Service_Quality_Monitoring_-_Secret_Shopper.pdf

REQUEST FOR QUOTATION

128-2023

SERVICE QUALITY MONITORING - SECRET SHOPPER

Southwest Ohio Regional Transit Authority

1401 Bank Street

Cincinnati, OH 45214

RELEASE DATE: August 18, 2023

DEADLINE FOR QUESTIONS: September 1, 2023

RESPONSE DEADLINE: September 15, 2023, 1:00 pm

RESPONSES MUST BE SUBMITTED ELECTRONICALLY TO:

https://secure.procurenow.com/portal/go-metro https://secure.procurenow.com/portal/%7bproject.government.code%7d

Southwest Ohio Regional Transit Authority

REQUEST FOR QUOTATION

Service Quality Monitoring - Secret Shopper

I. Introduction

II. Scope of Work

III. Instructions to Bidders

IV. Terms and Conditions

V. Diversity & Inclusion Participation Plan

VI. Contract Award

VII. Vendor Questionnaire

VIII. Bid Pricing Form

Attachments:

A - Service Quality Monitoring - Items/Areas To Be Evaluated

B - General Terms and Conditions - No Federal Funding

Request For Quotation #128-2023

Title: Service Quality Monitoring - Secret Shopper

1. INTRODUCTION

1.1. Summary

The Southwest Ohio Regional Transit Authority (SORTA) is seeking proposals for a vendor to oversee the Service Quality Monitoring / Third Party Monitoring “secret shopper” program.

1.2. Background

The Southwest Ohio Regional Transit Authority ("SORTA") is a regional transit authority organized and operating under Section 306.30 et seq. of the Ohio Revised Code. As such, it is a political subdivision of the State of Ohio.

SORTA provides both fixed-route mass transportation services and paratransit services.

SORTA provides service to the city of Cincinnati, Hamilton County Ohio, and parts of Butler, Clermont, and

Warren Counties. SORTA operates 46 fixed routes. SORTA provides both fixed-route mass transportation and paratransit services through approximately 300 city-type transit buses and 50 paratransit vehicles.

1.3. Contact Information

Nia Goode-Mayo Procurement Specialist 1401B Bank Street Cincinnati, OH 45214 Email: ngoode-mayo@go-metro.com Phone: (513) 632-7625

Department:

Transit Operations

1.4. Timeline

Release Project Date August 18, 2023

Question Submission Deadline September 1, 2023, 2:00pm

Question Response Deadline September 6, 2023, 1:00pm

Proposal Submission Deadline September 15, 2023, 1:00pm mailto:ngoode-mayo@go-metro.com tel:(513)632-7625

2. SCOPE OF WORK

2.1. Project Overview

The Southwest Ohio Regional Transit Authority (hereinafter called SORTA/Metro) in Cincinnati, OH is seeking proposals for a vendor to oversee SORTA/Metro’s Service Quality Monitoring / Third Party Monitoring “secret shopper” program. The terms “secret shop”, "secret shopper”, “mystery shops” and ”mystery rides” shall be interchangeable.

The purpose of this new initiative is to evaluate SORTA/Metro’s operators and day to day operations to assist progress toward improving the transit experience, educating both the operators and the operations leadership team on the quality of service being provided to the community.

2.2. Tasks

The Contractor shall be responsible for all preparations necessary to begin a service quality monitoring (secret shopper) program. The Contractor shall have complete responsibility for employing the service monitoring employees, and securing any necessary equipment, facilities, or office supplies necessary for the implementation of the service quality-monitoring program.

2.3. Deliverables

The Contractor will perform mystery shops / mystery rides periodically throughout the calendar year to be tracked in

4 waves, with at least 10 mobility on demand, 15 paratransit rides and 125 bus rides in each wave for an annual requirement of 600 Trips. The waves will be tracked by quarter and shall be conducted periodically throughout the quarter as to provide the best evaluation of the service month over month. The Contractor shall propose a calendar of shops at the commencement of the contract. The Contractor shall notify a designated contact person among

SORTA/METRO staff of the start date for each wave of rides not later than 21 days before that date.

Quarters will be tracked as follows:

• January 1st - March 31st (Q1)

• April 1st - June 30th (Q2)

• July 1st- September 30th (Q3)

• October 1st - December 31st (Q4)

Each shop or ride shall consist of a one-way travel experience, and no two shall include the same operator on the same route and the same date of travel. Observations shall include evaluation not only during the ride, but also evaluation of the stops or transit centers at each end of bus trips, as well as on-time performance and passenger loading and alighting. Individual bus rides should include observation for at least 20 minutes on board, unless they are on routes that take a shorter time to run from end of line to end of line such as the downtown circulators. In planning, the Contractor shall take into account that the average length of a one-way bus trip from one end of line to another is approximately 40 minutes and shall take into account SORTA/METRO’s actual bus schedules, which are available on SORTA/METRO’s web site and are updated before periodic ―signups/picks.

In conjunction with the mystery paratransit rides, Contractor representatives must book trips and while doing so they will evaluate the telephone reservation center. If paratransit vans are late, they will call ―Where’s my ride and the response will be included in the evaluation. The Contractor shall coordinate, manage and control all necessary service monitoring activities, which shall include audits conducted semi-annually.

