REQUEST FOR PROPOSAL

2026-02

SECURITY & ACCESS CONTROL

Lextran

200 West Loudon Avenue

Lexington, KY 40508

RELEASE DATE: February 27, 2026

DEADLINE FOR QUESTIONS: March 20, 2026

RESPONSE DEADLINE: April 29, 2026, 2:00 pm

RESPONSES MUST BE SUBMITTED ELECTRONICALLY TO:

https://secure.procurenow.com/portal/lextran https://secure.procurenow.com/portal/%7bproject.government.code%7d

Lextran

REQUEST FOR PROPOSAL

Security & Access Control

I. INTRODUCTION

II. SCOPE OF SERVICES

III. COST

IV. GENERAL TERMS AND CONDITIONS

V. PROPOSAL CONTENT AND SUBMISSION REQUIREMENTS

VI. EVALUATION PHASES

VII. STATE AND FEDERAL PROVISIONS

VIII. VENDOR QUESTIONNAIRE

Attachments:

A - CERTIFICATION OF RESTRICTIONS ON LOBBYING

B - CERTIFICATION OF CONTRACTOR REGARDING DEBARMENT, SUSPENSION, AND

OTHER INELIGIBILITY AND VOLUNTARY EXCLUSION

C - NON-COLLUSION AFFIDAVIT

D - CERTIFICATE OF PROCUREMENT INTEGRITY

E - AFFIDAVIT OF COMPLIANCE - DISADVANTAGED BUSINESS ENTERPRISE

F - PRICING SHEET

G - FINANCIAL CAPACITY FORM

Request For Proposal #2026-02 Title: Security & Access Control

1. INTRODUCTION

1.1. Summary

The Transit Authority of Lexington-Fayette Urban County Government, herein referred to as Lextran is issuing this Request for Proposals (RFP) to award a competitive contract to a firm for security and access control services.

Title: Security & Access Control

Reference Number: 2026-02

Proposals for Furnishing the Product(s) / Service(s) Described Herein Will Be Received Until:

2:00 pm eastern time on Wednesday, April 29, 2026.

Proposals received after the time specified may not be considered for award.

Proposals shall be submitted online via Lextran's eProcurement Portal

If you have any questions on this project, please submit your questions via the Q&A section on Lextran's eProcurement Portal. All questions, requests for clarification or comments concerning this RFP are due from proposers by end of day on Friday, March 20, 2026. Lextran’s response to questions will be provided as responses within the Q&A tab. For questions that require additional documentation or a change to the RFP document itself, Lextran will publish an addendum. Lextran intends to respond to questions as they come in, and responses will be provided no later than the question response date.

Lextran may reject any submissions that are incomplete or non-responsive or submitted after the deadline.

Lextran reserves the right to cancel or reissue this RFP, or to reject, in whole or in part, any and all submissions received in response to this RFP should Lextran determine that the responses received are unsatisfactory or that such cancellation or rejection is in the best interest of Lextran. Lextran further reserves the right to waive any minor technical deficiency or irregularity in a submission package. The determination of the selection criteria and the process for evaluating the proposal shall be in the sole and absolute discretion of Lextran. Lextran also reserves the right to require of each/any Proposer, information regarding financial responsibility and viability or such other information as Lextran determines is necessary to ascertain whether a proposal is in fact a responsible proposal.

Lextran reserves the right to publicly post bid tabulations containing vendor prices.

1.2. Background

Lextran, the Transit Authority of Lexington-Fayette Urban County Government, was established as it is known today in 1973 by the Commonwealth of Kentucky as a Mass Transportation Authority. Our mission “We serve people and our community with mobility solutions” is accomplished by focusing on three key pillars: Deliver high quality product and service, Demonstrate value to the community, and Manage and sustain resources.

Lextran provides 3.7 million trips annually with service to residents and visitors of Lexington-Fayette County on 25 fixed routes, and county-wide paratransit seven days a week, 365 days a year. With an annual combined operating and capital budget of $48 million, Lextran operates from a LEED certified headquarters employing over 200 team members with a 118-vehicle fleet for both fixed route and paratransit, including compressed natural gas, zero emission battery electric, diesel and gasoline powered vehicles.

https://procurement.opengov.com/portal/lextran

1.3. Contact Information

All questions related to this solicitation must be submitted in the Question and Answer section of

OpenGov.

No person or entity submitting a proposal in response to this RFP, nor any officer, employee, agent, representative, relative or consultant representing such a person (or entity) may contact through any means or engage in any discussion concerning the award of this contract with any member of the

Lextran Board of Directors or any employee of Lextran during the period beginning on the date of proposal issue and ending on the date of selection of the Contractor. Any such contact would be grounds for disqualification of the proposer. Contact with Lextran Procurement Department staff must be limited to site visits and technical questions.

Deanna Istre

Purchasing Manager

200 W Loudon Ave

Lexington, KY 40508

Email: distre@lextran.com

Phone: (859) 244-2023

Department:

Procurement

1.4. Timeline

This solicitation timeline is subject to change. Any changes made to this solicitation will be published in the form of an Addendum.

