Stakeholder_Surveys_(Addendum_#5_Revision).pdf

REQUEST FOR PROPOSAL

100-2025-RFP-G

STAKEHOLDER SURVEYS

Southwest Ohio Regional Transit Authority

525 Vine Street

Cincinnati, OH 45202

RELEASE DATE: August 27, 2025

DEADLINE FOR QUESTIONS: September 12, 2025

RESPONSE DEADLINE: September 26, 2025, 2:00 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 PROPOSAL

Stakeholder Surveys

I. Introduction

II. Scope of Work

III. Instructions to Bidders

IV. Terms and Conditions

V. DBE Plan

VI. Contract Award

VII. Vendor Questionnaire

VIII. Evaluation Criteria

Attachments:

A - General Terms and Conditions

B - Federal Clauses - Terms and Conditions - Professional Services

Request For Proposal #100-2025-RFP-G

Title: Stakeholder Surveys

1. Introduction

1.1. Summary

SORTA is seeking a qualified firm to design and implement comprehensive stakeholder engagement effort focused on gathering feedback from key stakeholders of Metro to inform service improvements, planning, and organizational development. Stakeholder groups include bus passengers, would-be passengers, and internal employees (operators, administrative, and support staff).

1.2. Background

The Southwest Ohio Regional Transit Authority ("SORTA"), commonly referred to as Cincinnati Metro, 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

Leslie Tackett Procurement Specialist 1401 Bank Street Cincinnati, OH 45202 Email: leslie.tackett@go-metro.com Phone: (513) 624-7244

Department:

Development

1.4. Timeline

Solicitation Release Date August 27, 2025 mailto:leslie.tackett@go-metro.com tel:(513)624-7244

Pre-Proposal Meeting (Non-Mandatory) September 3, 2025, 9:30am

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Deadline to Submit Questions September 12, 2025, 2:00pm

Addendum/Response to

Questions/Clarifications

September 19, 2025, 4:00pm

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2. Scope of Work

2.1. Project Purpose

The purpose of this project is to provide a flexible, task-based contract for the design, implementation, and analysis of various survey initiatives aimed at enhancing organizational performance, service delivery, employee satisfaction, and community engagement. By leveraging tailored survey methodologies, the organization aims to gather actionable insights that support data-driven decision-making across internal operations and external service delivery.

2.2. Task Categories

This will be a task order contract covering a total of four (4) task categories. Metro will engage with the vendor throughout the contract term with regards to the following categories.

• Task Category 1 - Onboard / Intercept Surveys Metro Passengers o Conducting onboard and intercept surveys is essential to delivering a rider-focused, data-driven service These surveys provide direct, real-time insights into passenger experience, needs, and expectations - capturing feedback from those who rely on the system daily as well as those who may be underserved or face barriers to access. By engaging riders where they are, the agency ensures that decisions around service planning operational improvements, and customer experience enhancements are grounded in the voices of the community it serves.

This proactive approach reinforces Metro's commitment to continuous improvement, equity, and excellence in public transportation

• Task Category 2 - Employee Engagement o Employee engagement is fundamental to Metro's success. Operators, maintenance staff, and administrative teams are the backbone of Metro service, and their insights are invaluable for identifying operational challenges, improving internal processes, and fostering a culture of safety, innovation, and excellence. By actively listening to and involving employees in decision making. Metro will not only boost morale and retention, but also harness frontline expertise to drive more effective, efficient, and responsive transit solutions. Meaningful engagement ensures the agency's workforce feels valued, supported, and aligned with Metro's mission to serve the community with distinction.

• Task Category 3 - Secret Shopper Activities o Secret shopper surveys are a vital tool for transit agencies committed to delivering consistent, high-quality service. By anonymously evaluating the rider experience - from trip planning and barding to cleanliness, customer service, and safety - these surveys provide an unfiltered, real-world view of daily operations. They help identify gaps between service standards and actual performance, uncover training needs, and highlight areas for improvement that may not surface through traditional Feeback channels. This proactive quality assurance approach supports accountability, enhances rider satisfaction and reinforces our commitment to operational excellence at every level.

