METROPOLITAN TRANSIT AUTHORITY OF HARRIS COUNTY, TX (METRO)

REQUEST FOR QUALIFICATIONS (RFQ) NO. Doc2067599789

FOR

CONSTRUCTION MATERIAL TESTING GEOTECHNICAL SERVICES

On An ‘As Needed’ Basis’

METRO requests Statements of Qualifications (SOQs) from qualified consultant teams to perform the services described in this RFQ. Advanced experience in this area is mandatory.

Please contact the following Contract Administrator with any questions about this RFQ:

Michael Diettel Contract Administrator

Email: md66@ridemetro.org Office: (713) 652-8018

LOCAL AND FUNDING SMALL BUSINESS GOAL 35%

IMPORTANT – Notice to Proposer

Submit all responses to and questions regarding this solicitation electronically through METRO’s EUNA (Bonfire) at https://www.ridemetro.org/procurement

AND one (1) hardcopy of the proposal to the address below.

There is no cost to Contractors to register to submit bids on METRO’s EUNA (Bonfire).

Metropolitan Transit Authority Upper Left Corner of Envelope Must Indicate:

Procurement Division Proposer/Contractor Name and Address 1900 Main Street Lower Left Corner of Envelope Must Indicate:

Houston, Texas 77002 Solicitation Number

Due Date Due Time Solicitation Title

The Bonfire/Ariba submission shall take precedence over any discrepancies between the hard copy and the Bonfire/Ariba submission. Both the electronic via Bonfire and hardcopy submittal MUST be received by the deadline specified in the solicitation. A submittal MAY be deemed non-responsive if both the electronic and hardcopy are not received by the deadline specified in this solicitation.

mailto:md66@ridemetro.org https://www.ridemetro.org/about/business-to-business/procurement-opportunities#:%7E:text=Open%20external%20link)-,Open%20Procurements,-METRO%20is%20committed

RFQualifications No. Doc2067599789 Contract No. _________

TABLE OF CONTENTS

SECTION I – STATEMENT OF QUALIFICATIONS SUBMISSION REQUIREMENTS AND INSTRUCTIONS

1 REQUEST FOR QUALIFICATIONS SUMMARY

2 STATEMENT OF QUALIFICATIONS (SOQ) REQUIREMENTS

3 EVALUATION CRITERIA

4 EVALUATION / SOURCE SELECTION

5 INSTRUCTIONS TO SOQ RESPONDERS

6 SMALL BUSINESS AND DISADVANTAGED BUSINESS ENTERPRISE PROGRAMS

7 STATEMENT OF QUALIFICATIONS (SOQ) FORMS SUBMISSION CHECKLIST

8 INSURANCE ARTICLES

9 CONTRACTOR'S INSURANCE

10 INDEMNIFICATION AGREEMENT

SECTION II – EXHIBITS

1 EXHIBIT A: SCOPE OF SERVICES

2 EXHIBIT B: CERTIFICATION OF RESTRICTIONS ON LOBBYING

3 EXHIBIT C: DEBARMENT AND SUSPENSION FORM

4 EXHIBIT D: SMALL BUSINESS FORMS

Form 1: CONTRACTOR UTILIZATION PLAN (CUP) 19 Form 2: BUSINESS ASSURANCE STATEMENT 24 Form 3: SUBCONTRACTOR/SUPPLIER LETTER OF INTENT 25 Form 4: CONTRACTOR UTILIZATION PLAN PLEDGE 26

5 EXHIBIT E: CODE OF ETHICS OF THE METROPOLITAN TRANSIT AUTHORITY

6 EXHIBIT F: METRO’S ETHICS AND SAFETY HOTLINE

SECTION I – STATEMENT OF QUALIFICATIONS SUBMISSION REQUIREMENTS AND INSTRUCTIONS

1 REQUEST FOR QUALIFICATIONS SUMMARY

RFQ NO.: Doc2067599789 RFQ ISSUE DATE: March 31, 2026

PROJECT NAME: CONSTRUCTION MATERIAL TESTING GEOTECHNICAL SERVICES

For: Construction Material Testing Geotechnical Services On An ‘As Needed’ Basis’

ISSUED BY: Metropolitan Transit Authority of Harris County (METRO) Website: https://www.ridemetro.org/Procurement

All questions and bid responses to this solicitation must be submitted electronically through METRO’s EUNA (Bonfire) at https://www.ridemetro.org/procurement. Registration on METRO’s EUNA (Bonfire is free. Additionally, submit one (1) Original hardcopy delivered in a sealed envelope to the METRO Procurement Office, 1900 Main Street, Houston, Texas 77002

CONTRACT ADMINISTRATOR: Michael Diettel Contract Administrator Procurement Services 1900 Main Street, 8th Floor Houston, Texas 77002 Email: md66@ridemetro.org Phone: (713) 652-8018

NOTE TO RESPONDENTS: RESPONDENTS ARE RESPONSIBLE FOR ALL INFORMATION IN THIS SOLICITATION, HOWEVER, PLEASE PAY PARTICULAR ATTENTION TO INFORMATION SHADED IN GRAY.

DISCIPLINARY EXPERIENCE: The team/firm selected to provide these services will have considerable local experience in all of the following disciplines:

• Soil, concrete, metals testing in accordance with TXDOT and City of Houston requirements

• Rail welding testing in accordance with AREMA or APTA requirements.

• Geotechnical explorations and pavement/foundation evaluation in the Houston area.