The Contractor will report on sample calls to SORTA/METRO’s paratransit reservation agents and general customer information operators to evaluate the agent’s knowledge, accuracy and courtesy.

*Please see attached list of items/areas that are to be evaluated. See in Attachments section*

2.4. Specifications

• Developing the survey instrument(s)

• Developing a sampling method and recommendations for route, personnel and facility survey coverage

• Providing staff to conduct the survey

• Providing supervision of survey staff and quality control measures

• Reporting at a summary and detailed level on survey results o Each report shall begin with an executive summary in which outstanding good and bad points and changes from previous periods are discussed.

The Contractor will develop sampling plans for bus and for paratransit shops, and will submit the plans for each wave to the designated SORTA/METRO staff contact not later than 10 days before the start of each wave of rides.

The Contractor is responsible for suggesting methodologies that will ensure full coverage of the system.

SORTA/METRO staff shall review the plans and contact the Contractor for resolution of problems at least five days before the wave’s fieldwork begins. The Contractor will develop a list of items to be observed during performance audits and a report for the service monitors to note observations. The Contractor will conduct anonymous targeted observation on a representative sample of SORTA/METRO’s bus routes and operators to include samples of all service types, days and hours. The Contractor shall ensure that the route monitors’ identity and purpose remain hidden from the operator and passengers. The Contractor will include route monitors who require the deployment of the buses’ ramps and the paratransit vans’ wheel-chair lifts. The Contractor shall endeavor to utilize all major fare media. A report will be completed for each audit, providing a grade or yes-no result for each of the items to be observed during the trip.

In the sampling plan for bus rides the routes to be selected will be done on a random basis. The Contractor will indicate the methodology that is to be used for the random selection. The plan will provide for rides on all of

SORTA/METRO’s categories of routes; rides during morning peak, off peak mid-day, afternoon peak, and evening off-peak service; and rides on both weekdays and weekends. The bus sampling plan will include at least six (6) rides by riders using wheelchairs and/ or walkers. SORTA/METRO shall have the option to require a minority of non-random trips where there have been a significant number of complaints, or to verify information from prior shops, in which case these selections will not be random.

The sampling plan for paratransit and mobility-on-demand (MOD) rides shall be built around locations, times, and space reservation categories (which are ambulatory and wheelchair/scooter). The plan will provide for trips beginning and ending in various locations around the service area; at a variety of times including early morning and night, weekends and weekdays; and including both ambulatory and wheelchair space reservations. The Contractor will indicate the methodology that is to be used for selection of trip boarding and alighting locations and trip times.

SORTA/METRO shall have the option to require a minority of non-random trips where there have been a significant number of complaints, or to verify information from prior shops, in which case the selection will not be random and may include DNLA (Do Not Leave Alone) trips.

In conjunction with the bus mystery rides, Contractor representatives shall call SORTA/METRO’s Customer

Information and shall also visit SORTA/METRO information centers. They shall request specific service information such as bus schedules, travel time and accessible stops. Service and information provided in response shall be evaluated. The Contractor will also report on any observation or encounter with supervisory personnel that may occur during the course of the survey.

2.5. Project Timeline

These service quality monitoring efforts will take affect during the partial calendar year of 2023 and continue through the full calendar years of 2024 and 2025. The waves will be tracked by quarter and shall be conducted periodically throughout the quarter as to provide the best evaluation of the service month over month.

Quarters will be tracked as follows:

• January 1st - March 31st (Q1)

• April 1st - June 30th (Q2)

• July 1st- September 30th (Q3)

• October 1st - December 31st (Q4)

Within 24 hours of completing daily ride checks, the Contractor will provide SORTA/METRO with a daily log of the vehicles that were checked and include time/date, route, operator, etc. The Contractor will provide

SORTA/METRO with Monthly and Quarterly Interval Reports that summarize the data gathered throughout the period, including a narrative and graphical demonstration of service quality issues, strengths, and weaknesses. The

Contractor will provide SORTA/METRO with copies of the original service monitor reports and shall provide electronic files showing the results of each wave’s observations in Excel or Access format, suitable for building a database.

The Semiannual Interval Reports shall include the following supplementary data:

• 490 Bus Operators – 33 part-time and 457 full-time

• 70 Access Operators

• 12 Customer Care Agents

• 46 Bus Routes, 1 seasonal route

• Weekday one-way bus trips: 2,509

• Saturday one-way bus trips: 1,426

• Sunday one-way bus trips: 1,280

• 40,117 average weekday passengers

• 21,050 average Saturday passengers

• 15,720 average Sunday passengers

2.6. Final Acceptance

Final acceptance is dependent upon Metro approving the proposal that is most responsive and advantageous to

Metro.

2.7. Items Provided by SORTA

The following statistical information is provided for reference of the vendor for the formulation of monitoring plans.

