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 individuals. 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 online tools, resources, and the access vendors need to review and bid on active procurements. |
Process Flow – Contractor Selection – Competitive Selection via eRFP
The following illustration depicts the Contractor Selection process from the identification of a Transportation Provider through a Contractor selection. Once a contractor is selected, a contract is awarded, and the contractor initiates transportation services. This process flow shows each responsible party and its steps throughout the process. The highlighted area depicts the TP role within the process.
Procedures – Contractor Selection – Competitive Selection via eRFP
The TP responsibilities are outlined below and correspond with the above illustrations. The following steps are to be used when the TP is responding to a competitive procurement.
Step 1
TSS and OPC focus on determining whether a service gap exists. If a service gap exists, an accelerated process will be followed and is detailed in this section. If a service gap does not exist, both TSS and OPC follow the standard procurement process to identify a method to secure a contract, and prepare and route the requisition for approval. Then, the eRFP is developed and issued.
Step 2
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. All questions must be submitted via email to the Issuing Officer identified in Section 1.5 of the eRFP. Written responses must be provided and are considered binding upon the state. All TPs must submit questions by the specified deadline in the Schedule of Events. DOAS reviews all questions and post responses by the specified date indicated in the Schedule of Events. A Schedule of Events is included in all eRFPs.
Step 3
All questions concerning the eRFP must be submitted in writing via email to the Issuing Officer identified in Section 1.5 titled “Issuing Officer”. DOAS reviews all questions submitted by vendors and post written responses by the specified date in the Schedule of Events.
Step 4
All competitive procurements are issued through the Team Georgia Marketplace. Vendors who wish to bid should log into 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 PM
| The duration of procurements varies greatly. In general, competitive procurement could take approximately 180 days from issuance to an Award. |
Step 5
As a preliminary step in the evaluation process, DOAS (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 who achieves the best overall score or value. The supplier should be capable of performing and agree to contractual terms and conditions with the state entity.
Step 6
For each contract awarded to the supplier, the contract is routed through DHS’s internal process for approval. DOAS emails instructions and the executable contract for signature. The return date of the executed contract will also be provided.
The vendor reviews the contract.
To submit the signed contract to DOAS, follow the instructions given by the issuing officer. The supplier must return the executed contract in its original format with original signatures.
Step 7
DOAS posts the Notice of Intent to Award for 10 days (Exhibit 1 – Sample Notice of Intent to Contract). During this time suppliers have an opportunity to protest the award. In case of a protest, the process STOPS until DOAS determines a resolution. If there is no protest, DHS proceeds with getting the appropriate signatures for the Department.
Once the contract is fully executed, a PDF version is emailed to the vendor. It details the DHS contract number to be used to submit payment requests and programmatic reports, as well as other contract-related activity.
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 will complete a contract for emergency services and follow the “special circumstances” process.
Step 8
Emergency purchases are an exception to the order of precedence. Because of the urgency of the circumstances, such as an immediate welfare to the general public, an emergency procurement is handled outside the normal competitive process for purchases greater than $24,999.99.
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 the dollar amount of the emergency purchase falls within the state entity’s delegated purchasing authority.
Step 9
DHS sends the emergency executable contract to the TP for signature and provide instructions of the return date, and the contact person for whom the contract should be returned.
The TP returns the signed contract.
Steps 10
DHS routes the contract for signature and develops the emergency justification documentation.
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 applying for a new contract should follow the competitive selection process stated in the Contractor Selection - Competitive Selection via eRFP Process section. TPs applying for a renewal contract or intergovernmental agreement, should follow the steps outlined below.
The State of Georgia operates on a fiscal year of July 1 through June 30. The State may only enter contractual obligations one fiscal year at a time; 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 Transportation Provider’s completion of renewal criteria, including but not limited to: updated proposal information, cost analysis information, favorable evaluations from the individuals being served, Human Service Providers/ programs served, and the approval by the Regional Transportation Coordinating Committee (RTCC). If approved for renewal, DHS may exercise the option to renew a contract up to four times, totaling five years of consecutive engagement. Refer to the [contractor-annual-renewal-review-process] section in this chapter for more information.
If circumstances warrant contract renewal, DHS issues a Letter of Intent to the Prime Contractor stating DHS’s desire to renew the contract.
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 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 could seek approval to issue a request for proposal.
DHS has the discretion to enter into an intergovernmental agreement, if the desired services are available through the intergovernmental source. To the maximum extent feasible, TPs are 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 depicts the Contractor Selection process from provider identification and contractor selection through the contractor’s initiation of transportation services. The steps below show each parties responsibilities throughout the process.
