the need for a testing report to be submitted to the DSA prior to project
certification, and those for which report submittal will not be necessary.
8.12.1 Uses that usually result in the need for a report to be submitted.
For project scope other than minor structures as shown below, the issue of
missing concrete compression test results must be resolved on a case-by-
case basis. Typically missing test reports will be required except where the
concrete use is incidental or where it is determined that the concrete used is
structurally adequate at f’
c
=2000 psi. Otherwise, resolution is necessary.
(See Section 9 for possible resolutions.)
8.12.2 Uses that result in the DSA not requiring a report to be submitted.
8.12.2.1 For project scope involving non-structural use of concrete, such as flat
work, ramps, and non-structural slabs.
There is no health or safety related need for compression tests. The
project should be examined for this use and a case-by-case determination
made. If the required report has not been submitted to the DSA due to
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incapacitating illness, death or default of any person required to file such
reports, then list that missing documents of the form DSA-311 and no
other action is required.
8.12.2.2 For project scope involving one story light framed buildings, minor
structures and unoccupied structures including (but not limited to):
• fence walls less than 10 feet in height,
• retaining walls less than 12 feet in height,
• ball walls,
• trash enclosures,
• lunch shelters,
• shade structures,
Concrete compression test results do not add significantly to evidence of
structural safety and are thus not required for the purposes of certification
for these types of structures. The foundations for these types of
structures are lightly loaded and the concrete used for construction in
California achieves at least f’
c
= 2000 psi at 28 days. The project should
be examined for this use of concrete and a case-by-case determination
made. If the required report has not been submitted to the DSA due to
incapacitating illness, death or default of any person required to file such
reports, then list that missing document on the form DSA-311 and no
other action is required.
8.13 In-plant Precast Concrete Inspection Reports
For project scope other than minor structures, the issue of missing in-plant precast
concrete inspection reports must be resolved on a case-by-case basis.
Examples of minor structures which would not require submittal of In-Plant Precast
Concrete inspection reports would include:
• precast vaults not larger than 5’x5’x5’,
• septic tanks not in the roadway,
• manhole sleeves,
• culvert pipes, etc.
Thus, for minor structures, if the required report has not been submitted to the DSA
due to incapacitating illness, death or default of any person required to file such
reports, then list that missing document on the form DSA-311 and no other action is
required.
8.14 Glu-Lam Fabrication Certificates
Glu-Lam beam fabrication is conducted under rigorous in-plant conditions and QA/QC
methods. While special inspections provide assurance of fabrication compliance, the
issue of the missing report (because the person required to file it is dead, incapacitated
by illness or in default) does not constitute a defective condition and if the required
report has not been submitted to the DSA due to incapacitating illness, death or default
of any person required to file such reports, then list that missing document on the form
DSA-311 and no other action is required.
Where installed Glu-Lams are of complex shapes, large sizes or long spans, on a case
by case basis, DSA staff may require resolution of the missing report. (See Section 9
for possible resolutions.) The following require resolution on a case by case basis:
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• Tapered or curved beams,
• Three hinge beams,
• Beam spans greater than 40 feet,
• Beam sizes greater than 24 inches deep.
8.15 Gang Nail Truss (Open Web Wood Trusses) Reports
Missing Gang Nail Truss (and other open web wood trusses) In-plant inspection
reports must be resolved. (See Section 9 for possible resolutions.)
• The DSA will accept visual in-situ inspection by a qualified DSA approved
inspector. Such inspection may require in-situ lumber grading.
8.16 Bleacher Affidavits/Certificates
Missing in-plant inspection bleacher affidavits/certificates must be resolved. (See
Sections 7.5, 7.6, 9 and 10 for possible resolutions.)
8.17 Reinforcing Steel Test Reports
Historically, there has not been evidence of defective reinforcing on school projects. If
the required report has not been submitted to the DSA due to incapacitating illness,
death or default of any person required to file such reports, then list that missing
document on the form DSA-311 and no other action is required.
8.18 Unidentified Steel Test Reports
For uses other than minor structures, the issue must be resolved on a case by case
basis. For minor structures, the report may not be required, otherwise, see Section 9
for possible resolutions. Thus, for minor structures, if the required report has not been
submitted to the DSA due to incapacitating illness, death or default of any person
required to file such reports, then list that missing document on the form DSA-311 and
no other action is required.
Section 9: Materials
This section provides some strategies on resolving issues specific to construction
materials. The acceptability of these strategies must be determined by a qualified
California Structural Engineer (or in some cases Architect) and require concurrence
and acceptance from the DSA. DSA concurrence and acceptance will be predicated on
many factors, including project type, construction type, material type, other project
documentation, structural significance, life/safety hazards, professional judgment, and
professional experiences. In all cases, a California Licensed Structural Engineer and/or
Architect may prepare a program of testing and inspections; submit to the DSA for
concurrence and approval and execute the program. The DSA will accept a program in
which the structures, members and/or components are load tested in compliance with
the California Building Code and/or accepted National Standards.
9.1 Concrete
• Laboratory tests not conducted or report missing:
o Core the concrete to perform compression tests, or, if required, petrographic, or
chemical tests,
o Non-destructive testing as approved by the DSA.
• Reinforcing tests not conducted during construction:
o Project types (insignificant concrete use or non-structural concrete use) can
result in the test not being required.
o Provide Mill Certs,
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o Destructive testing as approved by the DSA,
o Provide calculations to show low stress levels (1/2 stress).
9.2 Masonry
• Laboratory tests or special inspections not conducted or reports missing:
o Core the masonry to perform compression tests, or, if required, petrographic, or
chemical tests.
o Project types (insignificant masonry use such as ball walls, trash enclosures,
low fence walls, low retaining walls) can result in the test not being required.
o Non-destructive testing as approved by the DSA,
o Destructive testing as approved by the DSA,
o Provide calculations to show low stress levels (1/2 stress),
o Provide calculations to show low stress levels (¾ stress) along with letter from
Project Inspector that the masonry was inspected,
o In-plane shear tests.
