Contractor Lifecycle | MAN1425
How Contractors Are Selected
The Department of Human Services (DHS) seeks to obtain the services of qualified transportation providers with demonstrated knowledge, experience, competence, resources, and familiarity with agency consumers. Contracts for DHS Coordinated Transportation services are established in one of two ways:
Contractor Selection – Competitive Selection via ERFP Process
For a new contract that is not considered exempt, Transportation Providers (TP) should follow the competitive bid process. The type of entity providing the services dictates what process is used to obtain the services. If the entity falls within one of the exempt categories, the competitive bid process is not necessary. TPs following a contract renewal process or intergovernmental agreements (government entities, non-profits, and quasi-governmental entities) are exempt from the eRFP process and should follow the process below in the Contractor Selection – Renewals and Intergovernmental Agreements section.
The Georgia Department of Administrative Services, State Purchasing Division (DOAS-SPD) governs the purchasing and procurement activities of all state government agencies. This authority is pursuant to the State Purchasing Act. The pertinent laws that govern State purchases are generally set forth in the Official Code of Georgia Annotated (O.C.G.A.), Section 50-5-50 through Section 50-5-81. The DOAS-SPD website at doas.ga.gov contains a link to search all Georgia laws and regulations including specific purchasing-related codes.
DHS Office of Procurement and Contracts issues an Electronic Request for Proposals (eRFP) on behalf of DHS Office of Procurement and Contracts (OPC) and the Transportation Services Section (TSS).
For all contracts established through an eRFP, the award is made to the offeror submitting the proposal that is most advantageous to the State and provides the best overall value to the State. Detailed information about the State’s purchasing process can be found in the Georgia Procurement Manual (GPM). This manual can be obtained by visiting doas.ga.gov and searching for Georgia Procurement Manual.
The process to issue an eRFP is described in the following process flow. TSS provides the information regarding needed services to DHS-OPC, who in turn works with DOAS to issue the eRFP. The eRFP is then handled by DOAS until an award is made.
Roles and Responsibilities Overview
| Role | Responsibility |
|---|---|
Transportation Provider (TP) |
Preparing, responding, and if applicable signing a contract. |
DHS Transportation Services Section (TSS) |
Preparing, evaluating, selecting, and completing administrative activities for adding a TP. |
DHS Office of Procurement and Contracts (OPC) / Issuing Officer |
Issuing, reviewing, evaluating qualified vendors, developing contract, and completing administrative activities for adding a TP. |
Application(s)
| Application | Description |
|---|---|
Team Georgia Marketplace |
The online procurement marketplace for competitive procurements sought by State of Georgia entities. It provides the online tools, resources, and access vendors need to find, review, and bid on active procurements. |
Process Flow – Contractor Selection – Competitive Selection via ERFP
The following process flow illustration depicts the full Contractor Selection process from the point that a need for services by a transportation provider is identified, through contractor selection, to the point that a contractor initiates transportation services under a new contract. This process flow shows each responsible party and its steps throughout the process. The highlighted area depicts the TP role within the process. The TP specific steps are described below the process flow.
Procedures – Contractor Selection – Competitive Selection via ERFP
The procedural steps and details outlined below are those that are the responsibility of the TP and correspond with the steps highlighted in the process flow above. The following is to be used if the TP is responding to a competitive procurement.
- Steps 1-14 – (TSS and OPC)
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TSS and OPC focus on determining whether a service gap exists. If so, an accelerated process is detailed later in this section; the TP continues to Step 41. If not, both TSS and OPC identify the method to secure a contract, conduct planning, prepare and route the requisition for approval followed by developing and issuing the eRFP.
- Step 15 – Review eRFP and submit questions (TP)
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All competitive procurements are issued through Team Georgia Marketplace. Transportation providers who wish to bid should log in using their unique Team Georgia Marketplace credentials to access, review, and respond to any eRFP issued. All questions concerning this eRFP must be submitted in writing via email to the Issuing Officer identified in Section 1.5 “Issuing Officer” of this eRFP. No questions other than written are accepted. No response other than written are binding upon the State. All TPs must submit questions by the deadline identified in the Schedule of Events for submitting questions. DHS reviews all questions submitted by vendors and post responses to Written Questions by date indicated in the Schedule of Events. A Schedule of Events is included in all eRFPs.
- Steps 16-17 – (TSS and District Operations Manager (DOM))
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All questions concerning this eRFP must be submitted in writing via email to the Issuing Officer identified in Section 1.5 titled “Issuing Officer” in the eRFP. DHS reviews all questions submitted by vendors and post responses to Written Questions by the date indicated in the Schedule of Events.