Procedures – Contractor Selection – Renewals and Intergovernmental Agreements Process
The TPs responsibilities are outlined below and should be used if the TP is responding to an exempt procurement.
Step 1
TSS and OPC focus on whether there is a service gap. If so, an accelerated process is detailed later in this section. If not, DHS Procurement partner to determines the appropriate procurement method. DHS sends the Notice of Intent to Contract (NOIC) request to the TP.
Step 2
Once a TP receives an NOIC (refer to Exhibit 1 – Sample Notice of Intent to Contract) and/or a Contract Information Request Packet, 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 Regional Transportation Office (RTO).
Step 3
TPs entering an exempt contract may be asked to participate in an annual Regional Review, prior to negotiating terms and rates of the contract.
During a Regional Review, the TP completes annual contract renewal documents and responds to any issues that may have been referenced in a Corrective Action Plan (CAP).
- Negotiate Terms and Rates
-
TPs submit annual cost and budget reports. TSS analyze reports and rate histories to determine the validity of proposed Per Unit Cost for each trip type.
- (TSS and OPC)
-
The Prime Contractor determines their cost of doing business. The cost of doing business is divided by the expected number of trips, as issued by the RTO. This method is 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. Negotiations are conducted with the TP, ending with a Rate Schedule that reflects the approved contracted rates.
Step 4
For each contract awarded, the contract is developed and routed through DHS internal process for approval. DHS sends the executable contract to the TP for signature and provides instructions of the return date, a contact person for whom the contract should be returned, and notification of whether an original copy of the contract is required.
Step 5
Once the contract is fully executed, the contract is sent to the TP.
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.
Step 6
Emergency purchases are an exception to the Order of Precedence. Because of the urgency of the circumstance, such as the immediate welfare of the general public; an emergency procurement is handled outside of the normal competitive process for purchases greater than $24,999.99.
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 procurements as competitive as possible. The state entity is authorized to handle the emergency purchases 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 7
For each contract awarded, the contract is developed and routed through DHS internal process for approval.
Once the contract is fully executed, the PDF is sent. It details the DHS contract number for submit payment requests, programmatic reports, and other contract-related activity.
==== 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 RTO provides oversight and monitoring to ensure TPs are compliant with DHS’s policies, procedures, and contracts. Contracts define transportation programmatic services and operations. Monitoring may be accomplished through the following: site visits, meetings, surveys, reports, reviews, vehicle inspections, and any other methods the regional offices deem necessary. All monitoring methods will determine contracting recommendations and renewal decisions.
=== Roles and Responsibilities Overview
| Role | Responsibility |
|---|---|
Transportation Provider (TP) / Prime and Subcontractor |
Review report cards in eTRIPS and complete corrective actions. |
Regional Transportation Office (RTO) |
Provide TP oversight, issue evaluations, and manage all provider activities. |
Transportation Services Section State Office (TSS-SO) |
Assist RTOs and provide oversight of regional activities. Conduct policy evaluations and changes to ensure compliance. |
=== Applications
| Application | Description |
|---|---|
eTRIPS |
Electronic Transportation Request Information Processing System. Register individuals and order trips, invoicing, dashboard reporting, complete annual surveys, and house contract documents. |
=== Process – Contractor Monitoring and Evaluation
The following process depicts the Contractor Monitoring and Evaluation from the quarterly Report Card in eTRIPS to the resolution of identified deficiencies. The process also covers provider termination, when necessary. Each role is defined in the process.
=== Contractor Monitoring and Evaluation
The procedures outlined below define the responsibilities of Prime Contractors and Subcontractors.
Step 1
RTOs gather information throughout the contractual period and ensure TPs compliance and risk standards. RTOs issue quarterly report cards in eTRIPS (refer to Exhibit 4 – Sample Quarterly Report Card), scoring the provider’s performance and contractual obligations. Provider’s data is collected throughout the contractor period. Human Service Providers and individuals provide surveys evaluating the TPs(see Exhibit 2 – Sample FY20XX Evaluation Summary - individuals and Exhibit 3 – Sample HSP Satisfaction Survey Summary). Each quarter, data is gathered and evaluated by APMs and RTOs. Data includes vehicle and driver inspection reviews, site visits, RTCC meetings, complaints, incident reports, financial data, invoicing, and any other information the regional office deems necessary.
Step 2
TPs review Quarterly Report Cards in eTRIPS and share with providers. 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.
Step 3
If deficiencies are determined, continue to step 5.
Step 4
If all contractual criteria are met and no deficiencies are noted in the quarterly Report Card, no additional action is taken by TSS. TPs can save the final report.