• Reinforcing tests not conducted during construction:
o Project types (insignificant masonry use) can result in the test not being
required,
o Provide Mill Certs,
o Destructive testing as approved by the DSA,
o Provide calculations to show low stress levels (1/2 stress).
• Laboratory tests show face shell adhesion problem
o Provide structural calculations for the masonry without face shells (essentially
calculate as a concrete wall),
o Core wall for more testing,
o Project types (insignificant masonry use such as ball walls, trash enclosures,
low fence walls, low retaining walls) can result in the test not being required.
9.3 Wood
• Glulam in-plant inspection not conducted or reports missing:
o Provide AITC fabrication report,
o In-situ visual inspection by a qualified DSA approved inspector,
• Gang Nail Truss (and other open web wood trusses) In-plant reports missing:
o The DSA will accept visual in-situ inspection by a qualified DSA approved
inspector. Such inspection may require in-situ lumber grading.
9.4 Steel
• Testing reports missing for unidentified steel:
o Coupon test of in-situ steel
o Structural Engineer submit letter requesting waiver of testing in combination
with calculations showing the member(s) working stress level under full code
load is 0.4 F
y
(or less).
• Testing not conducted for high strength bolts:
o Structural Engineer submit letter requesting waiver of testing in combination
with calculations showing the stress level under full code loading is appropriate
for equivalent bolts that are not high strength.
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o Develop testing program to remove (and replace) appropriate sampling of bolts
for testing.
o Remove and replace all high strength bolts (with adequate testing).
• Testing not conducted for torque testing of high strength bolts:
o Structural Engineer submit letter requesting waiver of testing in combination
with calculations showing the stress level under full code loading is appropriate
for equivalent bolts that are not high strength.
o Torque test all high strength bolts.
• Inspection and/or testing reports missing for welding:
o For single pass fillet welds at ½ stress, provide visual inspection by DSA
approved qualified welding inspector.
o Provide DSA approved in-situ non-destructive testing and inspections.
Section 10: Voided and Cancelled Projects
For projects which the DSA application number has been voided and yet the project
was constructed (clear violation of the Education Code) the following strategies for
resolution may be pursued:
10.1 Project was approved by the DSA prior to the cancellation or voiding, and construction
started within 4 years of the DSA project approval:
• The DSA will reinstate the application number (rescind the cancellation/voidance)
and start project closeout upon receipt of the following:
o Written request from the district superintendent requesting reinstatement of the
application.
o Submitted proof (signed contracts with contractors or other appropriate
documentation) that construction started (contracts signed) within the time
frames stated above.
o Fees repaying DSA reimbursement (if any) to the District when the application
number was cancelled or voided.
10.2 Project was approved by the DSA prior to the cancellation or voiding, and construction
started 4 years after DSA project approval:
Unfortunately, the DSA cannot reinstate the cancelled or voided application. Instead
the following actions may occur.
• A new DSA application is required.
• Option 1: The project construction documents must comply with the current
codes in effect at the time the new application is submitted (or use the other option
listed below):
o The new DSA approved plans can be compared with the original plans used for
construction. If there are no changes that require mitigating construction
(reconstruction) then the Project Inspector may submit a DSA-6, and other
documents required for certification may be filed. If there are changes that
require mitigating construction (re-construction) then the Project Inspector
needs to inspect that construction for conformance prior to completing the DSA-
6 and, after the mitigating construction is complete, other documents required
for certification may be completed and filed with the DSA, which will initiate
close-out efforts at the appropriate time.
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• Option 2: The project can be submitted to the DSA as "rehabilitation of
nonconforming building for school use." This option requires a meeting with the
DSA prior to submittal and has specific submittal and design criteria.
10.3 Project was never approved by the DSA prior to the application cancellation or
voidance:
Unfortunately, if more than 4 years have passed since the original project submittal or
a new code has been adopted since the project was first submitted, then the DSA
cannot reinstate the cancelled or voided application. Instead the following actions may
occur:
• A new DSA application is required.
• Option 1: The project construction documents must comply with the current codes
in effect at the time the new application is submitted (or use the other option listed
below):
o The new DSA approved plans can be compared with the original plans used for
construction. If there are no changes that require mitigating construction
(reconstruction), then the Project Inspector may file a DSA-6, and other
documents required for certification may be filed. If there are changes that
require mitigating construction (re-construction), then the Project Inspector
needs to inspect that construction for conformance prior to completing the DSA-
6 and, after the mitigating construction is complete; other documents required
for certification may be completed and filed with the DSA, which will initiate
close-out efforts at the appropriate time.
• Option 2: The project can be submitted to the DSA as "
rehabilitation of
nonconforming building for school use." This option requires a meeting with the DSA
prior to submittal and has specific submittal and design criteria.
Section 11: Relocatable Buildings
(One story modular relocatable buildings)
The design, plan approval, construction, inspection, and certification requirements for
relocatable building projects have some unique features as discussed in this section.
See DSA IR 16-1 for related discussion.
11.1 Types of Relocatable Buildings
Relocatable buildings are fabricated in a plant as units. The relocatable units are
delivered to a school site where they are placed on a foundation and connected to
electrical and plumbing systems (if necessary). Relocatable unit numbers,
configurations and sizes can vary: they can be designed and installed as one
standalone unit or multiple units can be combined to form a single building.
11.2 Inspection Requirements
Relocatable buildings require an In-Plant Inspector, a Project Inspector, or both
depending on the project scope:
• If the project scope is
o “stockpile” (building is not located at a specific site but instead is stockpiled
awaiting purchase, lease or otherwise awaiting site location):
An In-Plant Inspector is required.
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o “relocation” or “alteration” (building is to be located at a specific site and
is coming from stockpile or a previous site location):
A Project Inspector is required (see Appendix D for further discussion).
o “construction of” (building is constructed for a specific site and is site
located directly from the plant):
In-Plant Inspector and Project Inspector are required.
Project
Scope
DSA-6 from
In-plant
Inspector
Required?
DSA-6 from
Project
Inspector
Required?
Stockpile
Yes
No
Relocation
No
Yes
Construction
Yes
Yes
11.3 Relocatable Building Numbering
• Each relocatable building unit (module) is required to be identified with an ID tag.