• Task Category 4 - General Public Engagement o With major capital projects (transit center renovations, bus stops, garage refreshes, etc.) on

Metro's short-term horizon, engaging the public is essential to building a system that truly reflects the needs and priorities of the communities we serve. Public engagement ensures transparency, fosters trust, and invites diverse perspectives into the planning and decision-making process. By actively listening to riders, non-riders, community leaders, and advocacy groups, Metro will gain valuable insights that help shape more equitable, accessible, and responsive transit solutions.

2.3. Task 1 - Project Overview - Onboard Survey of Metro Passengers

(Attitudinal Survey)

The purpose of Task One (1) is to develop an onboard customer satisfaction survey for the Southwest

Ohio Regional Transit Authority (SORTA) service area, which primarily entails Hamilton County, Ohio.

Along with service-related questions, the survey will also include rider demographics, origin and destination, transfers, customer travel characteristics, customer satisfaction, customer preferences for receiving communications, and other transit trip information. The data collected from the survey will be used in updating SORTA’s Strategic Plan and to be used in planning efforts to improve the transit service and ridership forecast. The survey will also assist the local transit operators to plan for future services by integrating feedback from existing riders.

Both Fixed-Route and MetroNow customers shall be surveyed.

The survey will collect data on transit trip origins and destinations, transfers, trip characteristics, rider demographics, customer satisfaction, and other key metrics. Work will be accomplished with input from a project committee consisting of SORTA staff.

2.4. Development of the Work Plan - Task 1

• Consultant kick-off meeting (Project Committee Meeting #1) o The consultant will hold a kick-off meeting with SORTA staff. With input from staff, the consultant will identify transit services and routes, racial/ethnic groups served, and English and non-English speaking riders throughout the service area.

• Survey plan by the Consultants o The consultant will develop a plan that identifies the specific products, schedules, and staffing required for the survey along with the quality control of the surveyed data, including

Title VI reporting.

o The federal government does not directly regulate how public agencies should conduct the surveys; however, the Federal Transit Administration (FTA) of the US Department of

Transportation (USDOT) offers guidance on Title VI federal laws and regulations that impact frequency, content, and delivery of passenger surveys. Title VI of the 1964 Civil Rights Act protects people from discrimination based on race, color, and national origin in programs and activities receiving federal financial assistance. The 2012 FTA Circular 4702.1B: Title VI

Requirements (FTA Title VI Circular) outlines current Title VI guidance and regulations for https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/title-vi-requirements-and-guidelines-federal-transit https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/title-vi-requirements-and-guidelines-federal-transit transit providers. The Circular provides guidance on the types of information transit agencies should collect, including information through passenger surveys, to ensure they are compliant with Title VI.

Deliverables:

Meeting Summary

Work Plan for the survey on field

2.5. Design of the Survey and Sampling Plan - Task 1

• The consultant will design the comprehensive and explicit survey questionnaires with the focus on customer satisfaction, and in accordance to the input from project committee. The questionnaire will be conducted according to nationally recognized on-board travel survey guidelines.

• The survey will be developed including a strategic limited English proficient (LEP) approach.

The survey should be in two languages (at least English and Spanish) in order to interview a wide range of both English and non-English speaking transit riders.

• The consultant shall provide a statistically valid survey and results.

o Fixed-Route Surveys: It is estimated that 1,100 valid completed surveys from fixed-route customers are needed in order meet the threshold for a statistically representative sample

(such as +/- 3% to 5% at the 95% confidence level, variable rate sampling depending on route volume) of transit riders. The number of surveys will be finalized with SORTA project manager.

o MetroNow Surveys: It is estimated that 80 unique MetroNow passengers are to be surveyed in order to get statistically valid results.

o Access Surveys: It is estimated that 300 unique Access (paratransit) passengers are to be surveyed in order to get statistically valid results.

• The consultant will also collect boarding and alighting data including the transfers on the sampled routes and develop a weighting strategy for expansion of the data set and an approach for maximizing response of low-income and hard-to-reach population, including the use of incentives to increase response rate.