PROPOSAL DUE DATE/TIME/LOCATION: Proposals for work described herein must be submitted through METRO’s EUNA (Bonfire)/Ariba at https://www.ridemetro.org/procurement and received by 2:00 PM (CST) on Wednesday, May 6, 2026. Additionally, submit one (1) Original hardcopy delivered in a sealed envelope bearing the name and address of the Responder and the identification ‘Request for Proposals No. Doc2067599789 to the METRO Procurement Office Plan 8th Floor, 1900 Main Street, Houston, Texas 77002.

Digital signatures accepted.

Both the electronic via Bonfire/Ariba and hardcopy submittal MUST be received by the deadline specified in the solicitation. A submittal MAY be deemed non-responsive if both the electronic and hardcopy are not received by the deadline specified in this solicitation. Proposals received will not be opened publicly. (See additional submission requirements in Section 2 below.)

A PRE-SUBMITTAL BRIEFING will be held at 9:00 a.m. CST on Tuesday, April 7, 2026. In-person participation at 1900 Main Street, 8th Floor Conference room 8005.

The purpose of the briefing is to explain the solicitation requirements and answer any questions prospective bidders may have regarding the solicitation. All questions pertaining to this solicitation shall be presented IN WRITING through EUNA (Bonfire). All interested firms are strongly encouraged to attend and have a copy of this RFQ readily accessible during the briefing.

PERFORMANCE PERIOD: The period of performance under this Contract shall be for a period of three (3)years, and shall have two (2), one (1) year option period(s). (See Contract Article ‘Period of Performance’ in Section III). Services thereunder will be utilized on an ‘as needed’ basis.

OBLIGATION: This Request for Qualifications does not obligate the Metropolitan Transit Authority to award a contract, or to pay any costs incurred in the preparation or submittal of any response.

REGISTRATION ON PROCUREMENT WEBSITE: All Responders MUST register on METRO's procurement website at https://www.ridemetro.org/VendorRegistration to ensure that they receive the latest solicitations and updates via their registered e-mail address.

https://www.ridemetro.org/about/business-to-business/procurement-opportunities https://www.ridemetro.org/about/business-to-business/procurement-opportunities#:%7E:text=Open%20external%20link)-,Open%20Procurements,-METRO%20is%20committed mailto:md66@ridemetro.org https://www.ridemetro.org/about/business-to-business/procurement-opportunities#:%7E:text=Open%20external%20link)-,Open%20Procurements,-METRO%20is%20committed https://www.ridemetro.org/about/business-to-business/procurement-opportunities#:%7E:text=Register%20online%20as%20a%20vendor%20with%20METRO.

REPRODUCTION: All forms contained in this solicitation may be reproduced if more space is needed due to the number of subcontractors or suppliers to be submitted with the SOQ or for any other reason.

SMALL BUSINESS PARTICIPATION GOAL: METRO has adopted a Small Business Enterprise Program to encourage the participation of Small Business enterprises in contracting activities through race-gender neutral means. METRO sets Small Business Participation goals on its contracts. Small Business Participation goals can be satisfied by METRO-certified Small Businesses (SBE), federally-certified Disadvantaged Business Enterprises (DBE), or a combination of both. All references to Small Businesses in this document include Disadvantaged Business Enterprises. Copies of METRO’s Small Business and Disadvantaged Business Enterprise Programs can be obtained upon request.

The link to the METRO SBE directory is https://ridemetro.sbdbe.com/ The link to the Texas Unified Certification Program (TUCP) DBE directory is https://txdot.txdotcms.com/.

This solicitation has a 35% Small Business Participation goal.

BIDDERS WHO FAIL TO COMMIT TO THE SMALL BUSINESS CONTRACT GOAL WILL BE DEEMED NONRESPONSIVE AND NO

FURTHER CONSIDERATION WILL BE GIVEN TO THEIR BID.

METRO ENCOURAGES SMALL BUSINESS PARTICIPATION EVEN IF NO SMALL BUSINESS CONTRACT GOAL HAS BEEN

ESTABLISHED.

METRO encourages Contractors to use financial institutions owned and controlled by socially and economically disadvantaged individuals.

A listing of such institutions may be found at https://www.fdic.gov/regulations/resources/minority/mdi.html

Veteran and Disability-Owned Business Enterprise Programs: METRO has also adopted a Veteran-Owned Business Enterprise (VOBE) Program and a Disability-Owned Business Enterprise (DOBE) Program and encourages the participation of veteran and disability owned firms. Copies of METRO’s VOBE and DOBE programs can be found at https://www.ridemetro.org/BusinessOpportunityPrograms.

WRITTEN QUESTIONS: Written questions will be accepted until DAY: Friday; TIME: 2:00 P.M.; DATE. April 10, 2026 Submit questions via EUNA (Bonfire)/Ariba.

2 STATEMENT OF QUALIFICATIONS (SOQ) REQUIREMENTS

A. Respondents wishing to be considered for award of Constructional Material Testing Services, ‘On An As Needed Basis’ as set forth in this RFQ, must submit an original hardcopy and one PDF electronic file of the RFQ response as described herein. The SOQ portion of the RFP response is not to exceed five (5) double-sided typewritten pages, using no smaller than 9-point, Arial font, describing the Responder’s interest and the qualifications of the team and key personnel. Do not include a cover letter with the SOQ.

B. To be submitted with each copy of the SOQ: A copy of a single Standard Form 330 - Part I for the prime, as well as copies of a

Standard Form 330 - Part II for every firm identified as a team participant in the SOQ (not counted in the five double-sided pages).

Firms listed as small businesses must have certification documentation attached (not counted in the five double-sided pages) that demonstrates their certification status.