The questions submitted by the TP and collected by TSS are reviewed and responses are prepared and provided back to the TP.
- Step 18 – Respond to eRFP (TP)
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All competitive procurements are issued through the Team Georgia Marketplace. TPs (aka. “Supplier” in OPC terms) who wish to bid should log in Team Georgia Marketplace to access, review, and respond to any eRFP issued.
For technical questions related to the use of Team Georgia Marketplace, Suppliers have access to phone support through the DOAS Customer Service Help Desk:
DOAS Customer Service Help Desk
Phone: 404-657-6000 | Email: ProcurementHelp@doas.ga.gov
Monday through Friday, 8:00 AM to 5:00 PMThe duration of procurements varies greatly. In general, a competitive procurement takes approximately 180 days from issuance of an eRFP to Award. - Steps 19-28 – (TSS and OPC)
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As a preliminary step in the evaluation process, DHS OPC (Issuing Officer) completes an administrative review of each supplier’s response. All responses which pass the administrative review are evaluated by the Evaluation Committee.
Award is made to the responsive and responsible supplier with the best overall score or value. This is the supplier who received the highest combined technical and cost scores, who agrees to contract terms and conditions with the state entity, and who is clearly capable of performing the resulting contract.
- Step 29 – Sign and submit contract (TP)
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For each contract awarded, the contract is developed and routed through DHS internal process for approval to send to the supplier. OPC sends the executable contract by email to the TP for signature and provides instructions of the days expected for return, to whom the contract should be returned, and whether an original copy is required.
The TP reviews the contract. If no corrections are needed, the TP prints the document (one-sided only), signs all pages requiring signatures, including any applicable annexes, and returns the contract to DHS for signature. For instructions on submitting the contract to DHS, follow the instructions given by the issuing officer.
- Steps 30-36 – (TSS and OPC)
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Prior to DHS signing the contract, the Notice of Intent to Award (Exhibit 1 – Sample Notice of Intent to Contract) is posted for 10 days. During this time suppliers have an opportunity to protest the award. In case of a protest, the process STOPS until OPC determines a resolution. If there is no protest, DHS proceeds with getting the appropriate signatures for the Department.
Once the contract is fully executed, the PDF is emailed by OPC. It details the DHS contract number to be used to submit payment requests and programmatic reports, as well as other contract-related activity.
Following this series of steps, both TSS and OPC complete internal contract administrative tasks to include adding the contract information in statewide applications and storing original documents.
Procedures – Contractor Selection – Competitive Selection via ERFP – Emergency Service Gap
If there is a need for an emergency purchase, TSS follows an accelerated process to fill an emergency service gap. DHS OPC completing a contract for emergency services shall follow the “special circumstances” and is responsible for the following activity:
- Steps 37-40 – (TSS and OPC)
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Emergency purchases are an exception to the Order of Precedence. An emergency procurement is handled outside of the normal competitive process for purchases greater than $24,999.99 because of the urgency of the circumstances, such as the immediate welfare of the general public.
Poor planning or the pending expiration of funds does not constitute a valid justification for an emergency purchase. It is always good business practice and considered to be in the best interest of the State to make any procurement as competitive as time permits. The state entity is authorized to handle the emergency purchase whether or not the dollar amount of the emergency purchase falls within the state entity’s delegated purchasing authority.
In the event of an emergency purchase, the Agency Procurement Officer provides the DOAS-SPD with written notice and justification by completing form SPD-NI004 Emergency Justification Form, which can be found on the www.doas.ga.gov website and searching for the terms SPD-NI004.
- Step 41 – Sign and submit contract for emergency services (TP)
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OPC sends the emergency executable contract by email to the TP for signature and provide instructions of the days expected for return, to whom the contract should be returned, and whether an original copy is required.
The TP must attach the completed Emergency Justification Form (from Step 40) at the header level of the Purchase Order in the system as well as other pertinent documentation relating to the emergency purchase.
If no corrections are needed, the TP prints the document (one-sided only) and signs all pages requiring signatures, including any applicable annexes. The TP returns the document to the contact provided in the email either as a PDF attachment in an email, by mail or hand delivered at the address indicated in the email from OPC within five business days.
TPs who require a copy of the contract with original signature from all parties must sign and send two copies of the contract and mail or hand deliver to the contact in the email within five business days. Unless two copies are signed and sent, only a PDF of the fully executed contract is emailed back to the TP by OPC.