Project Committee Meeting #2

• The project committee will review the survey and sampling plans, developed by the Consultant and will recommend the changes if necessary.

Deliverables:

A Memo that documents the final survey design and sampling plan.

Meeting Summary

2.6. Design of Survey Instrument -Task 1

• The consultant will design a survey instrument in multiple languages (English, Spanish), with the programming of the questionnaires on tablet or other data collection technologies proposed by the consultant.

• The consultant will develop the interview training manual documenting the roles and responsibilities of the interviewer including the strategy for the proper execution of the survey in the field.

Deliverable:

A memo that documents the Survey Instrument and methodology.

An interview training manual.

2.7. Conducting the Survey in the Field - Task 1

Pilot/Test Survey

• The Consultant will conduct a pilot study in-order to test the survey methodology, instruments, and the recording devices covering the transit services from each of the partnering transit agencies.

Project Committee meeting # 3

• The consultant will evaluate the results and make recommendations to project committee for revisions to the survey instrument, sampling plan, and interview approach, if necessary.

Final Survey

• The survey procedure will be finalized by addressing the proposed changes (if any in Project

Committee meeting #3) in the methodology and instruments.

• The Consultant will conduct the final in-person interviews by employing the human resources supplemented with the data collection technologies proposed.

Pilot study results; recommended revisions.

Meeting summary

Final survey results; raw data

2.8. Data Processing and Analysis - Task 1

Data Verification and Quality Control

• The raw survey records will be verified for its accuracy, checked for logic and consistency of the answers, entered into the database, and cleaned using already developed quality control measures.

Data Processing and Analysis

• The cleaned database will be processed in a logical order establishing multiple tiers within the single attribute.

• Analysis of the datasets stating the relationship of various attributes with the transit ridership.

Project Committee Meeting #4

• The consultant will present the data and finding to the project committee.

Quality control measures; final data and final survey database.

Data processing steps and final results.

Meeting summary.

2.9. Reports and Presentation -Task 1

Prepare the final data files and final report

• The consultant will prepare the final data files.

• The consultant will analyze the transit datasets and prepare individualized draft reports, including executive summaries, for review by the project committee members. The reports shall utilize graphics, maps, charts and other visualization techniques to help readers understand the survey results.

• The consultant will revise the reports based on input from the project committee.

Presentations

• If necessary, the consultant will present the final reports to SORTA’s Planning and Operations

Committee.

Processed data files; final report including report for SORTA and executive summary.

Presentations

2.10. Project Management - Task 1

• The consultant will work closely with the SORTA project manager and provide the monthly progress reports.

• The monthly progress report will document the activities for the billing cycle and planned activities for the next month.

Monthly Progress Reports

2.11. Proposal Requirements

Please address in the Technical Proposal (Vol. 1) the following:

• Project approach for each Task Category

• Project approach for Task One

• Firm Background, Experience, and Qualifications

• Staff Experience and Qualifications

• Firm and Staff Capacity to perform the work

• Organizational Chart

• Proposed project schedule for Task One (Potential December or January contract start date)

PAGE LIMIT: Technical Proposal shall not exceed 50 pages.

Please note that the business proposal and any requested document (i.e. Insurance Certificates, Lobbying Certificate, DBE packet, Price Proposal, etc.) in the Vendor Questionnaire (Section 7) do not count towards the page limit.

3. Instructions to Bidders

3.1. Proposal 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. Proposal Format

Proposals shall be submitted in two (2) volumes. Proposers must prepare a completed Technical Proposal, Volume 1, (as described in the Proposal Contents section) and Business Proposal, Volume II. Until further notice, The Southwest Ohio Regional Transit Authority (SORTA) will accept only electronic submittals through the e-Procurement Portal (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:

Online Notary Search

No price or price-related information shall appear in the Technical Proposal, Volume 1.

Proposals must be received no later than 2:00 pm on Friday, September 26, 2025 (EST). Late proposals will not be accepted, except as described below.