C. Please read the Standard Form 330 Instructions (pages 1-8) carefully.

D. In Section E of the Form 330, resumes shall be grouped by firm name, starting with the prime, then by subcontractor firm names in alphabetical order. Please order the resumes included within a firm alphabetically by last name. Please format the resumes as indicated in the SF 330 instructions.

E. In Section F, please select projects where multiple team members (firms) worked together. Use your best judgment in selecting projects that showcase a broad span of work similar to what may be required by a contract resulting from this solicitation. Present 10 projects and complete one Section F for each project. Subconsultant projects can be included in the ten projects selected.

F. In Section G, list the names of key personnel and the role they will play in work described in THIS solicitation in the same order as in Section E. Link to Standard Form 330: https://www.gsa.gov/forms-library/architect-engineer-qualifications .

G. Required information that is NOT INCLUDED in the 5-double-sided-SOQ page count:

1. METRO forms to be submitted that are included as Exhibits herein

2. A copy of a single Standard Form 330, Part I for the prime, as well as copies of a Standard Form 330, Part II for each firm identified as a team participant in the SOQ

3. Certification documentation that demonstrates all small business team members’ current SBE/DBE status

4. The organization chart required as part of the SF 330 Park I documentation. The organization chart must identify all team https://ridemetro.sbdbe.com/ https://txdot.txdotcms.com/ https://www.fdic.gov/regulations/resources/minority/mdi.html https://www.ridemetro.org/about/business-to-business/procurement-opportunities#:%7E:text=ridemetro.org.-,Business%20Opportunity%20Programs,-The%20METRO%20Office https://www.gsa.gov/forms-library/architect-engineer-qualifications participants and all proposed subconsultants and/or subcontractors, and their responsibilities.

5. Table of Contents and Tabs (although neither are required).

6. If references are requested for key personnel in the evaluation criteria in section 3 below, the references may be submitted with all information requested in either list or matrix formats. Reference letters on a company’s letterhead are not required.

Unless specifically noted, references for prime or subcontractor entities are not required.

7. A CIQ form must be submitted if a prime vendor has a relationship that must be reported. Please refer to paragraph C, Conflicts Disclosure’ under Section 6 ‘Instructions to SOQ Responders’ on page 9. It is not necessary to complete CIQ forms for subcontractors.

3 EVALUATION CRITERIA

A. The SOQ shall address the following METRO criteria and shall be supported by the Standard Form 330. A Responder’s Submittal will be evaluated on both technical and Small Business Program criteria for a possible total score of up to 100 points.

B. Technical evaluation criteria are identified with relative weights adding up to a maximum of 100 points.

C. Submittals should be organized under the following headings and should address each topic to demonstrate the Respondent’s qualifications and ability to perform the Work.

CRITERIA

MAXIMUM

POINTS

AVAILABLE

QUALIFICATIONS/EXPERIENCE OF FIRM

Professional qualifications and local experience demonstrated of the proposed Project Manager (Team Leader), along with other key team members. The teams/firms must have personnel qualified by specialized education, training and experience and be directed by their Licensed Professional Engineer(s), State of Texas, Civil Engineer or other METRO approved professionals as appropriate. The selected firm shall also have the ability to interface with METRO’s online management programs; and past experience and satisfactory performance on contracts with METRO, FTA, public agencies, approval authorities, and private industry in the areas of work described in the attached scope of work, quality of work, and compliance with performance schedules.

25 Points

QUALIFICATIONS & REFERENCES OF KEY PERSONNEL FROM CLIENTS OF RECENT

SIMILAR PROJECTS

The Respondent shall provide the professional qualifications and experience of the proposed project manager and other key personnel and provide two professional references for all key personnel from previous clients’ managers who have a direct knowledge of their work on recent (past 5 years) similar assignments. For each professional reference provide: the individual’s name and phone number, the individual’s title on referenced project, name and location of referenced project, a time frame and the nature of the proposed individual’s work on each referenced project; and Key Personnel’s management philosophies and procedures for the consultant’s approach to the Work.

20 Points

RELEVANT EXPERIENCE ON MOBILITY PROJECTS

The respondent shall provide at least references for successful participation in street and sidewalk reconstruction projects within the City of Houston limits in the last 3 years.

25 Points

RELEVANT EXPERIENCE ON FACILITIES PROJECTS

The respondent shall provide at least references for successful participation in facilities construction and rehabilitation projects for public entities within the City of Houston limits in the last 3 years.

15 Points

FAMILIARITY & EXPERIENCE WITH GEOTECHNICAL INVESTIGATIONS

The Respondent shall demonstrate the Proposer and its team members’ knowledge and experience with local conditions and agency requirements that affect the project (including local and state agency coordination). The SOQ shall demonstrate the Respondent’s and the proposed subconsultant’s knowledge and understanding of local geotechnical conditions and methods as it relates to modifications and repairs to existing structures, roadways, and utilities.

15 Points

SMALL BUSINESS PARTICIPATION

Respondents must demonstrate a commitment to meet or exceed the Small Business Participation goal, if one has been established. A Respondent that fails to commit to the Small Business Participation goal will be deemed nonresponsive and no further consideration will be given to its submittal. A Respondent that commits to attaining the specified Small Business Participation goal will be deemed responsive and its Submittal will continue in the evaluation process. The Responder will be considered as having passed the requirement on a pass/fail basis and will receive 0 points.

Pass / Fail

4 EVALUATION / SOURCE SELECTION

A. Selection of a firm to provide the services required herein will be made by an Evaluation Committee. The Evaluation Committee will determine the most qualified firm(s) through validation of factors in described above and oral presentations, if necessary. If the decision is made to conduct oral presentations, oral presentations will be made accordingly.