Once the contract is fully executed, the PDF is emailed to the TP by OPC. It details the DHS contract number to be used to submit payment requests and programmatic reports, as well as other contract-related activity.
- Steps 42-43 – (OPC)
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OPC routes the contract for signature and develops the emergency justification documentation. In addition, OPC notifies TSS and both entities complete contract administrative activities, including adding the contract information in statewide applications and storing the original documents.
References and Related Documents
| Document | Description |
|---|---|
Georgia Procurement Manual (GPM) |
This manual can be obtained by visiting doas.ga.gov and searching for Georgia Procurement Manual. |
Letter issued by DOAS notifying the supplier of the intent to award the contract to this supplier. |
|
SPD-NI004 Emergency Justification Form |
Form for documenting reasons for emergency procurements. Can be found on the DOAS website at www.doas.ga.gov and searching for the terms Emergency Justification Form. |
Contractor Selection – Renewals and Intergovernmental Agreements
TPs following the contract renewal process or intergovernmental agreements (government entities, non-profits, and quasi-governmental entities) fulfilling a contract should follow the steps below. TPs applying for a new contract should follow the competitive selection process above in the Contractor Selection – Competitive Selection via ERFP Process section.
The State of Georgia operates on a fiscal year of July 1 – June 30. The State may only enter contractual obligations one fiscal year at a time and therefore, multi-year obligations are not permissible. The annual renewal of a contract shall be based on the availability of funds and the contractor’s successful performance the preceding year. Renewals are contingent upon the Prime Contractor’s completion of renewal criteria, including but not limited to: updated proposal information, cost analysis information, favorable evaluations from the consumers, centers and/or programs served, and approval for renewal by the Regional Transportation Coordinating Committee (RTCC). If approved for renewal, a Prime Contractor that was selected through the Contractor Selection via eRFP process may renew its contract up to four times (must be consecutive) for a total of a five years of consecutive engagement prior to the contract automatically going back to bid in the Contractor Selection via eRFP process. Refer to the Contractor Annual Renewal Review Process section in this chapter for more information.
If circumstances warrant contract renewal, DHS issues a letter to the Prime Contractor stating DHS’s desire to renew the contract. The letter provides the terms and conditions of the offer to contract and request a cost proposal and technical proposal. DHS receives a letter of intent to contract from the desired contractor at least 90 calendar days prior to the effective date of the proposed contract. This time frame is necessary to allow sufficient time to send out a new solicitation for proposals in the event the desired contractor is not willing to contract under the terms offered by DHS. If the letter of intent is not received within the specified time frame, DHS will seek approval from OPC to issue a request for proposal.
DHS has the discretion to enter into an intergovernmental agreement if the services to be acquired are available from that source. DHS requires that, to the maximum extent feasible, TPs be given the fair and timely opportunity to participate in local transportation plans and programs, and to offer their own service proposals for consideration.
Roles and Responsibilities Overview
| Role | Responsibility |
|---|---|
Transportation Provider (TP) |
Preparing, responding, and if applicable, signing a contract. |
DHS Transportation Services Section (TSS) |
Preparing, evaluating, selecting, and completing administrative activities for adding a TP. |
DHS Office of Procurement and Contracts (OPC) |
Issuing, reviewing, evaluating qualified vendors, developing contract, and completing administrative activities for adding a TP. |
Application(s)
| Application | Description |
|---|---|
Team Georgia Marketplace |
The online procurement marketplace for competitive procurements sought by State of Georgia entities. It provides the online tools, resources and access vendors need to find, review, and bid on active procurements. |
Process Flow – Contractor Selection – Renewals and Intergovernmental Agreements Process
The following process flow illustration depicts the full Contractor Selection process from the point that a need for services by a transportation provider is identified, through contractor selection, to the point that a contractor initiates transportation services under a new contract. This process flow shows each responsible party and its steps throughout the process. The highlighted area depicts the TP role within the process. The TP specific steps are described below the process flow.
Procedures – Contractor Selection – Renewals and Intergovernmental Agreements Process
The procedural steps and details outlined below are those that are the responsibility of the TP and correspond to the steps highlighted in the process flow above. The following is to be used if the TP is responding to an exempt procurement.
- Steps 1-7 – (TSS and OPC)
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TSS and OPC focus on whether there is a service gap. If so, an accelerated process is detailed later in this section; the TP continues to Step 41. If not, both TSS and DHS Procurement partner to determine the appropriate procurement method. TSS and DHS Procurement send the notice of intent to contract request to the TP.
