Department of General Services

DIVISION OF THE STATE ARCHITECT

Presentation of:

Project Certification Closeouts

Whats New At DSA

David Thorman State Architect

Kathy Hicks Acting Deputy Director, Division of the State Architect
Project
Certification/Closeout
Update
PL 09-04:
90-Day Letter & Reopening of
Files for Project Certification
Purpose & Application
Purpose
To streamline the process for issuing 90-Day Letters, and to
improve the re-opening of files when a project is closed
without certification
Application
Applies to ALL projects
As of January 1, 2010, the re-opening fee for all projects will be
based on a projects construction cost regardless of closing date

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Project Closeout: Background
Project certification is the process DSA uses to
determine that a project has been constructed compliant
with the codes governing school construction
A project may be closed with our without certification
The 90-Day Letter initiates the closing & certification
process. The letter is issued when:
The DSE determines the project is essentially complete
The project becomes occupied
Construction stops for one year or more
DSA received a final verified report from the project inspector and/or
the design professional in responsible charge of the project.
The 90-Day Letter requests that all outstanding
requirements and documents be submitted to DSA
within 90 days (and lists the missing documents)
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Close of File & Certification
After 90 days, DSA will close the file with or without
certification
A letter of certification will only be issued if all missing
documents have been submitted and all outstanding
issues have been resolved
DSA will take no further action on a closed file until DSA
receives a request from the Architect or school/college
district to re-open and re-examine the file in order to
certify the project

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Re-Opening & Re-Examination
A request from the Architect or school/college district to
re-open and re-examine a closed, uncertified project
must include:
A letter with the project name & DSA Application number requesting
that the file be re-examined for certification
A copy of the DSA Closed Without Certification Letter
A single COMPLETE comprehensive package that includes all items,
documents and issues listed on the DSA Closed Without
Certification Letter
All outstanding Change Orders, Addendums and Revisions or
alternate documents, must be approved prior to submitting the re-
opening package.
The re-opening fee (if applicable)

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Fees after January 1, 2010
No fee is required for a one-time project re-opening
request received within 9 months from the date the
DSA 90-Day Letter expires
After 9 months (or for any 2nd or subsequent re-
opening request), the fee is based on the project
construction cost
$500 for projects less than $5 million
$750 for projects between $5 million and $50 million
$1000 for projects greater than $50 million

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Responsibility on Requester
Partial or otherwise incomplete submittals will be
accepted
DSA will issue an updated Closed Without
Certification Letter to show remaining deficiencies
Submitting parties have 90 days to resolve deficiencies
to obtain certification
If more than 90 days pass without resolution/DSA
approval, the project will again be closed WITHOUT
certification
Another re-opening fee is required to be paid each time
it is necessary to re-open the file
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At the Discretion of DSA
90 Day Letters will NOT be extended, except at the
discretion of DSA under the following
circumstances:
Construction is not complete & the contractor is still
mobilized at the site
No portions of the project are occupied by staff and/or
students

IR A-20 discusses new projects associated with

uncertified projects

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IR A-20:
New Projects Associated with
Existing Uncertified Projects
Policy
New work involving uncertified projects cannot be
approved by DSA until the issue of the underlying
certification is resolved.
DSA will NOT approve (stamp out) plans and
specifications for alteration and/or addition projects
or utilizing portions of, uncertified projects except
when the new project is solely for the purpose of
upgrading fire-life safety (FLS) aspects of the
building/campus.

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Exceptions to Policy
The scope of projects accepted for DSA approval
under this policy shall be limited to FLS alterations
of the following types:
Campus or system-wide fire alarm upgrade
Upgrade/replacement of the uncertified buildings fire
alarm system

Written approval of the alteration plans &

specifications will state:
The approval is only for the FLS alteration
The building itself remains uncertified
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Disclosure
The scopes of the projects and the uncertified
buildings on the alteration project must be clearly
identified in the following manner:
The scope of the alteration project shall be clearly shown
on the cover sheet or index sheet of the plans
Must include this statement: DSA approval of these
plans shall not be construed as the Certification of
Compliance for the following buildings as required by the
Field Act, Education Code Section 17280-17316 and
Sections 81130-81147
Immediately after the above statement, list all the
uncertified buildings on alteration project
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Other Projects
DSA may begin review of new projects associated
with uncertified projects but DSA approval of the
plans and specifications will be withheld until the
underlying certification issue is resolved

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Clarifying Situations
Many situations occur that may or may not involve uncertified
buildings/projects to the extent that a proposed new project may be
affected. This appendix lists some of those situations in an attempt to
provide clarity, uniformity and consistency in the application of this IR.

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Clarifying Situations
Q. The district submits a project for a fire alarm upgrade and/or fire alarm
addition. The project requires connecting the new fire alarm
system/components into a fire alarm panel that resides in an uncertified
building.
The new project submittal must include the following two documents from
NFPA 72 to be completed and submitted with the project.
Fire alarm system record of completion.
Fire alarm inspection and testing form.
DSA may begin review of new projects associated with uncertified
projects but DSA approval of the plans and specifications will be withheld
until the underlying certification issue is resolved

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Clarifying Situations
Q. A school building is not certified and the district submits an application to
DSA for an alteration or addition to that building.
DSA will accept the new application and provide plan review but will not
issue project approval (stampout) until and unless the issue of
certification is resolved.

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Clarifying Situations
Q The district submits an application to DSA for a new building but the new
building depends on portions of an uncertified project to be minimum
code compliant (e.g. accessible restrooms located in uncertified
buildings, path-of-travel part of an uncertified project, parking part of an
uncertified project, etc.).
DSA will accept the new application and provide plan review but will not
issue final approval (stamp out) until and unless the associated project
certification is resolved. (See also Project Certification Guide on DSA
website for potential alternatives)

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Clarifying Situations
Q The district submits an application to DSA for a new project on a campus
but the entire campus (or portions of the campus) is not certified.
As long as the new project does not depend on uncertified construction to
satisfy minimum code requirement (accessible restrooms, path-of-travel,
parking, etc.) DSA will accept the new project as a viable, approvable
project.