SORTA/Metro’s organization currently reflects as below:

• 490 Bus Operators – 33 part-time and 457 full-time

• 70 Access Operators

• 12 Customer Care Agents

• 46 Bus Routes, 1 seasonal route

• Weekday one-way bus trips: 2,509

• Saturday one-way bus trips: 1,426

• Sunday one-way bus trips: 1,280

• 40,117 average weekday passengers

• 21,050 average Saturday passengers

• 15,720 average Sunday passengers

• Service hours are 24 hours/day 7 days/week

The designated SORTA/Metro staff contact will provide the contractor with a list of such routes, blocks, and times to be shopped not later than 15 days before the start of each wave of rides.

The Contractor will report on bus/van stop and transit facility cleanliness, repair, safety, and ease of access for each stop or facility that is encountered while performing a survey.

2.8. Place of Performance

The place of performance will be aboard SORTA/Metro’s fixed route buses, mobility on demand vehicles, paratransit vehicles. Additionally, via phone and at SORTA/Metro’s identified facilities

2.9. Out of Scope List

Metro does not need anticipate needing anything that is not included on this list; vendors are welcome to suggest additional items or services for Metro’s consideration.

3. INSTRUCTIONS TO BIDDERS

3.1. Bid Preparation Cost

SORTA will not reimburse proposers for any costs incurred in the preparation and submittal of proposals or participation in the evaluation and negotiation process.

3.2. Questions Concerning This Solicitation

Any questions regarding this solicitation shall be submitted through the e-Procurement Portal no later than 2:00 pm on Friday, September 1, 2023 (EST). Telephoned questions will not be accepted. Proposers shall not contact any other SORTA personnel regarding any aspect of this solicitation. Any proposer found to have had such contact shall be barred from participation in this solicitation and any subsequent contract, either as a prime contractor or subcontractors.

SORTA anticipates that responses to questions submitted will be provided to all known proposers by 1:00 pm on Wednesday, September 6, 2023. If the responses materially alter the terms of this solicitation, they will be incorporated in an amendment to the solicitation. No communication by SORTA or any of its

Trustees, officers, employees, agents or representatives shall alter the terms of this solicitation or bind

SORTA in any manner, unless incorporated in such an amendment.

3.3. Revisions and Amendments to the Solicitation

SORTA reserves the right in its absolute discretion to revise or amend this Solicitation, including the

Scope of Work, up to the time set for receipt of Bids. Any such revision or amendment, if any, will be sent via email to all Bidders who have downloaded a copy of this Solicitation from the e-Procurement

Portal. Bidders shall acknowledge any and all addenda electronically via the e-Procurement Portal as part of their bid package.

3.4. Bid Preparation

The complete bid package for this solicitation consists of an electronically completed Bid Pricing Form with the documents specified here:

A. Bid Pricing Form

1. The Bidder shall complete the Bid Pricing Form, including submittal of pricing in the spaces provided. Use of any other form or format shall disqualify the bidder unless otherwise noted in this solicitation.

2. The prices submitted within the Bid Pricing Form shall include everything necessary to complete the project in accordance with the Scope of Work and the General Terms and

Conditions set forth in this RFQ

B. Certification Forms

1. Certification Regarding Debarment, Suspension and Other Responsibility Matters

2. Personal Property Tax Affidavit

3. Certification of Restrictions on Lobbying https://procurement.opengov.com/governments/513/portal/go-metro https://procurement.opengov.com/governments/513/portal/go-metro https://procurement.opengov.com/governments/513/portal/go-metro

4. Vendor Information Form

5. Certification for Contracts, Grants, Loans, and Cooperative Agreements

Proposals must be received no later than 1:00 pm on Friday, September 15, 2023 (EST). Late proposals will not be accepted, except as described below.

3.5. Submission of Bids

Bid package must be received by SORTA via the e-Procurement Portal website

(https://procurement.opengov.com/portal/go-metro) no later than the bid submission due date and time specified in the Introduction section or as amended.

The Southwest Ohio Regional Transit Authority (SORTA), will accept only electronic submittals through the e-Procurement Portal at https://procurement.opengov.com/portal/go-metro in response to this solicitation. No hard copy submittals will be accepted. Any required notarizations shall be done by a licensed notary or by an online notary pursuant to Ohio Revised Code Section 147.60 et seq.; a listing of such notaries may be found on the Ohio Secretary of State website:

https://notarysearch.ohiosos.gov/ords/f?p=ENSEARCH:SEARCH:7352870426289:::1::

3.6. Bid Modification or Withdrawal

Prior to the bid submission due date, Bids may be modified or withdrawn by the Bidder electronically via the e-Procurement Portal. Any such modification must be delivered in the manner for submission of Bids as set forth above, and received by SORTA by no later than the bid submission due date and time specified in the Introduction Section. If withdrawal is timely received, SORTA shall acknowledge the request for withdrawal of Bid. If a modification is timely received by SORTA prior to the date and time set for the receipt of Bids, then that modification will be considered by SORTA as a part of the original

Bid.

3.7. Late Bids

Any bid that is received at the website or office designated for the receipt of such Documents after the exact time specified is “late” and will not be considered, unless:

A. It was not received or properly allocated by the e-Procurement Portal due to circumstances beyond the control of the Bidder.