Step 5
If deficiencies are determined, corrective actions are required. RTOs will meet with providers to review CAPs and determine next steps based on the severity of the deficiency.
Step 6
The Senior Manager and APM review the CAP for approval.
Step 7
Once the CAP is approved, RTOs will determine a date of completion. RTOs will set a monitoring plan and follow the TPs progression towards completion.
Step 8
The TP provides verification of resolved deficiencies. The TP will have 10 days to resolve deficiencies.
Steps 9
The RTO reviews the addressed deficiencies and determines if further actions are needed. The RTO issues a resolution (Exhibit 6 – Sample Cure Notice) to the Prime Contractors. The Prime Contractor will issue a resolution if the issue is regarding a Subcontractor.
Step 10
The Cure Notice is released by the Prime to its Subcontractor. If a contractor has failed to comply with contractual obligations, DHS reserves the right to suspend any contractor, either in whole or a partial suspension. DHS could also require a contractor to provide additional verification of reimbursable expenses and/or programmatic performance prior to payment.
Step 11
The Prime Contractor saves the final report for its own records. This report will be included with the TPs Annual Review.
Step 12
It is the Prime Contractor’s responsibility to terminate the contract with an under-performing Subcontractor and notify the RTO of an 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 breach the contract. Prior to terminating a contract for default, a delinquency notice will be sent to the contractor requesting a proof of delivery.
Step 13
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:
-
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 individuals
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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
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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 individuals and/or fails to prevent or protect against fraud or otherwise protect the State of Georgia’s personnel, individuals, facilities, or services
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Subcontractor are 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 individuals. This includes, but not be limited to, the transfer of the individuals records, personal belongings and funds as directed by DHS
-
Should the Subcontractor terminate the business and/or cease to operate, all original records of individuals shall be transferred by the contractor to DHS immediately and shall become the property of DHS
Step 14
Once a TP or Subcontractor is terminated, the Contractor must update the eTRIPS system accordingly. Assistance from the RTO may be requested to complete this process. A written formal notification must be sent to a terminated Contractor. If a Prime Contractor terminates a relationship with a Subcontractor, then written notification must be provided to the regional office. All notifications should be filed and recorded.
Step 15
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. Once a contractor is terminated, the RTO must update the eTRIPS System accordingly to ensure the contractor is no longer listed as an active provider. Prior to terminating a contract for default, a delinquency notice will be sent to the contractor with proof of delivery requested.
=== 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 - individuals and Exhibit 3 – Sample HSP Satisfaction Survey Summary are some of the inputs used to form the Quarterly Report Card. |
|
Identifies areas noted in the report card requiring deficiency action and correction. |
|
Notice of failure to complete corrective action. This is the pre-termination notice. |
|
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. |
=== Application(s)
| Application | Definition |
|---|---|
Annual Renewal |
An application must be renewed each year for providers who receive 5310 funds. |
=== Contractor Annual Renewal
Contracts are renewed at each state fiscal year. The contract year starts July 1 through June 30 of the following year. At renewal the following documents must be submitted:
The TP must submit- Letter of Intent, Tax Compliance Form, Security Immigration & Compliance Affidavit, Certificate of Insurance, Vehicle Lists, W9 Form, Supplier Change Request, and Corporate Resolution (non-profit).
The RTO must submit- Scope of Services, Rate Schedule, Tax Approval Email, SAM Verification, Georgia Secretary of State Verification, Contractor Determination, Pre-Risk Assessment, Authorized Signature and Approval, Programmatic Report, and CIF.
The State Office must submit- Certified Inkind Form, Subrecipient Fed Grant, and GA Debarred and Suspended Verification.
Contractor Lifecycle Management Process (CLM)
All contracts undergo a rigorous programmatic, legal, and financial review and advance through various approval stages throughout the contract lifecycle. Contract documents will be managed and housed in the internal Contractor Lifecycle Management Process system.
TSS completes all evaluations (see Exhibit 8 – Sample Annual Contract Evaluation Summary). The respective RTCC will hold a meeting and vote to decide whether to renew a contract. TPs that are not selected for renewal may appeal the decision and request a review by the Commissioner’s Office. If the Commissioner’s Office upholds the nonrenewal decision, the contract renewal process ends. TPs that are selected for renewal will follow the normal contracting process as outlined in the Contract Lifecycle Section. The Contractor does not have to rebid through an eRFP process.
=== References and Related Documents
| Document | Description |
|---|---|
Identifies TP annual performance, summarizing the results of the HSP Satisfaction Survey and Evaluation Summary from individuals |
|
Identifies areas noted in the report card requiring deficiency action and correction. |