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Clarifying Situations
Q The district submits an application to DSA for a new classroom building
but another ancillary building (gymnasium, administration building, shade
structure, library etc.) is not certified.
As long as the new project does not depend on uncertified construction to
satisfy minimum code requirement (accessible restrooms, path-of-travel,
parking, etc.) DSA will accept the new project as a viable, approvable
project.

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DSA Project Certification Guide

Intent and Recent Updates

Guideline Goal & Intent
Provide information, procedures and concepts that lead
to:
Project certification
Consistency between DSA Regional Offices.
Projects have been closed by DSA without certification.
The guide cannot possibly address all scenarios or
specific situations encountered during the closeout
process
Experience and analytical skills are essential when
determining appropriate actions necessary to obtain
project certification.
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Organization of Guideline
SECTION 1 INTRODUCTION
SECTION 2 RE-EXAMINATION OF CLOSED FILES
SECTION 3 CONTACTING DSA
SECTION 4 DOCUMENTS REQUIRED FOR PROJECT
CERTIFICATION

SECTION 5 RESOLUTIONS AND STRATEGIES FOR PROJECT

CERTIFICATION

SECTION 6 UNIQUE STRUCTURES

Appendix

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Recent Changes to the Guideline
The guideline has been updated for the following
purposes:
Editorial Changes
Clarifications
Updates with new polices and procedures
New alternates
Change intent from use of guide for pre 2007 projects to
all projects

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SECTION 1 (INTRODUCTION)
Added to Section 1.5
If necessary, how can project certification be proved to
DSA?
Copy of DSA certification letter
Copy of DSA history card showing certification
DSA Tracker shows project is certified

Added to Section 1.5.1 (causes for closing initiation)

DSA received a final verified report from the project inspector
and/or the design professional in responsible charge of the
project.

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SECTION 1 (INTRODUCTION)
Added to Section 1.6.3 (closeout Type 3 letter)
Clarifies Type 3 letter causes
Reported deviations in the construction
Unconstructed but required minimum scope
Required documents were not received by 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

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SECTION 1 (INTRODUCTION)
Added to Section 1.6.4 (closeout Type 4 letter)
Clarifies Type 4 letter is reserved for safety related issues
Unresolved safety issues
Type 4 letter is issued for unresolved SSS, ACS and/or FLS safety
related deficiencies
Specifically identified by DSA, Inspector or Design Professional.
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.

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SECTION 2 (Re-Opening of Files)
Change to Section 2.1 (General Requirements)
Aligns the certification guide re-opening of files information with DSA
Policy PL09-04
How to file for re-opening
Re-opening fees
Length of time a re-opening will be held open for resolution

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SECTION 6 (Unique Structures)
Added New Section 6.3.7
Relocatable Building Fire Alarm Deferred Approval
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 of NFPA 72, Fire Alarm System Record of
Completeness form
Completion and submittal 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

Read and use appendix B

Relocatable Buildings General Information on Certification
This appendix explains how relo buildings can be approved for use
depending on their certification status
Appendix information can be used to process relo buildings through
DSA.

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Whats New at DSA
Improved Intake Process at DSA
Problem:
Incomplete plans are being submitted to DSA, leading to
delays at intake and in plan review, if the plans are accepted.
Solution:
Effective March 1, 2010 plans will be considered incomplete if
Form DSA 1 or DSA 3 is missing, or information required in the
form(s), is incomplete or missing.
DSA-1 Application for Approval of Plans and Specifications
Provides Project specifics as well as general project scope information
DSA-3 Project Submittal Checklist
Provides a listing of documents needed (i.e., title sheet, site plan, floor
plans, structural drawings, etc) as well as detailed project scope
information needed to allow for an efficient plan review.

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New Intake Process

When required documents are missing at intake:

Incomplete projects will no longer be returned to
Architect/Engineer
The Architect/Engineer and School District will be notified
by letter that plans are incomplete, what is missing and
that the plans will be held for four weeks to allow time to
correct the deficiencies
If the Architect/Engineer does not comply within four
weeks the plans will be returned.
Plan reviews will only commence when a complete
submittal is made.

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DSA Bulletin 10-02, Form DSA-1 & DSA-3

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Electronic Review Submittals ($400,000 or Less)

To allow DSA time to reduce bin time and streamline plan

review process:
Effective March 3, 2010 mandatory submittal of electronic
plans is suspended
Projects with an estimated cost not exceeding $1,000,000
may be submitted electronically
The electronic submittal process will be re-evaluated
June 20, 2010

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Policy 09-02

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Access Fees

The Access Fee was doubled effective February 16, 2010

The Access Fee has not been changed since 1984
Since some projects may already or inadvertently submitted
fees under the lesser fee schedule, the following will apply:
DSA will accept Access Projects with the wrong fees until
March 30, 2010
These projects will receive an application number, but the project will
not be stamped out until the balance of fees due are paid in full

Beginning April 1, 2010, the full Access fee must be

submitted with the plans

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DSA Bulletin 10-01

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Automatic Fire Sprinkler Systems (AFSS)

Currently, DSA allows AFSS to be deferred

Effective July 1, 2010 AFSS will no longer be deferred
Separating AFSS from plans leads to delays
When AFSS finally come in at deferred plan review stage the
plans are usually incomplete, leading to delays stamping
plans out
Many of the other plan review jurisdictions in the state do not
allow deferrals of AFSS

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Policy 10-01

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QUESTIONS?

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