B. The evaluation process may include the participation of an Oral Presentation Committee; an Executive Selection Committee, or a Board Selection Committee. The participation of the Executive Selection Committee or the Board Selection Committee may occur at the beginning of the evaluation process, foregoing an Evaluation Committee of staff members all together, or to become involved after the Evaluation Committee has made an initial shortlist. Board members may elect to participate as scoring members or non-scoring observers in any of these committees.

C. Following the evaluation of qualification submittals for Construction Material Testing Geotechnical Services, On An As Needed

Basis, METRO may, at its sole discretion:

1. Invite a short list of qualified Respondents to participate in oral interviews;

2. Take no further action; or

3. Modify (expand or reduce) the Scope of Services, Attachment A, and issue a Request for Submittal based upon the modified scope.

5 INSTRUCTIONS TO SOQ RESPONDERS

A. APPROVAL OF CONTRACT

If required by the METRO Procurement Manual, award of a Contract evolving from this solicitation shall be contingent upon the prior receipt of written approval from the METRO Board of Directors or the President and CEO Representative(s). No contractual agreement shall be binding on METRO until this approval has been obtained. It shall be the responsibility of firms responding to this solicitation to monitor Board award decisions. All persons and/or entities responding to this Solicitation hereby acknowledge the contract award requirement enumerated in this Paragraph. Anticipated Board Items are posted on METRO’s web site at:

https://www.ridemetro.org/Pages/BoardMeetingsAndNotices.aspx

Public Notice of Solicitation Results

The anticipated METRO Board meeting month for approval of a contract resulting from this solicitation will be forthcoming. It is the responsibility of the respondent to check METRO’s website for notices on the specific dates for METRO Board meetings. All respondents of this Solicitation and METRO hereby agree that this provision shall serve as the minimum required action by the respondent toward exercising due diligence in obtaining the results of this Solicitation. The requirement of approval by the METRO Board of Directors or the President and CEO Representative(s) for any particular solicitation is dependent upon several factors.

However, all respondents shall be required to check the METRO web site regarding whether or not the solicitation associated with their proposal requires approval by the METRO Board of Directors or the President and CEO Representative(s). All persons and/or entities responding to this Solicitation hereby acknowledge the Public Notice of Solicitation Results enumerated in the Paragraph. METRO Board meeting notices are posted on METRO’s web site at:

https://www.ridemetro.org/Pages/BoardMeetingsAndNotices.aspx

Unsuccessful respondents can request a debriefing by contacting the Contract Administrator named in this solicitation.

B. CERTIFICATION

By submitting a SOQ in response to this announcement, a Respondent certifies that neither its firm nor any of its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or excluded from participation in this procurement process by any federal department or agency. Further, if any of the aforementioned situations occurs during the course of the procurement, the Respondent is required to inform METRO thereof. See Section XI, Exhibit C, ‘Debarment and Suspension Form.’

C. CONFLICTS DISCLOSURE

Vendors doing business with METRO or seeking to do business with METRO are required to file a completed questionnaire (FORM CIQ) disclosing the vendor’s affiliations or business relationship with any Board Member, local government officer (or his or her family member). Form CIQ is available on METRO’s web site at https://www.ridemetro.org/Pages/ConflictsDisclosure.aspx.

D. DEBARMENT AND SUSPENSION

1. This Contract is a covered transaction for purposes of 49 Part 29. As such, the Contractor is required to verify that none of https://www.ridemetro.org/Pages/ConflictsDisclosure.aspx the Contractor’s principals, as defined at 49 C.F.R. § 29.995, or affiliates, as defined at 49 C.F.R. § 29.905, are excluded or disqualified as defined at 49 C.F.R. § 29.940 and § 29.945.

2. The Contractor is required to comply with 49 C.F.R. § 29, Subpart C and must include the requirement to comply with 49

C.F.R. § 29, Subpart C in any lower tier covered transaction it enters into.

3. The Contractor must sign and submit the ‘Debarment and Suspension Certification,’ included herein as Exhibit C. The certification in this Clause is a material representation of fact relied upon by METRO. If it is later determined that the respondent knowingly rendered an erroneous certification, in addition to remedies available to METRO, the federal government may pursue available remedies, including but not limited to suspension and/or debarment. The respondent agrees to comply with the requirements of 49 C.F.R. § 29, Subpart C while this offer is valid and throughout the period of any contract that may arise from this offer. The respondent further agrees to include a provision requiring such compliance in its lower tier covered transactions. See Section II, Exhibit C, ‘Debarment and Suspension Form.’

E. ELIGIBILITY FOR AWARD

1. Each respondent shall complete and submit the applicable forms contained in this document. If the respondent is a joint venture, each joint ventures shall prepare and submit separate forms.

2. In order for a respondent to be eligible to be awarded the contract, a proposal must be responsive to the Request for

Proposals, show the respondent’s technical competency, and METRO must be able to determine that the respondent is responsible to perform the contract satisfactorily.

3. A responsive proposal complies with all material aspects of the solicitation. Proposals that do not comply with all the terms and conditions of this solicitation will be rejected as nonresponsive.

4. Responsible respondents as a minimum must:

a. Have financial resources adequate to perform the contract, or ability to obtain such resources as required during the performance of the contract;

b. Have the necessary technical equipment, material and capability, including qualified supervision and skilled workforce, adequate to perform the contract, or the ability to obtain such resources as are required during the course of the contract;

c. Have a satisfactory record of business integrity and ethics;

d. Have a satisfactory record of current and/or past performance in behalf of METRO and/or other owners, including the areas of scheduling, submittals; record keeping, reporting, qualified supervision, skilled workforce, safety, quality of equipment, materials and workmanship, timely performance, warranties and guarantees;

e. If applicable, have a satisfactory record as a Contractor of achieving Small Business Participation goals in past METRO projects, as well as providing evidence satisfactory to METRO that the respondent will comply with Small Business Program requirements and any Small Business Participation goal contained herein.

f. Certify that it is not on the U.S. General Services Administration's ‘Lists of Parties Excluded from Federal Procurement or Non-Procurement Programs.’ Signing and submitting the proposal is so certifying;

g. Be otherwise qualified and eligible to receive an award under applicable laws and regulations.