Release Project Date February 27, 2026

Pre-Proposal Meeting (Non-Mandatory) March 16, 2026, 1:30pm

Agenda

Lextran – Zoom https://us02web.zoom.us/j/88089894286?pwd=F w8KLLwl2Ln1lYMv2CSlWa4Adp6UVo.1

Meeting Number: 880 8989 4286

Meeting Password: 236424

Join by Phone: 1(312)535-8110

Question Submission Deadline March 20, 2026, 11:30pm

Response to Questions April 3, 2026 mailto:distre@lextran.com tel:(859)244-2023 https://government-project.s3.amazonaws.com/232283/e2a5afe8-736b-43ec-8457-ba8d02b754e8_Preproposal_Conference_Agenda.pdf https://us02web.zoom.us/j/88089894286?pwd=Fw8KLLwl2Ln1lYMv2CSlWa4Adp6UVo.1 https://us02web.zoom.us/j/88089894286?pwd=Fw8KLLwl2Ln1lYMv2CSlWa4Adp6UVo.1

Proposal Submission Deadline April 29, 2026, 2:00pm

Contractor Award Date May 27, 2026

Expected Contract Start Date September 1, 2026

2. SCOPE OF SERVICES

2.1. OVERVIEW

Lextran is seeking a qualified firm to provide ongoing maintenance, support, system upgrades, and future acquisition and installation services for its Multi-Facility Physical Security and Access Control

System.

Lextran's main administrative, maintenance, and operations facilities are located at 200 West Loudon

Avenue, Lexington, KY 40508. The Lextran Transit Center is located at 150 East Vine Street, Lexington, KY

40507.

The facilities operate integrated surveillance, access control, gate, and intercom systems, as applicable to each location, as described below.

2.2. Existing System Overview

Surveillance System

Lextran utilizes a Wisenet WAVE Camera System covering both facilities.

• Headquarters: 73 cameras - Several cameras provide multi-view coverage

• Transit Center: 29 cameras - Several cameras provide multi-view coverage

• NVR Servers: 4 total (2 at each facility) - These servers may be approaching the end of their usable life and may require replacement during the term of this contract.

All cameras at both facilities are accessible to authorized Lextran personnel at their workstations.

Currently, nine employees have viewing access. Lextran reserves the right to expand this access to additional personnel in the future.

Access Control Systems

• Headquarters: Keri Access Control System with 40 controlled doors

• Transit Center: Acre Access Control System with 15 controlled doors

Employee key cards are used for door access at both facilities. Electronic gates at Headquarters are activated by employee key cards and electronic proximity tags installed on Lextran vehicles.

Video Intercom System at Headquarters

My2N Video Intercom System located at:

• West Bus Entry Gate

• Shipping and Receiving Entrance

Public Address / Overhead Paging System at Transit Center

The Transit Center is equipped with a Bogen 70 Volt overhead paging system. The system includes a

Bogen PCM2000 zone paging controller, rack mounted 70 Volt power amplifiers, telephone interface module, zone attenuators, and associated headend infrastructure. The system provides multi zone paging capability and emergency notification capability throughout the Transit Center facility.

2.3. Initial Assessment Task

The first task of the successful contractor shall be to complete a comprehensive assessment of the physical security system at both the Headquarters and Transit Center.

The assessment shall include:

• Evaluation of all access control hardware and software

• Evaluation of surveillance hardware, servers, and storage

• Review of system integration and performance

• Identification of aging or unsupported equipment

• Recommendations for upgrades, replacements, cybersecurity improvements, and operational enhancements.

A written report with findings and recommendations shall be submitted to Lextran. Along with a walkthrough of Lextran's facilities to point out any of the findings and recommendations.

2.4. Ongoing Services to Be Provided

The successful contractor shall provide the following services:

Master Key and Locking Systems

• Maintenance and expansion of the existing master key system

• Maintenance of existing locking systems, including rekeys and additions

• Door hardware repair and replacement, including:

o Door closers o Exit devices o Latch protectors o Hinges o Electronic strikes o Locking mechanisms o ADA push buttons

Access Control Systems

• Installation, maintenance, repair, and upgrades of:

o Proximity readers o Electronic strikes o Gate operators o Proximity Cards o Access control panels and associated hardware

• Ongoing support for the existing Keri Access Control System at Headquarters and the Acre

Access Control System at the Transit Center, including software licensing, firmware updates, database maintenance, and system troubleshooting.

Video Surveillance System

• Maintenance and upgrades of the Wisenet WAVE Camera System

• Support and maintenance of all DVR servers

• Troubleshooting and repair of camera hardware, including a quarterly review of all camera angles and image quality

• Planning and phased replacement of aging camera equipment as needed

• Software updates and system optimization

Video Intercom System

• Maintenance and upgrades of the My2N Video Intercom System

• Repair and replacement of associated hardware and software components

Public Address and Paging System - Transit Center

Maintenance, troubleshooting, repair, and replacement of the Bogen 70 Volt overhead paging system components, including but not limited to:

• Zone paging controller modules

• Power amplifiers

• Telephone interface modules

• Volume attenuators

• Power supplies

• Rack mounted headend components

• System configuration and programming

• Audio balancing and performance verification

Emergency Services

The Contractor shall provide emergency response services, including but not limited to:

• Doors that fail to lock or secure properly

• Lockouts

• Gate malfunctions

• Access control failures

• Critical system outages affecting facility security

Proposers shall clearly state normal and after-hours response times in their proposal.