3.3. Proposal Contents

The proposal should be prepared using the following format:

Technical Proposal (Volume 1)

1. Cover Letter

Cover letter should identify the prime contractor and all subcontractors, if any. The letter should also include the officer or other responsible executives of the proposer authorized to negotiate and agree to a contract. This individual shall serve as SORTA’s point of contact for all communications regarding this solicitation. The cover letter should identify this individual by name, title, address, telephone, facsimile and email contact information. The letter 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.

2. Project Approach

This section shall describe the proposer’s approach to providing the services requested per the scope, understanding SORTA’s requirements for this project, and reflecting its experience in performing similar contracts for other clients. Proposers may offer an alternative solution to the requirements specified in the scope of work herein, provided that such alternative meets

SORTA’s needs as described herein.

3. Firm Qualifications, Experience, and References

This section should contain a description of the proposing firm’s prior and current experience as https://procurement.opengov.com/portal/go-metro https://notarysearch.ohiosos.gov/ords/f?p=ENSEARCH:SEARCH:17095144172250:::1::

it pertains to services similar to those required hereunder. It should include a list of all similar assignments undertaken in the past five (5) years, identifying the duration, the client, and the scope of the contract. Contact information (name, title, mailing address, and email, telephone and fax numbers) for each client should be included. Provide a summary of the firm’s qualifications, general information about the firm, location of office(s), years in business and areas of expertise.

4. Staffing (Qualifications, Experience, and Availability)

Identify key staff and include a description of their abilities, qualifications and experience. Attach resumes of key staff to be assigned to this project. Include a proposed project management structure and organization chart. Please list the number of full-time staff by discipline. Identify any portion of the scope of work that would be subcontracted. Include firm qualifications and key personnel, telephone number and contact person for all subcontractors. SORTA/Metro reserves the right to approve or reject any internal staff or subcontractors proposed by the firm.

PAGE LIMIT: Technical Proposal shall not exceed 50 pages. Please note that the business proposal and any requested document (i.e. Insurance Certificates, Lobbying Certificate, DBE packet, Price

Proposal, etc.) in the vendor questionnaire do not count towards the page limit.

No price or price-related information shall appear in the Technical Proposal, Volume 1.

Business Proposal (Volume 2)

A. Cover Letter

A copy of the cover letter from Volume 1 should be included.

B. Insurance Certificates

This section should include copies of the proposer’s worker’s compensation, general liability, automobile insurance, Crime coverage (including theft, fraud and computer fraud), and

Professional Liability/Errors and Omissions insurance certificates

C. Property Tax Affidavit

D. Anti-Lobbying Certificates

No price or price related information shall appear in the Business Proposal, Volume 2.

Price will be requested in a separate section

3.4. Price Proposal

Price Proposal Provide a price proposal which shall be uploaded in the Vendor Questionnaire Section 7.4.1.

The Price Proposal must be completed on behalf of the proposer. No pricing or price-related information should appear elsewhere in any of the proposals. You will confirm your price proposal submitted is accurate and all inclusive within the Vendor Questionnaire Section 7.4.3.

Please submit a comprehensive breakdown of all fees and costs associated with this project. Your submission should include the following:

Task 1 Fee Proposal

• A detailed proposal for Task 1, including:

o Staff assigned to the task o Associated labor categories o Hourly rates o Hours allocated to Task 1 o Any additional fees or cost elements related to Task 1

Full Fee Structure

• A complete fee schedule covering all staff and labor categories that may be utilized across the full scope of this project.

• This should include:

o Staff names or position titles o Labor categories o Hourly rates o Any applicable fees

Please note that the rates and fees submitted will be used as a reference for evaluating Task 1 and for pricing any additional tasks added under this engagement.

Price-related information shall only appear in the requested pricing sheet and as requested in the

Vendor Questionnaire.

3.5. Proposal Clarity and Conciseness

SORTA requests that proposers submit a single concise proposal, clearly addressing the evaluation criteria and information requested herein. Overly elaborate proposals and proposals containing only generalized marketing information are discouraged and may result in a lower evaluation score.