1. A respondent may be requested to submit written evidence verifying that it meets the minimum criteria necessary to be determined a responsible respondent. Refusal to provide requested information will result in the respondent being declared non-responsive, and the proposal will be rejected.

F. PREPARATION OF STATEMENTS OF QUALIFICATIONS (SOQs)

In an effort to promote greater use of recycled and environmentally preferable products and to minimize waste, all Submittals should comply with the following:

1. All Submittals and copies should be printed on recycled paper with a minimum post-consumer content of thirty percent (30%) or on tree-free paper (i.e., paper made from raw materials other than trees, such as kenaf).

2. Unless absolutely necessary, all Submittals and copies should minimize or eliminate the use of non-recyclable or non-reusable materials, such as plastic report covers, plastic dividers, vinyl sleeves and bindings.

3. To further reduce the use of materials not essential to Submittals, METRO encourages Responders to forgo the use of three-ringed binders or glued materials when assembling the originals and copies of the SOQ, Standard Form 330 Parts I and II, and other required information. Instead, METRO prefers and appreciates the use of paper clips, binder clips, staples, rubber bands, and other materials containing recycled content, such as folders, paper clips, discs or thumb drives, envelopes, boxes, etc. METRO also appreciates receiving submittals assembled in formats that allow for easy removal and recycling of paper and other materials.

4. Unnecessary samples, attachments or documents not specifically asked for should not be submitted with a Submittal.

5. SOQs may be submitted on 11” x 17” fold out pages, but each double-sided 11” x 17” page will count as two (2) double-sided

8.5” x 11” pages.

G. PROHIBITION ON LOBBYING

No Responder shall, directly or indirectly, engage in any conduct (other than the submission of the SOQ or other prescribed submissions and/or presentations before the Evaluation or Selection Committees) to influence any employee of METRO or any member of the Metropolitan Transit Authority Board of Directors or the President and CEO Representative(s) concerning the award of a contract as a result of this Solicitation. Violation of this prohibition may result in disqualification of the Bidder or Respondent from further participation in the solicitation for the services or goods sought herein or from participation in future METRO solicitations or contracts. The communication blackout period shall commence from the issue of a solicitation through contract award. The Contract Administrator is the only METRO representative authorized to communicate with firms or their representatives during the blackout period.

H. PROTESTS

1. Any protest of the Request for Qualifications shall be submitted for resolution to the Chief Procurement Officer. Such protest shall be in writing and shall be supported by the information set forth in Chapter 12 of METRO’s Procurement Manual to enable the protest to be considered. A protest will not be considered if it is insufficiently supported or it is not received within the time limits specified herein.

2. A protest based upon terms, conditions or form of a proposed procurement action prior to submission of qualifications, shall be submitted so that it is received by the Chief Procurement Officer no later than five (5) calendar days prior to the specified date for submission of qualifications.

3. For a protest concerning award decision, including evaluations, the initial protest must be received by the Chief Procurement

Officer not later than five (5) calendar days after the interested party knows, or through exercise of reasonable diligence should have known, whichever is earlier, of the grounds for the protest.

4. Each protest will be processed in accordance with METRO’s Protest Procedures located in Chapter 12 of METRO’s

Procurement Manual. A copy of the procedures will be provided to the protester upon written request to METRO’s Chief Procurement Officer.

5. A written final determination on any protest will be rendered by METRO’s President & Chief Executive Officer and will be provided to the protester as soon as practicable.

6. The protestor must exhaust its administrative remedies by pursuing METRO’s protest procedures to completion prior to appealing METRO’s decision to the FTA.

7. Federal Transit Administration (FTA) Circular 4220.1F, Paragraph 7L, addresses bid protests. A copy of this Paragraph will be provided to the protester upon written request to METRO. Review of a protest by FTA will be limited to a grantee’s failure to have or follow its written protest procedures or its failure to review a complaint or protest or violation of federal law or regulation. An appeal to FTA must be received by the cognizant FTA regional or Headquarters Office within five (5) working days of the date the protester learned or should have learned of any adverse decision by METRO, or other basis of appeal to the FTA. Violations of a specific federal law or regulation will be handled by the complaint process stated with that law or regulation. Alleged violations on other grounds are under the jurisdiction of the appropriate state or local administrative or judicial authorities.

I. RESTRICTIONS ON LOBBYING

Contractors who apply or propose for an award of $100,000 or more shall file the certification required by 49 C.F.R. part 20, ‘New Restrictions on Lobbying.’ Each tier certifies to the tier above that it will not and has not used federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier shall also disclose the name of any registrant under the Lobbying Disclosure Act of 1995 who has made lobbying contracts on its behalf with non-federal funds with respect to that federal contract, grant or award covered by 31 U.S.C. 1352. Such disclosures are forwarded from tier to tier, up to the recipient.’ See Section II, Exhibit B, ‘Certification of Restrictions on Lobbying.