B. An emergency or unanticipated event interrupts normal processes, so that bids cannot be received for receipt by the exact time specified in the solicitation and urgent SORTA requirements preclude amendment of the solicitation closing date, the time specified for receipt of bids will be deemed to be extended to the same time of day specified in the solicitation on the first work day on which the receiving office is open to the Bidders.

Notwithstanding the above, a late modification, of an otherwise successful bid that makes its terms more favorable to SORTA will be considered at any time it is received and may be accepted.

https://notarysearch.ohiosos.gov/ords/f?p=ENSEARCH:SEARCH:7352870426289:::1::

3.8. Vendor Diversity Mission Statement

The Southwest Ohio Regional Transit Authority (SORTA) has established a Small and Disadvantaged

Business Enterprise program that encourages diversity and inclusion on all contracts. It is the policy of

SORTA to promote equal opportunity and fairness in all its procurement matters, in accordance with state and federal laws, so that small and disadvantaged businesses have an equal opportunity to receive and participate in all contracts. It is also our policy to:

A. Ensure nondiscrimination in the award and administration of contracts;

B. Create a level playing field on which small and disadvantaged businesses can compete fairly for

SORTA contracts;

C. Help remove barriers to the participation of small and disadvantaged businesses in SORTA contracts;

and

D. Assist the development of firms that can compete successfully in the marketplace outside of SORTA’s small and disadvantaged business program.

SORTA is committed to fostering small and disadvantaged business participation in contracting opportunities. As such, bidders/proposers are expected to make reasonable efforts to support inclusivity in staffing and subcontracting, to support SORTA’s mission.

3.9. Verification of Proposer Responsibility

SORTA may undertake such investigations as it deems necessary to determine the ability of each

Proposer to perform the work, and the Proposer shall furnish to SORTA all such information and data as

SORTA may request for this purpose. SORTA reserves the right to reject any proposal if the evidence submitted by, or investigation of, such proposer fails to satisfy SORTA that such proposer is properly qualified to carry out the obligations of the contract and to complete the work required, hereunder.

SORTA may require the proposer to submit any of the following information as part of the evaluation process:

(1) proposer’s performance record;

(2) proposer's certified, audited financial statements for up to three (3) prior years; and

(3) such additional information as will satisfy SORTA that the Proposer is adequately prepared to fulfill the contract.

SORTA also reserves the right to verify a proposer’s indirect cost rates, such as provisional overhead

(burden) and General & Administrative (G&A) rates, before or after award of a contract. In this connection, SORTA may request the proposer to provide copies of undisputed audits of the proposed by

(1) other FTA grantees;

(2) the federal government; or

(3) state government.

3.10. Award

The Bidder’s compliance with contract terms;The Contract will be awarded to the responsible Bidder submitting the lowest responsive price. SORTA reserves the right to accept or reject any or all bids in their entirety or in part, to waive informalities and minor irregularities and to contract as the best interest of SORTA may require.

A responsive bid conforms, in all material respects, to the requirements of the solicitation. Bids will be evaluated to determine the responsible bidder submitting the lowest responsive bid. In determining responsibility, the following elements shall be given consideration in addition to price:

A. The character, integrity, reputation, judgment, and efficiency of the bidder;

B. The bidder is neither debarred nor suspended from Federal, State or local programs;

C. The bidder is in compliance with the Common Grant Rules’ affirmative action and FTA’s

Disadvantaged Business Enterprise requirements or another State or local programs as they apply;

D. The bidder is in compliance with the public policies of the Federal Government, as required by 49

U.S.C. Section 5325(j)(2)(B) or other State or local policies as they apply;

E. The bidder has the necessary organization, experience, accounting, and operational controls, and technical skills, or the ability to obtain them, in compliance with 49 U.S.C. Section 5325(j)(2)(D) or as required in the Work Scope to perform the service or work;

F. The bidder is in compliance with applicable licensing and tax laws and regulations;

G. The bidder has, or can obtain, sufficient financial resources to perform the contract, as required by 49 U.S.C. Section 5325(j)(2)(D);

H. The bidder has, or can obtain, the necessary production, construction, and technical equipment and facilities, I. The bidder is able to comply with the required delivery or performance schedule, taking into consideration all existing commercial and governmental business commitments, and;

J. The bidder is able to provide a:

1. Satisfactory current performance record, and

2. Satisfactory past performance record in view of its records of long-time performance or performance with a predecessor entity, including:

▪ Sufficient Resources. Key personnel with adequate experience, a parent firm with adequate resources and experience, and key subcontractors with adequate experience and past performance,

▪ Adequate Past Experience. Past experience in carrying out similar work with particular attention to management approach, staffing, timeliness, technical success, budgetary controls, and other specialized considerations as described in the recipient’s solicitation, and

▪ Any Past Deficiencies Not the Fault of the Bidder. A prospective bidder that is or recently has been seriously deficient in contract performance is presumed to be non-responsible, unless SORTA determines that the circumstances were properly beyond the bidder’s control, or unless the bidder has taken appropriate corrective action. Past failure to apply sufficient tenacity, perseverance, and effort to perform acceptably is strong evidence of non-responsibility. Failure to meet the quality requirements of a contract is a significant factor to consider in determining satisfactory performance.