- Step 8 – Confirm intent to contract and provide requested information (TP)
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Once an interested TP receives a Notice of Intent to Contract (NOIC) (refer to Exhibit 1 – Sample Notice of Intent to Contract), or a Contract Information Request Packet, from TSS, the TP must confirm its intent to contract and provide the requested information within 60 days of receipt. This is not the actual contract but the required documents listed in the contract coversheet. These documents require original signature from the TP. Both the confirmation of intent to contract and the requested information should be sent to the designated TSS and Regional Transportation Office (RTO).
- Step 9 – Participate in Regional Review (TP)
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This step is the annual evaluation process for the TP and/or Subcontractors only in the case of poor evaluations and the need for a Corrective Action Plan (CAP). TPs entering an exempt contract may be asked to participate in a Regional Review prior to negotiating terms and rates for the contract. This entails responding to any issues in a CAP, as needed. During this meeting, the TP completes the annual contract renewal documents and respond to any issues in a CAP, if applicable, as needed.
- Step 9.1 – Negotiate Terms and Rates
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TPs submit annual cost and budget reports that are used by TSS, in coordination with other tools such as rate history reports and comparisons to similar transportation providers, to determine the validity of proposed per unit costs for each trip type.
- Steps 9.2 – 20 – (TSS and OPC)
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The Prime Contractor and/or Subcontractor determine their cost of doing business, which is then divided by the expected number of trips as issued by the RTO and used to determine cost(s) per trip. The TP submits a Cost Proposal to the RTO along with Cost and Budget Reports that detail costs that contribute to the trip rate(s). The information is reviewed by TSS, and negotiations are conducted with the TP, ending with a Rate Schedule that reflects the approved contracted rates. Next steps include gathering contract documents, entering the requisition in the financial system, and receiving approvals of the contract requisition. Finally, the contract is prepared, reviewed, and released to the TP.
- Step 21 – Sign and submit contract (TP)
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For each contract awarded, the contract is developed and routed through DHS internal process for approval to send to Supplier. OPC sends the executable contract by email to the TP for signature and provides instructions of the days expected for return, to whom the contract should be returned, and whether an original copy is required.
The TP reviews the contract. If no corrections are needed, the TP prints the document (one-sided only), signs all pages requiring signatures, including any applicable Annexes, and returns the contract to DHS for signature. For instructions on submitting the contract to DHS, follow the instructions given by the Issuing Officer.
- Steps 22-29 – (TSS and OPC)
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Once the contract is fully executed, the PDF is emailed to the TP by OPC. It details the DHS contract number to be used to submit payment requests and programmatic reports, as well as other contract-related activity.
Both TSS and OPC complete internal contract administrative tasks, including adding the contract information in statewide applications and storing the original documents.
Procedures – Contractor Selection – Renewals and Intergovernmental Agreements Process – Emergency Service Gap
If there is a need for an emergency purchase, TSS follows an accelerated process to fill an emergency service gap. DHS OPC completing a contract for emergency services shall follow the “special circumstances” and is responsible for the following activity:
- Steps 30-33 - (TSS and OPC)
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Emergency purchases are an exception to the Order of Precedence. An emergency procurement is handled outside of the normal competitive process for purchases greater than $24,999.99 because of the urgency of the circumstances, such as the immediate welfare of the general public.
Poor planning or the pending expiration of funds does not constitute a valid justification for an emergency purchase. It is always good business practice and considered to be in the best interest of the state of Georgia to make any procurement as competitive as time permits. The state entity is authorized to handle the emergency purchase whether or not the dollar amount of the emergency purchase falls within the state entity’s delegated purchasing authority.
In the event of an emergency purchase, the Agency Procurement Officer provides the DOAS-SPD with written notice and justification by completing form SPD-NI004 Emergency Justification Form, which can be found on the www.doas.ga.gov website and searching for the terms SPD-NI004.
- Step 34 – Sign and submit contract for emergency services (TP)
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OPC sends the emergency executable contract by email to the TP for signature and provide instructions of the days expected for return, to whom the contract should be returned, and whether an original copy is required.
The TP must attach the completed Emergency Justification Form (from Step 33) at the header level of the PO in the system as well as other pertinent documentation relating to the emergency purchase.
If no corrections are needed, the TP prints the document (one-sided only) and signs all pages requiring signatures, including any applicable Annexes. The TP returns the document to the contact provided in the email either as a PDF attachment in an email, or by mail or hand delivered at the address indicated in the email from OPC within 5 business days.
TPs who require a copy of the contract with original signature from all parties must sign and send 2 copies of the contract and mail or hand deliver to the contact in the email within 5 business days. Unless 2 copies are signed and sent, only a PDF of the fully executed contract is emailed back to the TP by OPC.