6 SMALL BUSINESS AND DISADVANTAGED BUSINESS ENTERPRISE PROGRAMS

A. The Metropolitan Transit Authority of Harris County, Texas (METRO) has implemented a Small Business Enterprise Program, hereinafter referred to as the Program, for small businesses attempting to provide goods and/or services as prime Contractors to METRO or as subcontractors to other prime Contractors to METRO. It is the policy of METRO to promote equal opportunity and non-discrimination in all of its procurement matters in accordance with state and federal law. The Program seeks to provide METRO-certified Small Businesses (SBE) and federally-certified Disadvantaged Businesses Enterprises (DBE) a full and fair opportunity to participate in METRO projects through race-gender neutral means. The Small Business Enterprise Program shall not be used to discriminate against any person or company or group of persons or companies because of race, color, national origin, sex (including gender identity and sexual orientation), disability, or age. Each bidder, respondent, Contractor and subcontractor shall comply with this non-discrimination requirement.

B. The Small Business Enterprise Program is a separate program from METRO’s Disadvantaged Business Enterprise (DBE)

Program which is administered by the federal government and applies to federally funded projects. METRO’s Small Business and Disadvantaged Business Enterprise Programs can be found at https://metro.resourcespace.com/pages/search.php?search=%21collection327536

C. Nothing in the Small Business or Disadvantaged Business Enterprise Programs should be construed to give a bidder or respondent a property interest in a proposal, bid or contract prior to the Board of Directors’ or the President and CEO Representative(s) award of the contract and compliance with all statutory and legal requirements.

D. The Small Business Participation goal METRO established for this solicitation is 35%. The Small Business Participation goal may be satisfied by utilizing a METRO-certified Small Business Enterprises (SBE), a federally-certified Disadvantaged Business Enterprises (DBE) or a combination of both. These certification types are hereafter referred to as “certified”. All references to Small Businesses include Disadvantaged Businesses.

RESPONDENTS WHO FAIL TO COMMIT TO THE SMALL BUSINESS CONTRACT GOAL WILL BE DEEMED NONRESPONSIVE AND

NO FURTHER CONSIDERATION WILL BE GIVEN TO THEIR BID.

E. All certified and non-certified primes must self-perform a minimum of thirty percent (30%) of the contract value, regardless of the Small Business Participation goal percentage.

F. Below are the requirements to satisfy the minimum Small Business Participation goal and the Small Business Enterprise (SBE) Program:

1. A non-certified prime:

a) must self-perform a minimum of thirty percent (30%) of the contract value;

b) cannot self-perform one hundred percent (100%) of the contract value;

c) must subcontract, at a minimum, the Small Business Participation goal percentage to one or more certified firms;

d) cannot submit a Good Fait Effort (GFE) response. The names of all subcontractors and suppliers must be listed on the required Contractor Utilization Plan (CUP) form;

e) is prohibited from multiple submissions of submittals, i.e. Submitting as a prime contractor in one submission and as a subcontractor in another submission for the same project. Such multiple submissions may result in the disqualification of all submissions where the respondent is listed.

Note: If any one of the above requirements (a thru d) is not met, your bid/proposal WILL BE DEEMED

NONRESPONSIVE.

2. A certified SBE/DBE prime:

a) must self-perform a minimum of thirty percent (30%) of the contract value;

b) cannot self-perform one hundred percent (100%) of the contract value;

c) must subcontract, at a minimum, the Small Business Participation goal percentage;

d) must subcontract, at a minimum, fifty percent (50%) of the Small Business Participation goal to one or more certified small or disadvantaged subcontractor(s);

(e.g. If the SB goal is 35%, then the certified SBE/DBE prime must subcontract at least 35% of the contract value; of which, at least half of the subcontracted 35% (which equates to 17.5%) must go to one or more certified SBE/DBE firms. The remaining 17.5% can go to one or more certified or non-certified firms.)

https://gcc02.safelinks.protection.outlook.com/?url=https%3A%2F%2Fmetro.resourcespace.com%2Fpages%2Fsearch.php%3Fsearch%3D%2521collection327536&data=05%7C02%7CAna.Cortez%40ridemetro.org%7C76c644f0151b4351595c08ddbefadace%7C42943d88615547eaabaa7f5951e7c4f1%7C0%7C0%7C638876706822504784%7CUnknown%7CTWFpbGZsb3d8eyJFbXB0eU1hcGkiOnRydWUsIlYiOiIwLjAuMDAwMCIsIlAiOiJXaW4zMiIsIkFOIjoiTWFpbCIsIldUIjoyfQ%3D%3D%7C0%7C%7C%7C&sdata=A2ebKN%2BR5hSsoaXefDuo28guG65ZGHrfxbAlYwJ63LI%3D&reserved=0

e) cannot submit a Good Faith Effort (GFE) response. The names of all subcontractors and suppliers must be listed on the required Contractor Utilization Plan (CUP) form;

f) participation will count towards the Small Business Participation goal;

g) may submit as a prime in one submission and as a subcontractor in only one (1) other submission for the same project.

Note: If any one of the above requirements (a thru e) is not met, your bid/proposal WILL BE DEEMED

NONRESPONSIVE.

3. Certified SBE/DBE subcontractors, not submitting as a prime are limited to submitting as subcontractors on up to four (4) bid/proposal submissions for the same project. Failure to adhere to this four (4) bid/proposal limit may result in the disqualification of the offending certified subcontractor from all submittals.