The ID tag contains the original DSA application number under which the unit was
fabricated and a unique serial number.
• Each relocatable building manufacturer uses a unique numbering system. As part of
DSA certification, the correct number of building units (modules) and the
corresponding (and correct) serial numbers must be provided for each building unit
(module) on the DSA-6 forms. Units (modules) are typically 10 feet to 12 feet wide.
The following table can provide assistance in making a determination on the number
of units(modules) it takes to make up a complete building:
Building Type
Dimensions (in
feet)
# of Relocatable
Units (modules)
Number of Serial
#s
Toilet
12x40
1
1
Classroom
24x40
2
2
Kindergarten
36x30
3
3
Multi-purpose
48x40
4
4
11.4 DSA-6 Requirements
In-Plant and Project Inspectors are each required to submit DSA-6 forms. It is essential
that the serial numbers be included in the DSA-6 to specifically identify the buildings
and the corresponding units (modules) covered by the report. For projects that require
both an In-Plant Inspector and a Project Inspector, the application number and serial
numbers should match on both inspectors’ DSA-6 forms.
11.5 Documentation Required for DSA Certification
The below is a list of documentation required for certification, depending on the project
scope. For projects closed not certified, Alternate Processes A, B, C or D of this
certification guide may be used as appropriate.
• Project scope is “stockpile”:
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Chapter 5
Division of the State Architect Project Certification Guide Alternate Processes and Documentation
• DSA-6 from in-plant inspector,
• DSA-292 or DSA-6 from In-Plant Welding Inspector,
• Approved change documents (Addenda, Revisions, COs, FCDs, CCDs),
• Any additional fees.
• Project scope is “relocation” or “alteration”:
• DSA-6 from Project Inspector,
• DSA-6 A/E from Design Professional in Responsible Charge (Architect),
• Electrical grounding test results, performed by the Project Inspector or DSA
approved Laboratory. The results may be reported using DSA-6, DSA-121 or a
separate report. (Any building with an electrical resistance exceeding 25 ohms
must have a second grounding rod.),
• Notice of Completion from the District,
• Approved change documents (Addenda, Revisions, COs, FCDs, CCDs),
• Any additional fees.
• Project scope is “Construction Of”:
o DSA-6 from Project Inspector,
o DSA-6 from in-plant inspector,
o DSA-292 or DSA-6 from in-plant welding inspector,
o DSA-6 from design professional in responsible charge (Architect),
o Electrical grounding test results, performed by the Project Inspector or DSA
approved Laboratory. The results may be reported using DSA-6, DSA-121 or a
separate report. (Any building with an electrical resistance exceeding 25 ohms
must have a second grounding rod.),
o Notice of Completion from the District,
o Approved change documents, (Addenda, Revisions, COs, FCDs, CCDs),
o Any additional fees.
11.6 Relocatable Buildings Constructed Without DSA Approval
These buildings are “nonconforming” and must be DSA certified prior to use as school
buildings, as defined in the Education Code. Below are two options:
• Option 1: Architect/Engineer certification program. This program must be
developed by a California Licensed Architect or Structural Engineer:
o Architect identifies building manufacturer, fabrication date, and serial number from
tag on the building. If available, also obtains any PC number or application
number.
o Architect works collaboratively with manufacturer to obtain plans for the building
that was constructed. If available, also obtains any in-plant inspection reports from
the RBIP (even if based upon unapproved plans or PC plans).
o Architect develops and submits a proposed inspection and testing program for the
building to the DSA for concurrence and approval. Supervisor shares with DSE for
concurrence with the proposed program. Supervisor approves program upon
concurrence. For the inspection and testing program usually requires that all gravity
and lateral load path members and details be observed; some destructive
testing/inspection may be necessary. The DSA has accepted either a written
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Chapter 5
Division of the State Architect Project Certification Guide Alternate Processes and Documentation
detailed listing of the members and details on the plans, or a marked-up set of
plans indicating the items to observe. Material testing (steel coupons, concrete
tests, etc.) may be required.
o Upon approval of inspection program, the District hires a DSA approved RBIP
and/or a Class 1 inspector and, as required, a welding inspector to perform the
inspections of the building.
o Inspector prepares 95% FVR (DSA-6) based upon a pending approved application
and plans. This inspection occurs before plan submittal to verify that the plans
being submitted are in fact applicable for that building.
o Architect makes any design adjustments to the structure and then submits plans to
the DSA as a “new” project. The project construction documents must comply with
the current codes in effect at the time the “new” application is submitted.
o Upon approval of plans, the Project Inspector completes inspection and files 100%
DSA-6, per current practice. Depending upon certification level, the Project
Inspector could be same for site inspection; however, in that case, separate DSA-6
forms would be required (one for the site and one for the building).
o The DSA then initiates closeout (certification).
• Option 2: The project can be submitted to the DSA as"
rehabilitation of
nonconforming building for school use." This option requires a meeting with DSA
prior to submittal and has specific submittal and design criteria.
11.7 Relocatable Building Fire Alarm Deferred Approval
Past DSA processes allowed approval of fire alarm designs to be deferred. In some
cases, approval of deferred fire alarm designs was not obtained from the DSA. Fire
alarms designed for and installed in relocatable buildings were (at the time) simple in
nature and readily verified by testing. Therefore, as an alternate to approved fire alarm
Deferred Approvals for relocatable buildings; the DSA will require all of the following:
• California licensed Architect, or Electrical Engineer or Structural Engineer causes
and witnesses fire alarm inspection and testing in compliance with NFPA 72.
• Completion and submittal to the DSA of NFPA 72, “Fire Alarm System Record of
Completion” form.
• Completion and submittal to the DSA of NFPA 72 “Fire Alarm Inspection and
Testing” form.
• Signed letter from the Architect or Electrical Engineer or Structural Engineer
stating, “I have witnessed the fire alarm system test for the project and in my
opinion the alarm is in essential compliance with NFPA 72.”
