Report 2011-116.2 Recommendation 7 Responses

Report 2011-116.2: Department of General Services: Strengthening the Division of the State Architect's Workload Management and Performance Measurements Could Help It Avoid Delays in Processing Future Increases in Workload (Release Date: May 2012)

Recommendation #7 To: General Services, Department of

To appropriately oversee changes to approved plans, the division should develop policies and procedures to ensure that it reviews and approves all relevant plan changes before the start of related construction.

Annual Follow-Up Agency Response From October 2013

As noted under the previous recommendation, DSA has taken numerous actions to ensure that projects are constructed in accordance with approved construction documents. These robust actions should ensure that all relevant plan changes are identified and reviewed in timely manner.

On June 1, 2013, an inspection card process was also implemented for all new construction projects. The process allows for verification of structural integrity and fire and life safety at the completion of each applicable phase of a project. The implementation of this process included DSA providing detailed instructions related to a project inspector's role in ensuring that construction is conducted in accordance with approved construction documents. The inspectors are held responsible and accountable for complying with the requirements.

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

The division provided evidence that it trained staff in monitoring construction and specifically in monitoring project inspectors. Additionally, the division's site visit process includes a job file review checklist. The checklist includes a review of addenda and change orders. The division also provided evidence of its new requirements on project inspectors and its inspection card process. While these controls address our recommendation, we did not conduct a follow-up to test the implementation of these controls.

1-Year Agency Response

In May 2012, the DSA initiated the first phase of implementing the new requirements which involved the creation of a process for K-12 school districts and community college districts to self-report the final costs of their construction projects (See DGS Status Report, dated July 27, 2012, Attachment I, DSA Bulletin 12-01). In October 2012, the DSA initiated the second phase to simplify the processing of construction change documents. This phase requires K-12 school districts and community college districts to submit only those changes that affect the structural safety, access compliance, or fire and life safety portions of a project. Any other construction change documents are not required to be submitted to the DSA unless specifically requested by the division (See DGS Status Report, dated December 5, 2012, Attachment II, DSA Bulletin 12-03).

California State Auditor's Assessment of 1-Year Status: Partially Implemented

In a procedure adopted in November 2012, the division requires design professionals to attest to the fact that all changes to structural, access, or fire and life safety portions of a project have received division approval. Additionally, the division requires that project inspectors monitor changes to plans and notify design professionals if any changes appear to require division approval. The new procedure also outlines the division's process for recording approval of plan changes. Specifically, the division will retain a copy of approved changes as will the project inspector. However, the division has not yet completed a process to ensure it receives all relevant construction changes prior to the start of construction.

6-Month Agency Response

In a procedure adopted in November 2012, the division outlined its process for recording approval of plan changes. Specifically, the division's policy states it will retain a copy of approved changes as will the project inspector. The division will also require design professionals to attest to the fact that all changes to structural, access, or fire and life safety portions of a project have received division approval. Additionally, the division will require that project inspectors monitor changes to plans and notify design professionals if any changes appear to require division approval. However, as described in Recommendation 1.4.a, the division has not yet completed a process to ensure it receives all relevant construction changes prior to the start of related construction. (See 2013-406, p. 47)

California State Auditor's Assessment of 6-Month Status: Partially Implemented

All Recommendations in 2011-116.2

Agency responses received after June 2013 are posted verbatim.