4. A Joint Venture (JV) can participate on a METRO project as a prime contractor or as a subcontractor. METRO views a JV as one legal entity and is subject to the same rules and requirements as other primes and subcontractors. For example (but not limited to):

a) The JV-prime must self-perform a minimum of thirty percent (30%) of the total contract value.

b) The JV-prime cannot self-perform 100% of the total contract value.

c) The JV-prime must demonstrate a commitment to the small business goal. Failure to commit to the SB goal will deem the JV Prime non-responsive and will not be considered for contract award.

d) If one (or more) of the firms that make up the JV partnership is a certified small or disadvantaged business, then the portion of the work performed by the certified firm(s) will be counted towards the small business goal.

e) The JV-prime must subcontract at a minimum, the small business goal percentage.

f) JV primes with a certified small or disadvantaged partner(s) are viewed the same as certified SBE/DBE primes, and therefore must subcontract, at a minimum, fifty percent (50%) of the Small Business Participation goal to a small or disadvantaged subcontractor(s).

g) The certified small or disadvantaged firm(s) that is part of a JV-prime partnership, can also be listed as a subcontractor(s) on one other team.

h) A JV-prime, without certified small or disadvantaged partners, is prohibited from submitting as a prime and as a subcontractor on the same submission.

i) A JV-subcontractor, with a certified small or disadvantaged partner(s), is limited to submitting as subcontractor(s) on only four (4) bid/proposal submissions for the same project. Only the portion of the work performed by the certified firm(s) will be counted towards the small business goal. Failure to adhere to this four (4) bid/proposal limit may result in the disqualification of the offending JV-subcontractor on all submittals.

5. Agreements between a respondent and a certified SBE/DBE subcontractor in which the certified subcontractor promises not to provide subcontracting quotations to other respondents shall be prohibited.

G. Required Small Business Documents

Note: The ‘Contractor’s Utilization Plan,’ ‘Business Assurance Statement,’ ‘Subcontractor/Supplier Letter of Intent,’ and ‘Contractor Utilization Plan Pledge’ forms constitute the Contractor’s commitment to subcontract to certified businesses.

Submission of these documents is a condition to be met by the primes to be deemed responsive.

Note: All Small Business forms are to be submitted together under a single tab in bid/proposal submissions. If no Small

Business Participation goal has been established, only the Contractor Utilization Plan Form must be submitted.

2. Contractor Utilization Plan See Exhibit D, Form 1

a) IT IS MANDATORY that every bidder or respondent submit a Contractor's Utilization Plan (the ‘Plan’) when submitting a bid or proposal or response to request for qualifications, whether or not a Small Business Participation goal has been established.

b) The respondent must use this form to identify all subcontractors with whom the respondent intends to contract, specifying the agreed price and/or percentage to be paid each subcontractor for such work, and certifying the contract items and parts thereof to be performed by each subcontractor. Only percentages of Contract Work Effort are to be indicated when responding to RFQ/RFP submissions, as pricing is determined later in the procurement process. The METRO SBE program does not accept a Good Faith Effort (GFE) response to its solicitations. All respondents must list each certified and non-certified firm on the Contractor Utilization Plan (CUP) form that it plans to utilize to satisfy the requirements of the scope of work.

c) If applicable, the Plan should set forth how the Small Business Participation goal for the proposed project is to be met.

The Plan will be used by METRO as a factor in evaluating whether a respondent has complied with the requirements of the Program to satisfy the Small Business Participation goal.

d) If the Small Business participation submitted by the respondent does not meet an established Small Business

Participation goal, if any, the respondent will be deemed non-responsive and will not be considered for contract award.

e) Failure to submit a complete Plan for a contract with a Small Business Participation goal will result in bid/proposal being deemed non-responsive and will not be considered for contract award.

f) When a Small Business Participation goal has been established, the Contractor shall adhere to the Plan submitted unless a waiver is received from the Office of Economic Business Opportunity. Any changes in the Plan regarding the proposed use of certified subcontractors in discharging the contract duties must be approved by the Office of Economic Business Opportunity. The approval of the Office of Economic Business Opportunity will not be unreasonably withheld upon a showing of good cause to make the change.

g) When adding a certified subcontractor to the Plan with a Small Business Participation goal, the Contractor must submit a copy of the subcontract agreement to the Office of Economic Business Opportunity within fifteen (15) days of receiving approval from the Office of Economic Business Opportunity.

h) The Contractor Utilization Plan must include the following:

1) A simple, straight-forward statement outlining subcontractor participation regardless of certification, inclusive of scope, responsibilities and percentage of work.

2) Materials and supplies shall be counted towards the small business goal as follows:

i. One hundred percent of the cost of materials or supplies purchased from a small business manufacturer can be applied towards the Small Business Participation goal of a Contract. A manufacturer is defined as a firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment of the general character described by the scope and/or specifications of the contract.

ii. Sixty percent of the cost of materials or supplies purchased from a small business regular dealer can be applied towards the Small Business Participation goal of a Contract. A regular dealer is defined as a firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the scope and/or specifications of the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business.

3) Copies of documents demonstrating that each Small Business team member is acceptably certified as either a

METRO-certified Small Business Enterprise (SBE) or TUCP-certified Disadvantaged Business Enterprise (DBE) and verifying that such certification is current as of the date of submission.

i. METRO accepts the following certifications:

• SBE - Metropolitan Transit Authority of Harris County (METRO)

• DBE - City of Houston/Texas Unified Certification Program (TUCP)

• DBE - City of Austin

• DBE - Corpus Christi Regional Transportation Authority

• DBE - North Central Texas Regional Certification Agency

• DBE - South Central Texas Regional Certification Agency

• Department of Transportation (DOT) approved DBE certification (from any state)

• Small Business Administration (SBA) 8a

Important: While any certified or non-certified firm may participate on a METRO project, only the participation of firms with any one of above certifications will count towards the Small Business Participation goal.

ii. METRO does not count the participation of any other small business type certification toward the Small Business Participation goal, such as (but not limited to):

• State of Texas Historically Underutilized Business (HUB)

• Minority Business Enterprise (MBE)

• Women Business Enterprise (WBE)

• Small Business Enterprise (SBE) from any other certifying entity

• Self-certifying declarations (of any type)

iii. The link to the METRO SBE directory is https://ridemetro.sbdbe.com/ The link to the TUCP DBE directory is https://txdot.txdotcms.com/

iv. If a respondent/bidder submits plans to add a firm as part of its small business participation that is not yet certified as referenced above, that firm must be either METRO Small Business- or federal Disadvantaged Business Enterprise-certified prior to the bid/proposal submittal date. Firms certified after the bid/proposal submittal date will not be counted towards the commitment. Additional Small Business certification information and forms may be found at METRO’s website: www.ridemetro.org under Small Business.