Contractor Account Management

Upon award of contract, the Contractor shall designate one primary account manager as the single point of contact for Lextran. The Contractor shall also designate a secondary contact to serve as backup in the absence of the primary account manager.

The Contractor shall provide an organizational chart or written description of the reporting structure for personnel assigned to the Lextran account, including escalation procedures for service issues and emergencies.

Lextran shall be notified in writing of any changes to designated contacts during the term of the contract.

3. COST

3.1. COST

All proposers must complete the Pricing Sheet (Section 9 - Attachments, Attachment F) and upload the completed Pricing Sheet as directed in the Vendor Questionairre. Failure to fill out the Pricing Sheet in its entirety may render a proposal as non-responsive.

Lextran will not pay for any work performed as part of any contracts awarded as a result of this RFP until it has received and accepted each deliverable.

The proposal shall document the costs for each aspect of this procurement, broken down, at a minimum, by each of the deliverables listed in this RFP.

4. GENERAL TERMS AND CONDITIONS

4.1. GENERAL TERMS AND CONDITIONS

Any contract awarded as a result of this RFP is expected to start on 09/01/2026 immediately following the expiration of the current contract.

In case of breach of duties or default, Lextran may, with good cause, terminate the contract upon thirty (30) days written notice prior to termination.

Lextran may terminate the contract at anytime upon sixty (60) days written notice prior to termination.

Terms of payment will be thirty (30) days after receipt of invoice. Lextran will not pay for a service until it has been performed or a good until it has been received. Lextran is tax exempt and will provide Certificate of

Exemption to the awarded firm.

The term of any contract awarded as a result of this RFP shall be for Three (3) Years plus three (3) optional one (1) year extensions, for a total of six possible contract years..

Any changes to the term or fees of the contract must be approved by Lextran in the form of a change order.

Lextran reserves the right to require of each/any Proposer, information regarding financial responsibility and viability or such other information as Lextran determines is necessary to ascertain whether a proposal is in fact a responsible proposal.

Proposers should note that the successful vendor must show no exclusions reported in SAM.GOV in order to be officially awarded any contract funded by federal dollars.

4.2. SAFETY REQUIREMENTS FOR LEXTRAN PREMISES

Awarded contractors must abide by all site safety regulations while on Lextran grounds, including but not limited to:

• Immediately checking in with the appropriate Lextran representative upon entering the site.

• A strictly enforced 5 mph speed limit.

• High visibility vests that have contractors company name and/or logo on the back for immediate identification.

• No smoking anywhere on site.

• No access to mechanics bays without proper clearance and personal protective equipment.

https://sam.gov/content/home

5. PROPOSAL CONTENT AND SUBMISSION REQUIREMENTS

5.1. SUBMISSION REQUIREMENTS

Incomplete proposals may render the proposal non-responsive.

There is a fifty (50) page limit for all proposal documents submitted, excluding the required forms and audited financial documents. Proposers should keep their submissions at or below this limit, or the proposal may be deemed non-responsive.

Lextran requests that proposals be concise, clearly addressing the evaluation criteria.

A copy of this RFP should NOT be included as part of the proposal. This RFP document will become part of the contract. Any edited versions of the RFP included in a proposal will not be accepted. This RFP/solicitation may only be modified by formal addendum issued by Lextran.

Proposals must be submitted via Lextran's eProcurement Portal.

Proposals must be received before 2:00 pm eastern time on Wednesday, April 29, 2026.

The proposer shall supply the following in their proposal:

• Authorized Letter: The proposal must be signed by an employee of the proposers company with the authorization to submit a proposal on the company's behalf.

• Scope of Services Requirements: Proposers must review in detail the requirements listed in the scope of services for the proposal to remain compliant.

• Pricing Sheet: Proposers must upload a fully completed Pricing Sheet for their proposal to be deemed responsive.

• Insurance: Proposers must also be adequately insured to perform this work and provide documentation of coverage, including certification of insurance evidence. The successful proposer must also be willing to provide Lextran with proof of coverage on an on-going basis.

• Capacity: Proposers must show they have the financial, personnel and equipment/facility capacity to hold a contract with Lextran. This section should include key personnel assigned to this project and include relevant resumes and/or experience. This section should NOT include sales materials, promotional offerings, or the like.

• References: Three (3) references including company name and address, contact person, phone numbers, and email addresses. References shall be able to speak to the quality of the services that have been provided. References shall be for clients of a similar nature to Lextran.

• The enclosed forms as listed below:

o Certification of Restrictions on Lobbying o Certification Regarding Debarment, Suspension and Other Ineligibility o Non-Collusion Affidavit https://procurement.opengov.com/portal/lextran o Certificate of Procurement Integrity o Affidavit of Compliance-DBE (If Applicable) o Financial Capacity

Redacted Proposals

Lextran does not require the submission of redacted proposals along with the original proposal file, however it is recommended. Lextran is subject to open records requests, and therefore may be required to present a proposal as part of such a request. Lextran purchasing personnel will always strive to protect all proprietary information of our vendors, however, procurement staff may not be aware of what may be considered a

"trade secret". Providing a redacted proposal will help protect vendors trade secrets.

If a proposer does not wish to provide a separate, redacted file, they are more than welcome to mark any such information as "confidential" so those pages may be removed from an open records request file. Please keep in mind that only truly proprietary information can be marked as confidential, and an entire proposal document may not be marked as proprietary. Lextran has a responsibility to maintain public trust and transparency, so any information that is subject to KRS 61.870 through 61.884 must be provided on request.