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Appendix A
Division of the State Architect Project Certification Guide Authority and Justifications
Appendix A
Authority and Justifications
Authority for Development and Use of Guide
Statutory Authority This certification guide is only to be used for those projects previously closed
without DSA certification due to missing documentation and/or outstanding fees. Statutory Authority
for the use of the alternate processes presented in Chapter 5 of this guide resides in the Education
Code:
• 17315(b)/81147(b). “When a school building, constructed in accordance with approved plans
and specifications, is completed but final verified reports, as are required under Section
17309/81141, have not been submitted to the Department of General Services due to the
incapacitating illness, death, or the default of any persons required to file such reports, the
Department of General Services shall, upon written request of the school district/community
college district, review all of the project records and make such examinations as it deems
necessary to enable it to certify that the school building otherwise complies with the
requirements of this article. The Department of General Services may request the school district
to have made, reported, and verified any other tests and inspections which the department
deems necessary to complete its examinations of the construction.”
Justification for use of the identified alternate processes
Alternate Process Type A:
The Final Verified Report from the Project Inspector is typically considered by the DSA to be the
single most important document in the file when certifying projects. For projects where persons have
defaulted and thus have failed to provide required reports or where documentation is otherwise
missing from the files, the DSA has determined that the Final Verified Report from the Project
Inspector may be reasonable and sufficient evidence that the project was constructed in compliance
with the approved construction documents. This determination is based on the following:
• California Code of Regulations (CCR), Title 24, Part 1, Section 4-333 (b) requires that:
“For every project there shall be a project inspector who shall have personal
knowledge as defined in Sections 17309 and 81141 of the Education Code
of all work done on the project or its parts as defined in Section 4-316. No
work shall be carried out except under the inspection of the project
inspector approved by DSA.”
The referenced sections of the Education Code define ‘personal knowledge’ as:
“actual personal knowledge which is obtained from his or her personal
continuous inspection of the work of construction in all stages of its progress
at the site where he is responsible for inspection and, when work is carried
out away from the site, that personal knowledge which is obtained from the
reporting of others on the testing or inspection of materials and
workmanship for compliance with the plans, specifications or applicable
standards. The exercise of reasonable diligence to obtain facts is required.”
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Appendix A
Division of the State Architect Project Certification Guide Authority and Justifications
• CCR, Title 24, Part ,1 Section 4-333 (b) requires that:
“A project inspector, shall, under the direction of the architect and/or
engineer, be responsible for monitoring the work of special inspectors and
testing laboratories to ensure that the testing program is satisfactorily
completed.”
• It is reasonable for the DSA to accept the Project Inspector Verified Report as an alternate to
missing verified reports, testing reports and other missing documents because, as the regulation
and statute sections establish the Project Inspector:
is required to be present throughout the construction process;
inspects the entire project;
may rely on reports from others if he/she cannot inspect personally;
is responsible to ensure that the entire inspection program, including the special inspection
and offsite inspections are satisfactorily completed;
is responsible to ensure that the material testing program, including onsite and offsite testing
is satisfactorily completed;
acts under the direction of the design professional and thus has knowledge of the design
professional’s construction activities and concerns.
Alternate Process Type B:
The justification information is found in the text of Chapter 5, Section 8 of this Guide.
Alternate Process Type C:
Virtually all DSA approved relocatable buildings in any given plant are manufactured by equivalent
processes and provided equivalent inspections and testing by the Relocatable Building In-Plant
(RBIP) Inspector, in-plant welding inspector and, as necessary, testing laboratory. All plants that
manufacture relocatable buildings have oversight by DSA field engineers and have RBIP and welding
inspectors present on a regular basis. Missing in-plant inspection and/or testing reports are neither
indicative of defective construction nor indicative of lack of inspection/testing but instead are indicative
of poor record keeping by inspectors, architects, districts, engineers and manufacturing plants.
Therefore, a single report by either the in-plant inspector or the in-plant welding inspector may be
sufficient for purposes of certification.
Alternate Process Type E: A/E Certification Program
There are projects that are occupied but not certified where it may not be possible to obtain a Final
Verified Report from the Project Inspector or Design Professional. Some projects have unapproved
addenda, revisions or change documents for which the documentation no longer exists. Historical
evidence suggests that the issues typically revolve around missing documents, not defective
construction. Mitigation reconstruction is a rare occurrence.
A post-construction evaluation program designed by a California licensed Architect or Structural
Engineer, and approved by DSA, may be sufficient for purposes of certification. The program would
produce a report that provides reasonable evidence that appropriate inspections were performed and
that based on the Design Professional’s research, document review, review of as-built conditions and
professional judgment, the materials and construction were found to be in essential compliance with
the approved construction documents and applicable building codes.
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Appendix B
Division of the State Architect Project Certification Guide Referenced DSA Documents and Forms
Appendix B
Links to Referenced DSA Documents and Forms
Current versions of all DSA forms are available on the DSA website, Forms page.
Current versions of all DSA IRs and other publications are available
on the DSA website, IR or Publications
page.
Form DSA-1 Application for Approval of Plans and Specifications
Form DSA-5 Project/Special Inspector Qualification Record
Form DSA-6 Verified Report for Contractors and Inspectors
Form DSA-6A/E Verified Report for Architects and Engineers
Form DSA-102 Contract Information
Form DSA-108 Change in Delegation of Responsibility
Form DSA-140 Application for Approval of Construction Change Document - CCD Category A
Form DSA-141 Application for Concurrence of Construction Change Document - CCD
Category B
Form DSA-168 Statement of Final Actual Project Cost
Form DSA-291 Laboratory Verified Report
Form DSA-292 Special Inspection Verified Report
Form DSA-293 Geotechnical Verified Report
Form DSA-310 Legacy Project Statement of Content for Change Orders, Addenda and
Revisions
Form DSA-311 Request for Examination for Certification Using Education Code 17315(b) /
81147(b)
Form DSA 312 Request for Approval of A/E Certification Program
Form DSA 313 DSA Report for A/E Certification Program
Form DSA 314 A/E Certification Program Verified Report
Form DSA-320 Legacy Project Justification Form
IR A-19 Design Professional's Signature and Seal (Stamp) on Construction Documents
IR A-20 New Projects Associated With Existing Uncertified Projects
Policy PL 09-04 90-Day Letter and Reopening of Files for Project Certification
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Appendix C
Division of the State Architect Project Certification Guide On-Line Resources
Appendix C
On-Line Resources
The DSA website is a ready source of project-specific information drawn from DSA’s Tracker
database. Tracker has records for all projects submitted to DSA for plan review since
11/12/1997.