Once the contract is fully executed, the PDF is emailed by OPC. It details the DHS contract number to be used to submit payment requests and programmatic reports, as well as other contract-related activity.
- Steps 35-36 – (OPC)
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OPC routes the contract for signature and develops the emergency justification documentation. In addition, OPC notifies TSS and both entities complete contract administrative activities, including adding the contract information in statewide applications and storing the original documents.
References and Related Documents
| Document | Description |
|---|---|
Georgia Procurement Manual (GPM) |
This manual can be obtained by visiting doas.ga.gov and searching for Georgia Procurement Manual. |
Letter issued by DOAS notifying the supplier of the intent to award the contract to this supplier. |
|
SPD-NI004 Emergency Justification Form |
Form for documenting reasons for emergency procurements. Can be found on the DOAS website at www.doas.ga.gov and searching for the terms Emergency Justification Form. |
Contractor Monitoring and Evaluation
The contractor evaluation process includes the RTO contractor monitoring, as well as the results of interviews, group meetings, surveys, paperwork submission, contractor review, vehicle inspections, and the ability of the service to meet DHS transportation needs.
The RTO monitors to ensure the TP’s compliance with DHS policies, procedures, and contracts, which define transportation program services and operations. Monitoring may be accomplished through site visits directly to TPs or through visits to the Prime Contractor when direct services are provided through subcontracts. All monitoring is summarized and reported annually; this summary is used by the RTCC in developing contracting recommendations and by DHS in making contract renewal decisions.
Roles and Responsibilities Overview
| Role | Responsibility |
|---|---|
Transportation Provider (TP) / Prime and Subcontractor |
Reviewing report card and completing corrective action. Executing termination process, if applicable. |
Regional Transportation Office (RTO) |
Gathering, summarizing and issuing report card and managing corrective action activities. |
Transportation Services Section State Office (TSS-SO) |
Assisting RTO in managing corrective actions. |
Applications
| Application | Description |
|---|---|
TRIP$ |
Transportation Request Information Processing System, the application for client registration and trip ordering |
Process Flow – Contractor Monitoring and Evaluation
The following process flow illustration depicts the full Contractor Monitoring and Evaluation process from the point that a TP/Subcontractor receives a quarterly Report Card from the RTO to the point that any identified deficiencies are successfully resolved. It also covers Cure Notices and provider termination, when necessary. This process flow shows each responsible party and its steps throughout the process. The highlighted area(s) in the process flow depict the TP/Subcontractor role within the process. The TP/Subcontractor specific steps are described after the process flow.
Procedures – Contractor Monitoring and Evaluation
The procedural steps and details outlined below are those that are the responsibility of the Prime Contractor or Subcontractor and correspond to the steps highlighted in yellow in the process flow above.
- Steps 1-3 – (RTO)
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The RTO gathers/collects information throughout the contract period and reviews the TP performance against compliance and risk standards. The RTO issues a quarterly report card to detail the TP/Subcontractor performance and track if transportation providers are meeting contractual obligations. TP/Subcontractor’s data is collected throughout a TP/Subcontractor’s contract period, and includes consumer and Human Service Provider (HSP) prior year surveys (see Exhibit 2 – Sample FY20XX Evaluation Summary - Consumers and Exhibit 3 – Sample HSP Satisfaction Survey Summary), vehicle and driver inspection reviews and site visits, regular meetings and communications, complaints, incident reports, financial data, and timely and accurate execution of administrative tasks (e.g. invoicing, reporting). Each quarter, data gathered during the period is evaluated by the RTO and documented in a TP Report Card to be reviewed by the TP and District Operations Manager (DOM) (refer to Exhibit 4 – Sample Quarterly Report Card).
- Step 4 – Review Report Card (TP)
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TPs carefully review this Quarterly Report Card and share with applicable Subcontractors. If any corrective action is needed, improvement needs are clearly outlined in the Exhibit 5 – Sample Corrective Action Plan. Any improvement needs, or corrective action, are discussed in a follow up meeting with the RTO (see Step 11).
- Step 5 – Is there a deficiency? (RTO)
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The RTO reviews the Report Card and makes a determination of whether there is a noted deficiency. If there is not a deficiency, continue to Step 6; otherwise, continue to Step 7.
- Step 6 – Store and file report (TP / Subcontractor)
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If all contractual criteria are met and no deficiencies are noted in the quarterly Report Card, no additional action is taken by TSS and no additional action is required of the TP; the TP can simply file the report for its own records.