5.2. PROJECT PLAN

Proposals will include a project plan for how the proposer intends to execute the requirements of this RFP.

This project plan shall include a timeline of events for the initial task. To clarify, the timeline should not include specific calendar dates as that could change based upon final contract award; rather the timeline should indicate the number of days or weeks to complete each aspect of the project as the proposer envisions it.

The project plan should clearly demonstrate an understanding of Lextran, its needs, and the requirements of this procurement.

Proposers shall identify the proposed primary account manager and backup contact for the Lextran account and provide a description of the firm's organizational structure, including escalation procedures.

5.3. CAPACITY

The proposer shall demonstrate they have sufficient capacity to handle the Lextran account. This includes personnel and equipment/facility capacity. Proposers must also be adequately insured to perform this work and provide documentation of coverage. The successful proposer must be willing to provide Lextran with proof of coverage on an on-going basis.

Personnel capacity can be demonstrated by documenting the firm has a sufficient number of employees to handle the Lextran account and that those employees have the proper training/experience and certifications to do the work.

5.4. EXPERIENCE AND REFERENCES

The proposer shall document their previous experience in performing the tasks outlined in this RFP.

Proposers should call out any work done for other transit agencies or customers similar in nature to Lextran.

Proposers will also document the qualifications of the firm to provide this work, including the qualifications of any specific individuals assigned to the project.

Proposers will provide a minimum of three (3) references that can speak directly to the quality of work done by the proposer. References must include company name, contact name, phone number (with extension where applicable), and email address. Reference should be notified in advance to inform them they will be contacted by Lextran personnel. Lextran will email a standard reference form to all references.

Lextran will email a standard reference form to all references, therefore it is imperative that email addresses are up-to-date and accurately entered to avoid unanswered reference requests.

6. EVALUATION PHASES

EVALUATION DISCLAIMER:

This document is a Request for Proposals (RFP) and is a “best value” procurement and not a "lowest cost" procurement.

Proposers acknowledge that the selection of the winning Proposer is inherently subjective and that Lextran reserves the right to reject any and all submissions at its discretion.

Proposals should be concise and should address the evaluation criteria and information requested. Proposals containing generalized marketing materials are discouraged and may result in a lower evaluation score.

No. Evaluation Criteria Scoring Method Weight (Points)

1. Overall Value to Lextran, Including Cost of

Service

Evaluation will consider the total cost of services and the overall value offered to

Lextran, including:

• Hourly labor rates

• Service call fees

• Emergency response pricing

• Transparency and completeness of pricing

• Long term cost effectiveness

• Value added services

Lowest cost will not automatically receive the highest score. Value, clarity, and reasonableness of pricing will be considered.

Points Based 35 (35% of Total)

2. Demonstration of Understanding of Lextran’s

Needs

Evaluation will consider the proposer’s demonstrated understanding of:

• Lextran’s multi facility environment

• Dual access control platforms

• Surveillance system configuration and lifecycle considerations

• Operational and emergency response requirements

• Initial assessment expectations

Proposals should clearly reflect an understanding of the scope and provide thoughtful, tailored responses rather than generic statements.

Points Based 25 (25% of Total)

3. Firm Experience & Qualifications

Evaluation will consider:

• Experience providing similar services

• Experience with transit agencies or comparable public entities

• Experience with Keri, Acre, and

Wisenet WAVE systems

• Experience with commercial public address or 70 Volt paging systems

• Qualifications and certifications of assigned personnel

• Quality of references

Greater weight may be given to firms demonstrating experience with similar sized multi site security environments.

Points Based 25 (25% of Total)

4. Capacity, Responsiveness, and Account

Management

Evaluation will consider:

• Demonstrated capacity to support the Lextran account

• Availability of personnel and resources

• Emergency response capability

• Proposed account management structure

• Identification of primary and backup contacts

• Escalation procedures

Points Based 15 (15% of Total)

7. STATE AND FEDERAL PROVISIONS

7.1. OPEN RECORDS NOTIFICATION

All information appearing within the proposal is subject to public inspection as per the

Kentucky Open Records Act, KRS 61.870. Any proprietary information eligible to be excluded from an open records request must be clearly marked as such on each individual page on which proprietary information appears. Proposers may not make a blanket or all-inclusive confidentiality/proprietary statement. For the purpose of determining an eligible exclusion, KRS

61.878 describes proprietary information in the following manner: “Upon and after July 15, 1992, records confidentially disclosed to an agency or required by an agency to be disclosed to it, generally recognized as confidential or proprietary, which if openly disclosed would permit an unfair commercial advantage to competitors of the entity that disclosed the records”.

7.2. GOVERNING LAW

All contractual agreements shall be subject to, governed by, and construed according to the laws of the Commonwealth of Kentucky.

7.3. REQUIRED FEDERAL CLAUSES

The Transit Authority of Lexington-Fayette Urban County Government (Lextran) is a recipient of federal funds and is mandated to follow specific guidelines in the procurement of goods and services. The following clauses shall be incorporated by reference into any contract that results from this solicitation.

Definitions used herein:

-The terms “respondent, bidder, proposer, and contractor” mean the offeror or vendor.