1. Start at the DSA home page http://www.dgs.ca.gov/dsa.
2. Click on Project Tracking in DSA Quick Links, on the right of the screen.
3. Click on Project Status eTracker
4. or go directly to https://www.apps.dgs.ca.gov/tracker/ProjectStatus.aspx
5. Search for project records by Application Number or by County/School District
Example: Search for DSA Application Number 04-105900 to see the following
Application Summary:
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Appendix C
Division of the State Architect Project Certification Guide On-Line Resources
6. Follow the various Project Status categories under the Tracker Links in the left-
hand column.
Example A: Click on Project Closeout and notice that this project was closed on
7/18/08 and the Closing Letter Type is a #3-Close of File w/o Certification-
Exceptions.
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Appendix C
Division of the State Architect Project Certification Guide On-Line Resources
Example B: Click on Documents Required List to view the documents
required for project certification and whether or not they have been received
by the DSA. Use the following key to understand the notations:
RR - Required and Received by the DSA
RM - Required but Missing from DSA files
Notice that the Laboratory Affidavit and reports for engineered fill, batch
plant Inspection and shot pin testing are missing from the DSA project file.
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Appendix C
Division of the State Architect Project Certification Guide On-Line Resources
Example B (cont’d):
The Documents Required List for more recent projects has a revised format. See the
following list with the revised format from a different project:
Notice here the missing form DSA-102, Contractor’s form DSA-6, Notice of
Completion, Architect’s form DSA-6 A/E and the Project Inspector’s form
DSA-6.
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Appendix C
Division of the State Architect Project Certification Guide On-Line Resources
Example C: Click on Change Orders to view a list of Change Orders received by
DSA and their review/approval status. For more information on a particular
Change Order, click select opposite the change order in question.
For example, see the detailed information for the selected Change Order #14
at the bottom of the Change Order list below. Notice that the change order is
shown to be under DSA structural safety review as of 8/18/2008.
Similar lists of Addenda, Deferred Approvals and Revisions may be viewed by
clicking on the corresponding links in the left hand column.
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Appendix D
Division of the State Architect Project Certification Guide Relocatable Buildings
Appendix D
Relocatable Buildings
Many relocatable buildings are not DSA certified. School districts sometimes desire to move these
buildings or desire to certify them in place. The following scenarios and associated criteria determine
project approved. (To be used for single story relocatable buildings only.)
1. Relocate new building from stockpile and building is certified by the DSA.
• IR 16-1 applies
2. Relocate new building from stockpile. Stockpile application is approved by the DSA but
building is not certified.
• IR 16-1 applies.
• Superstructure must have been constructed using an appropriate approved DSA
application for construction, not a Pre-Check (PC).
• Client must provide final Verified Reports (DSA-6 form) from the In-Plant Inspector (RBIP
or Class 1) and from the In-Plant Welding Inspector (AWS/CWI) by time of close of
submitted project.
3. Relocate existing building from a school site and building is certified by the DSA.
• IR 16-1 applies.
4. Relocate existing building from a school site and building is not certified by the DSA.
• IR 16-1 applies, and:
Option 1
• Superstructure must have been constructed using an appropriate approved DSA
application for construction (not a PC).
• Client must provide Final Verified Reports (DSA-6 form) from the In-Plant Inspector (RBIP
or Class 1) and from the In-Plant Welding Inspector (AWS/CWI) before stampout of
submitted project.
Option 2
• Building has been previously DSA certified at any site during its entire existence.
Option 3
• Only previous site issues have caused the building to not be certified and once the building
is relocated then those issues become moot. Such issues could include: grounding, no
DSA-6 from the site inspector, ramps, foundation issues, etc.
5. Building is already on site and is not DSA site certified.
• IR 16-1 applies.
• The superstructure must be DSA certified or certifiable by any of the methods noted
above in this document.
• All foundation work must comply with the current codes. The plans must show all
components/information/details as if the building had not yet been placed on the site.
The plans may include a note for the contractor to “verify and modify as required.”
6. Building is not DSA certified or certifiable by any of the methods noted above.
• Building is considered “non-conforming” to Title 24 and the Field Act. Any use as a
school building is prohibited until the building is DSA certified.
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Appendix E
Division of the State Architect Project Certification Guide DSA File Organization
Appendix E
DSA File Organization
Paper Files:
DSA files documents into two files; Red file and Black file. The Red file contains plan review
documents and technical construction documents. The Black file contains administrative and closing
documents. These files may be made available to the public upon request such that the public can
review the files for documents.
Below is a listing of documents in each respective file:
BLACK FILE
Form Number/
Document Name
Description
DSA-1 Application (or ORS-1 or SSS-1 for older projects)
DSA-1.DEL Delegation of responsibility
DSA-1.INC Definition of Scope of Increments
DSA-1 REVISED
Closing Letters Change in delegation of responsibility
Plan check worksheet Referred to as a “yellow worksheet”
Approval of plans letter Referred to as “first approval letter”
DSA-5 Project inspector qualification record
Also used for semi-monthly reports from inspectors
DSA-5A Assistant inspector qualification record
DSA-6A/E Verified Report
DSA-6 Verified Reports for each: Inspector, Assistant Inspector, and
Contractor(s). DSA-6s can also be submitted for most special
inspection verified reports, with the exception of glulam beams
DSA-102 Contract Information
Copies of Invoices and
Checks
Checklist for Site Inspection
of Relocatable Buildings
For relocatables (optional)
Notice of Completion
DSA-145 Record Set Handling Instructions
DSA-293 Geotechnical Verified Report (engineered fill)
DSA-291 Laboratory Verified Report (lab tests)
DSA-292 Special Inspection Verified Report (lists what inspection was
for)
DSA Field Trip Notes
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Appendix E
Division of the State Architect Project Certification Guide DSA File Organization
RED FILE
Form Number/
Document Name
Description
Plan Check Related Docs Calculations, specs, etc.