- Steps 7-8 – (RTO)
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The RTO makes a determination of the severity of the corrective actions required of the TP. If the corrective actions are not serious, the TP is asked to develop and submit a CAP. If the corrective action is serious, a meeting among the TSS-SO, RTO, and TP is requested.
- Step 9 – Contribute information for Corrective Action Plan (CAP) (TP, RTO, and TSS)
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TSS, RTO and TP meet to discuss discrepancies and any corrective action needed. In this meeting, the RTO and DOM review the TP’s proposed CAP, with the DOM providing recommendations for necessary updates or approval of the plan. If only minor deficiencies are noted, the TP moves to Step 10.
- Step 10 – Develop and submit Corrective Action Plan (CAP) (TP)
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TPs develop a CAP to address any deficiencies outlined in the quarterly Report Card and return the completed CAP to the RTO, who will share with the DOM as needed.
- Steps 11-13 (TSS and RTO)
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The TSS Section Manager (TSS-SM) and DOM hold a group meeting to review the CAP and makes a determination on whether to approve or not. If the plan is approved, the RTO notifies the TP to execute the CAP. If the plan is not approved, it is routed back to the TP to revise and resubmit the CAP.
- Step 14 – Execute Corrective Action Plan (TP)
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Once the proposed CAP is approved, TPs have 60-90 days, as determined by the RTO depending on the severity, to complete the CAP. This step, and the following, continue until all deficiencies have been satisfactorily resolved.
- Step 15 – Provide documentation of addressed deficiencies (TP)
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Once the CAP has been executed and all deficiencies rectified, TPs provides documentation of addressed deficiencies to the RTO. This step, and the previous, continue until all deficiencies have been satisfactorily resolved.
- Steps 16-20 – (RTO)
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The RTO reviews the documentation of addressed deficiencies and makes a determination on whether the corrective actions have been completed. If issues have been addressed, the RTO notifies the TP and files the report. If the issues have not been addressed, the RTO determines if the corrective action applies to the prime or Subcontractor; if it regards the Prime Contractor, the RTO issues the Exhibit 6 – Sample Cure Notice to the Prime Contractors, and if it regards the Subcontractor, it is issued by the Prime Contractor.
- Step 21 – Issue Cure Notice (TP - Prime Contractor)
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The Cure Notice is released by the prime to its Subcontractor. SO reserves the right to suspend the contract in whole or in part if it appears the contractor is failing to substantially comply with the quality of services required under the contract, and/or require further proof of reimbursable expenses prior to payment, and/or require improvement in the programmatic performance or service delivery.
- Step 22 – Execute required actions (TP – Subcontractor)
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The Subcontractor completes the CAP execution until all deficiencies have been satisfactorily resolved. The Subcontractor has 10 days to correct or cure the deficiency or violation.
- Step 23 – Provide documentation of corrective action taken (TP – Subcontractor)
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The Subcontractor provides documentation of the corrective actions taken.
- Step 24-25 – Review documentation of cure action taken by the Subcontractor (TP – Prime Contractor)
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The TP reviews documentation of cure action taken and determines if the CAP has been completed satisfactorily.
- Step 26 – Store and file report (TP – Prime Contractor)
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The Prime Contractor files the report for its own records. This report will be included with the Transportation Provider Annual Review.
- Step 27 – Terminate subcontract (TP – Prime Contractor)
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It is the Prime Contractor’s responsibility to terminate the contract with an under-performing Subcontractor and notify the RTO of intent to terminate the Subcontractor. DHS reserves the right to terminate a contract for cause, in whole or in part, at any time that DHS concludes that the contractor fails to perform, make progress, or in any way breached the contract. Prior to terminating a contract for default, a delinquency notice will be sent to the contractor with proof of delivery requested.
- Step 27.1 – Issue Notice of Termination (TP – Prime Contractor)
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If the Subcontractor fails to cure the situation or provide a satisfactory explanation as requested, the contract may be terminated. The Termination Notice (refer to Exhibit 7 – Sample Termination Notice) contains the following:
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The contract number and date of contract;
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The effective date of the termination;
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Reference to the clause under which the contract is being terminated; and
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A concise statement of the facts justifying the termination.