-The terms “the Authority” and “recipient” (as in recipient of FTA funds) mean the Transit

Authority of Lexington-Fayette Urban County Government (Lextran).

-The term “USDOT” means the United States Department of Transportation.

-The term “FTA” means the Federal Transportation Administration.

7.4. ACCESS TO THIRD PARTY RECORDS AND REPORTS

(1) Record Retention. The Contractor will retain and will require its subcontractors of all tiers to retain, complete and readily accessible records related in whole or in part to the contract, including, but not limited to, data, documents, reports, statistics, sub-agreements, leases, subcontracts, arrangements, other third-party agreements of any type, and supporting materials related to those records.

(2) Retention Period. The Contractor agrees to comply with the record retention requirements in accordance with C.F.R. § 200.333. The Contractor shall maintain all books, records, accounts, and reports required under this Contract for a period of not less than three (3) years after the date of termination or expiration of this Contract, except in the event of litigation or settlement of claims arising from the performance of this Contract, in which case records shall be maintained until the disposition of all such litigation, appeals, claims, or exceptions related thereto.

(3) Access to Records. The Contractor agrees to provide sufficient access to the Federal Transit

Administration (FTA), the U.S. Secretary of Transportation or the Secretary’s duly authorized representatives, the Comptroller General of the United States, the Comptroller General’s duly authorized representatives, and the duly authorized representatives of Lextran to inspect and audit records and information related to the performance of this Contract as reasonably may be required.

(4) Access to the Sites of Performance. The Contractor agrees to permit those individuals listed above access to the sites of performance under this Contract as reasonably may be required.

7.5. ADA ACCESSIBILITY

Facilities to be used in public transportation service must comply with the Americans with

Disabilities Act, 42 U.S.C. § 12101 et seq.; DOT regulations, “Transportation Services for

Individuals with Disabilities (ADA),” 49 C.F.R. part 37; and Joint Access Board/DOT regulations, “Americans with Disabilities (ADA) Accessibility Specifications for Transportation Vehicles,” 36

C.F.R. part 1192 and 49 C.F.R. part 38. Notably, DOT incorporated by reference into Appendix A of its regulations at 49 C.F.R. part 37 the Access Board’s “Americans with Disabilities Act

Accessibility Guidelines” (ADAAG), revised July 2004, which include accessibility guidelines for buildings and facilities. DOT also added specific provisions to Appendix A of 49 C.F.R. part 37 modifying the ADAAG with the result that buildings and facilities must comply with both the

ADAAG and the DOT amendments.

7.6. BREACHES AND DISPUTE RESOLUTION

Disputes arising in the performance of this Contract which are not resolved by agreement of the parties shall be decided in writing by the authorized representative of Lextran’s General

Manager. This decision shall be final and conclusive unless within [ten (10)] days from the date of receipt of its copy, the Contractor mails or otherwise furnishes a written appeal to the

General Manager. In connection with any such appeal, the Contractor shall be afforded an opportunity to be heard and to offer evidence in support of its position. The decision of the

General Manager shall be binding upon the Contractor, and the Contractor shall abide be the decision.

Performance During Dispute - Unless otherwise directed by Lextran, Contractor shall continue performance under this Contract while matters in dispute are being resolved.

Claims for Damages - Should either party to the Contract suffer injury or damage to person or property because of any act or omission of the other party or of any of its employees, agents or others for whose acts it is legally liable, a claim for damages therefor shall be made in writing to such other party within a reasonable time after the first observance of such injury of damage.

Remedies - Unless this contract provides otherwise, all claims, counterclaims, disputes and other matters in question between Lextran and the Contractor arising out of or relating to this agreement or its breach will be decided in a court of competent jurisdiction within Kentucky.

Rights and Remedies - The duties and obligations imposed by the Contract Documents and the rights and remedies available thereunder shall be in addition to and not a limitation of any duties, obligations, rights and remedies otherwise imposed or available by law. No action or failure to act by Lextran or Contractor shall constitute a waiver of any right or duty afforded any of them under the Contract, nor shall any such action or failure to act constitute an approval of or acquiescence in any breach thereunder, except as may be specifically agreed in writing.

This clause applies to all contracts in excess of $25,000.

7.7. BUILD AMERICA/BUY AMERICA

The contractor agrees to comply with 49 U.S.C. 5323(j) and 49 C.F.R. part 661 and 2 CFR §

200.322 Domestic preferences for procurements, which provide that Federal funds may not be obligated unless all steel, iron, and manufactured products used in FTA funded projects are produced in the United States, unless a waiver has been granted by FTA or the product is subject to a general waiver. General waivers are listed in 49 C.F.R. § 661.7.

Separate requirements for rolling stock are set out at 49 U.S.C. 5323(j)(2)(C), 49 U.S.C. § 5323(u) and 49 C.F.R. § 661.11. Domestic preferences for procurements.

Construction materials used in the Project are subject to the domestic preference requirement of the Build America, Buy America Act, Pub. L. 117-58, div. G, tit. IX, §§ 70911 – 70927 (2021), as implemented by the U.S. Office of Management and Budget, the U.S. Department of

Transportation, and FTA. The Recipient acknowledges that this agreement is neither a waiver of

§ 70914(a) nor a finding under § 70914(b).