T & I List Structural Tests and Inspections
Lab Reports
DSA-143
Transmittal Memo. Used as a cover sheet to Change Orders,
Deferred Approvals, Revisions, Addendum, Misc., but not
always. The Transmittal Memo may be missing from these
documents.
Change Orders Should have Transmittal Memo attached.
Deferred Approvals Should have Transmittal Memo attached.
Addenda Should have Transmittal Memo attached.
Revisions Should have Transmittal Memo attached.
DSA-3 Project Submittal Checklist
Note: Many documents in the files do not relate to closeout, nor are they required for closeout.
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Appendix F
Division of the State Architect Project Certification Guide Glossary of Terms
Appendix F
GLOSSARY OF TERMS
Addendum
A document that identifies changes or alterations to the approved plans or
specifications prior to letting a construction contract for the work involved.
These shall be submitted to and approved by the DSA.
Additional (Filing) Fee
The fee which shall be paid to the DSA when a contract amount, or the
cumulative total of two or more contract amounts, exceeds the estimated cost
by more than 30%.
Application
See DSA-1 form.
Bleacher Fabrication
Affidavit (Verified
Report)
An affidavit signed by an inspector for the inspection of the fabrication of
bleachers.
California Building
Code (CBC)
The building code that is used in California for public schools and community
colleges.
Certificate of
Compliance
Upon satisfactory completion of construction, and receipt of all required
documents, the DSA issues a Certificate of Compliance to the school district.
This letter is evidence that construction conforms to applicable requirements of
the California Education Code and California Building Standards Administrative
Code.
Certificate of
Compliance without
Receipt of All
Documents
A letter of certification is issued when one or more documents have not been
received, but DSA has determined that certification meets the requirements of
Education Code Section 17315(b).
This certification is also knows as a #2 Letter.
Change Order
A document that identifies changes or alterations of the approved plans or
specifications and/or changes in the contract amount after letting a construction
contract.
Closed without
Certification
A letter the DSA issues when any of the required documents as listed on the 90
Day Letter have not been received from the responsible entities and therefore
the DSA cannot issue a Certificate of Compliance.
Also known as a #3 Letter.
Construction Manager
A firm or individual hired by a school district to manage construction. May or
may not act as a contractor.
Deferred Approval
When a portion of the construction cannot be adequately detailed on the
approved plans because of variations in the product design and/or
manufacturer, the approval of plans for such portion may be deferred until the
material suppliers are selected. Examples would include bleachers, fire
sprinkler systems, basketball backboards, etc.
Delegation of
Responsibility form
A form completed by the architect or school district to change an individual(s)
on a DSA-1 application form.
Documents Required
List
See Required Documents List.
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Appendix F
Division of the State Architect Project Certification Guide Glossary of Terms
DSA-1 form
Same as an application.
A DSA application form submitted at the time a project is submitted for plan
review and approval. A unique application number is assigned to each
application.
DSA-102 form
(Contract Information)
A DSA form used to record the contractor’s name and the amount and scope of
the construction contract.
DSA-143-1 form
A DSA transmittal form used to identify material received, returned, approved or
not, and comments for Addenda, Change Orders, Deferred Approvals, Misc.
Field Changes, etc.
DSA-6A/E form
A Verified Report signed by the individuals listed on the DSA-1 application for
the observation of construction.
DSA-6 form
(Project/Site Inspector)
A Verified Report signed by the Project Inspector for the inspection of
construction.
These reports certify under penalty of perjury that all construction was
completed in accordance with DSA approved documents.
DSA-6 form
(In-plant Inspector)
A Verified Report signed by an inspector for the inspection of the in-plant
fabrication of a relocatable building.
These reports certify under penalty of perjury that all construction was
completed in accordance with DSA approved documents.
DSA-6 form
(Contractor)
A Verified Report signed by a contractor for the construction work performed.
These reports certify under penalty of perjury that all construction was
completed in accordance with DSA approved documents.
DSA-5 form
(Project Inspector
Qualification and
Employment Record)
An application for DSA approval of an inspector.
Note: This is not a required closing document.
District Structural
Engineer
Also referred to informally as a Field Engineer.
DSE
See District Structural Engineer.
eTracker
A computer system that tracks information on applications from time of
submittal to close of file.
Electrical Grounding
Test Report
A report that indicates the results of an electrical grounding test for an electrical
ground rod on relocatable buildings.
Engineered Fill
Affidavit
(Verified Report)
An Affidavit signed by a licensed Geo-technical Engineer for engineered fill
tests and inspections.
Construction Change
Document
A document defining changes to the code-regulated construction requirements
of the DSA-approved plans and/or specifications issued after a construction
contract has been approved.
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Appendix F
Division of the State Architect Project Certification Guide Glossary of Terms
Field Trip Notes (FTN)
DSA field engineers create trip notes when performing field visits to
construction sites. Occasionally there will be items that need to be addressed
before certification can be granted. The Field Engineer will provide the
Site/Project Inspector with this request and the inspector is to respond in
writing, either in a semi-monthly report, separate correspondence or indicated
on the final verified report that these items have been resolved or completed.
Field Welding Affidavit
(Verified Report)
An affidavit signed by an AWS/CWI (An American Welding Society – Certified
Welding Inspector) for the inspection of field welding.
Filing Fee
Fee which shall accompany the DSA-1 Application, or as corrected under
additional filing fee.
Final Verified Report
See DSA-6.
These reports certify under penalty of perjury that all construction was
completed in accordance with DSA approved documents.
Further Fee
Fee which shall be paid to the DSA if the actual cost exceeds the estimated
cost by more than 5%. This is determined in closing.
Glulam Fabrication
Affidavit
(Verified Report)
An Affidavit signed by a special inspector for the inspection of the fabrication of
glued-laminated beams.