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The contract may be terminated without any opportunity to cure, if any of the following events occurs:
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Subcontractor becomes insolvent or liquidation or dissolution or a sale of the Contractor’s assets begins,
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Subcontractor violates or fails to comply with any applicable provision of federal or state law or regulation,
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Subcontractor knowingly provides fraudulent, misleading or misrepresentative information to any DHS /DBHDD consumer,
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Subcontractor has exhibited an inability to meet its financial or services obligations under the contract,
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A voluntary or involuntary bankruptcy petition is filed by or against the Subcontractor under the U.S. Bankruptcy Code or any similar petition under any state insolvency law,
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An assignment is made by the contractor for the benefit of creditors, or
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A proceeding for the appointment of a receiver, custodian, trustee, or similar agent is initiated with respect to the Subcontractor.
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DHS deems that such termination is necessary if the Subcontractor fails to protect or potentially threatens the health or safety of any consumer and/or fails to prevent or protect against fraud or otherwise protect the State of Georgia’s personnel, consumers, facilities, or services.
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Subcontractor is debarred or suspended from performing services on any public contracts and/or subject to exclusion from participation in the Medicaid or Medicare Programs.
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If the contract is terminated for any reason, in whole or in part, the Subcontractor is required to cooperate as requested by DHS to effectuate the smooth and reasonable transition of the services for consumers. This will include, but not be limited to the transfer of the consumer records, personal belongings and funds as directed by DHS.
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Should the Subcontractor go out of business and/or cease to operate, all original records of consumers served under the contract shall be transferred by the contractor to DHS immediately and shall become the property of DHS.
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- Step 27.2 – Close vendor relationship (TP – Prime Contractor)
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Once a Subcontractor is terminated, the Prime Contractor must update the TRIP$ system accordingly to ensure the Subcontractor is no longer listed as an active provider. Assistance from RTO or TSS may be requested to complete this process.
- Step 28 – Send notification of contract termination (TP – Prime Contractor)
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Formally notify the Subcontractor by email of contract termination.
- Step 29 – Notify RTO (TP – Prime Contractor)
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Formally notify RTO by email of Subcontractor contract termination.
- Step 30 – (RTO)
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The RTO reviews the documentation of addressed deficiencies and makes a determination on whether the corrective actions have been completed. If issues have been addressed, the RTO notifies the TP and files the report. If the issues have not been addressed, the RTO determines if the corrective action applies to the Prime Contractor or Subcontractor; if it regards the Prime Contractor, the RTO issues the Exhibit 6 – Sample Cure Notice to the Prime Contractors, and if it regards the Subcontractor, it is issued by the Prime Contractor.
- Step 31 – Execute required actions (TP – Prime Contractor)
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Completes the CAP execution until all deficiencies have been satisfactorily resolved. The Prime Contractor has 10 days, to correct or cure the deficiency or violation.
- Step 32 – Review documentation of cure action taken by Prime Contractor (RTO)
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Provides documentation of Cure Notice corrective action taken.
- Steps 33-34 – Review documentation of Cure Notice (RTO)
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Reviews documentation of cure action taken and determines if the CAP has been completed.
- Step 35 – Store and file report (RTO)
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RTO files the report for its own records.
- Steps 36-37 – Terminate contract (RTO)
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It is the RTO’s responsibility to terminate the contract with an under-performing Prime Contractor. DHS reserves the right to terminate a contract for cause, in whole or in part, at any time that DHS concludes that the contractor fails to perform, make progress, or in any way breached the contract. Prior to terminating a contract for default, a delinquency notice will be sent to the contractor with proof of delivery requested.
- Step 37.1 – Issue Notice of Termination (RTO)
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If the Prime Contractor fails to cure the situation or provide a satisfactory explanation as requested, the contract may be terminated. The Notice of Termination will contain the following:
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The contract number and date of contract;
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The effective date of the termination;
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Reference to the clause under which the contract is being terminated; and
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A concise statement of the facts justifying the termination.
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The contract may be terminated without any opportunity to cure, if any of the following events occurs:
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Contractor becomes insolvent or liquidation or dissolution or a sale of the Contractor’s assets begins,
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Contractor violates or fails to comply with any applicable provision of federal or state law or regulation,
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Contractor knowingly provides fraudulent, misleading or misrepresentative information to any DHS /DBHDD consumer,
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Contractor has exhibited an inability to meet its financial or services obligations under the contract,
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A voluntary or involuntary bankruptcy petition is filed by or against the contractor under the U.S. Bankruptcy Code or any similar petition under any state insolvency law,
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An assignment is made by the contractor for the benefit of creditors, or
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A proceeding for the appointment of a receiver, custodian, trustee, or similar agent is initiated with respect to the contractor.
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DHS deems that such termination is necessary if the contractor fails to protect or potentially threatens the health or safety of any consumer and/or fails to prevent or protect against fraud or otherwise protect the State of Georgia’s personnel, consumers, facilities or services.