4) When requested, a timeline for performance by subcontractors.

5) Signature of the respondent.

3. Business Assurance Statement (BAS) See Exhibit D, Form 2

a) Respondents are required to submit an executed Business Assurance Statement form with their bid/proposal when a Small Business Participation goal has been established.

b) Respondents must enter their Small Business Participation goal commitment. This includes the SBE/DBE prime’s participation if applicable.

c) Respondents must enter into agreements with the subcontractors listed on the Plan

d) Respondents must include the BAS Clauses in their subcontractor agreements

4. Letter of Intent (LOI) See Exhibit D, Form 3

a) Respondents are required to submit a Letter of Intent form for all subcontractors when a Small Business

b) The Letters of Intent must be executed by the prime and the subcontractor

5. Contractor Utilization Plan Pledge (Pledge) Exhibit D, Form 4

a) Respondents are required to submit an executed Pledge form with their bid or proposal when a Small Business

b) Respondents must pledge prompt payment to ALL subcontractors

c) Respondents must pledge to notify ALL subcontractors of disputed invoices.

d) Respondents must affirm adherence to METRO’s Non-discrimination Mandate.

e) When applicable, respondents must pledge prompt payment of retainage

f) Respondents must include the Pledge Clauses in their subcontractor agreements

H. Incentives Utilizing Small Businesses

1. Fees for Solicitation Documents. Submitters making a valid bid and participating in the Program will receive a refund for up to seven (7) sets of documents purchased from METRO.

2. Bid Security/Bond. A bid security will no longer be required except for federally funded construction solicitations exceeding

$100,000.

3. METRO's Incentives. METRO may utilize other incentives, as set forth in the bid specifications or request for proposal, as it determines appropriate.

I. METRO encourages Contractors to use financial institutions owned and controlled by socially and economically disadvantaged individuals. A listing of such institutions may be found at https://www.fdic.gov/regulations/resources/minority/mdi.html

7 STATEMENT OF QUALIFICATIONS (SOQ) FORMS SUBMISSION CHECKLIST

Insert requested information and sign and date where indicated.

https://www.fdic.gov/regulations/resources/minority/mdi.html

SUBMIT WITH COMPLETED SUBMITTAL

□ Statement of Qualifications, responses to Evaluation Criteria Section I, No. 2 A

□ Organization Chart Section I, No. 2 D

□ Standard Form 330, Part I (prime) and Part II (For each subconsultant/subcontractor) Section I, No. 2 C

□ ‘Certification of Restrictions on Lobbying’ form Section II, Exhibit B

□ ‘Debarment and Suspension Certification’ form Section II, Exhibit C

□ ‘Contractor’s Utilization Plan’ form Section II, Exhibit D, Form 1

□ SIGNED copy of all Amendments issued (if any) to acknowledge receipt

SUBMIT IF A SMALL BUSINESS GOAL IS ESTABLISHED

□ ‘Business Assurance Statement’ form Section II, Exhibit D, Form 2

□ ‘Subcontractor/Supplier Letter of Intent’ form Section II, Exhibit D, Form 3

□ ‘Contractor’s Utilization Plan Pledge’ form Section II, Exhibit D, Form 4

□ Acceptable certification documentation

SUBMIT ONLY IF APPLICABLE

□ Evidence of attainment of proper license or permit, if special licensing or permitting is required by federal, state or local law or ordinance.

METRO SBE Program Checklist (Applicable Only for Solicitations with a SB Goal)

The following SBE Program items are MANDATORY TO BE DEEMED RESPONSIVE to this solicitation, which has a Small Business Participation goal. Respondents that fail to meet these requirements, will be deemed non-responsive and no further consideration will be given to their bid/proposal.

☐ All certified and non-certified primes must self-perform a minimum of thirty percent (30%) of the contract value, regardless of the Small Business Participation goal percentage.

☐ A certified or non-certified prime cannot self-perform 100% of their bid/proposal value.

☐ All certified and non-certified primes must, at a minimum, meet the small business participation goal percentage. (A certified prime’s participation counts towards the SB goal percentage.)

☐ All certified and non-certified primes must subcontract, at a minimum, the Small Business Participation goal percentage.

☐ ALL CERTIFIED PRIMES must subcontract, at a minimum, fifty percent (50%) of the Small Business Participation goal to one or more certified firms.

Special Notes:

1. For a firm’s participation (prime/subcontractor/supplier) to be counted towards the Small Business Participation goal percentage, the firm must be certified as a METRO certified Small Business Enterprise (SBE), a Disadvantaged Business Enterprise (DBE) and/or an SBA (8a).

2. The METRO SBE program does not accept a Good Faith Effort (GFE) response to its solicitations. All respondents must list each certified and non-certified firm on the Contractor Utilization Plan (CUP) form that it plans to utilize to satisfy the requirements of the scope of work.

8 INSURANCE ARTICLES

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