Local Programs Procedures (LPP) 14-01 Civil Rights and Disadvantage


Local Programs Procedures (LPP) 14-01 Civil Rights and Disadvantage Business Enterprise has been posted to the Local Assistance website at:



The Disadvantaged Business Enterprise (DBE) program is dynamic and has experienced several policy changes since 2009.  This LPP captures those changes.


This LPP reflects significant policy changes to the DBE program regarding roles and responsibilities, contract goal setting, required contract provisions and Good Faith Efforts. Refinements and clarifications have also been made to Title VI of the Civil Rights Act, Americans with Disabilities Act (ADA), and Equal Employment Opportunity (EEO) Contractor Compliance sections of LAPM Chapter 9. LAPM Exhibit 9-A DBE  Implementation Agreement for Local Agencies, Exhibit 9-B  Local Agency DBE Annual Submittal Form, Exhibit 9-C Local Agency ADA Annual Certification Form, and Exhibit 9-D DBE Contract Goal Methodology are replaced in their entirety. Two new Exhibits are created – Exhibit 9-E Contract DBE Goal (Worksheet) and 9-F Sample Evaluation of Good Faith Efforts.


This policy applies to all local agency federal-aid projects “off” the State Highway System. Three Office Bulletins (DLA-OB 10-07 Discontinuance of AADPL, 11-04 Good Faith Efforts, and 12-04 Race Conscious Measures) expire upon issuance of this LPP.



TUESDAY, JULY 15, 2014 – 5:00 P.M.

The House of Representatives has easily passed H.R. 5021, an $11 billion Highway Trust Fund bailout which also extends current-law highway and mass transit funding levels to May 2015, by a vote of 367 to 55. 181 Republicans and 186 Democrats voted for the bill, while 45 Republicans and 10 Democrats voted against. The legislation now heads to the Senate.

Earlier in debate, the House rejected a motion by Rep. Earl Blumenauer (D-OR) to amend the bill to shorten the highway and transit contract authority extensions so that they expire on December 31, 2014 instead of May 31, 2015. His motion failed on a almost totally party-line vote of 193 yeas to 227 nays. (All 193 “yes” votes were Democrats while 224 Republicans and 3 Democrats voted “no.”)

The legislation now moves to the Senate, where Majority Leader Reid hopes to take it up before the August recess and, if the Senate is willing, amend it.

H.R. 5021 as passed by the House has two titles. Title I is the extension of MAP-21 programs and policies and an extension of contract authority for highway, transit and safety programs from October 1, 2014 to May 31, 2015 (from the Transportation and Infrastructure Committee). Title II is the $11 billion HTF bailout, revenue offsets, and extension of Highway Trust Fund expenditure authority (also to May 31, 2015) from the Ways and Means Committee.

We believe that Majority Leader Reid would try to take up H.R. 5021 on the Senate floor and then have two amendments to be offered – an amendment offered jointly by EPW chairman Boxer, Banking chairman Johnson and Commerce chairman Rockefeller to replace title I with substantially identical language that only extends those programs and funding to December 31, 2014 instead of May 31, 2015, and a second amendment by Finance chairman Wyden that would replace the House Ways and Means title II with the different $11 billion package reported from his Finance committee.

If both amendments are defeated, the Senate would then vote to send H.R. 5021 straight to the President, but if either or both amendment were adopted, then the bill would pass the amended bill and send it back to the House for consideration of the Senate amendment(s).

HOWEVER, getting the amendment process on the Senate floor organized that cleanly would probably require unanimous consent, and in today’s Senate, that is always difficult. If the amendment process cannot be organized cleanly, then no one is quite sure what will become of the legislation.



DLA-OB 14-05 Risk Based Invoicing

Caltrans has adopted a new invoice procedure statewide.

Effective October 1, 2014, all agencies are required to fill out the checklist in its entirety accompanied by a billing summary when submitting invoices to the District for processing. Office Bulletin DLA-OB 14-05 provides further guidance for the new process, invoice checklist, and necessary documentation.

  1. DLA-OB 14-05 http://www.dot.ca.gov/hq/LocalPrograms/DLA_OB/DLA_OB.htm
  2. Local Agency Invoice Review Checklist http://www.dot.ca.gov/hq/LocalPrograms/DLA_OB/2014/ob14-a1.docx
  3. Billing Summaryhttp://www.dot.ca.gov/hq/LocalPrograms/DLA_OB/2014/ob14-a2.xlsx and http://www.dot.ca.gov/hq/LocalPrograms/DLA_OB/2014/ob14-a3.docx

Agencies are encouraged to start using this new procedure immediately.

Please note the certification and disclaimer on the checklist that is to be signed by the agency. It is the agency’s responsibility to ensure that all federal and state laws and regulations have been followed. This includes the procurement and administration of consultant service contracts. District invoice review does not replace an audit or verify procurement. If you have ongoing contracts for professional services, please be cognizant of these and be sure you have procured them correctly.

Annual Equal Employment Opportunity (EEO) Report (FHWA Form PR-1391)

Local Agency Federal-Aid Highway Construction Contractor’s Annual Equal Employment Opportunity (EEO) Report (FHWA Form PR-1391)

FHWA Form PR-1391 was revised September 2013. All previous versions of this form are now obsolete. Data submitted on previous versions, including LAPM Exhibit 16-O (rev 3.92), will not be accepted. Please submit your information using the current version, attached to this email.
The Federal Code of Regulations 23, Part 230.121 requires annual EEO Reports (Form FHWA PR-1391) from contractors who perform work on Federal-aid contracts. The purpose of the PR-1391 is to show the composition of the workforce by race and gender for each craft classification. Form PR-1391 applies to all prime contractors and subcontractors, regardless of tier, who have Federal-aid contracts that exceed $10,000 and that worked all or any part of the last full week of July, July 20 to 26, 2014. If the project is completed before the last full week in July or does not begin until August, no report needs to be filed. The form is an excel document. Contractors should download the document to their computers to report the information.
1. The local agencies notify their prime contractors of this reporting requirement.
2. The prime contractors, as well as each subcontractor, report this information to their respective local agency Resident Engineer who certifies that the information is correct and complete.
3. The local agency Resident Engineers send the forms to the Caltrans District 3 Local Assistance Office at the address below who verifies that the information is complete.
Contractors must submit the completed form PR-1391 to their local agency Resident Engineers no later than August 15, 2014.
Local Agency Resident Engineers must submit forms to the DLAEs by August 29, 2014
Submission of completed forms can be mailed to:
Caltrans-District 3
Office of Local Assistance
703 B Street, Marysville, CA 95901
Attention: EEO PR-1391

For Questions please contact:
James P. Day
Email: j.p.day@dot.ca.gov
Ph. (530) 741-5116
Fax. (530) 741-5466

FHWA-1391 Instructions 2014

FHWA-1391 Report Form 2014