Construction Oversight Program: Roles, Reviews, and Corrective Actions
This program provides guidance and assistance in performing project reviews with local agency staff, conducting various types of reviews such as pre-construction, mid-project, and post-project reviews, and issuing corrective action plans for major deficiencies identified. Agencies are required to submit detailed corrective actions within 30 days, which may include policy modifications, training provision, staff additions, and more.
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Construction Oversight Program 1
Construction Oversight Program: Guidance / Helpful Reminders Caltrans Oversight Information Notice (COIN) https://dot.ca.gov/programs/local-assistance/guidelines-and-procedures/caltrans-oversight- information-notice-coin 2
Construction Oversight Program: Roles Perform Project Reviews with Local Agency Staff and their Construction Management Consultants Not Auditors, but Measure FHWA Compliance Issue Findings Resource for Local Agency Questions / Issues Can Review COs for Quality and Participation Issues Guidance on Current Issues as Necessary Publishes Office Bulletins, COINS on DLA Website Conducts Training RE Academy, Federal-Aid Series, Individual Agency / Regional Agency Training Assists District Local Assistance Engineers 3
Construction Oversight Program: Reviews Approximately 2 to 3 weeks notice Review checklist provided in advance Attendance: COE RE Responsible Person in Charge Any others welcome All project records All Contract documents 4
Construction Oversight Program: Reviews Types of COE Reviews Pre-Construction Reviews Exhibit 19-A: https://dot.ca.gov/-/media/dot-media/programs/local- assistance/documents/lapm/c19/19a.pdf Mid-Project Reviews Exhibit 19-B: https://dot.ca.gov/-/media/dot-media/programs/local- assistance/documents/lapm/c19/19b.pdf Post-Project Reviews Exhibit 19-C: https://dot.ca.gov/-/media/dot-media/programs/local- assistance/documents/lapm/c19/19c.pdf 5
Construction Oversight Program: Review Findings Sent to Local Agency DLAE Major deficiencies identified require a corrective action plan 6
Construction Oversight Program: Corrective Action Plans Must be Submitted by agency within 30 days Detail corrective actions Modify policy and procedures Provide training Add staff Other? Include timelines 7
Construction Oversight Program: Top Ten Non Compliance Areas 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. Presence / Quality of Buy America Certifications Log of Acceptance Testing in Project Files Up-to-Date Tester Certifications in Project Files Quality of Materials Certificates of Compliance Subcontracting Request Submitted / Approved Extra Work at Force Account Hours in Daily Reports Support of Adjustment of Compensation Prices on CCOs Daily Report Breakdown of Hours by Contract Item / CCO Work Federal EEO Poster Board Posted in Clearly Visible Location Controlling Operation of Work Noted on Weekly Statement of WD 78% 63% 64% 65% 67% 70% 71% 75% 76% 80% 8
Construction Oversight Program: Other Types of Reviews Local Agency project records are subject to: Process Reviews Audits May be either Federal or State 9
Construction Oversight Program: Get to Know Your COE Resource to Local Agency Answer questions Make recommendations Provide training Act as liaison to other CT staff Ensure Agency compliance with: Laws Regulations Policies 10
Construction Oversight Engineers (COE) District COE Phone 1, 2, 3 Osama Abu-Markhieh (916) 205-8813 4 (North) Vacant (Acting Siobhan Saunders) (916) 539-5081 4 (South) Siobhan Saunders (916) 539-5081 5 Siobhan Saunders (916) 539-5081 6,10 Blas Martinez Jr. (916) 205-6145 7 Seree Mack Yenjai (916) 205-9088 8,9 Chad Yang (916) 205-8639 11, 12 Anna Alonso (916) 205-9947 11
Construction Oversight Program SUBSCRIBE AND STAY INFORMED DLA Email List Local Assistance Blog (LAB) https://dot.ca.gov/programs/local-assistance/other-important-issues/subscribe-to-dla-email-list https://dot.ca.gov/programs/local -assistance/other-important- issues/subscribe-to-dla-email-list 12
Questions? 13