K. The Bidder’s compliance with contract terms;

L. Such other information as may be secured having a bearing on whether the bidder is responsible and has submitted a responsive bid.

3.11. Protests

SORTA’s policy and procedure for the administrative resolution of protests is set forth in §3.10 of

SORTA’s Procurement Procedures Manual (PPM). The PPM contains rules for the filing and administration of protests. SORTA shall furnish a copy of §3.10 upon request. The policy and procedure is available on SORTA’s website at https://www.go-metro.com/uploads/Procurement/SORTA%20Protest%20Policy%20and%20Procedure.pdf

An interested party wishing to protest a matter involving a proposed procurement or contract award, shall file a written submission with the Director of Procurement by certified mail or other delivery method by which receipt can be verified. Electronic submission of protests is not acceptable unless an original signed copy of the protest is received by the Director within 24 hours (not including weekends and holidays) after receipt of the electronic copy.

The Director may, however, permit the electronic provision of supplemental information after the initial protest submittal. The protest shall include, at a minimum:

The name and address of the protesting party and its relationship to the procurement sufficient to establish that the protest is being filed by an interested party;

• Identity of the contact person for the protestor, including name, title, address, telephone, fax and e-mail addresses. If the contact point is a third party representing the protester, the same information must be provided, plus a statement defining the relationship between the protester and the third party;

• Identification of the procurement;

• A description of the nature of the protest, referencing the portion(s) of the solicitation involved;

• Identification of the provision(s) of any law, regulation, or other governance upon which the protest is based;

• A compete discussion of the basis for the protest, including all supporting facts, documents or data;

• A statement of the specific relief requested.

The protestor is solely responsible for the completeness and validity of the information provided. Any documents relevant to the protest should be attached to the written submission. Documents which are readily available on the Internet may be referenced to an appropriate link.

3.12. Confidential Information

All proposals and documents submitted in response to this RFQ are subject to the disclosure provisions of the Ohio Public Records provisions of Ohio Revised Code Chapter 149.43. Information that a proposer believes is exempted from disclosure under the Ohio Public Records Laws, i.e., trade secrets, copyrighted https://www.go-metro.com/uploads/Procurement/SORTA%20Protest%20Policy%20and%20Procedure.pdf https://www.go-metro.com/uploads/Procurement/SORTA%20Protest%20Policy%20and%20Procedure.pdf material, infrastructure record, or security record, should be set apart within the Proposal on separate pages with a heading that identifies the information and the reason the proposer believes it is exempt from disclosure. Any such separate pages designated for exempt information should not contain material that is subject to disclosure under the Ohio Public Records Act. All information believed to be exempt under the

Ohio Public Records Act should be placed at the end of the designated section of the Proposal for easy reference and removal. Any page limits defined herein will be adjusted if the exempt information creates extra pagination. Any blanket claim of exemption from disclosure or inclusion in a claim for disclosure of information, which is patently subject to disclosure, or any other such claim which may constitute an abuse of the right of exemption may, at SORTA’s sole discretion, render the entire proposal subject to disclosure.

SORTA shall have no duty to defend the rights of the proposer, or any of its agents or affiliates, in any records requested to be disclosed. Upon receipt of a public records request, SORTA will notify the proposer of its intent to release records to the requestor. The proposer shall have a maximum of five (5) business days beginning with the date it receives notification to respond to SORTA in writing, by either, providing redacted copies of the documents, or pursuing legal remedies to stop the release of requested information. By submitting a proposal, the proposer agrees that said notification shall relieve SORTA of any further obligation under any claim of proposer, or any of its agents or affiliates, in any jurisdiction in connection with the disclosure of such records. Proposer and its agents and affiliates shall have the right to pursue legal and/or equitable remedies to stop or limit disclosure at its sole expense. Proposer agrees to defend SORTA against any third party claim related to Proposer’s designation of certain records as exempt from public disclosure (Claim), and will hold SORTA, its officers, employees and agents harmless for any award to a plaintiff for damages, penalties, costs and reasonable attorney’s fees, incurred by SORTA by reason of such Claim. SORTA will promptly notify the proposer of the Claim, and will allow the proposer to control the defense and settlement thereof.

3.13. Cone of Silence

A. To ensure a proper and fair evaluation, SORTA has established a “cone of silence” applicable to all competitive selection processes, including RFP’s, RFQ’s, and IFB’s. The cone of silence is designed to protect the integrity of the procurement process by shielding it from undue influences. The cone of silence will be imposed on all competitive selection processes beginning with the advertisement for the same and ending with the Board’s approval of the recommended award (if applicable).

1. A potential respondent (which includes vendors, service providers, bidders, proposers, lobbyists, and consultants) and their representative(s) and SORTA staff, except for communications with the Procurement Department staff responsible for administering the solicitation, provided the communication is strictly limited to the procedural matters of the competitive selection process.

2. A potential respondent and their representative(s) and a member of the Board of Trustees.

3. A potential respondent and their representative(s) and any member of the evaluation committee.

4. A Board Member and any member of the evaluation committee.

B. The cone of silence prohibits any communications regarding a specific RFP, RFQ, or IFB between:

C. Unless specifically provided otherwise in the applicable solicitation document, the cone of silence does not apply to:

1. Oral communications at the pre-proposal or pre-bid conference.

2. Oral communications during the publicly noticed evaluation committee meetings that are specifically for presentations, demonstrations, or interviews.