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Contractor is debarred or suspended from performing services on any public contracts and/or subject to exclusion from participation in the Medicaid or Medicare Programs.
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If the contract is terminated for any reason, in whole or in part, the contractor is required to cooperate as requested by DHS to effectuate the smooth and reasonable transition of the services for consumers. This will include, but not be limited to the transfer of the consumer records, personal belongings and funds as directed by DHS.
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Should the contractor go out of business and or cease to operate, all original records of consumers served under the contract shall be transferred by the contractor to DHS immediately and shall become the property of DHS.
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- Step 37.2 – Close vendor relationship (RTO)
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Once a Prime Contractor is terminated, the RTO must update the TRIP$ system accordingly to ensure the Prime Contractor is no longer listed as an active provider. Assistance from TSS may be requested to complete this process.
- Step 38 – Send notification of contract termination (RTO)
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Formally notify Prime Contractor by email of contract termination.
- Step 39 – Notify TSS State Office (RTO)
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Formally notify TSS State Office (SO) by email of Prime Contractor contract termination.
References and Related Documents
| Document | Description |
|---|---|
Provides measurement of performance criteria/standards against contractual obligations over a given period. Exhibit 2 – Sample FY20XX Evaluation Summary - Consumers and Exhibit 3 – Sample HSP Satisfaction Survey Summary are some of the inputs used to form the Quarterly Report Card. |
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Identifies areas noted in the report card requiring deficiency action and correction. |
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Notice of failure to complete corrective action. This is the pre-termination notice. |
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Notice of contract being terminated. |
Contractor Annual Renewal Review Process
Roles and Responsibilities Overview
| Role | Responsibility |
|---|---|
Transportation Provider (TP)/Subcontractor |
Reviewing action and executing plans. |
Regional Transportation Office (RTO) |
Measuring performance, verifying accuracy, developing plans, informing TP of outcomes and closing out evaluation. |
Regional Transportation Coordinating Committee (RTCC) |
Reviewing plans, making decisions on whether to proceed with contractor renewal. |
Process Flow – Contractor Annual Renewal Review
The following process flow illustration depicts the full Contractor Annual Renewal process from the point that the transportation provider is 180 days prior to their annual contract end date to the point the RTCC approves the renewal. This process flow shows each responsible party and its steps throughout the process. The highlighted area(s) in the process flow depict the TP and Subcontractor roles within the process. The TP and Subcontractor specific steps are described after the process flow.
Procedures – Contractor Annual Renewal Review
The procedural steps and details outlined below are those that are the responsibility of the TP or Subcontractor and correspond to the steps highlighted in the process flow above.
- Steps 1-7 – (TSS)
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The TSS reviews performance reports. If issues are identified, TSS develops an Exhibit 5 – Sample Corrective Action Plan Plan for the TP and/or Subcontractor to resolve the issues and meets with the TP and/or Subcontractor to review the plan. Steps 8 and 9 only apply if an Action Plan is developed. Otherwise, the TP begins the process at Step 12.
- Step 8 – Meet and review Action Plan (TP/Subcontractor)
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If an Action Plan is needed, as determined in Step 6 by the RTO, the TP meets with the RTO to review and get approval on the CAP.
- Step 9 – Execute Corrective Action Plan (TP/Subcontractor)
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Once the RTO has reviewed and approved a proposed CAP, the TP has 60-90 days, as determined by the RTO depending on the severity, to complete the Corrective Action Plan. This step continues until all deficiencies have been satisfactorily resolved.
- Steps 10-16 – (TSS)
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The TSS completes its evaluation (see Exhibit 8 – Sample Annual Contract Evaluation Summary) and sends the information to the RTO, TP, and Subcontractor, if applicable. The RTO and RTCC reviews the TP and its Subcontractor(s), if applicable, and all other available providers. Following the evaluation process completed by the RTCC and the RTO, a decision is made on whether to renew the TP contract. Renewals continue to Step 7 in the Contractor Selection process for Renewals and Intergovernmental Agencies.
- Step 17 – Request review by Commissioner’s Office? (TP)
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TPs not selected for renewal by the RTO and RTCC may appeal the decision and request a review by the Commissioner’s Office. If the Commissioner’s Office denies the appeal, the process ends.
- Step 18 – (RTO)
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If the Commissioner’s Office approves the appeal, the TP may compete in a competitive bid for the contract. The process continues to Step 4 of the Contractor Selection process for Competitive Bid.