High Strength Bolt
Installation Affidavit
(Verified Report)
An affidavit signed by a special inspector for the installation of high strength
bolts.
Increment
This term refers to incremental submittals made to be plan reviewed by the
DSA. When only one submittal is made there are no increments. This
information may be found on the yellow worksheet in the file and/or Tracker.
Note that increments are NOT associated with construction phases.
Information
Management System
(ADM)
An electronic document management system that stores documents in a central
location. Plans, specifications, Addenda, Change Orders, semi-monthly
reports, transmittals, correspondence and closing documents may be found
here. Was, until recently, referred to as IMS.
Laboratory
A company that performs material testing and provides special inspections.
Laboratory Affidavit
(Verified Report)
A laboratory affidavit signed by duly authorized representative stating that all
tests of materials used in construction of the project were made in accordance
with the approved plans and specifications.
Laboratory Reports
Material test reports and daily reports for sampling, testing, or inspection. Not to
be confused with Verified Reports.
Letter of Certification
See Certificate of Compliance.
Masonry Inspection
Affidavit
(Verified Report)
An Affidavit signed by a special inspector for the inspection of masonry
construction.
Notice of Completion
(NOC)
This notice is required for each contract. It signifies that the project has been
completed according to the DSA approved plans and that it is acceptable to the
School District/Owner.
PCS
See Project Closeout Specialist.
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Appendix F
Division of the State Architect Project Certification Guide Glossary of Terms
Portion (scope)
A portion of the entire scope of an application approved by the DSA has been
constructed (as opposed to constructing the entire scope)
Portion Scope
Construction
Certification
The DSA may certify portions of the scope of a project that are completed if
those portions include all aspects of construction necessary to make the
affected structures code compliant (including accessibility and safety code
requirements). The DSA cannot certify structures that are not code compliant or
structures that are incomplete.
Project
This term refers to a specific application for plan review and approval as well as
construction.
Project Closeout
Upon completion of construction, project closeout is the process of reviewing
documentation submitted to the DSA and verifying that all work was performed
and inspected in accordance with Code requirements. If documentation
indicates that the construction met requirements, then the DSA issues a letter of
Certification of Construction to the school district.
Project Closeout
Specialist
A Project Closeout Specialist, or PCS, provides administrative assistance to the
DSE during project closeout.
Project Inspector
A general inspector
Relocatable Building
A building with an integral floor structure which is capable of being readily
moved (relocated).
Required Documents
List
Also referred to informally as the “Docs Required List” or in eTracker as the
“Required Documents Report.”
This is a list of all documents to be submitted to the DSA for project certification.
The list is created during plan review and finalized during closeout.
Semi-Monthly Reports
Reports signed by a Project Inspector regarding the status of construction and
submitted to the DSA twice a month (every two weeks).
Shop Welding and
Fabrication Verified
Report
An affidavit signed by an AWS/CWI (American Welding Society – Certified
Welding Inspector) for the inspection of shop welding.
Site Inspector
Note: This is an old term. Now referred to as a Project Inspector.
An inspector for site work under a relocatable building project. Sometimes used
to refer to a Project Inspector for a site work contract.
Special Inspector
An inspector who is approved to inspect masonry construction, glued-laminated
lumber, manufactured trusses, shotcrete application, pre-stressed concrete
member fabrication, post-tensioning operations, high strength bolt installation,
shop welding, field welding, or pile driving.
Each Special Inspector is required to submit a Special Inspector Verified Report
(SIVR), DSA-292.
Testing and Inspection
(T&I) List
A DSA form that lists structural tests and inspections that are required by the
CBC.
90-day Letter
A letter that is sent to the architect and school district after the completion of
construction requesting that all outstanding requirements and documents on a
Documents Required List be submitted within a 90 day period to allow the DSA
to certify the application.
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Appendix G
Division of the State Architect Project Certification Guide DSA Staff Documents
Appendix G
DSA Staff Documents
Work Program for Legacy Projects
I. Organize Uncertified (Legacy) Projects
HQ Responsibilities
• Determine complete list of legacy projects by DSA application number.
• Separate legacy projects by districts and create separate files for all districts.
Staff Responsibilities
• Use the Alternate Process Legacy Project Master Spreadsheet to record which project belongs to which
alternate process group and to record all other actions.
• Obtain all closing letters from HQ for projects identified in 1
st
step.
• Review all closing letters to determine which alternate process type (A, B, C or D) would be most
appropriate to use when re-examining for certification. Separate the letters into four groups,
corresponding to the four Alternate Process Types (A, B, C, and D). A brief explanation follows:
Group A: Project Inspector verified report is in the file or the project is otherwise easily certified.
Group B: Project Inspector verified report is not in the file but it appears that the project can be
successfully certified using Alternate Process Type B because the missing
documentation can be readily obtained or resolved.
Group C: Project consists of relocatable building(s).
Group D: Project is likely not certifiable without substantial effort and thus time should not be
spent on re-examining the file as part of this program.
• Order files and plans from state records center for the projects, except for those in Group D.
Files and plans should be ordered in manageable groups.
DSA electronic files (ADM) must be searched for any documents and plans and, if any found,
they must be included when re-examining the file.
Verify that the Regional Office or Field Engineer has no other files, documents, or plans for the
project. If any more are found then add to the DSA file.
• Determine why the project is not certified.
Verify the file contains the correct “Closed Without Certification” letter. If there is none in the file,
then one must be created using information found in the file. The letter is not sent to the District
but scanned into ADM and filed in the Black File.
Verify the “Closed Without Certification” letter is correct by reviewing the file. If incorrect then
corrected the letter and replace the old letter with the new corrected one in ADM and the Black
File.
Make sure the “Closed Without Certification” letter is in ADM. If it is not, then scan and upload
into ADM.
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Appendix G
Division of the State Architect Project Certification Guide DSA Staff Documents
Review of Project Files
Organize project file. Merge documentation from ADM and from other sources with project file.
Scan all closing documents to ADM if not already there.
Match up project files with project plans.
Verify and, as necessary, correct project scope.