PAGE LIMIT: Technical Proposal shall not exceed 50 pages. Please note that the business proposal and any requested document (i.e. Insurance Certificates, Lobbying Certificate, DBE packet, Price

Proposal, etc.) in the vendor questionnaire do not count towards the page limit.

3.6. Proposal Validity Period

Proposals, including any modification thereof, shall remain valid for not less than 120 days from the date established for receipt by SORTA.

3.7. Late Submissions, Modifications and Withdrawals of Offers

Any proposal, modification, or revision, that is received through after the exact time specified for receipt of proposals is “late” and will not be considered.

Any submission received after the exact date and time specified will not be considered unless it is received before award is made, the contracting officer determines that accepting the late proposal would not unduly delay the acquisition; and there is acceptable evidence to establish that an error occurred while attempting submission prior to designated time for receipt of proposals; or it was the only proposal received. However, a late modification of an otherwise successful proposal, that makes its terms more favorable to SORTA, will be considered at any time it is received and may be accepted.

Acceptable evidence to establish the time of receipt will show electronically once the proposal is uploaded in the e-Procurement Portal on https://procurement.opengov.com/portal/go-metro.

If an emergency or unanticipated event interrupts normal SORTA processes, so that proposals cannot be received in the SORTA e-Procurement portal designated for receipt of proposals 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 proposals will be deemed to be extended to the same time of day specified in the solicitation on the date to be determined by SORTA.

Proposers may withdraw a proposal or modification thereof electronically via the e-Procurement Portal at any time prior to the time specified for receipt of proposals or modifications. A proposal or modification may be resubmitted prior to the time specified for receipt.

3.8. 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 12, 2025 (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 4:00 pm on Friday, September 19, 2025. 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.

3.9. Exceptions to Contractual Terms

The proposer may identify any proposed exceptions to SORTA’s Terms and Conditions as contained in this RFP or propose any additional terms it considers appropriate. Such proposed exceptions or additional terms must be specific and include a clear explanation of the reasons for the exception or addition. Please note that certain of the terms contained herein are required by law or regulation and cannot be modified.

You must submit your exceptions to Terms and Conditions in the Vendor Questionnaire.

3.10. Evaluation Process and Criteria

Proposals timely received by SORTA will be evaluated by an evaluation team established by SORTA in accordance with the criteria set forth below. Following an initial evaluation, SORTA may advance to a second evaluation phase those firms that are determined to fall within a highly competitive range. The highly competitive range is defined as those firms whose aggregated subjective criteria scores are less than 5 percent of the total possible points from the highest scoring firm.

As part of the second evaluation phase, SORTA may provide targeted questions and conduct interviews in order to clarify information contained in submitted proposals. Interviews may be virtual or in person and may include oral/visual presentations and/or product demonstrations. SORTA reserves the right to determine the proposal believed to add the best value to the agency based on the outcome of the second evaluation phase.

SORTA reserves the right to negotiate with proposers in the highly competitive range without conducting interviews or issuing targeted questions. Following such negotiations, SORTA may request one or more of the firms in the highly competitive range to submit a Best and Final Offer, which will be evaluated by the evaluation team and a firm selected for award.

SORTA reserves the right to accept proposals other than the lowest cost offered, reject any and all proposals, or to negotiate separately with any proposer or proposers as deemed to be in SORTA’s best interest. SORTA also reserves the right to waive informalities, make an award on the basis of initial proposals received without discussions or negotiations. Initial proposals, therefore, should represent the proposers’ best effort to meet SORTA’s needs at a reasonable price.

Proposals will be reviewed and evaluated at each step of the process based upon the following criteria in relative order of importance:

SEE HYPERLINK FOR DETAILED EVALUATION CRITERIA

• #Evaluation Criteria

3.11. 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.

3.12. 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.

https://procurement.opengov.com/portal/go-metro/projects/191721/document?section=1782148

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

3.13. 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:

Metro Protest Procedure (go-metro.com)

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; and

• A notarized affirmation by the protestor (if an individual) or by an owner or officer of the protestor (if not an individual) as to the truth and accuracy of the statements made in the protest submittal.