3. Oral communications during any duly noticed meeting of the Board of Trustees.

4. Communications relating to the protests made in accordance with the Protest Procedures delineated in this manual or in the solicitation document.

D. Any violation of the cone of silence by a respondent and their representative(s) will result in a rejection of their response to the solicitation and will void any potential contract award related to the solicitation.

E. Any communication regarding matters of process or procurement procedure from a respondent and their representative(s) or lobbyist must be reported to the Procurement Department staff responsible for administering the solicitation.

Any Board Member, Procurement Specialist, or other SORTA employee receiving communications from potential respondents and their representative(s) must be reported to the Procurement Department staff responsible for administering the solicitation. Failure to report such communications may result in a nonresponsive response submission or voided contract award.

3.14. Organizational Conflicts of Interest

Unless specifically exempted by SORTA, any contractor, subcontractors, subsidiary, or other entity which experiences an organizational or personal conflict of interest (Conflict”) is precluded from participation in any procurement affected by the Conflict. This prohibition also applies to any contractor, subcontractors, subsidiary, or other entity which is legally related to such entity or party.

If a bidder or proposer is uncertain whether or not a conflict exists, it should promptly contact SORTA’s

Director of Procurement for a determination. Such inquiries and responses will not be published to other potential bidders. FTA Circular 4220.1F ¶VI.2a (4) (h) defines prohibitions on personal and organizational conflicts of interest, which are further discussed in §2.6 of FTA’s Best Practices

Procurement & Lessons Learned Manual (2016). In general, a personal conflict of interest reflects an individual’s ability to influence the award of a contract and to profit from the result of that award. An organizational conflict exists when any of the following exist:

(1) a firm has access to non-public information as the result of performing a government contract and can use that information to advantage in competing for another government contract;

(2) a firm influences the ground rules (specification or contractual terms) for a government solicitation, potentially biasing those ground rules in its own favor; or

(3) a firm’s work under one government contract requires it to evaluate itself or its work product under another contract, impairing its objectivity.

Should a potential bidder or proposer be aware of a potential Conflict, it shall identify the potential

Conflict in its proposal, together with measures it proposes to remove or mitigate the Conflict. Should any person or entity planning to submit a bid or proposal hereunder be aware of any situation which may fall under the above prohibitions, it shall, no later than the time of submittal of its offer, identify in writing to

SORTA’s Director of Procurement

(1) the nature of the potential conflict;

(2) steps it may take to mitigate the conflict; and

(3) request a waiver of the conflict.

The decision of the Director of Procurement regarding such potential conflicts and possible mitigation measures shall be final. Failure to submit such as statement before or with an offer shall be deemed a certification by the bidder or proposer that, to the best of its knowledge and belief, no such Conflict exists. In the event that a bidder or proposer fails to disclose such Conflict as required herein, its offer may be rejected. Should a bidder or proposer become aware of a potential Conflict after the submittal of an offer, it shall promptly notify the Director of Procurement in writing, providing the information required above together with a statement of why the Conflict could not have been identified prior to submittal of the offer.

4. TERMS AND CONDITIONS

Please see attached Terms and Conditions

5. DIVERSITY & INCLUSION PARTICIPATION PLAN

SORTA has NOT established a Small Business or Disadvantaged Business Enterprise goal for this solicitation but does strongly encourage use of small and disadvantaged businesses in the performance it’s contracts. All bidders/proposers are expected to make good faith efforts to maximize socially and economically disadvantaged businesses as subcontractors, subconsultants and suppliers in the performance of contracts where subcontracting opportunities are available.

The Southwest Ohio Regional Transit Authority (SORTA) has established a Small and Disadvantaged

Business Enterprise program that encourages diversity and inclusion on all contracts. It is the policy of

SORTA to promote equal opportunity and fairness in all its procurement matters, in accordance with state and federal laws, so that small and disadvantaged businesses have an equal opportunity to receive and participate in all contracts. It is also our policy to:

1. Ensure nondiscrimination in the award and administration of contracts

2. Create a level playing field on which small and disadvantaged businesses can compete fairly for

SORTA contracts

3. Help remove barriers to the participation of small and disadvantaged businesses in SORTA contracts;

and

4. Assist the development of firms that can compete successfully in the marketplace outside of SORTA’s small and disadvantaged business program.

SORTA is committed to fostering small and disadvantaged business participation in contracting opportunities. As such, bidders/proposers are expected to make reasonable efforts to support inclusivity in staffing and subcontracting, to support SORTA’s mission.

Only firms certified as small and/or disadvantaged businesses will count toward small and diverse vendor participation.

Proof of certification must be provided at the time of bid/proposal submittal. Self-certification will not be accepted.

6. CONTRACT AWARD

Award will be made to the firm(s) whose proposal, in SORTA’s sole judgment, is considered to be most advantageous to SORTA, cost and all other factors considered. SORTA reserves the right to reject any and all proposals and to permit or waive minor informalities, irregularities and errors in proposals.