Update e-Tracker for scope and documents found.
Check all documentation for documents previously listed as missing/not resolved and, if
necessary, update “Closed Without Certification” letter, scan to ADM and file in Black File.
Using the DSA Project Certification Guide, examine the project for certification viability.
Tag all pertinent documents to facilitate final review of file.
If project consists of relocatable buildings only, use Google Earth and the site plan to determine if
the buildings still exist. If not, then recommend closing Type 5 letter (see page 3).
Make recommendation about disposition of the project (certified, not certified, etc.).
Fill out a form DSA-320: Alternate Certification Process Justification.
If person performing the above tasks is not a DSA Structural Engineer (SE) or DSA Architect
(Arch) then schedule a meeting with the assigned DSA staff SE/Arch.
DSA staff SE/Arch makes final a recommendation on file disposition. Meets with DSA principal
engineer/arch if needed (complex/unsure).
DSA staff SE/Arch determines final resolution of file (certifiable or not certifiable).
If it is determined that the project can be certified, then:
o Make sure all closing documents are scanned into ADM.
Verify the accuracy and completeness of the DSA 320: Alternate Certification Process
Justification.
o Scan the DSA-320 into ADM, and place form in Black File.
o Send plans to the office scanning section for scanning to ADM (plans are not returned
to State Record Center).
o If no additional/further project fees are due to DSA then send AP Letter Type A1 to the
district.
o If additional/further project fees are due to DSA then send AP Letter Type A2 to district.
o If district responds by returning the completed form DSA-311, then:
Scan form to ADM and file it in the Black File.
Make sure re-opening fee is paid.
Make sure any additional/further fees are paid.
Issue the certification letter. Must be Type 2 letter.
o If, after 60 days, the district has not returned form DSA-311 and paid required fees,
then return project files to State Record Center.
If project is determined to be missing documents necessary for certification then:
o Assign to group Alternate Process Type A, B or D (type “C” for relocatable projects).
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Appendix G
Division of the State Architect Project Certification Guide DSA Staff Documents
o Make sure all closing documents are scanned to ADM.
o Send plans to the office scanning section for scanning into to ADM (plans are not
returned to State Record Center).
o If no additional/further project fees are due to the DSA then send AP Letter Type A3 to
the District.
o If additional/further project fees are due to the DSA then send AP Letter Type A4 to the
District.
o If within 60 days, the District submits form DSA-311, provides resolution of missing
documents and pays fees owed and thus the project is determined to be ready for
certification then use the above “If it is determined that the project can be certified”
step.
o If the District responds within 60 days and it appears that working with the District will
result in the project certification within an additional 30 days then continue holding the
file open for an additional 30 days.
o If, after a total elapsed time from sending letter A3 or A4 to the District is 60 (or 90 days
as appropriate) and it is determined the project still cannot be certified then return files
to State Record Center.
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Appendix G
Division of the State Architect Project Certification Guide DSA Staff Documents
Appendix G: Staff Documents
Form DSA-320: Alternate Certification Process Justification
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Appendix G
Division of the State Architect Project Certification Guide DSA Staff Documents
Appendix G: Staff Documents
Letter Type A1
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Appendix G
Division of the State Architect Project Certification Guide DSA Staff Documents
Appendix G: Staff Documents
Letter Type A2
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Appendix G
Division of the State Architect Project Certification Guide DSA Staff Documents
Appendix G: Staff Documents
Letter Type A3
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Appendix G
Division of the State Architect Project Certification Guide DSA Staff Documents
Appendix G: Staff Documents
Letter Type A3 (cont.)
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Appendix G
Division of the State Architect Project Certification Guide DSA Staff Documents
Appendix G: Staff Documents
Letter Type A4
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Appendix G
Division of the State Architect Project Certification Guide DSA Staff Documents
Appendix G: Staff Documents
Letter Type A4 (cont.)
Appendix G: Staff Documents
Master Spreadsheet Sample
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Appendix G
Division of the State Architect Project Certification Guide DSA Staff Documents
Appendix G: Staff Documents
Master Spreadsheet Sample
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Appendix G
Division of the State Architect Project Certification Guide DSA Staff Documents
LEGACY GUIDE SPREAD SHEET INSTRUCTIONS
Column Directions
A
Enter the Origin ID of the office working the certification program (01, 02, 03, 04).
B
Enter the Origin ID of the project (01, 02, 03, 04).
C
Enter the application number of the file without the origin.
D
Enter the File ID (also may be called “file number” or “Client ID”).
E
Enter the date the close letter was verified as existing in the file (or if a new one had to be
created enter the date it was created or verified that it is in the file).
F
Enter the closed letter type that was found in the file and verified as correct. This may be
different than the initial closed letter type since the letter type may have been updated over
time (letter types are 1, 2, 3, 4, 5).
G
Enter the alternate process type determined to be appropriate for the attempt at certification
of the project (process types are A, B, C, D).
H
Enter the date the project file was ordered from the State Record Center.
I
Enter the date the project file was received from the State Record Center.
J
Enter the date the project file was returned to the State Record Center.
K
Enter the date the project plans were ordered from the State Record Center.
L
Enter the date the project plans were received from the State Record Center.
M
Enter the date the project plans were sent to the office scanning department for scanning and
uploading into the ADM.
N
If the project is relocatable buildings enter “yes”, otherwise enter “no.”
O
After reviewing the file and before form DSA-311 is received, enter the recommended closing
type.
P
Enter date letter Type A3 or A4 sent to the District. If none sent then leave blank.
Q
Enter date letter Type A1 or A2 sent to the District. If none sent then leave blank.
R
Enter date form DSA-311 was sent to the District. If not sent then leave blank.
S
Enter date form DSA-311 was received back from the District.
T
Enter date re-opening fee received from the District. If none required then enter “NR.”
U
Enter the date that it was verified that all fees have been paid.
V
Enter the date that the final certification type, as determined by using this legacy certification
program (it may be the same letter type as the line E or it may be different).
W
Enter the final certification type as determined by using this legacy certification program (it may
be the same letter type as the line F or it may be different).
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