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.

3.14. Confidential Information

All proposals and documents submitted in response to this RFP are subject to the disclosure provisions of the Ohio Public Records provisions of Ohio Revised Code Chapter 149.43. Proposers should be mindful https://www.go-metro.com/uploads/Metro%20Protest%20Procedure%20(9.23).pdf to avoid providing proprietary information such as trade secrets copyrighted material, or other information of a sensitive or confidential nature. Any such information that is determined to be necessary in order to respond adequately and competitively must be placed at the end of the designated section of the Proposal for easy reference and removal. 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.

3.15. 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).

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

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.

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.

3.16. 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

If you have exceptions or deviations to our Terms and Conditions you will be able to upload those in the Vendor Questionnaire.

SORTA's General Terms and Conditions are attached in the solicitation package. Please review here.

https://procurement.opengov.com/portal/go-metro/projects/191721/document?section=1782153

5. DBE Plan

DBE Goal for this project: Six (6) Percent

This contract is subject to the requirements of Title 49, Cod of Federal Regulations, Part 26, Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs.

The national goal for participation of Disadvantaged Business Enterprises (DBE) is 10%. SORTA has specified a goal of Six (6)% for the work to be performed under this contract.

It is the policy of the U.S. Department of Transportation that socially and economically disadvantaged and women's business enterprises (DBEs), as defined in Title 49, Code of Federal Regulations, Part 26, shall be afforded an opportunity to participate, to an extent reflective of their availability in the performance of contracts financed in whole or part with Federal funds under this agreement.

Consequently, the DBE requirements of 49 CFR, Part 26, apply to this agreement.

SORTA annually sets overall DBE goals for work to be performed under its contracts, including construction activity, procurement of common goods and services, and personal service contracts. While the expected percentage of certified DBE utilization may vary from contract to contract due to the availability of DBEs in any given line of work, SORTA believes the overall goals to be realistically obtainable over time with the assistance of the federal government, the business community and DBE organizations.

Participants in this procurement agree to ensure that DBEs, as defined at 49 CFR, Part 26, have an opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with Federal funds provided under this agreement, to an extent reflective of their availability in the community, whether or not a specific goal for participation was set for this solicitation. In this regard, the bidders shall take all necessary and reasonable steps in accordance with 49 CFR, Part 23 and 26, and

SORTA’s DBE Program to ensure that DBEs have such an opportunity to compete for the performance of contracts. Neither the bidders nor the selected contractor shall discriminate on the basis of race, color, national origin or sex in the performance of a resulting DOT-assisted contract.

In addition to the DBE goals, the U.S. Department of Transportation also encourages its grantees and their contractors to maximize participation by non-DBE socially and economically disadvantaged businesses and to document their participation.

CONTRACT GOALS

SORTA has specified a DBE Goal of Six (6) Percent for the work to be performed under this contract.

A. When a DBE participates in a contract, only the value of the work actually performed by the DBE can be counted toward DBE goals.

1. Count the entire amount of that portion of a construction contract (or other contract not covered by Paragraph (A)(2) of this section) that is performed by the DBE’s own forces. Include the cost of supplies and materials obtained by the DBE for the work of the contract, including supplies purchased or equipment leased by the DBE (except supplies and equipment the DBE subcontractor purchases or leases from the prime contractor or its affiliates).

2. Count the entire amount of fees or commissions charged by a DBE firm for providing a bona fide service, such as professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the performance of a DOT-assisted contract, toward DBE goals, provided the fees or commissions are determined to be reasonable and not excessive as compared with fees customarily allowed for similar services.

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

a. When a DBE performs as a participant in a joint venture, count a portion of the total dollar value of the contract equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with its own forces toward DBE goals.

b. Count expenditures to a DBE contractor toward DBE goals only if the DBE is performing a commercially useful function on that contract.