SORTA may elect to make an award on the basis of initial proposals or to proceed with the evaluation process defined herein.

7. VENDOR QUESTIONNAIRE

7.1. Vendor Information Form

7.1.1. Authorized Company Representative*

Enter full name of the authorized company representative certifying and submitting this bid

*Response required

7.1.2. By confirming, Bidder certifies that they are the authorized representative * Any electronic confirmations herein shall be as binding as a signature from the authorized representative.

☐ Please confirm

*Response required

7.1.3. System for Award Management (SAM.gov)*

Please enter your company's Legal Name and/or dba Name:

*Response required

7.1.4. Ohio Auditor of State *

Enter your Legal Entity Name for Verification in the Ohio Auditor of State Website.

*Response required

7.1.5. Payment Remittance Address*

Please type in the following format: Name, Address, City, State, Zip code, Phone Number, Email.

*Response required

7.1.6. Federal Employer ID Number (FEIN) or Social Security Number* *Response required

7.1.7. Payment Terms*

*Response required

7.1.8. Age of Firm*

*Response required

7.1.9. Disadvantaged Business Enterprise (DBE)*

☐ Yes

☐ No

*Response required

7.1.10. Small and Disadvantaged Business Certification

If Certified Small and Disadvantaged Business Enterprise, please upload a copy of the certificate from the certifying agency.

7.1.11. Minority Business Category*

Select all that apply

☐ Asian American

☐ Black

☐ Indian/Alaskan Native

☐ Hispanic

☐ Other

☐ Not Applicable

*Response required

7.1.12. Minority Business Enterprise*

Select all that apply

☐ MBE

☐ SBE

☐ EDGE

☐ VET

☐ DSBE

☐ WBE

☐ Not Applicable

*Response required

7.1.13. Annual Gross Receipts*

☐ less than $500,000

☐ $500,000 - $1 million

☐ $1 million to $5 million

☐ more than $5 million

*Response required

7.2. Business Proposal

7.2.1. Cost Breakdown*

Please provide a cost breakdown analysis per year.

*Response required

7.2.2. Insurance Certificates*

Please upload copies of the following certificates below:

• Worker's Compensation

• General Liability Insurance

• Automobile Insurance

• Crime Coverage (including theft, fraud and computer fraud)

• Professional Liability/Errors and Omissions Insurance

7.2.3. The response should also contain a commitment that the proposed pricing will be valid for not less than 120 days from the above deadline for receipt of proposals or any extension thereof.* ☐ Please confirm

*Response required

7.2.4. Project Completion *

Offeror can meet the required delivery/completion date as specified in this solicitation.

☐ Please confirm

*Response required

7.2.5. Personal Property Tax Affidavit*

Please download the below document, complete, and upload. This document needs to be notarized.

• PERSONAL_PROPERTY_TAX_AFFID...

*Response required

7.2.6. Acknowledgment Regarding Debarment, Suspension and Other Responsibility

Matters This Acknowledgment is required to be submitted to SORTA on behalf of the principal bidder/proposer and all Subcontractors whose subcontracts are reasonably anticipated to exceed $25,000 in value.

A. The Bidder/Proposer/Subcontractors ("Attester") certifies to the best of its knowledge and belief that the Attester and/or any of its principals or Subcontractors:

1. Are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from covered transactions by any Federal department or agency;

2. Have not, within a three-year period preceding this bid/proposal, been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain or performing a public (Federal, State or

Local) transaction or contract or subcontract; violation of Federal or State antitrust statutes, or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements or receiving stolen property; and'

3. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in

Paragraph 2 above; and

4. Have not within a three-year period preceding this bid/proposal had one or more public transactions (Federal, State or local) terminated for cause or default by any federal agency.

"Principals", for the purposes of this acknowedgment, means officers, directors, owners, partners, and persons having primary management or supervisory responsibilities within a business entity (e.g., general manager, plant manager, head of a subsidiary, division, or business segment, and similar positions).

https://government-project.s3.us-west-2.amazonaws.com/28833/82678313-9ea2-48c9-91d9-acbd1eac9eef_PERSONAL_PROPERTY_TAX_AFFIDAVIT.docx?AWSAccessKeyId=AKIARC2J5PZDGOGWDMYG&Expires=1692442772&Signature=QbjimjI9uefg3hgNqidoDCvHlsc%3D&response-content-disposition=attachment%3B%20filename%3D%22PERSONAL_PROPERTY_TAX_AFFIDAVIT.docx%22

This acknowledgment concerns a matter which may be within the jurisdiction of an agency of the United

States and the making of a false, fictitious, or fraudulent certification may render the maker subject to prosecution under Section 1001, Title 18, United States Code.

• The Attester shall provide immediate written notice to SORTA's Procurement Department if, at any time the Attester learns that its acknowledgment was erroneous when submitted or has become erroneous by reason of changed circumstances.

• A certification that any of the items in Paragraph A exists will not necessarily result in withholding of an award under this solicitation. However, the certification will be considered in connection with a determination of the Attester's responsibility. Failure of the Attester to furnish a certification or provide such additional information as requested by SORTA may render the

Attester non-responsible.

• Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render, in good faith, the certification required by Paragraph A. The knowledge and information of an Attester is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

• The certification in Paragraph A is a material representation of fact upon which reliance was placed when making award. If it is later determined that the Attester knowingly rendered an erroneous certification, in addition to other remedies available to SORTA, SORTA may terminate the contract resulting from this solicitation for default.

If the Attester is unable to acknowledge to any of the statements in this certification, it shall attach an explanation to this acknowledgment.

☐ Please confirm

7.2.7. Certification and Restrictions on Lobbying*

Acknowledging the Certification for Contracts, Grants, Loans, and Cooperative Agreements

The undersigned Contractor certifies, to the best of his, her or its knowledge and belief, that:

No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of

Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.

If any funds other than Federal appropriated funds have been paid or will be paid to any person for making lobbying contacts to an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form--LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions [as amended by "Government wide Guidance for New Restrictions on Lobbying," 61 Fed. Reg. 1413 (1/19/96). Note: Language in paragraph (2) herein has been modified in accordance with Section 10 of the Lobbying Disclosure Act of

1995 (P.L. 104-65, to be codified at 2 U.S.C. 1601, et seq.)] The undersigned shall require that the language of this certification be included in the award documents for all sub awards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31, U.S.C. § 1352 (as amended by the Lobbying Disclosure Act of 1995). Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

[Note: Pursuant to 31 U.S.C. § 1352(c)(1)-(2)(A), any person who makes a prohibited expenditure or fails to file or amend a required certification or disclosure form shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure or failure.]

The Contractor, certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the Contractor understands and agrees that the provisions of 31 U.S.C. A

3801, et seq., apply to this certification and disclosure, if any.

☐ Please confirm

*Response required

7.2.8. Non-Collusion Statement*

The Bidder guarantees that the Bid submitted is not a product of collusion with any other Bidder, and no effort has been made to fix the Bid price of any Bidder or to fix any overhead, profit, or cost element of any Bid price.

If SORTA determines that collusion has occurred among Bidders, none of the Bids from the participants in such collusion shall be considered. SORTA’s determination shall be final.

☐ Please confirm

*Response required

7.2.9. Confirm Price Proposal *

The undersigned hereby offers to provide SORTA with services in accordance with the Scope of Services outlined in this solicitation at the prices quoted within the bid table attached, in accordance with the terms of the RFQ.

The pricing proposed shall be firm-fixed price and include all costs, including labor, materials, programs, transportation, specified presentations etc. required to perform the appropriate portion of the Scope of

Services.

It is the proposer’s responsibility to complete and verify this Price Proposal Form, and shall be responsible for any errors or omissions therein. The pricing is being requested in this format for evaluation purposes. Failure to comply may result in the proposal being deemed non-responsive.

☐ Please confirm

7.2.10. Acceptance of SORTA/Metro's Terms and Conditions*

As an authorized representative of the company named below, hereinafter called the "Company", I agree to all SORTA/Metro's Terms & Conditions (T&C's), which are included in the attached solicitation package.

The acceptance of SORTA/Metro's T&C's is required in order to provide goods and/or services to

SORTA/Metro.

It is the Company's responsibility to verify SORTA/Metro's current T&C's at the time of services and/or goods are provided.

I understand that all applicable proof of insurance will be required before goods and/or services are provided. It is also understood that the Company is responsible for ensuring compliance of all state regulations.

☐ Please confirm

*Response required

7.3. Diversity & Inclusion

7.3.1. Small and Disadvantaged Business Plan*

Please download the below documents, complete, and upload.

SORTA has NOT established a Small Business or Disadvantaged Business Enterprise goal for this solicitation but does strongly encourage use of small and disadvantaged businesses in the performance it’s contracts.

Bidders/offerors are expected to make good faith efforts to maximize socially and economically disadvantaged businesses as subcontractors, subconsultants and suppliers in the performance of this contract. Bidders/Offerors must document sufficient small and disadvantaged business participation to meet the above goal or, alternatively, document adequate good faith efforts made to do so.

Only firms certified as small and/or disadvantaged businesses will count toward small and diverse vendor participation. Proof of certification must be provided at the time of bid/proposal submittal. Self-certification will not be accepted.

• D&I_Participation_Plan-Loca...

https://government-project.s3.us-west-2.amazonaws.com/32720/60a88304-b4c6-49e2-a8bd-4dfa25b0706b_D%26I_Participation_Plan-Local.pdf?AWSAccessKeyId=AKIARC2J5PZDGOGWDMYG&Expires=1692442772&Signature=Tv38u8xP7KTJ%2BV8Xo%2BxrHw49wC0%3D&response-content-disposition=attachment%3B%20filename%3D%22D%2526I_Participation_Plan-Local.pdf%22

8. BID PRICING FORM

SERVICE QUALITY MONITORING

Three (3) year service. Please be sure to upload a cost breakdown under 'Vendor Questionnaire 2.1'

Line Item Description Quantity Unit of

Measure Unit Cost Total

1 Secret Shopper Year 1 1 Year

2 Secret Shopper Year 2 1 Year

3 Secret Shopper Year 3 1 Year

4 Additional…