The bidder or offeror must submit to the Agency the appropriate Buy America certification. Bids or offers that are not accompanied by a completed Buy America certification will be rejected as nonresponsive. For more information, please see the FTA’s Buy America webpage at:

https://www.transit.dot.gov/buyamerica

7.8. CIVIL RIGHTS REQUIREMENTS

The following Federal Civil Rights laws and regulations apply to all contracts.

The Contractor and any subcontractor agree to comply with all the requirements prohibiting discrimination on the basis of race, color, or national origin of the Title VI of the Civil Rights

Action of 1964, as amended 52 U.S.C 2000d, and U.S. DOT regulation “Nondiscrimination in

Federally-Assisted Programs of the Department of Transportation – Effectuation of the Title VI of the Civil rights Act, “49 C.F. R. Part 21 and any implementing requirement FTA may issue.

https://www.transit.dot.gov/buyamerica

A. Federal Equal Employment Opportunity (EEO) Requirements. These include, but are not limited to:

1. Nondiscrimination in Federal Public Transportation Programs. 49 U.S.C. § 5332, covering projects, programs, and activities financed under 49 U.S.C. Chapter 53, prohibits discrimination on the basis of race, color, religion, national origin, sex

(including sexual orientation and gender identity), disability, or age, and prohibits discrimination in employment or business opportunity.

2. Prohibition against Employment Discrimination. Title VII of the Civil Rights Act of

1964, as amended, 42 U.S.C. § 2000e, and Executive Order No. 11246, “Equal

Employment Opportunity,” September 24, 1965, as amended, prohibit discrimination in employment on the basis of race, color, religion, sex, or national origin.

B. Nondiscrimination on the Basis of Sex. Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. § 1681 et seq. and implementing Federal regulations, “Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving

Federal Financial Assistance,” 49 C.F.R. part 25 prohibit discrimination on the basis of sex.

C. Nondiscrimination on the Basis of Age. The “Age Discrimination Act of 1975,” as amended, 42 U.S.C. § 6101 et seq., and Department of Health and Human Services implementing regulations, “Nondiscrimination on the Basis of Age in Programs or

Activities Receiving Federal Financial Assistance,” 45 C.F.R. part 90, prohibit discrimination by participants in federally assisted programs against individuals on the basis of age. The Age Discrimination in Employment Act (ADEA), 29 U.S.C. § 621 et seq., and Equal Employment Opportunity Commission (EEOC) implementing regulations, “Age

Discrimination in Employment Act,” 29 C.F.R. part 1625, also prohibit employment discrimination against individuals age 40 and over on the basis of age.

D. Federal Protections for Individuals with Disabilities. The Americans with Disabilities Act of 1990, as amended (ADA), 42 U.S.C. § 12101 et seq., prohibits discrimination against qualified individuals with disabilities in programs, activities, and services, and imposes specific requirements on public and private entities. Third party contractors must comply with their responsibilities under Titles I, II, III, IV, and V of the ADA in employment, public services, public accommodations, telecommunications, and other provisions, many of which are subject to regulations issued by other Federal agencies.

Civil Rights and Equal Opportunity

The Agency is an Equal Opportunity Employer. As such, the Agency agrees to comply with all applicable Federal civil rights laws and implementing regulations. Apart from inconsistent requirements imposed by Federal laws or regulations, the Agency agrees to comply with the requirements of 49 U.S.C. § 5323(h) (3) by not using any Federal assistance awarded by FTA to support procurements using exclusionary or discriminatory specifications.

Under this Contract, the Contractor shall at all times comply with the following requirements and shall include these requirements in each subcontract entered into as part thereof.

A. Nondiscrimination. In accordance with Federal transit law at 49 U.S.C. § 5332, the

Contractor agrees that it will not discriminate against any employee or applicant for employment because of race, color, religion, national origin, sex, disability, or age. In addition, the Contractor agrees to comply with applicable Federal implementing regulations and other implementing requirements FTA may issue.

B. Race, Color, Religion, National Origin, Sex. In accordance with Title VII of the Civil Rights

Act, as amended, 42 U.S.C. § 2000e et seq., and Federal transit laws at 49 U.S.C. § 5332, the Contractor agrees to comply with all applicable equal employment opportunity requirements of U.S. Department of Labor (U.S. DOL) regulations, "Office of Federal

Contract Compliance Programs, Equal Employment Opportunity, Department of Labor,"

41 C.F.R. chapter 60, and Executive Order No. 11246, "Equal Employment Opportunity in

Federal Employment," September 24, 1965, 42 U.S.C. § 2000e note, as amended by any later Executive Order that amends or supersedes it, referenced in 42 U.S.C. § 2000e note. The Contractor agrees to take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, color, religion, national origin, or sex (including sexual orientation and gender identity). Such action shall include, but not be limited to, the following: employment, promotion, demotion or transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. In addition, the Contractor agrees to comply with any implementing requirements FTA may issue.

C. Age. In accordance with the Age Discrimination in Employment Act, 29 U.S.C. §§ 621-

634, U.S. Equal Employment Opportunity Commission (U.S. EEOC) regulations, “Age

Discrimination in Employment Act,” 29 C.F.R. part 1625, the Age Discrimination Act of

1975, as amended, 42 U.S.C. § 6101 et seq., U.S. Health and Human Services regulations, “Nondiscrimination on the Basis of Age in Programs or Activities Receiving Federal

Financial Assistance,” 45 C.F.R. part 90, and Federal transit law at 49 U.S.C. § 5332, the

Contractor agrees to refrain from discrimination against present and prospective employees for reason of age. In addition, the Contractor agrees to comply with any

Implementing requirements FTA may issue.