4. A DBE performs a commercially useful function when it is responsible for execution of the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially useful function, the DBE must also be responsible, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material, and installing

(when applicable) and paying for the material itself. To determine whether a DBE is performing a commercially useful function, the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is actually performing and the DBE credit claimed for its performance of the work, and of the relevant factors all must evaluated. A DBE does not perform a commercially if its role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed. In order to be a regular dealer:

a. The firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question.

b. A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone, or asphalt without owning, operating, or maintaining a place of business; if the person both owns and operates distribution equipment for long-term lease agreement and not on an ad hoc or contract by contract basis.

c. Packagers, brokers, manufacturers’, representatives, or other persons who arrange or expedite transactions are not regular dealers within the meaning of this paragraph.

d. With respect to materials or supplies purchased from a DBE which is neither a manufacturer nor a regular dealer, count the entire amount of fees or commissions charged for the delivery of materials or supplies required on a job site toward DBE goals, provided the fees are determined to be reasonable and not excessive as compared with fees customarily allowed for similar services. No portion of the cost of the materials and supplies themselves should be counted toward DBE goals.

PROPOSAL REQUIREMENTS, TERMS AND CONDITIONS

A. In addition to any other requirements contained in this Invitation for Bids or Request for

Proposals, the bid or proposal must include a representation that:

1. The bidder/proposer has met the goal established by SORTA for this procurement, or

2. The bidder/proposer has made a good faith effort to attain the level of DBE participation sought by SORTA for this procurement. Each bidder/proposer must include a statement of the level of DBE participation attained through such effort in Attachment B-1. This submittal is regarded as a matter of responsiveness. Failure to make these submittals will serve to disqualify the bid as non-responsive to this solicitation.

B. Each Bidder/Proposer should also prepare a complete DBE Participation Plan that sets forth the extent of DBE involvement in this procurement. these materials are to be provided upon request and will be considered in determining responsibility.

C. DBE Participation Plans shall include the following minimum information:

1. DBE Participation Schedule, which includes:

a. Names and addresses of the DBE entities that will participate in the contract;

b. The dollar amount of the participation of each named DBE;

c. A description of the work each named DBE will perform;

d. Verification of Certification and Letter of Intent from each DBE whose participation is proposed for the performance of this contract as a subcontractor or joint venture partner.

2. If the DBE goal is not met, the Bidder/Proposer must document in the Good Faith Effort

Form the good faith efforts it made to include DBE participation in the contract prior to submitting the bid or proposal. The documentation of the efforts is discussed in greater detail in paragraph 6 of this Section.

3. The following standards shall be applied in assessing the responsibility of the DBE plan submitted:

a. Whether the participation plan contains capable currently certified DBE firms.

b. Whether the firms listed in the plan are performing a commercially useful function.

c. Whether the listed firms are sharing monetary benefit in proportion to their share of the work of the project.

d. Whether the plan exhibits a likelihood of goal attainment.

e. Whether the prime/sub relationships are firm, i.e., whether conditional subcontractors have been entered.

D. Agreements between a Bidder/Proposer and a DBE in which the latter promises not to provide subcontracting quotations to other suppliers/contractors are prohibited.

E. Only DBE entities certified under the State of Ohio Uniform Certification Program

(www.ohioucp.org) are eligible for inclusion in a plan. Consult the DBE Directory, which is available on the above website. All DBE entities are eligible for certification. Applications for certification must be made Ohio UCP Certification Application and submitted in advance of bid date.

1. The DBE must have submitted its application for certification prior to bid submittal and be certified prior to contract award; by Federal regulation, the Uniform Certification Program may take up to 180 days to reach a certification decision.

2. Bidders/Proposers should not rely upon anticipated approval of the certification applications submitted by its proposed DBEs, since DBEs which are not certified by time of award will not be credited toward the goal, and failure to obtain certification might change the prime

Bidder/Proposer’s status from compliant to non-compliant.

3. However, substitution of DBE entities appearing in a plan may be permitted where SORTA’s

DBE Officer (DBEO) determines that such substitution will not result in an abuse of the DBE

Program.