D. Disabilities. In accordance with section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794, the Americans with Disabilities Act of 1990, as amended, 42

U.S.C. § 12101 et seq., the Architectural Barriers Act of 1968, as amended, 42 U.S.C. §

4151 et seq., and Federal transit law at 49 U.S.C. § 5332, the Contractor agrees that it will not discriminate against individuals on the basis of disability. In addition, the

Contractor agrees to comply with any implementing requirements FTA may issue.

E. Promoting Free Speech and Religious Liberty. The Contractor shall ensure that Federal funding is expended in full accordance with the U.S. Constitution, Federal Law, and statutory and public policy requirements: including, but not limited to, those protecting free speech, religious liberty, public welfare, the environment, and prohibiting discrimination.

7.9. CLEAN AIR REQUIREMENTS

(1) The Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. §§ 7401 et seq . The Contractor agrees to report each violation to Lextran and understands and agrees that Lextran will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional

Office. The Contractor agrees it will not use any violating facilities.

(2) The Contractor also agrees to include these requirements in each subcontract exceeding

$150,000 financed in whole or in part with Federal assistance provided by FTA.

The Clean Air requirements apply to all contracts exceeding $150,000, including indefinite quantities where the amount is expected to exceed $150,000 in any year. The Clean Air requirements flow down to all subcontracts at every tier.

7.10. CLEAN WATER REQUIREMENTS

(1) The Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq . The

Contractor agrees to report each violation to Lextran and understands and agrees that Lextran will, in turn, report each violation as required to assure notification to FTA and the appropriate

EPA Regional Office. The Contractor agrees it will not use any violating facilities.

(2) The Contractor also agrees to include these requirements in each subcontract exceeding

$150,000 financed in whole or in part with Federal assistance provided by FTA.

The Clean Water requirements apply to all contracts exceeding $150,000, including indefinite quantities where the amount is expected to exceed $150,000 in any year. The Clean Water requirements flow down to all subcontracts at every tier.

7.11. CONFLICT OF INTEREST

The contractor is required to have a written standards of conduct to encompass both personal and organizational conflicts of interest and defines them as follows:

Personal Conflicts of Interest. The Recipient’s code or standards of conduct shall prohibit the

Recipient’s employees, officers, board members or agents from participating in the selection, award or administration of a third-party contract or sub-agreement supported by Federal Funds if a real or apparent conflict of interest would be involved. Such a conflict would arise when any of the following parties has a financial or other interest in the entity selected for award: (a) an employee, officer, board member or agent; (b) any member of his or her immediate family; (c) his or her partner; (d) an organization that employs, or intends to employ, any of the above.

Organizational Conflicts of Interest. The Recipient’s code or standard of conduct must include procedures for identifying and preventing real and apparent organizational conflicts of interest.

An organizational conflict of interest exists when the nature of the work to be performed under a proposed third-party contract or sub-agreement may, without some restrictions on future activities, result in an unfair competitive advantage to the third-party contractor or sub-recipient or impair its objectivity in performing the contract work.

49 CCFR § 18.36©(v) and 49 CFR § 19.43 prohibit organizational conflicts of interest as restrictive competition. Section 19.43 further states as follows: All procurement transactions shall be conducted in a manner to provide, to the maximum extent practical, open, and free competition. The recipient [[Page 167]] shall be alert to organizational conflicts of interest as well as noncompetitive practices among contractors that may restrict or eliminate competition or otherwise restrain trade. In order to ensure objective contractor performance and eliminate unfair competitive advantage, contractors that develop or draft specifications, requirements, statements of work, invitations for bid and/or requests for proposals shall be excluded from competing for such procurements. Awards shall be made to the bidder or offeror whose bid or offer is responsive to the solicitation and is most advantageous to the recipient, price, quality, and other factors considered. Solicitations shall clearly set forth all requirements that the bidder or offeror shall fulfill in order for the bid or offer to be evaluated by the recipient. Any and all bids or offers may be rejected when it is in the recipient’s interest to do so.

7.12. DISADVANTAGED BUSINESS ENTERPRISE (DBE) – NO CONTRACT GOAL

(a) OVERVIEW

It is the policy of Lextran and the United States Department of Transportation (DOT) that

Disadvantaged Business Enterprises (DBEs), as defined herein and in the Federal regulations published at 49 C.F.R. part 26, shall have an equal opportunity to participate in DOT-assisted contracts. It is also the policy of Lextran to:

1 Ensure nondiscrimination in the award and administration of DOT-assisted contracts;

2 Create a level playing field on which DBEs can compete fairly for DOT-assisted contracts;

3 Ensure that the DBE program is narrowly tailored in accordance with applicable law;

4 Ensure that only firms that fully meet 49 C.F.R. part 26 eligibility standards are permitted to participate as DBEs;

5 Help remove barriers to the participation of DBEs in DOT-assisted contracts;

6 To promote the use of DBEs in all types of federally assisted contracts and procurement activities; and

7 Assist in the development of firms that can compete successfully in the marketplace outside the DBE program.

This contract is subject to 49 C.F.R. part 26. Therefore, the Contractor must satisfy the requirements for DBE participation as set forth herein. These requirements are in addition to all other equal opportunity employment requirements of this Contract. Lextran shall make all determinations with regard to whether or not a bidder/proposer is in compliance with the requirements stated herein. In assessing compliance, Lextran may consider during its review of the bidder/proposer’s submission package, the bidder/proposer’s documented history of non-compliance with DBE requirements on previous contracts with Lextran.

(b) CONTRACT ASSURANCE

The contractor, subrecipient, or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of this DOT-assisted contract. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as Lextran deems appropriate, which may include, but is not limited to:

-Withholding monthly progress payments;

-Assessing sanctions;

-Liquidated damages; and/or

-Disqualifying the contractor from future bidding as non-responsible.

Each subcontract the contractor signs with a subcontractor must include the assurance in this paragraph.

The contractor is required to pay its subcontractors performing work related to this contract for satisfactory performance of that work no later than 30 days after the contractor’s receipt of payment for that work from Lextran. In addition, the contractor is required to return any retainage payments to those subcontractors within 30 days after incremental acceptance of the subcontractor’s work by Lextran and contractor’s receipt of the partial retainage payment related to the subcontractor’s work.

(c) DBE PARTICIPATION REQUIREMENT

For the purpose of this Contract, Lextran will accept only DBEs who are certified at the time of bid opening or proposal evaluation by the Commonwealth of Kentucky.

(d) DBE PARTICIPATION GOAL

There is no specific contractual DBE goal for this procurement. The successful bidder/offeror will be required to report its DBE participation obtained through race-neutral means throughout the period of performance. While there are no contractual requirements for the successful contractor to utilize the services of a DBE, Lextran strongly encourages the contractor to do so if possible.

(e) COUNTING DBE PARTICIPATION

The bidder/proposer may count toward its DBE utilization only expenditures to firms which are currently certified by the KY UCP and which perform a commercially useful function. A firm is considered to perform a commercially useful function when it is responsible for the performance of a distinct element of the work and carries out its responsibilities by actually performing, managing and supervising the work involved.

To determine whether a firm is performing a commercially useful function, the DBE Officer will evaluate the amount of work subcontracted, industry practices and other relevant factors. The

DBE Officer reserves the right to deny or limit DBE credit to the bidder/proposer where any DBE is found to be engaged in substantial pass-through activities with others.

DBE participation shall be counted toward the DBE goal in the contract as follows:

A. Once a DBE is determined to be eligible in accordance with these rules, the total dollar value of the contract awarded to the DBE may be counted toward the DBE goal except as indicated below.

B. A bidder/proposer may count toward its DBE goal that portion of the total dollar value of a contract with an eligible joint venture equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with its own forces.

C. Consistent with normal industry practices, a DBE may enter into subcontracts. If a DBE subcontracts more than thirty percent (30%) or a significantly greater portion of the work of the contract than would be expected on the basis of normal industry practices, the DBE shall be presumed not to be performing a commercially useful function. Evidence may be presented by the bidder/proposer involved to rebut this presumption.

D. When a DBE subcontracts a part of the work under the contract to another firm, the value of the subcontracted work may only be counted towards the DBE goal if the DBE’s subcontractor is itself a DBE. Work that a DBE subcontracts to a non-DBE firm does not count towards the DBE goal.

E. The bidder/proposer may count one hundred percent (100%) of its expenditures for materials and supplies required under the contract and which are obtained from a DBE manufacturer towards the DBE goal. The bidder may count sixty percent (60%) of its expenditures for material and supplies under the contract obtained from a DBE regular dealer towards its DBE goal. The terms “manufacturer” and “regular dealer” are defined in 49 C.F.R.

Part 26.55(e)(1)(ii) and (2)(ii).

F. The bidder/proposer may count towards its DBE goal expenditures to DBEs which are not manufacturers or regular dealers, such as fees or commissions charged for services and assistance in the procurement of essential personnel, facilities, equipment, materials or supplies and transportation charges as set forth in 49 C.F.R. Part 26. However, the DBE Officer must determine the fee or charge to be reasonable and not excessive as compared with fees or charges customarily allowed for similar services.

The bidder/proposer must use good business judgment when negotiating with subcontractors and take a DBE’s price and capabilities into consideration. The fact that there may be some additional costs involved in finding and using DBE firms is not sufficient reason to fail to utilize a

DBE, as long as such costs are reasonable.

(f) REPORTING

Lextran shall monitor the Contractor’s DBE utilization during the life of the contract. In the event this procurement exceeds ninety (90) days, it will be the responsibility of the Contractor to submit quarterly written reports to Lextran that summarize the total DBE value for this

Contract. These reports shall provide the following details:

-DBE utilization established for the Contract.

-Total value of expenditures with DBE firms for the quarter.

-The value of expenditures with each DBE firm for the quarter by race and gender.

-Total value of expenditures with DBE firms from inception of the Contract; and

-The value of expenditures with each DBE firm from the inception of the Contract by race and gender.

Reports and other correspondence must be submitted to the DBE Compliance Officer with copies provided to the Purchasing department. Reports shall continue to be submitted quarterly until final payment is issued or until DBE participation is completed.

The Contractor shall permit Lextran to have access to necessary…